Charles A. Tryon Jr.-Project Identification - Capturing Great Ideas To Dramatically Improve Your Organization-CRC Press (2015)

Project
Identification
Capturing Great Ideas to Dramatically
Improve Your Organization
Charles A. Tryon, Jr.

Project
Identification
Project
Identification
Charles A. Tryon, Jr.

CRC Press
Taylor & Francis Group
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© 2015 by Charles A. Tryon, Jr
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Dedication
To Madeline, Landon, and Cailyn.
The best ideas I never had.
You make every day a fantastic adventure.
It is a joy and honor to be your . . . “Papa.”
Contents
Preface............................................................................................................... xiii
Acknowledgments............................................................................................xv
About the Author........................................................................................... xvii
Chapter 1 Completing the Project Life Cycle........................................... 1

1.1 Project Initiation....................................................................................... 2
1.1.1 Formalize Project Governance.................................................. 2
1.1.2 Create a Project Charter............................................................. 2
1.1.3 Craft a Project Plan..................................................................... 3
1.1.4 Obtain Approval to Proceed..................................................... 3
1.2 Project Execution...................................................................................... 3
1.2.1 Create Detailed Plans................................................................. 3
1.2.2 Track Progress against Detailed Plans.................................... 4
1.2.3 Assess Each Component of the Project................................... 4
1.3 Project Completion................................................................................... 5
1.4 Project Identification................................................................................ 5
1.5 Final Thoughts.......................................................................................... 5
Chapter 2 Framework for Project Identification....................................... 7

2.1 Endangered or Extinct............................................................................. 7
2.2 Failure of Success...................................................................................... 8
2.3 Idea Source................................................................................................ 9
2.4 Great Ideas Process................................................................................. 10
2.5 Capture Candidate Projects.................................................................. 10
2.5.1 Store in a Repository................................................................ 11
2.5.2 Open Access.............................................................................. 11
2.6 Rank Candidate Projects....................................................................... 11
2.6.1 Ranking Criteria....................................................................... 12
2.6.2 Comparative Ranking.............................................................. 12
2.7 Evaluate Human Resources.................................................................. 13
2.7.1 Skill Types.................................................................................. 13
2.7.2 Resource Capabilities............................................................... 14
2.7.3 Resource Availability............................................................... 14
vii
viii Contents
2.8 Forecast Future Human Resource Needs........................................... 15

2.8.1 Anticipate Skill Needs............................................................. 15
2.8.2 Create a Training Plan............................................................. 16
2.8.3 Future Career Opportunities.................................................. 16
2.8.4 New Employment Profiles...................................................... 16
2.8.5 Requirements for Contract Labor........................................... 17
2.9 Approve Projects for Initiation............................................................. 17
2.9.1 Ranking, Not Priority.............................................................. 17
2.9.2 Respect Schedules.................................................................... 18
2.9.3 Assigning Initial Resources.................................................... 18
2.10 Make It a Practice.................................................................................... 18
2.11 Final Thoughts........................................................................................ 19
Chapter 3 Defining a Candidate Project.................................................. 21

3.1 Everyone Has Great Ideas..................................................................... 21
3.2 Stimulate Change................................................................................... 21
3.3 Key Players.............................................................................................. 22
3.4 Capture Your Idea.................................................................................. 22
3.5 Pick a Problem......................................................................................... 24
3.5.1 Observe an Inefficient Process................................................ 24
3.5.2 Special Interest or Significant Research................................ 25
3.5.3 Needs of Others........................................................................ 25
3.5.4 New Technology....................................................................... 25
3.5.5 New Skills.................................................................................. 26
3.5.6 Collaborate................................................................................. 27
3.6 Final Thoughts........................................................................................ 27
Chapter 4 What’s the Problem?.................................................................. 29

4.1 Explain the Problem............................................................................... 29
4.2 Review the Source.................................................................................. 30
4.3 Define the “Real” Problem.................................................................... 30
Chapter 5 You Want to Do What…?.......................................................... 33

5.1 Executive Overview............................................................................... 33
5.2 Possible Improvements.......................................................................... 33
5.3 Improvement Target............................................................................... 34
5.4 Improvement Type................................................................................. 34
5.4.1 Faster (More Efficient).............................................................. 34
5.4.2 Cheaper (Financial Impact)..................................................... 34
5.4.3 Better (Higher Quality)............................................................ 35
5.4.4 Smaller (More Compact).......................................................... 35
5.4.5 All of the Above........................................................................ 35
5.5 New Capabilities..................................................................................... 37
5.6 Final Thoughts........................................................................................ 38
Contents ix
Chapter 6 What’s in It for Me?................................................................... 39

6.1 Identify Beneficiaries.............................................................................. 39
6.2 Build a Vision.......................................................................................... 41
6.3 Final Thoughts........................................................................................ 41
Chapter 7 When Do We Start?................................................................... 43

7.1 Ideal Start Date........................................................................................ 43
7.2 Target Completion Date......................................................................... 43
7.3 Intermediate Dates................................................................................. 44
7.4 Avoid Artificial Dates............................................................................. 44
7.5 Durations................................................................................................. 44
7.6 Final Thoughts........................................................................................ 45
Chapter 8 What Will This Cost?................................................................ 47

8.1 Tangible Costs......................................................................................... 47
8.2 Intangible Costs...................................................................................... 47
8.3 Operational Costs................................................................................... 48
8.4 Contingency Costs.................................................................................. 48
8.5 Updating Costs....................................................................................... 49
8.6 Final Thoughts........................................................................................ 50
Chapter 9 How Will We Pay for This?...................................................... 51

9.1 Internal Budgets...................................................................................... 51
9.2 New Income............................................................................................. 52
9.3 Cost Savings............................................................................................ 52
9.4 Grants and Donations............................................................................ 52
9.5 Mutually Beneficial Partnerships......................................................... 53
9.6 Final Thoughts........................................................................................ 53
Chapter 10 Who Will This Impact?............................................................. 55

10.1 Marketing/Sales..................................................................................... 55
10.2 Designers/Creators................................................................................. 56
10.3 Technologists........................................................................................... 57
10.4 Operators/End Users............................................................................. 58
10.5 Support/Service...................................................................................... 58
10.6 Audit/Certification................................................................................. 59
10.7 Project Oversight.................................................................................... 59
10.8 Final Thoughts........................................................................................ 59
Chapter 11 Here’s My Plan........................................................................... 61

11.1 Key Deliverables..................................................................................... 61
11.2 Deliverable Plan...................................................................................... 62
11.3 Dependency Diagram............................................................................ 62
11.4 Timeline................................................................................................... 62
11.5 Final Thoughts........................................................................................ 62
x Contents
Chapter 12 I’ll Need You, and You, and You …........................................ 65

12.1 Staff Planning.......................................................................................... 65
12.2 Staff Source.............................................................................................. 66
12.2.1 Internal Organizations............................................................ 66
12.2.2 External Organizations............................................................ 66
12.2.3 Volunteers.................................................................................. 66
12.3 Your Role.................................................................................................. 67
12.4 Final Thoughts........................................................................................ 67
Chapter 13 Gaining Approval...................................................................... 69

13.1 Clearly Written........................................................................................ 69
13.2 Is It Time Yet?.......................................................................................... 70
13.3 Documented Approval Process............................................................ 70
13.4 Direct Path for Approval....................................................................... 71
13.5 Organizational Comment...................................................................... 71
13.6 Rapid Response....................................................................................... 71
13.7 Possible Responses................................................................................. 71
13.8 Keep It Automated.................................................................................. 72
13.9 Never Give Up......................................................................................... 73
13.10 Final Thoughts........................................................................................ 74
Chapter 14 Implementing a “Great Ideas” Program............................... 75

14.1 Management Preparation...................................................................... 75
14.1.1 Give the Program a Name....................................................... 75
14.1.2 Propose the Great Ideas Program to Your Senior
Management.............................................................................. 75
14.1.3 Build Core Components.......................................................... 76
14.1.4 Create Training That Explains the Great Idea Program..... 76
14.1.5 Display Examples..................................................................... 76
14.2 Infrastructure Preparation.................................................................... 76
14.2.1 Prepare the Technology........................................................... 76
14.2.2 Build a Proposal Repository................................................... 78
14.2.3 Assign an Initiative Coordinator............................................ 78
14.3 Organizational Preparation.................................................................. 79
14.3.1 Train Everyone.......................................................................... 79
14.3.2 Publicize Results....................................................................... 79
14.4 Final Thoughts........................................................................................ 80
Chapter 15 From Proposals to Projects....................................................... 81

15.1 Reevaluate the Approved Proposal..................................................... 81
15.2 Classify the Project................................................................................. 82
15.2.1 Class 3 Projects.......................................................................... 82
15.2.2 Class 2 Projects.......................................................................... 82
15.2.3 Class 1 Projects.......................................................................... 83
Contents xi
15.3 Assign Project Roles............................................................................... 85

15.3.1 Project Owner........................................................................... 86
15.3.2 Project Manager........................................................................ 86
15.3.3 Project Team.............................................................................. 86
15.4 Final Thoughts........................................................................................ 87
Conclusion.......................................................................................................... 89
Appendix A: Project Identification................................................................. 91

A.1 Process Description................................................................................ 91
A.2 Process Purpose...................................................................................... 91
A.3 Use Criteria.............................................................................................. 92
A.4 Process Flow............................................................................................ 92
A.4.1 Capture Candidate Projects.................................................... 92
A.4.2 Rank Candidate Projects......................................................... 92
A.4.3 Evaluate Human Resources.................................................... 93
A.4.4 Forecast Human Resource Needs.......................................... 93
A.4.5 Approve Project for Initiation................................................. 93
Appendix B: Initiative Proposal “Quick Start”............................................ 95

B.1 Objective.................................................................................................. 95
B.2 Guidelines................................................................................................ 95
B.2.1 Submission Information.......................................................... 95
B.2.2 Describe the Problem, Condition, or Observation
That Inspired This Proposal................................................... 95
B.2.3 Provide an Overview of the Initiative You
Are Proposing........................................................................... 96
B.2.4 Who Will Benefit from This Initiative and How?................ 96
B.2.5 When Should This Initiative Be Attempted?........................ 96
B.2.6 How Much Do You Believe This Initiative Will Cost?........ 96
B.2.7 How Should This Initiative Be Funded?............................... 96
B.2.8 What Other Groups Might Be Affected by This Initiative?.... 97
B.2.9 What Strategy Would You Propose to Complete
This Initiative?........................................................................... 97
B.2.10 How Would You Propose to Staff This Initiative?............... 97
B.2.11 Other Comments?..................................................................... 97
B.2.12 Format Suggestions?................................................................. 97
B.3 Reviewer Information............................................................................ 97
B.4 Final Notes............................................................................................... 99
Appendix C: Initiative Proposal Template.................................................. 101
Appendix D: Cost Worksheet Template....................................................... 105

xii Contents
Appendix E: Deliverable Plan Template...................................................... 107
Appendix F: Case Study................................................................................. 109

F.1 Overview............................................................................................... 109
F.2 The Opportunity.................................................................................. 112
F.3 Current Operations...............................................................................113
Appendix G: Staff Plan Template..................................................................117

Preface
Where do your projects come from? That could be the most overlooked
question in all of Project Management. Many organizations, it seems,
believe that projects arrive through a process no less magical than stork
delivery. Although formal processes for project initiation, execution,
and completion may be firmly embedded in an organization’s project
life cycle, little is said about project origins. As a result, projects tend to
arrive wrapped in crisis with unrealistic expectations and unreasonable
due dates.
This book can change all that. It provides you with a repeatable pro-
cess to organize, evaluate, and then select new projects for execution.
And it goes a giant step beyond by providing you with a mechanism
for identifying and capturing great ideas and inspired thought as new
project proposals. Best of all, this approach will leverage an existing
organizational asset—your knowledge workers—to address real issues
and opportunities in your organization. This greatly benefits your orga-
nization and motivates your staff with recognition for their creativity.
So how does this book make all of this happen? Chapter 1 describes
what I consider to be the “complete” project life cycle with the inclu-
sion of a formal process for Project Identification to complement other
elements of your Project Management methodology. This is where

I introduce the notion of Candidate Projects. Chapter 2 describes how to
organize the list of Candidate Projects, evaluate available resources, plan
for additional resources, and then objectively and intelligently select
Candidate Projects for initiation.
If your organization already has a Project Identification process in
place, you may want to skip to Chapter 3. You will find the majority of this
book (Chapters 3–12) provides a road map for how the people who care
the most about your organization, your employees, can formalize their
inspirations into Initiative Proposals, many of which become Candidate
Projects to feed the Project Identification process. The key to enhancing
the Project Identification process is to make sure the decision makers
in your organization have quality information to consider. That is the
goal for the questions and process I suggest for each Initiative Proposal.
xiii
xiv Preface
For each question, I’ve added an example from a real proposal that dem-
onstrates how to craft useful content.
Chapters 13 and 14 explain how to capture and manage each of the
formal proposals and make sure they are properly considered. Chapter 15
concludes this book with a deeper dive into the transition of a Candidate
Project to a live effort, ready for Project Initiation. The Conclusions s ection
sums up my thoughts on your journey through Project Initiation.
In the Appendices, I’ve placed a summary of the Project Identifi-
cation process (Appendix A), an Initiative Proposal process overview
(Appendix B), and a handful of templates mentioned in the chapters
(Appendices C, D, and E). In Appendix F there is some material on the
Tulsa Expo Square Case Study you will see during the chapter discus-
sions. Appendix G contains a Staff Plan Template. These templates are
available for download at www.tryonassoc.com.
So there you have it. Join me for the journey and I’ll make it as
meaningful as possible. This content can help streamline how your
organization conceptualizes and approves projects. And it can deliver a
never-ending source of fresh ideas for how to solve the challenges that
surround your business.
Acknowledgments
It would be quite difficult to take on a writing effort like this one without
significant help and there are people I must thank. First, my great appre-
ciation to the scores of organizations I have taught at or consulted with
since the early 1980s. Although I am considered the “instructor,” I am
always learning. To every person who has endured multiple days with me
in a workshop, thank you. You have taught me so much. And you have
inspired so many new ideas that rattle around in my mind.
Much of the work leading to this program originated in, of all places,
a police department. Over a seven-year period, over two dozen senior
u niformed officers from the Tulsa Police Department joined with other
City of Tulsa employees in my Project Management seminars. At the
end of one session, several officers approached me with a request to
createan “in service” training program for all members of the force that
would help them identify and address critical law enforcement issues
facing the city. The Initiative Proposal concept you will read about in this
book blossomed from that effort. I owe special thanks to Tulsa PD’s Paul
Williams and Rob Turner. They kept me on track and helped me clear
multiple hurdles.
As with any program of this type, a senior executive is the key to
success. In this case, we benefited from the vision and encouragement of
Tulsa Police Chief Dave Been (now retired). He deserves more credit for
the success of this program than most people realize. He set the example
for executive support of the program I propose in this book by helping
to kick off each of the 30 or so training sessions I gave for his officers.
He opened each class with the comment that “everyone has great ideas.”
I lead off Chapter 3 with his words. Thanks, Chief.
Thanks to Joe Colannino, Brent Coussens, and my wife, Tresa, for their
willingness to review the manuscript to spot omissions, to make sure the
text flows, and that the content applies to real-world organizational needs.
I owe much to Tresa and our daughters, Amanda and Casey. They
have always believed in me and continually encouraged me to keep
writing. Thanks guys. And nothing inspires me with new ideas more than
xv
xvi Acknowledgments
my three incredible grandkids; Madeline, Landon (The LJ), and Cailyn.

You are the lights of my world.
Lastly, I am eternally grateful to my Creator who gives us all the
mental capacity for inspired creative thought. I hope to use this ability to
benefit others until the end of my days.
About the Author
Charles ”Chuck” A. Tryon, Jr. is a nationally
respected educator and popular symposium
speaker. He is a proven thought-leader in the
fields of knowledge management, project man-
agement, and business requirements. He alter-
nates his time between creating new concepts,
proving them on live projects, and sharing his
knowledge in seminar settings. Chuck’s current
focus is on healthcare improvement initiatives at
both the national and local levels.
Chuck founded Tryon and Associates in 1986
to provide seminar training and consulting
services. The strategies presented in his seminars
are used by thousands of professionals in hundreds of organizations
across the United States, Europe, and Canada. His client list includes
many top 100 companies.
From 2011 to 2013, Chuck served as the Chief of Program and
Knowledge Management for MyHealth Access Network, a regional health
information exchange. During that time, Chuck also co-chaired the
Office of the National Coordinator’s very successful Beacon-EHR Vendor
Affinity Group. This federal group is responsible for clarifying the defini-
tion of the HITSP C32/C83 Continuity of Care Document and piloting the
Meaningful Use Stage 2 requirements for Transitions of Care.
In 2012, Chuck authored Managing Organizational Knowledge: 3rd Genera-
tion Knowledge Management . . . and Beyond published by Taylor & Francis.
He has also created over a dozen workshops.
He is a frequent speaker for professional societies and conferences.
In addition to his consulting work, Chuck is an adjunct professor in the
graduate program at the University of Oklahoma where he teaches knowl-
edge management and project management.
Chuck earned a master’s degree in knowledge management from
the University of Oklahoma and an undergraduate degree in business
administration from the University of Tulsa.
xvii
chapter one
Completing the Project Life Cycle

The discipline of Project Management has evolved from its Industrial
Engineering roots to a place of prominence in most modern organiza-
tions. No longer a skill used only to construct impressive buildings or
enhance the efficiency of assembly lines, professionals of all walks must
adopt a repeatable process to transform organizational visions into real
products and services.
The fact that you are reading this book suggests that you work in such
an organization. In all likelihood, you are familiar with or even helped
construct a formal repetitive framework for Project Management. This
methodology includes specific activities that have proven to reduce project
risk and keep your management informed during the life of the project.
For many people, formal Project Management may be “new” but we
can see evidence of these methods from thousands of years ago. Do you
really believe the pyramids were constructed without a formal Project
Management process? The only new element in the discussion is the
breadth of application needed for today’s projects.
Aggressive organizations are dependent on great ideas and innova-
tive thought to spawn new products and services. And with challenging
economic conditions, companies search endlessly for ways to produce
more at lower costs with fewer delays and greater efficiencies. We derive
all of these improvements from projects. Projects are the lifeblood of
modern organizations.
With the emphasis on projects comes the need to manage associated
risks. Few projects are immune to the potential for failure. Although a
project may suggest great potential for gain, it also carries known and
unknown factors that can cause things to go bad, sometimes very bad.
Failed projects represent unrecoverable investments of time, energy,
and money. As a result, organizations of every size and industry strive
to implement formal Project Management processes and train members
of their staff to use the concepts so they can recognize and mitigate risk
before a failure compromises the organization.
The purpose of this book is to give you context for the role of Project
Identification. This set of activities can be freestanding, however, they are
more useful when integrated into a formal Project Management approach
that includes Project Initiation, Project Execution, and Project Completion. To
better explain where Project Identification fits in, here is a quick overview
1
2 Project Identification
of each component of a Project Life Cycle along with some key lessons
learned by experienced Project Managers. Even if you’ve been at this dis-
cipline for a while, this refresher will validate what you already know.
If you are new to Project Management, this is a good introduction and will
help you understand what to expect.
1.1 Project Initiation
In the eagerness to get projects started, many organizations race too
quickly into the actual work of the project. They do so without the con-
text that defining project goals and scope brings. Soon they are embroiled
in disputes and misunderstandings. Without proper governance for the
project, the effort is further compromised by political disagreements.
Experienced Project Managers can ratify the significance of emphasizing
Project Initiation.
Project Initiation begins as soon as a project is formally approved for
launch. During these early days of a project, the Project Manager works
with the total organization to do the following.
1.1.1 Formalize Project Governance

Most organizations recognize the need for a designated Project Manager
and Project Team members, but even more significant to project success
is the Project Owner. This person or group of people provides oversight
and guidance to the project. Some organizations use titles like Project
Champion or Project Executive for this role, but I find “owner” paints a
much clearer picture of what is needed. The Project Owner is the ultimate
decision maker on the project. They have the organizational authority
to approve the project and are typically responsible for p roject fund-
ing. Without them, project decisions wander up and down the organi-
zational chart looking for someone to take responsibility for the matter.
You want to speed up projects in your organization? Make sure you have
proper governance and you will see decision-making delays dramati-
cally reduced. Your projects may still encounter difficult challenges, but
having an effective, actively engaged Project Owner encourages timely
decision making.
1.1.2 Create a Project Charter

No charter, no project! This has become a common mantra of experienced
Project Managers. A Project Charter is a written agreement between the
primary participants in a project. It defines the project and establishes the
scope of project work. Without it, you have a flawed basis for project plans
or for scope management. It is just good business and is required by most
Chapter one: Completing the Project Life Cycle 3
major companies for significant projects. Project Charters are not con-
tracts. They don’t contain legalese that often prevents true understanding.
Your Project Charters should paint a clear picture of why the effort was
launched and what is expected when complete. When a Project Charter is
not created early in the life of a project, the issues that should have been
addressed during Project Initiation show up later as more complicated,
expensive, and challenging problems.
1.1.3 Craft a Project Plan

Many people believe they can throw out a few dates and call it a plan.
If you want to create a Project Plan that you can explain and defend,
it should include: (1) a decomposition of work and results, (2) dependen-
cies between work activities, and (3) a schedule that explains the intended
timeline. If the project needs them, you can also add documentation about
the planned staffing, perceived risk, financial projections, and how infor-
mation will be communicated. Project size and risk determine the amount
of detail required in planning documents. The primary purpose of this
plan is to establish important control points where you can demonstrate
progress to your Project Owner(s) and seek resolution to significant issues.
1.1.4 Obtain Approval to Proceed

Before moving forward with a project, the Project Owner must give
approval to the Project Charter and Project Plan. Project Initiation is the
best and easiest time to achieve consensus around project expectations.
Going directly to Project Execution does not make these issues go away;
it only delays them and makes them more difficult to resolve. As the
project moves forward, changes may be required to both of these compo-
nents. All changes must also be approved by the Project Owner.
1.2 Project Execution
Most of the “real” project work happens during Project Execution. But from
a Project Management perspective, there is still significant work at hand.
1.2.1 Create Detailed Plans

Project Plans created during Project Initiation typically provide a top-level
view of the path a project is expected to follow. Major projects require
more granular planning. This includes: (1) breaking down complicated
work into subactivities, (2) creating bottom-level estimates of effort
and cost required for each activity, (3) thinking through a logical set of
dependencies between the activities to facilitate the best use of time and
resources, (4) assigning members of the Project Team to specific activi-

ties based on their skill type and availability, and (5) calculating pos-
sible due dates for each detailed activity. When creating these detailed
plans, it is best to include team members who will perform the work.
Ownership of project plans often come in direct proportion to participa-
tion and contribution.
The degree of detail planning required for a project is driven by the
type of effort you are doing and the size/risk of the project. For example,
if you are planning out a set of work that will repeat hundreds or thou-
sands of times each hour or day (manufacturing), you will want to create
very granular plans. Repetitive efforts (construction, office operations)
follow a reasonably consistent set of work activities and it is usually wise
to define detailed plans that can be referenced with each new endeavor.
Major one-time projects embarked on a unique creative path pose a dif-
ferent challenge. Much of the work required for these single-time efforts is
unknown and unpredictable. Overly granular plans are simply not justi-
fied or feasible. Part of the creativity required on these projects includes
defining a plan that organizes the right work to produce unique results.
Large, high-risk projects of all types require intensive management of the
project work, resulting in the need for progressive continuous planning.
1.2.2 Track Progress against Detailed Plans

Every week or two, the Project Manager should compare actual progress
with what was planned. A Status Report is created to inform the Project
Owner and other interested parties of project progress. Status updates
should be tied directly to the expected intermediate project results pre-
dicted on the project plan, not just the passing of dates on a calendar.
This deliverable-based planning approach provides a much clearer and
provable approach to project progress.
1.2.3 Assess Each Component of the Project

Approximately once each month, the Project Manager facilitates a formal
evaluation of project progress. A review meeting with the Project Owner
allows the Project Manager to explain what has transpired, why it hap-
pened, and what will happen next on the project. Challenges are certain
to come on your projects but the last thing you want to do is save all
the “bad news” to the end of the effort. As one Project Owner told me,
“I’ll never be upset with a Project Manager who tells me about a problem
when there is time to do something about it, but I’ll always be upset when
the Project Manager tells me about a problem when it is too late to do
anything about it.”
Chapter one: Completing the Project Life Cycle 5
1.3 Project Completion
Most companies claim to be “learning organizations.” Here is the litmus
test that I use. Do they conduct formal evaluations of all complete, can-
celled, or failed projects? This is where you learn the most about what
works and what doesn’t in your Project Management process. The Project
Completion step in a project’s life cycle assumes a project is finished,
done, completely completed. You get the idea. The project either finished
all of the required work to deliver the promised final results or has come
to an untimely and unfortunate end. It is not almost done, not 99% done,
but completely done.
A formal Project Completion process identifies, analyzes, and docu-
ments all lessons learned during the effort, both good and bad. Those
lessons should not be locked away in a corporate attic but actively com-
municated to other Project Managers. How else can your organization
learn from past experiences? This is your organization’s greatest opportu-
nity to improve how you manage future projects. But this isn’t only a post-
mortem process. The same evaluation criteria used at Project Completion
should have been asked incrementally throughout the project’s life.
1.4 Project Identification
Now that you have the context of a project life cycle in mind, let’s shift our
focus to that often forgotten step of a project, or Project Identification. That
is the purpose behind this book. In the next chapter, I lay out a general pro-
cess that brings a repeatable formal structure for the origins of projects.
Some projects will still arrive as emergency responses to an unforeseen or
ignored situation. But even then, it should still go through a process that
ensures your organization is properly prepared to launch the effort.
In these pages, I propose a strategy that enables your employees to
articulate and present ideas that could open new doors or solve old prob-
lems. Everything you read in this book is intended to make the transi-
tion—from fresh innovative ideas to approved project status—seamless
and fun. This book is about finding a more predictable and effective transi-
tion from concepts into Project Initiation. Used properly, this approach can
keep your company vibrant in the market and you at the top of your game.
1.5 Final Thoughts
If Project Management is new to your organization, or it is time to refresh,
take it on as a formal Initiative Proposal. Not sure what that is or how to do
that? Keep reading and I’ll walk you through the process. That is the focus of
Chapters 3 to 12. As the demand for professional Project Managers crosses
organizational boundaries, don’t introduce this discipline exclusively to
your technology department or an elite few. The need for team-based

planning should make this a skill that everyone needs to understand.
I use the same course material when teaching Project Management to pro-
fessionals from departments that specialize in Information Technology,
Accounting, Marketing, Engineering, Operations, and more. I have deliv-
ered my Project Management training to organizations in a wide range
of market segments including energy, healthcare, transportation, law
enforcement, aviation, education, publishing, and banking along with
different branches of the armed forces and federal and state government.
They all experience similar challenges and need a common solution.
Don’t think Project Management is for you? Here is a little secret I’ve
learned. With the broad demand for new products and services that keep
your organization relevant in your marketplace, the only way to avoid
being pulled into projects is to be lousy at what you do! Do your job well
and you will be in demand to lead or participate on projects.
Finally, please do not confuse true Project Management techniques
with learning how to click a mouse on some project planning software
product. If you cannot perform the process on paper and a whiteboard,
an automation tool will only generate a mess fast. Remember, a fool with
a tool is still a fool!
chapter two
Framework for
Project Identification
What role do new projects play in your organization? How important are
your projects? What percentage of new revenue and business growth are
you expecting to see from new products and services?
Many established enterprises correctly focus a great deal of energy on
servicing their existing customers. Emphasizing great customer service
should remain a top priority for any organization as it is usually easier
to retain a current customer than to acquire a new one. This applies to
both external customers, found in the open marketplace, and customers
located inside your organizational walls. When an internal customer is
no longer satisfied with how his or her needs are met, internally located
service providers are at risk of being replaced by an outsource vendor.
In a world of constant change and innovation, customers want more
than friendly timely responses to their requests. They want to see new
products and services that enhance their performance. That is why
projects must be a top priority for any progressive organization. In the
effort to keep your customers happy, there is no room for status quo.
Projects are the means used to create something new or make improve-
ments to products and processes already in place. This is how organiza-
tions change, build, and innovate. Failure to do so leaves an organization
vulnerable to being bypassed in the market. And there has never been a
time when it is easier to be left behind than today.
2.1 Endangered or Extinct
I once observed a motivational poster in the offices of a Fortune 100
shipping company. The poster was bordered on one side by a cheetah
emerging from the grasslands and on the other by a pile of fossilized
remains. On closer inspection, the fossils contained the corporate logos
of companies that dominated their industry during my lifetime . . . and
were no longer in existence. A question positioned in the middle of the
poster read, “What is the difference between endangered and extinct?”
(By the way, a framed version of that poster hangs in my office today.)
I’m not sure how you would answer that question but I believe it is
a combination of becoming too comfortable with day-to-day operations
7
and a resistance to change. Those two often lead to obsolescence in the

marketplace. What is the history of the industry you are in? Who once
dominated that space? Where are they now? Are you the corporate giant
with the majority of market share? If so, beware. Even if you are the best
of class, you will find many eager new start-ups looking to nibble away a
percentage of your premium services and customers. As the line on your
concave mirror reads, “The object in your mirror may be closer than it
looks.” It has never been easier to go out of business than in our high-tech,
fast-moving world . . . regardless of size or tenure.
2.2 Failure of Success
I was invited to visit the offices of a leading information provider to the
stock market world. The company was founded by an innovator who
led the company to great success, securing over 90% of the worldwide
market for the company’s products. The company was subsequently
purchased by a large, established financial institution that merged the
start-up into a very rigid corporate culture. The management team of the
former start-up was concerned with their struggles to complete success-
ful projects and brought me in to see how they could repair their Project
Management processes.
In our initial meeting, I looked to find examples of recent success we
could build on. In a meeting with approximately 20 members of their
management and technical leadership, I asked them to describe a p roject
completed in the past three years that had found favor with either an inter-
nal or external customer. As we went around the room, not one person
could tell me of a successful project. When I expressed my concern, one
person justified their reality because they still retained over 50% of the
worldwide market for their services. I pointed out that the trend from 90%
to 50% could be troubling but was told that they were still highly profit-
able and were not overly concerned.
During that meeting, it became clear that this company desperately
needed to replace a crisis-based approach to “managing” their projects
and return to a world where new products and services were routinely
introduced. Several people lamented that I was describing the early “good
days” of the company but they concluded it would be too difficult to shift
out of their reactionary management mode to make the changes I pro-
posed. So, I left and they returned to a process proven to fail.
Three years later, they called again. There was desperation to their
tone. Their market share had slipped and their books were covered with
red ink. Published reports indicated the company was for sale. Their chief
competitor scoffed at any suggestion they might be a buyer stating they
already had acquired most of the failing company’s customers and many
of the best employees. Within a few months, the fossil pile grew larger
Chapter two: Framework for Project Identification 9
with the addition of this former giant. They had lost their ability to dream
new dreams.
The problems that humbled this great organization could not be solved
alone with an insightful Project Management methodology or a group of
certified Project Managers. Although that might help, what they needed
was an organizational culture that encouraged innovation and creativity.
They needed to tap back into the energy that had put them on the map in
the first place. They needed a formal strategy for Project Identification.
2.3 Idea Source
Project Identification is how your organization defends the core b usiness
and simultaneously prepares for the future. It is the crossroads of corpo-
rate imagination and vision. This is where ideas meet reality and have
the opportunity to become a new product or service. So where does this
happen in your organization? Is it the sole domain of a research and
development organization or only dependent on your senior staff? If so,
it is time to reexamine your approach.
Project Identification cannot be dependent exclusively on the insights
and imaginations of your senior management or a single department.
Today’s business world is fueled by knowledge workers who have a deep
understanding of their place in the great machine. They hear about and
understand the needs of the customers. They are on the front lines of your
operations where they recognize imperfections and understand oppor-
tunities for improvement. They wake up in the middle of the night with
breakthrough ideas for something new and better. Your employees read
about what other markets are attempting and learn first about emerging
technologies. They are filled with inspirational ideas that could transform
your company. But is anyone listening?
Do you have a formal process that encourages and enables all of your
employees, from the corporate suite to the college hire, to participate in
the innovation process? Have you created a process that will allow break-
through thinking to rise to the top of your organization despite the damp-
ening effect of naysayers? All of your people can have great ideas. All are
capable of inspired thought. Are you providing them with a simple path-
way to introduce their creative suggestions to the organization?
If your organization wishes to be recognized as a market innovator,
it is vital that you invest in a Project Identification process that flings open
the door to suggestions and proposals from across your organization.
When your employees become invested in the success of the organization,
you open the tap to a never-ending supply of new thought.
Simply telling everyone to send in their ideas and suggestions will
result in a confusing inconsistent barrage of often misdirected and poorly
targeted ideas. If you are not prepared, this whole process could backfire
when people submit their thoughts only to see nothing happening or,
worse yet, have their ideas stolen by an ambitious, unethical colleague
or manager.
2.4 Great Ideas Process

The majority of this book recommends launching a Great Ideas program
that uses Initiative Proposals to capture inspired thought and sugges-
tions. In the coming pages, I provide a series of questions that should
be answered to make sure every idea is ready for management evalua-
tion. Building a pipeline for proposed innovation is a hugely significant
matter. But it must also fit into the ongoing repeatable process of Project
Identification. Once a new Initiative Proposal has been submitted and
deemed worthy by your senior decision makers, it doesn’t automatically
become a project. There is more work to be done and that is where Project
Identification comes in.
Each certified new idea should be (1) captured as a Candidate Project,
(2) ranked objectively against other worthy Candidate Projects, (3) used
to verify the availability of resources, and (4) formally selected for
Project Initiation.
2.5 Capture Candidate Projects

Not all Candidate Projects arrive in the form of careful thought and creative
solutions to problems. Some new Candidate Projects are introduced due
to government regulations, market mandates, surprise announcements
by a competitor, or even responses to unanticipated events that occur
around us. Even when faced with a true emergency Candidate Project,
it should still follow the Project Identification path so the full implications
can be understood prior to launching the necessary project work. The fact
that a new project is mandated by a force outside your control only alters
the ultimate approval process. The need to understand the full implica-
tions of the work remains unchanged. Following the Project Identification
process enables your decision makers to recognize more completely what
will be asked of the total organization to satisfy the needs of the project.
During this definition process, we commonly recognize that many
crisis projects stem from a failure to anticipate change headed our way.
Organizations spent billions responding, often in crisis mode, to protect
against the challenges of Y2K (Year 2000). Professionals, however, had
warned of this coming reality and the potential implications for at least two
decades . . . with faint acknowledgment. Today, many organizations con-
tinue to delay working on mandates until the due dates are imminent. How
many of your emergency projects are responding to real surprises and how
many are a failure to look beyond the next quarter’s financial statement?
2.5.1 Store in a Repository
Capturing Candidate Projects should be source agnostic with profile
information collected around a consistent template. If you don’t already
have a template for suggested projects, keep reading and consider the
questions and template suggested in this book for the Initiative Proposal.
Although it is important to collect common information about each pro-
posal, these Candidate Projects must be retained in a common repository,
a repository that can take on a variety of forms. With today’s technol-
ogy, there is little justification for holding Candidate Project information
in paper form. A technology implementation could range from a folder
on your organization’s shared drive where Candidate Projects are stored
as word-processing documents to a database where proposal specifics
are parsed out into defined data fields. Document management tools,
spreadsheets, and databases are all options for creating this repository.
2.5.2 Open Access
Unless corporate secrecy policies are at stake, consider making this collec-
tion of potential projects available to all of your employees. This won’t be
the first form of intellectual property your employees can access and you
should already have privacy policies in place to prevent this information
from being shared inappropriately. The benefits of sharing the informa-
tion with your organization far outweigh the risk. Making this collection
of information available to your employees will help them understand
future directions for your organization while also stimulating addi-
tional creative ideas. There may be a few original thinkers among us, but
most people are best at iteration. Occasionally you will see something
completely new introduced to the marketplace while most of the “new”
products we see are improvements on something already available. You
want your employees to participate in growing the business? Make them
partners in the vision.
2.6 Rank Candidate Projects

Capturing Candidate Projects in an electronic repository enables the next
element of Project Identification. To support the selection of Candidate
Projects for Project Initiation, your leadership needs a way to compare
one quality proposal against the next objectively. The key to ranking
Candidate Projects is to determine the types of information needed to
establish the relative importance of the pending efforts. If this informa-
tion is not captured and evaluated, Candidate Project selection falls to
intuition and departmental bias. When projects are selected based on
political posturing, more significant opportunities are often overlooked.
2.6.1 Ranking Criteria
To provide a more consistent basis for project selection, list the ranking
criteria that are most relevant to your organization. Some of this profile
information may be found in the Initiative Proposal (Chapter 3) and other
data is added at this time. A potential list of ranking criteria could include:
• Due dates: What delivery dates are needed to support a specific busi-
ness function or externally imposed requirement? Avoid listing arti-
ficial speculative dates.
• Scope of impact: Will this project benefit a single department or multi
ple departments? Obviously, the more organizations benefited by a
project increases its value but also raises the challenge of coordinat-
ing resources.
• Enterprise implications: How significant will this project be to the
total enterprise (minor, significant, vital)? This gets to the value the
project will have on organizations outside the business.
• Technology impact: Will this project fit into existing technology capa-
bilities (hardware, systems software, end-user products) or require
new components (none, limited, major)? New technology brings
new capabilities but also raises the potential for unknowns.
• Application impacts: What impacts will the products from the project
have on other existing software applications (low, medium, high)?
If a new project will require substantial modifications to other prod-
ucts in use, this implication must be considered. We have shifted
from a world of “vertical” projects that drill down into the needs of
a specific group to one shaped by “horizontal” projects that reach
tentacles into many places.
• Project size: Based on initial analysis, provide a general size estimate
of the project (small, medium, large). Guidelines should be developed
to score this component more accurately.
• Project cost: Based on initial analysis, how much is this project expected
to cost? It is critical to emphasize that this is a very early projection
and will likely change as new information becomes available.
• Project duration: Based on initial analysis, how much time (months)
will be required to complete the project? Again, this is an early specu-
lation that will be refined following more complete detailed planning.
• Project risk: Based on initial analysis, what is the perceived risk of
failure for the project (low, medium, high)? This ranking should be
accompanied with a textual explanation.
2.6.2 Comparative Ranking
Although the responses to these and other questions may be speculative,
they allow you to rank the relative importance of your Candidate Projects.
Ideally, you will want to capture this data where you can sort the Candidate
Projects based on a single set of values or use a formula that includes some
or all of these factors. Consider convening a group of Project Managers
and senior leadership to construct a formula that assigns relative weights
to each of the values. To make that possible, capture this data about each
Candidate Project in a database or spreadsheet. To simplify the data entry
process, set up a simple interface where the organizations proposing the
new Candidate Project can easily load or update this information.
I recommend making all of the values assigned to each Candidate
Project visible to the total organization. This transparency will help
prevent individuals from understating or overstating values that might
benefit their prize project.
2.7 Evaluate Human Resources

One of the more common problems encountered during actual project
launch is discovering that the staffing needed to complete a project
doesn’t exist or is not available to work on the project. This forces the
Project Manager into crisis mode, bartering for resources or negotiating
for contract labor. In worse (and common) cases, the project languishes
far behind schedule due to the lack of needed skilled resources. This,
in my experience, is the primary reason so many projects are delayed and
deliverables compromised.
In the Initiative Proposal, I recommend forecasting a preliminary list
of skill types that will be required for each project along with when the
resources will be needed (Chapter 12). Having that information, however,
is only part of fixing resource allocation. The full answer can be found
in establishing a Skills Inventory for your organization. A vital element
to selecting Candidate Projects for Project Initiation is knowing the skill
types needed along with the capability and availability of the resources
who can be assigned to organizational projects. Without an accurate
Skills Inventory, allocating people to projects is random and speculative.
2.7.1 Skill Types
The first step in creating a Skills Inventory is identifying the skill types com-
monly called on to perform project work. This list should include Project
Managers along with the full range of common Project Team members.
This could cover engineers, analysts, workflow specialists, designers,
developers, technologists, and quality specialists. It may also be useful
to identify skills based on formal training, certification, and experience.
As many significant projects will require knowledge delivered by subject
matter experts in the business, you will also want to include these skill
types in your inventory. Meet with experienced Project Managers to create

this list of skill types that are commonly utilized on projects.
2.7.2 Resource Capabilities
Next, associate each person considered a project resource with the skill
types she or he possesses. Some people will have a single skill while others
have committed their career to acquiring a variety of capabilities. For each
skill type associated with an individual, determine her skill level or degree
of competence. You can begin this assignment by asking each p erson
to classify his skills as “expert,” “professional,” or “knowledgeable .”
An expert in a skill should be someone with a demonstratedhistory of
high performance. These people are expected to perform their work
without supervision at a more efficient rate than someone who is simply
knowledgeable about a skill. As a result, the time allocated to experts may
be significantly less than other skill levels. Explaining this reality will
help prevent people from claiming expert status on every skill they list.
A career counselor or Resource Manager could be used to keep individual
skills assessments consistent and realistic. It is also important to include
this classification in your employee performance assessment to keep the
Skills Inventory current.
Knowing the range of skills each person possesses enables informed
decisions when the project moves into and beyond Project Initiation.
For example, weigh the benefit of assigning multiple, often-opinionated
experts to the same project. Instead of the anticipated productivity
increase, your project may bog down in extensive debates over how things
should be done. Knowing the broad range of skills people possess also
opens up opportunities to utilize and enhance the skills of people newer
to a topic.
People are often stereotyped around a subset of their skills while they
consider themselves to have a broader set of capabilities. Consider their
consternation when the organization contracts with outside resources to
deliver, often at high cost, a skill set they possess but are not called on to
utilize. A Skills Inventory allows your organization to fully appreciate the
range of skills your people can deliver.
2.7.3 Resource Availability
The ultimate purpose of a Skills Inventory is to predict, not just what
capabilities are available for project work, but also when the skills will be
available. It doesn’t make much sense to approve a project for launch that
requires an established skill that is unavailable for the needed time range.
That is the point of having an “inventory” of skills. You need to know who
can participate in projects, what skills they bring to the party, AND when
they are available for assignment. This includes tracking other commit-
ments on their plate.
Maintaining a Skills Inventory also prevents the senseless practice
of over-allocating the same people to multiple simultaneous projects.
Once someone is assigned to a project, that allocation is removed from
the inventory and is no longer available for assignment. Project progress
is totally dependent on people with the right skills being available to the
project at the right time. Without tangible information to support resource
assignment, proven staff performers often find themselves scheduled far
beyond their availability. They may have the skills needed but are unable
to participate as expected.
Organizations that over-allocate the same resources to multiple
simultaneous projects may appear more productive, but their projects
are delayed while the different Project Managers battle to attain the skills
they were promised for their effort. This practice also places the skilled
resources in the conflicted position where they are constantly pressured
to split their time between too many projects. Time slicing is difficult to
manage and align with the availability of other team members. This com-
monly leads to fatigue and frustration for your best people.
When constructing this inventory, distinguish if someone is available
to projects on a full-time or limited basis. Having someone available full
time provides the option of dedicating the resource to a project, generally
making project completion faster. Part-time resources, especially those
with unpredictable support roles, are much more difficult to keep sched-
uled. Coordinating multiple project resources, each assigned on a limited,
part-time basis, often results in project delays.
2.8 Forecast Future Human Resource Needs

Knowing the mosaic of skill sets available for project work in your orga-
nization also enables an activity that will make resource projections more
accurate. This is accomplished by comparing the anticipated staffing require-
ments defined in an approved Initiative Proposal to what is actually avail-
able. Contrasting what future projects will need with what is available allows
an organization to perform a wide range of valuable planning activities.
2.8.1 Anticipate Skill Needs

A review of target Candidate Project release dates along with forecasted
skill types provides an easy comparison to resources available in the
Skills Inventory. With this knowledge, your organization can launch
preparations that make sure the proper resources are ready when needed.
Capture this comparative analysis in a Project Skills Forecast document
showing the anticipated allocation rate and any potential shortages.
2.8.2 Create a Training Plan

Too frequently, professional training is a hit and miss proposition. People
are trained in a skill without consideration for the actual work they will
be called on to perform. Contrasting the skill sets available in the Skills
Inventory against the Project Skills Forecast should feed directly into
your organization’s training plan. The training plan should describe the
base education required for each recognized skill set along with recom-
mendations for how to achieve a more advanced skill level. Make sure to
include recommendations for how long a trainee may need to m aster the
new skills. With skills that require deep thought and informed judgment,
consider including a mentoring program in your training plan.
In my book Managing Organizational Knowledge: Third Generation Knowl-
edge Management . . . and Beyond (CRC Press, 2012), I describe six ways to
transfer knowledge along with strategies for each one. These Knowledge
Transfer Mechanisms (KTMs) include: (1) formal documentation using
books, articles, and lecture notes; (2) training in the form of workshops,
classes, and task-based education; (3) apprenticeships under a known
knowledge expert; (4) scheduled mentoring and coaching that provides
regular touch-points for improving a skill; (5) cross-training where some-
one is able periodically to work alongside someone with the needed
skills; and (6) communications where someone with expertise in a skill
recommends websites, periodicals, and professional societies that will
help o thers improve a specific skill. Your organization’s training plan is a
road map for knowledge transfer and each of the KTMs should be consid-
ered and defined for each skill desired for your projects.
2.8.3 Future Career Opportunities

Knowing the Project Skills Forecast also opens an opportunity for career
counseling. When building the organization’s Skills Inventory, you may
discover some members of your staff possess skills that no longer align
with the needs of your company. Just as it is possible for an organiza-
tion’s products to become obsolete, the same can be true of personal skills.
During your employee appraisal process, share the Project Skills Forecast
with your staff to determine if there are any new career directions that
look interesting to them. If so, work with the employee to determine the
best path she can follow to acquire this new skill set. The KTMs offered in
the training plan should guide this discussion.
2.8.4 New Employment Profiles

At some point, your organization may have the opportunity to hire new
employees. You need to make sure their skills fit the needs of your projects.
The Project Skills Forecast will be important when creating job descrip-
tions for new positions. It is just as important to know who in the current
organization possesses the needed skills. They will provide a valuable
perspective during the new employee interview process. Ask experienced
staff members to assist in creating recruitment materials and to sit in on the
candidate interviews. You may also discover that your internal resources
can point you to candidates with the skill set being sought or can identify
professional organizations where those candidates tend to congregate.
2.8.5 Requirements for Contract Labor

Organizations commonly call on contractors to fill roles temporarily
needed on a project. This alternative may be more financially feasible than
extending an offer for a new full-time employee only to find that their
skills don’t mesh well with the project or cannot be justified long-term.
You can use the Project Skills Forecast to identify clearly any required
resources that will be needed, long before the project needs them. That
will put your organization in a better position to negotiate beneficial
terms for the contractors. When you wait until the last moment to staff a
critical project, it may be more difficult to find someone with the best skill
match and you may be forced to pay his requested rate.
2.9 Approve Projects for Initiation

It is time for the main event! Everything we have discussed is intended
to inform and support this final act of Project Identification . . . when
a Candidate Project is officially ushered into full approved status. The
actual decision process will be unique to each collection of people. It may
be completed by a single individual with total authority over your orga-
nization’s resources, or it may be done by a panel of people represent-
ing a variety of interests in your organization. It may be done openly or
by secret ballot. The intent of the process proposed in this chapter isn’t
intended to dictate which projects are right for your organization, only
to provide your leaders with information that should guide them and aid
their intuition.
2.9.1 Ranking, Not Priority

During the Project Identification process, I suggested that you collect sig-
nificant data about each Candidate Project and use it to achieve a ranking
that organizes these proposed efforts based on their relative significance
to the organization. However, the actual selection of projects for initia-
tion may or may not follow this ranking. Some organizations blindly
move down the ranking, allocating projects for initiation, until their
entire budget is consumed. Giving little attention to resource availability,

they often choose projects with competing resource needs. A valid Skills
Inventory is a vital component of the selection process. Selecting a project
for initiation removes the needed resources from the organizational pool.
Furthermore, there is no requirement that the higher ranked projects
must be selected prior to a lesser ranked candidate. The allocation of orga-
nizational capital to projects is a decision that must accommodate personal
opinion that differs from the ranking criteria. Organizational leaders have
the freedom to select new projects for launch from any place in the ranking,
even if the ranking criteria indicate it is not one of the top opportunities.
Because it is so difficult to quantify, I did not recommend associating a
value for long-term business benefit with each Candidate Project. A similar
argument could be made about perceived potential risk. Risk is a prob-
ability. When considered with opportunity, we often find that higher risk
efforts may also provide the greatest potential for benefit. It is these factors
that must be considered before selecting a project for Project Initiation.
2.9.2 Respect Schedules
Each of the proposed projects should include information about suggested
start dates, needed completion dates, and durations. These parameters
should be considered during the selection process. Not all new projects
will begin on the first day of the budget or calendar year so slotting them
to a start in a specific quarter of the year may be advisable. Keep in mind
that some projects may require multiple years before they are complete.
2.9.3 Assigning Initial Resources

Selecting a Candidate Project for Project Initiation is often an official act
with some degree of fanfare. But it is an empty event unless necessary
resources are also assigned to the effort. When approved for launch, it is
critical that both a Project Owner and Project Manager be assigned to the
effort. It is that combination who will conduct the early stages of Project
Initiation. The Project Owner provides the vision, expectations, and con-
straints for the project and the Project Manager captures this information
in a way that can be communicated realistically back to all stakeholders.
If possible, it is also beneficial to allocate key members of the Project Team
to assist the Project Manager with his activities. Failure to assign these key
resources makes the selection of a Candidate Project an empty gesture.
2.10 Make It a Practice
Perfect Project Identification does not exist. It is a process that improves
over time. The important elements are to use a consistent framework and
conduct the process on a regular schedule. The ability to quantify the

criteria for each Candidate Project will improve. What is needed from the
initial Initiative Proposal will become clearer. Capturing accurate assess-
ments in both the Skills Inventory and the Project Skills Forecast becomes
more relevant based on feedback from the employees, Resource Managers,
and Project Managers. The key is to stay with it.
Although some organizations view the grand selection of new can-
didate efforts as an annual event associated with the budget year, it may
need to be more frequent. Business reality is that financial projections are
often flawed when revenues are both underestimated and overestimated.
Expenses can both rise and fall. As a result, most organizations conduct
regular budget reviews to determine if they have more or less money to
spend during the year. Determine the financial cycle used by your orga-
nization and align the Project Identification process with it. You may rec-
ognize an opportunity to approve additional efforts or discover the need
to put an approved project back into the candidate queue.
2.11 Final Thoughts
As I explained in the early pages of this chapter, everything suggested is
intended to make the selection of new projects for your organization more
informed and less stressful. The goals are to make sure worthy Candidate
Projects are considered and final selection is supported by objective
information. An effective Project Identification process, coupled with the
Initiative Proposal, sets up for a much smoother launch of new projects
as they enter the remainder of the project life cycle. Not only is this pro-
cess logical, it helps minimize early project confusion and enhances the
opportunities for project success.
chapter three
Defining a Candidate Project
3.1 Everyone Has Great Ideas

Everyone has great ideas! Ideas are constantly running through our
minds. They may come from seeing a problem that needs to be solved or
an opportunity that came clear while you were in the shower. You may
experience an intense individual breakthrough or participate in some
type of creative group think. How you come up with the great idea isn’t
the focus of this book. The emphasis is on what you do with your idea
before it fades from your concern.
Having great ideas is not enough! How many times have you watched
an infomercial knowing you or someone you know talked about just such
a product . . . years ago! Something was missing. You had the idea but it
never saw the bright light of reality.
You may be a great idea person, but you didn’t have a formal process
for turning great ideas into a fantastic proposal! Well buckle up. That is
exactly where I want to take you.
3.2 Stimulate Change
We are talking about stimulating change. Change starts with ideas. Ideas
come from intelligent people. Intelligent people who care! People like you.
People who do not care live in a “heads-down” world where they just
stumble around railing against some perceived injustice. Oh, they think
they are idea people, but they are just griping and complaining.
Here is the problem. People who just complain sound much the same
as frustrated idea people who do not know how to transform their inspi-
ration into reality. Both groups create so much aggravating organizational
“noise” that they both lose an audience. Management tends to turn the
volume off on such an intrusive racket. Now everyone loses. The idea gen-
erators are classified with malcontents, and the total organization misses
an unlimited source of new thought.
This has likely been a problem over the history of humankind.
However, it is much more critical today. Blame your teachers. Despite what
you read in the critical press, our educational system is working. We are
placing a greater number of intelligent educated people into more levels
21
of organizations than ever before. Where we once saw people with grade
school educations working in the trenches of organizations, today a high
school degree is required to even gain an entry-level interview. College
graduates routinely fill jobs that just yesterday had far lower educational
qualifications. As a result, we are stocking our organizations with think-
ing, caring people who can see and resolve problems at every level. Gone
are the days when the top bosses had the visions surrounded by minions
waiting for commands from on high.
With this expanded source of problem-solvers, there must be an
opportunity for people to express their opinions and make proposals.
Nothing is more frustrating for information age workers than to see a
problem repeat itself, know they could do something about it . . . but not
have their voice heard. Job satisfaction still comes in part from salary and
other benefits, but career satisfaction comes from making a difference.
We remember these influences long after our “job” ends.
This chapter assumes you work in an enlightened environment, open
to ideas and suggestions from anyone. If you do not, that may be your next
big idea. Propose a project to implement the very ideas I present in this
book. I talk more about creating a Great Ideas Program in Chapter 14.
3.3 Key Players
Before we go any further, I need to introduce two roles that are prominent
throughout this discussion. One I refer to as the senior decision maker. This
person is the individual or group of people who have absolute authority to
approve or deny ideas submitted to them. They should be people of great
vision for the organization and be accountable for its success. The senior
decision maker could be a CEO, a division manager, or even department
head. Obviously, the higher up this person lives on the corporate ladder,
the better. You may also find this person at the top of a nonprofit orga-
nization, the pastor or priest of a local congregation, or a senior faculty
member. This person is the key to making this program work. I talk about
them frequently. You will also hear me refer to this person as the senior
or chief executive.
The other important role you will read about is . . . YOU! I will talk
about you a lot. Actually, I am talking TO you. Just imagine we are having
a one-on-one conversation. Throughout this book are ideas intended to
give you a greater voice in your organization. (I would also talk to your
boss but she didn’t buy the book.)
3.4 Capture Your Idea

Many good ideas fail to become reality simply because we are unable to
explain what is in our mind. To help document your idea, I suggest you
Chapter three: Defining a Candidate Project 23
create an Initiative Proposal. (This is where you should be hearing trum-

pets and cymbals!) Although there is nothing magic about this document,
it is a proven vehicle to capture great ideas. In each of the next chapters,
I introduce a series of basic relevant questions. Provide thoughtful answers
to these questions and people will listen to you. If you cannot formulate
something credible here, your idea may not be ready for prime time or
you may need to find additional help.
It is not just useful, but necessary, to capture this information around
a formal template. It will structure your thoughts and provide a consistent
document for your senior decision makers. To help you get started, I have
included a live Initiative Proposal in Appendix C of this book along with
extracts at the end of the next few chapters.
Some might balk at taking the time to write responses to these ques-
tions. Keep in mind that the act of writing tends to clarify your thoughts.
It is how our brain works. The left hemisphere of the brain is a very exact-
ing logical processor. It takes loose concepts generated in the right hemi-
sphere and gives them tangible form. The written word launches the
communication with your superiors. So, get your ideas down. Capture
them in bullet points or on sticky notes. Then refine them into complete
thoughts. If you do not like the way your thoughts are coming together,
ask someone to help you “wordsmith” the final product.
So what are the questions? Here is what I propose you document
about your ideas:
1. What is the problem, condition, or opportunity that inspired this proposal?

2. Provide an overview of the initiative you are proposing.
3. Who benefits from this initiative and how?
4. When should this initiative be attempted?
5. How much do you believe this initiative will cost?
6. How should the initiative be funded?
7. What other groups might be affected by this initiative?
8. What strategy do you propose to follow to complete this initiative?
9. What staff will be required for the initiative?
Chapters 4 through 12 focus on each of these questions. I suggest

how to answer each question completely and recommend specific ideas
on organizing your thoughts. If you wish, you may include other topics
in your Initiative Proposal template later, but these nine questions should
get you started in the right direction.
Before you go any further with this book, it is time to take a break.
I suggest you stop and consider what you have just read. Specifically, what
came to your mind when you were reading about new ideas that could
improve your world? Make a copy of the template. Consider taking the
template to a local printing shop and ask them to make an enlarged version.
(The template has a note on the bottom allowing you to make copies.
You will also find a PDF version on my website www.tryonassoc.com.)
Get it laminated. Now you can add your sticky notes or use markers. This
is supposed to be fun and creative!
3.5 Pick a Problem
If you are having a hard time coming up with a problem to solve, here are
some tips that might help. Problem-solving opportunities are often found
when you . . .
3.5.1 Observe an Inefficient Process

An inefficient process can range from people moving paper around to a
technology opportunity or a manufacturing activity that needs refine-
ment. Inefficient processes include wasted time, redundant steps, unnec-
essary delays, or activities that do not add value. Inefficiencies typically
grow from someone following a series of steps without understanding
why. Heads-down workers simply replicate what they were told, even if
it doesn’t make sense.
One student, a member of the city’s Fire Department, told me about
reviewing information that was collected following each time fire trucks
returned from a call. Included in the data collection was “number of blocks
traveled.” The Fire Department management asked if this required piece
of data could be calculated from an automated map used to direct the
crew to a fire instead of having someone on the truck count the number of
blocks as they traveled to and from a call. Instead, the young man asked
a different question. “Why are we counting number of blocks traveled?”
No matter who he asked, he received the same response that, “We’ve
always counted number of blocks traveled.” It turns out that the data was
summarized each month for all stations and reported to the Fire Chief.
While attending a retirement party, an elderly firefighter approached
and said he had heard about the questions surrounding “number of blocks
traveled.” The retired firefighter explained that when he started with the
department, fire wagons were pulled by draft horses. Some crews were
overtaxing their pulling teams. Regulations were passed requiring a team
of horses be changed after they had pulled a specified numberof blocks.
So, fire crews were required to keep track of the number of blocks they
traveled. So here we were in the twenty-first century, driving gleaming
diesel-powered machines . . . with firemen counting blocks! All because
no one had asked the right question . . . “Why”?
I’ve encountered hundreds of similar situations and I suspect you
have as well. Keep your eyes open and I’m sure you will see multiple
opportunities to streamline some portion of your organization’s work.
Eliminating inefficiencies will reduce time and save money. When you
find such a situation, be careful how you categorize the inefficient actions.
People tend to get very comfortable with their processes, even if they are
not the best way of doing something. If people perceive you are being
critical of them or are proposing to make a big change, you may encounter
resistance. Some people are defensive and familiar with their “ruts.”
3.5.2 Special Interest or Significant Research

Smart people have interesting hobbies and not all of them are collecting
coins, stamps, and cards. You may have an area of special interest that has
taken you on a discovery process about your topic, a topic that has direct
implications for your work. In 1994 and 1995, Rubbermaid Corporation
climbed to the top of Fortune Magazine’s Most Admired Corporations.
Under the leadership of Wolfgang Schmitt, Rubbermaid reinvented how
they identified and launched new ideas. Part of their success stemmed
from asking employees to examine their lives outside of work and suggest
products that Rubbermaid could manufacture. Fed from these sugges-
tions, the company began introducing over 350 new products each year.
Look around your house and see how many stepladders, carriers, con
tainers, and storage units boast the Rubbermaid logo. (I even have a lawn
tractor trailer made by Rubbermaid. It won’t rust!) Your special interests
can often translate into something innovative for your organization.
3.5.3 Needs of Others
As you grow a career, you meet people from different organizations and
environments. You will frequently see critical needs that you know can be
fixed. Few issues motivate people more than knowing they helped create
a truly better world for other people.
From 2011 through 2013, I worked with an organization focused
on improving healthcare outcomes for the neediest in our society. In a
modern affluent city that boasts multiple major health systems, access to
healthcare was anything but equal. The age-adjusted death rate varied by
12 years between zip codes on opposite sides of the same city. We used
healthcare-related information technology and dozens of innovative
projects to help bring balance to the situation. A continuing motivational
factor for the late nights and missed weekends was that we were making
lives better for an overlooked population.
3.5.4 New Technology
Complex challenges that just a few years earlier were considered impos-
sible or too expensive to fix may now be addressed using emerging
technology. And if it is not feasible now, just wait a couple of years. New
technology often brings a host of new uses.
In an effort to explain this reality to a group of law enforcement
professionals, I asked if there was a magazine in their industry that
viewed law enforcement through the eyes of technology. One partici-
pant suggested Law Enforcement Technology. (As my grandkids say, “Well,
Duh!”) The monthly magazine was filled with articles of how various
police and sheriff’s offices were using new approaches to old and new
challenges by applying technology in innovative ways. Within months,
several ideas from inside the covers of the magazine had made their way
to Initiative Proposals.
If you are having a difficult time coming up with new ideas that would
benefit your organization, spend some time browsing similar sources
on the Internet. Find out who the vendors are that serve your industry
and follow them to learn about new products or directions. Subscribe
to a magazine or two (often available at no cost) or search websites that
promote technology solutions. You will encounter more ideas than you
can possibly take on. Although this is an easy target for a new proposal,
be careful that you don’t wind up as a solution looking for a problem.
Technology should be a tool to solve a legitimate problem, not a solution
looking for a problem.
3.5.5 New Skills
As you accumulate personal capabilities through experience or training,
you will find multiple new targets that cry out for attention. This reality
alone should stimulate an organization’s training program. When I teach
Project Management, students immediately begin crafting a Project
Charter for an existing project.
With every new skill, you should be asking the question of how to
apply what you have just learned. Make continuing education a personal
agenda. Whose career is it anyway? A proven key to your personal success
is committing to life-long learning. When did you last read a book that
relates to your industry or attend a workshop that you paid for? Do you
subscribe to periodicals that stimulate new thought? Have you thought
about going back to college to finish a degree or pursue an advanced
degree? I was a grandfather when I took on graduate college. I found it
far more interesting and stimulating than when I did my undergraduate
work two decades earlier. It was during that time that my research efforts
were transformed into my book on Knowledge Management. When
I teach graduate courses today, I see a range of fresh undergraduates to
established senior professionals.
There is never a time to stop the learning process. New knowledge
brings with it new ideas.
3.5.6 Collaborate
Not everything has to rest on your shoulders alone. Some great ideas are
spawned from group thinking. Not sure how to make that happen? Start a
small-group book club comprised of people from different backgrounds.
Select a book that sounds relevant and require everyone in the group
to read one chapter each week. Meet over lunch and discuss, debate, or
argue about the weekly assignment. I promise you, ideas will begin to
flow . . . and you’ll have allies when you get ready to write and submit
your idea. Don’t know what book to start with? How about the one you
are reading?
3.6 Final Thoughts
In other words, keep your eyes open. Look around you. You do not have
to be critical to be a problem solver. Just be aware. So, do you have a great
idea you want to pursue? If not, take some time and come up with one.
If you have something tangible to wrap your brain around, the remainder
of this book will be much more meaningful. You will discover a flow to
these questions as you read through the subsequent chapters. Consider
each of the Initiative Proposal topics with me. Make it real. Most of all,
have fun!
One last thing. As you read through the next nine chapters, you will
find some of them quite short. I don’t want to waste your time. I only add
details when I think they will help you create a better Initiative Proposal.
chapter four
What’s the Problem?

What Is the Problem, Condition, or Opportunity
That Inspired This Proposal?
Please do not skip this chapter! Failing to help people understand the
problem you want to address is the biggest mistake I’ve found in propos-
als. The authors are in such a hurry to talk about their idea and how they
plan to address it (we talk about that in the next chapter) that they skip
right over the most important part of the Initiative Proposal.
4.1 Explain the Problem

Here is the bottom line. If you cannot explain to your readers what prob-
lem you are trying to solve, they will not have the proper context for the
balance of your information.
Several years back, I attended a Citizen’s Academy put on by our local
Police Department. During one of the sessions, an officer complained that
he could not get the city financial people to pay for “spithoods” that could
be carried in each patrol car. They were cheap, small, and necessary but
never seemed to make it past the budget process.
Now, I’ve been around a bit but I can honestly say that, until that
night, I have never heard the words “spit” and “hood” used in the same
sentence, let alone as a new noun. So I asked the stupid question, “Just
what, exactly, is a spithood?”
The officer proceeded to explain that many suspects, when arrested,
attempt to make themselves untouchable. They do so by exuding every
imaginable body fluid from their mouth, nose, and eyes. In fact, the officer
explained, you can measure the effectiveness of pepper spray on a sus-
pect by the length of the nasal drip. (My apologies if you were having
lunch while reading this innocent-looking book.) He then demonstrated
how a spithood is slipped over a suspect’s head, allowing them to see and
breathe, yet captures all their fluids with them. By this point, all of us in
the class were ready to take up a collection to purchase this officer and all
his squad mates spithoods for their cars. You see, now that we understood
the problem, we also understood the significance of his solution.
The first element of your Initiative Proposal should be a clear concise
explanation of the problem you are trying to solve. Don’t be afraid to let your
29
emotions for the topic show up in your description. Run it past a couple of
trusted friends to see if your description communicates well. If this section
of your proposal fails, the remainder is not going to get much attention.
4.2 Review the Source

As you describe the problem, start with the factors that brought it to your
attention. This will give your readers a point of entry to the Initiative
Proposal. Write with passion and conviction. Provide background on the
problem or explain the history of the matter. Show that you have done
your homework. Be balanced and fair, but do not remain emotionless. You
are writing this proposal because you CARE about the problem.
Another way to come at this topic is to ask yourself why you believe it
is important to solve this problem. If your idea will make a difference for
your organization or a specific group of people, explain it. You might even
want to describe what might happen if the problem remains unsolved
or the opportunity is not pursued. This represents holistic thinking, not
negative thoughts.
This is where you either hook your audience or you lose them. If you
can get others to understand your “spithood” situation, you have captured
their attention for the balance of the Initiative Proposal.
4.3 Define the “Real” Problem

Be sure to do your research before launching your proposal. In too many
cases, we only find the surface problem and fail to get at the heart of the
matter. On February 1, 2003, NASA and the nation watched a horror unfold
as the space shuttle Columbia broke apart over Texas and Louisiana. Seven
astronauts died and the space program went into cold storage. At an early
press conference, NASA officials vowed to find the cause of the disaster.
For the next weeks and months, every form of news media shouted out
not just what had happened but their views of why. We watched the video
footage of the launch where a piece of foam separated from the external
fuel tank and then punctured the wing. That tear later allowed super-heated
gases to enter the structure upon reentry, dooming the vehicle. It was clear
WHAT had happened. Critics challenged the type of foam or adhesive used
on the external tank. One group, however, remained silent . . . the NASA
engineers. They were puzzled over how a piece of foam could do so much
damage. The laws of physics would not allow a foam fragment the size of
a suitcase, moving at approximately the same velocity as the space shuttle,
to cause damage sufficient to destroy the craft and all aboard.
Finally, a full year later (February 21, 2004), spaceflight official Bill
Readdy delivered the NASA findings. Scientists discovered the insulating
foam didn’t simply peel away. Air liquefied by the super-cold fuel in the
Chapter four: What’s the Problem? 31
tank seeped into a crack or void in the foam. The temperature of this air
warmed rapidly during liftoff causing a large chunk of foam to separate at
an explosive speed. Now the foam had the proper velocity to rupture the
wing. Repairing the remaining space shuttles could only begin by solving
the RIGHT problem.
To solve a problem, it is vital that we understand the true causes. It is
asking why, again and again. It is going beyond the obvious issues and
making sure we really know the true problem. This is how you know you
have a serious proposal. If you can get to the root cause of the problem and
solve all or even a portion of it, you have a worthy idea.
One last thought. Part of describing the problem is to get YOU to think
it through. Don’t be surprised if you discover you are not ready to move
forward with the proposal. By performing this detailed problem evalu-
ation and explaining the problem to others, you may find new elements
that cry out for attention.
For the record, I advised the police officer to write up his proposal
with such graphic detail that the accountants who were denying the
request wouldn’t be able to eat for a week. He included a list of diseases
the officers come in contact with along with the amount of sick time
required to recover from contracted diseases. The officers now have
spithoodsin their cars!
***
In each of the following nine chapters, you will find an extract from
a live Initiative Proposal as an example. If you would like to understand
the background for these examples, reference Appendix F.
EXAMPLE
1. What is the problem, condition, or opportunity that inspired this
proposal?
Expo Square currently uses subcontractors for ticket sales at major events,
including those that occur during the Tulsa State Fair. We perceive the
issues to be ...
Significant loss of revenue that could go directly to Expo Square.
Subcontractors fail to provide the same level of customer service as
could be provided by Expo Square staff.
Customers are unsure of where to purchase tickets at Expo Square
facilities.
Ticket operations are inconsistent during the year depending on the
event being held. Hours, payments, and policies vary with each ticket
subcontractor.
Poor experiences at the ticket office reflect on all of Expo Square.
Expo Square senior management is required to resolve customer
service problems with ticket operators, especially with major sponsors.
Th e goals of the subcontractor are inconsistent with those of Expo
Square.
Note that the opening sentence explains the underlying problem. Subcontractors
were being used for ticketed events including the annual Tulsa State Fair. Events
during the 10-day state fair ranged from rodeos, concerts, and ice-skating shows.
During the balance of the year, the Expo Square facility is host to hundreds of
ticketed events. Th e use of contract ticket sellers resulted in the observations
that are listed in the bullet items. Th e first two identify the primary concerns that
had made opening a local ticket office interesting to Expo Square management.
Th ey were losing potential revenue and they received regular complaints about
customer service. Th e remaining points support the first two bullets.
This statement was intended to align the total Initiative Proposal with Expo
Square’s management expectations. By agreeing with this problem statement, they
became very receptive to what was being proposed.
This document was presented by Expo Square’s senior management to a governing

body of Tulsa County Commissioners. It is unlikely that the commissioners were
as aware of the growing problem seen by the Expo Square management. This
document was the vehicle to gain their support for the eventual project.
chapter five
You Want to Do What…?

Provide an Overview of the Initiative You Are Proposing
OK, now it is time to rise and shine. Show everyone what you’ve got.
Explain your idea. Without going too tactical, explain briefly WHAT you
are proposing . . . not HOW you plan to make it happen.
5.1 Executive Overview
This is the time to create a summary of your proposal. The notion of this
section being an “executive” summary is deliberate. In other words, keep
it short and to the point. You have explained the problem and the senior
decision makers are paying attention. Now they want to know what you
have in mind.
If possible, keep your solution description to less than half a page.
Studies have shown the adult attention span doesn’t last much longer
than that. Don’t get caught up in unneeded terminology or jargon. Keep it
simple and make sure your solution contrasts directly with the problem
you described.
This is a vital moment in the life of an Initiative Proposal. You can
either keep your executives reading the remainder of your suggested idea
or they lose interest. Not sure what to write? The following are some tips
that are proven to work.
5.2 Possible Improvements
As part of your solution overview, explain what improvements your pro-
posal is expected to deliver. If your idea is to solve a problem or take advan-
tage of an opportunity, you are trying to improve something for someone.
Can you even imagine a proposal intended to make things worse? I doubt
you would get very far with that one. I use a proven formula for defining
improvements. I identify one or more targets for the improvement, what
type of improvement can be expected, and then what new capabilities will
result from this idea.
33
5.3 Improvement Target
What are you trying to improve? Every improvement should have a spe-
cific target. Improvement targets typically include a process, product,
result, or experience that is significant to your organization. It may be
something you hope to achieve for an end customer. On the other hand,
maybe you are hoping to improve the financial performance of your orga-
nization. Perhaps you want to fix a specific process within your organiza-
tion. Maybe you expect to make your operation more efficient by removing
waste, redundancy, or delay. Your organization may offer a product that
needs a facelift or replacement. Be as s pecific as p
ossible. If you clearly
identify the target for improvement, it will increase the decision-maker’s
confidence that your proposal can solve the problem you described. The
target will explain WHAT you plan to improve to solve the problem
you described.
5.4 Improvement Type
If you find your “improvement” is a bit generic, you can add clarity by
classifying the type. Will your proposal result in the target of the improve-
ment becoming faster, cheaper, better, or smaller? Although these terms
may seem simplistic, they represent the ultimate goals of any improvement.
5.4.1 Faster (More Efficient)

Many improvements occur when the time required to complete a process
is shortened. This can happen either by eliminating unneeded steps or
reducing cycle time to complete a series of tasks. If you reduce the amount
of time needed to collect critical information, most will agree that you
improved the process and your idea is worthy. Cutting down on wait
times is a proven winner. When you propose a new way of managing
inventory that places ordered products in customer’s hands within a few
days instead of a few weeks, you have a significant improvement. If it for-
merly required three weeks to rebuild a piece of machinery and you are
proposing a process that can take it to just seven days, people take notice.
Speed improvements also happen when you eliminate delays. Traveling
at a high rate of speed on the freeway doesn’t count for much when you
encounter constant traffic jams. The same is true with your business pro-
cesses. Few things frustrate customers or fellow employees more than
knowing they are wasting time due to artificial bottlenecks.
5.4.2 Cheaper (Financial Impact)

Nothing talks like money. The question here is how your proposal will
either save money or generate new revenue. Show legitimate opportunity
Chapter five: You Want to Do What…? 35
to reduce the cost of something within your organization through your

proposal and it is sure to grab attention. Sometimes, getting rid of waste
and delays, or making something faster, also has financial implications.
Explain that here. But you had better be ready to back this up. This is
where your research and study of the problem will come in handy. Later
in the Initiative Proposal, you will be called on to explain cost factors.
Those will balance against the financial benefits you describe here.
5.4.3 Better (Higher Quality)

A more realistic way to understand this characteristic is what your idea
will do to improve the quality of your target. Avoid reiterating the points
you made about cost and speed. This is the place to examine an increase
in customer satisfaction or a decrease in returned products. Your idea may
actually be strongest here if you can show a reduction in defects or errors
in daily work. It is common to validate quality improvements s tatistically.
For the past decade, corporations have spent billions on q uality improve-
ment training. So use it. Pull out those old seminar notes and find a way to
describe your idea as a quality improvement.
Proving a q uality improvement generally requires establishing a
benchmark around a current environment and then proposing targets to
move the needle in a p ositive manner. Statistical process control has a rich
history for measuring improvement in organizational work. It is worth
noting that quality is sometimes a perception. Improving the way people
“feel” about your target may help build support for your proposal. But
you will need to identify credible evidence to back up your position.
5.4.4 Smaller (More Compact)

Look around you. What has improved your quality of life? What do you see
most often in the “new and improved” products you buy? Many of them
offer increased functionality in a much smaller container. Our phones
are easier to carry (and lose) because they are smaller. Hearing aids are
so miniaturized that they have disappeared from view. Organizations,
due to education and technology, are doing more work with a reduced
staff of people. A major type of improvement will be a reduction in size.
This is NOT the place to callously propose unsupported staff cuts. If that
is your intent, leave me out of the process. However, if your proposal sup-
ports a legitimate improvement by reducing the size of something that is
related to your improvement target, make your case.
5.4.5 All of the Above

You may have already recognized that many improvements stemming
from your proposal hit on more than one of these characteristics. Let’s say
you are attempting to improve the check-in process at an area hospital for
women who are great with child. Months earlier, these maternity guests
pre-registered with the hospital but the main event is about to begin.
Your proposal, inspired by a recent car rental return, is to equip curbside
attendants (stationed at the door used for maternity patients) with hand-
held devices. The attendant swipes a card issued earlier to the expectant
mother or simply enters personal identity information. Within seconds,
the information required by Labor and Delivery is displayed on monitors
alerting Nurses to get ready. ID bracelets are printed on a printer attached
to the greeter’s belt. A text message is sent to the mom’s obstetrician. The
total process could happen while the expectant mom climbs into a wheel-
chair for transport to her destination.
How would this proposal improve the maternity check-in process?
It makes it faster by eliminating any check-in delays or confusion over
who has just arrived at the hospital and why they are here. It will be better
because the expectant mom, at a moment of increased discomfort, is not
shuttled from place to place and forced to wait while someone finds her
records. You might even make the case that the staffing requirements for
checking in new patients will get smaller by having the curbside attendant
take over much of this function.
Let your imagination run free. You will find additional improvements
generated from your idea as you dwell on how your idea improves things.
You might even find a way to convince your audience that your Maternity
Curbside Check-In Proposal could save the hospital money!
In the late 1990s, I worked on a project for an international shipping
company. They were seeking to make their next-day air deliveries more
efficient. The target of their improvement was the sortation process. Six
days each week over 100 jets would land so contents could be unloaded to
carts and delivered to the sorting facility. Once routed to their outbound
locations, the packages were reloaded to the aircraft and flown to their
final destination. The process started each evening around 11:00 with the
loaded jets taking off around 3:00 the next morning. When the project
started, the process was largely performed by hundreds of college stu-
dents who manually sorted approximately 250,000 packages each night.
It was an amazing sight as each hour, roughly 70,000 shipments of all sizes
and shapes traveled over miles of conveyor belts from an in-bound area to
the appropriate outbound station. Adding more people and sort stations,
however, would not allow this organization to respond adequately to a
dramatic demand increase driven by Internet sales.
When the project was completed in late 1999, throughput was
increased to 330,000 packages per hour (faster) with a dramatic reduction
in miss-sorts, delays, and damages (better). Due to the utilization of inno-
vative technology, the volume increase was achieved without a signifi-
cant increase in staffing (smaller). The efficiencies achieved by this new
Chapter five: You Want to Do What…? 37
sorting process reduced per package costs allowing the shipping giant to
offer competitive pricing and top-level customer service (cheaper). Later,
a secondimprovement project enabled a per hour rate of 550,000 packages.
5.5 New Capabilities
What new capability will be enabled by your improvement? Many of the
people around you think in terms of tangible realities. Abstract notions just
do not work for them. So ask yourself one last “improvement” question.
If your proposal is approved and implemented, what will the improvement
enable someone to do that he cannot do today? To you, this may already
be obvious, but others may not see it the way you do. Now you can make
it real for them. In my MCSCI (Maternity Curbside Check-In; aren’t all
proposals eventually reduced to an acronym?) example, the proposal will
have the soon-to-be mom in the proper hands faster and the medical staff
will be reviewing the patient’s medical history and special needs before
the expectant mom even reaches the Labor and Delivery (L&D) doors.
All that is left is to write this down in some coherent way. Try this on
for size.
One purpose of this proposal is to shorten the time

required to check in maternity patients so the patient
may be transported immediately to Labor and Delivery.
(Faster and Better)
And. . .
This proposal will improve the collection of patient data

for Labor and Delivery by eliminating the need to inter-
view the patient for her history, providing an alert to
L&D before the patient arrives so that L&D can anticipate
room assignment and staffing needs. (Faster and Better)
And. . .
By placing a data collection device in the hands of our

arrivals attendant, the hospital may streamline staffing in
the registration office. (Smaller and Cheaper)
Explaining expected improvements is the key to an Initiative Proposal.

This is your chance to sell your idea. You have to convince your audience
this really is good for the organization. You will accomplish that goal by
making the improvements as obvious and tangible as possible.
5.6 Final Thoughts
One final thought on your proposal overview. Some problems are large or
complicated and you may find matters too tenuous to suggest a specific
solution. Your proposal may be to simply gain the time and resources
needed to study the problem further. Once you have a clearer understand-
ing of the problem and possible solutions, you can return with a new
Initiative Proposal that explains the full project.
EXAMPLE
Establish a ticket office on Expo Square property that ...
Is staffed by Expo Square employees.
Operates at a consistent location and schedule.
Is directly accountable to the CEO of Expo Square.
Uses consistent technology owned or leased by Expo Square.
Uses consistent tickets sales processes for all events held at Expo
Square facilities.
Uses proven seating charts.
Services all ticket events during the year
The solution presented is short and to the point. It lists out components that appeal
to the Expo Square senior management by putting the total operation under their
control. The solution cor responds to the issues raised in the first section. Note that
while technology is part of this solution, no specific vendors, products, or capabilities
are mentioned. Those element s can be explored during the full project. The last
item is likely something that would not be obvious to someone without ticket selling
experience. It helps build the confidence in the proposal author’s understanding of
the problem.
chapter six
What’s in It for Me?

Who Benefits from This Initiative and How?
On the surface, this topic sounds a bit self-serving, but you may find it is
one of the most valuable components you add to your proposal. It could be
the key to selling your idea and building a base of support.
6.1 Identify Beneficiaries
Every Initiative Proposal should have one or more beneficiaries. Someone,
a group of people, a segment of the population, or a department should
gain from your proposal. The more the better. This is the time to identify
who is most likely to realize those benefits. When these beneficiaries see
the tangible gain in store for them, they will be much more ardent in their
support for your proposal. This is how you build the support that will
keep the organization focused on completing the eventual project and
encourage its implementation.
In the previous chapter, you articulated a series of improvements that
could be realized from your proposal. If people are unable to see how these
improvements make life better for them, your ideas may only receive a
lukewarm response. However, if you identify specific groups who achieve
some very specific benefits, other people will line up to help get your pro-
posal approved and implemented. The question is who benefits?
In a seminar session with a public safety audience, one attendee sug-
gested a proposal to have home addresses placed on street curbs using
reflective paint. The problem statement was quite good. Emergency
responders were having a hard time finding the right house when
answering calls for assistance. Under the worst case, a police officer might
accidentally roll past the intended home in their patrol car, scaring away
a burglar or peeping Tom. The proposal was to improve address mark-
ings for each home so police could park their cruiser a few houses short
and approach on foot. Fellow attendees wasted no time dousing this idea
with the argument of who would pay for such a project. Everyone knew
the municipal budgets would never allow for such a project. I raised the
question of who might benefit from such an effort. Obviously, emergency
responders and homeowners would benefit from the initiative. It would
provide both groups with improved personal safety, especially in high
39
crime areas. Complicating the issue was that city code already required
homeowners to maintain the painted addresses on their curbs, but most
neighborhoods ignored the requirements and any painted signs that
existed were often faded and unreadable. And neither direct beneficiary
(law enforcement or homeowners) were viable sources to get freshly
painted address information on the curbs on any large scale.
“Who else might benefit?” I asked. Before long, someone ventured that
the Fire Department might also find value in this proposal. “How about
Emergency Medical Services (ambulances)?” raised another. I agreed that
all of those groups would endorse the proposal, but that still would not
get it approved and funded.
Then they had a breakthrough. How about the pizza delivery people
or the private package delivery services? Or utility companies? Now we
are talking! These companies have money budgeted for charitable pur-
poses. If these organizations believed painting street addresses in a neigh-
borhood would help local emergency services and improve the safety of
the neighborhoods they serve, that is a very different matter. Such compa-
nies also have a pool of caring people who might be willing to fan out over
a couple of Saturdays armed with stencils and reflective paint to make
this project happen. Think of the goodwill and publicity that would come
from such an effort.
It is often the indirect beneficiaries who can make the difference in
getting a proposal the needed push. There are usually short lists of imme-
diate beneficiaries for every great idea and they are often easy to identify.
You find them by evaluating the improvements you listed earlier. But
don’t stop there. Look for a more extended list of indirect or secondary
beneficiaries, not just the obvious ones. When identifying beneficiaries, be
expansive. You never know who might take an interest in your proposal.
They will probably miss it completely unless you explain how they might
benefit. You need all the friends you can get.
Before you finalize your proposal, you may want to prioritize the
list to emphasize the beneficiaries that make your proposal most attrac-
tive. Working with a healthcare system, we launched an effort that would
deliver significant financial benefit to the organization in terms of cost
savings. But the true heart of the proposal was the value it would deliver
to patient healthcare outcomes and convenience. Although the primary
funding justification for the effort was the internal cost reduction, the
value to the patient was listed first. Emphasizing the patient benefit was
more attractive to the people who would be called on to make the pro-
posal reality.
Helping people see how your idea might benefit them allows the total
organization to build a meaningful vision for what you are recommending.
Chapter six: What’s in It for Me? 41
6.2 Build a Vision
There is a deliberate flow between the first three components of the
Initiative Proposal. We’ve gone from identifying the problem to explain-
ing your solution and the improvements it will make to gathering support
from the beneficiaries. As a natural by-product, you are building a clear
vision for your idea.
Think of vision as someone in a time machine who has sped into the
future where your idea is in use on a regular basis. Imagine the time trav-
eler describing the end result back to you via a one-way communication
device. They are explaining the real-world use of your concept. This is the
picture you want to give the Initiative Proposal’s readers.
Max Hopper is credited by many at American Airlines with its 1970s
success of convincing travel agencies to adopt an automated reservation
system. Hopper is credited with painting a picture of the future in such
detail that reservation agents could imagine how their business would
benefit from a radically different way to book and sell airline tickets.
He communicated the vision and gained a marketplace advantage.
6.3 Final Thoughts
Many of the ideas you propose may be preliminary and challenging for
others to understand. Use these first three topics of the Initiative Proposal
to paint a clear picture for everyone to see. Creating a formal document
may have value beyond communicating your idea. It has likely caused you
to make further additions or clarifications as you iterate on your thoughts,
improving on your original thoughts. If you cannot respond effectively
to these first three elements, you may wish to put your idea on the back
burner for a while. Let it stew. Without warning, you will stumble on new
information or have a breakthrough that makes your proposal relevant
and complete. Matching your great idea to the right time is often the key
to success.
Sometimes, timing is the most important ingredient for a great idea.
Make sure your proposal connects with your decision makers by help-
ing them understand the problem you see, how you plan to solve it, what
improvements it brings, and who will benefit. If you have done this, you
are off to a great start. Now it is time to dig a little deeper into how you
plan to make all this work.
EXAMPLE
Beneficiaries from this proposal include ...
Expo customers - Th ey will receive more consistent service and they
will know where and how to purchase tickets for all Expo Square
events. Th ey will also find service fees are consistent and minimal.
Customers will enjoy the use of online purchases.
Promoters - They will be able to expect a proven ticket sales process
and an established customer base. The Expo Ticket Office will also provide
rapid, accurate settlement services. Th e Expo Ticket Office will deliver
event setup including online purchases and credit card services.
Expo management - An internal ticket office will deliver total audit
control over ticket procedures and records, providing a much clearer
picture of ticket sales. They will also see reduced cost through more
efficient processes. This will help increase Expo Square revenues.
No section of the Initiative Proposal will receive management’s attention more than
this one. It is important to list the beneficiaries in the order management will
present them to external audiences. What will sell the ticket office to the Tulsa
County Commissioners may be the financial implications. However, the benefits to
ticket purchasers and Expo Square clients who will utilize the ticket office made
this proposal a popular choice. This information can be used to encourage ticket
customers that they are being served well, especially when questions are raised. For
example, the minimal service fees are a fraction of what other facilities charge. The
benefits for Expo clients were used to create flyers and website content.
Another value capturing this vision for the ticket office is that it can be validated
later. Each item on the list can be examined to confirm that the benefit was
delivered. This confirms the value of the investment.
chapter seven
When Do We Start?
When Should This Initiative Be Attempted?
Once you reach this point in your Initiative Proposal, everything begins to
get a bit more tactical. Let’s assume you have a great idea and you present
a convincing argument with your problem statement and the suggested
solution. The benefits are compelling and you have everyone’s attention.
The next three elements of the Initiative Proposal all start with the
premise that your ideas will be approved for full project status. These next
three topics may not come in this sequence, but they are interrelated and
should be defined together. The question asked in this component of the
proposal has to do with important dates to consider.
7.1 Ideal Start Date

Some proposals are ready to begin at any time. Others have specific
launch windows. This is the point in the Initiative Proposal where you
should explain when the eventual project should start along with the
factors that make this an ideal starting time. Many great ideas are moti-
vated by externally mandated timing. Others are best launched within a
specific range of time such as a time of the year or in a product’s revision
cycle. The availability of funding may also identify the best time to start a
new p roposal. You know your proposal better than anyone so be sure to
explain the justification behind your recommendation. One proposal for
a shopping mall was intended to reduce petty theft by students. The ideal
start date was aligned with when school dismissed for summer break.
7.2 Target Completion Date

When a project should start is only part of the issue. It is often more
important to identify the completion date for your proposal than when
it starts. Many factors can go into forecasting a target completion date.
For example, if you know of a competing product or service on its way to
the market, that information might be the motivation needed to get your
idea on the calendar so it is completed while the market is most receptive.
If your idea is to add equipment to classrooms at a school or university,
the work may need to be completed by the end of summer or should wait
43
for a holiday break. If there is a governmental or industry requirement for

the completion of this initiative, list the date and the reasons for it. When
it is not realistic to finish a project by the target completion date, it may be
better to postpone the launch to another time.
I assisted with the launch of an expanded medical school. Applica-
tions for the school began a full year before classes were scheduled to
begin. The first day of class was determined by the university. The target
end date was determined for us.
7.3 Intermediate Dates
In addition to ideal start and end dates, list any significant dates that must
be met during the project. We use these intermediate dates as “checkpoint”
locations. When thinking through the plan for implementing your idea,
you may find multiple times where a specific subcomponent of your
project must be completed. Meeting incremental dates with the associated
results becomes the best way to prove progress on your project. These
“gates” that exist between the start and completion of a project enable the
certification of true project status.
7.4 Avoid Artificial Dates

Avoid contrived dates in your Initiative Proposal. When planning new
projects, some people try to create an artificial sense of urgency with
demands for immediate action or by mandating an unrealistic comple-
tion target. A manager once told me that he believed his people worked
harder under stress, so he created pressure by mandating unrealistic
dates on their projects. Not someone I would want to work for. Although
most people respond admirably to legitimate logical needs, artificial dates
tend to alienate the people you hope to engage in your initiative. Most
professionals have become weary of meaningless contrived deadlines as
a motivational device. However, if your targetdates are legitimate, people
will be more inclined to deliver the extra effort to get the job done.
7.5 Durations
Perhaps there are no specific limitations on when your proposal should
begin or end but you have a pretty good understanding of its duration.
This is the place to make that known. Any time you predict a range of
weeks or months for your initiative, you will need to add useful com-
ments about the number of people you expect to do the work and their
availability to the effort. Many projects that could be accomplished in a
short window of time take much longer because the expected resources
are not available to complete the work. Durations are derived from when
Chapter seven: When Do We Start? 45
work begins, the size of the work, and the number of people available to
do the work. Be sure to add this type of clarifying information.
7.6 Final Thoughts
There are a limited number of new initiatives any organization can take
on at the same time. Part of the approval process will be finding a work-
able place for your proposal on the organizational calendar. Providing
complete, supported information about the timings associated with your
proposal will help your decision makers determine if the time is right for
your idea.
EXAMPLE
If Expo Square plans to utilize this service for the Tulsa State Fair the
end of Setember, it is critical to begin this process as soon as possible.
In addition to completing the selection of a ticket vendor, purchasing the
technology, implementing the product and training staff, it is important to
prove the new process on smaller events prior to ticket sales time for the
Fair. Ticket sales for the Tulsa State Fair events begin by the end of August.
Note that this section identifies the target date requested for the proposal but
explains why rapid approval is needed. The justification for rapid approval
includes explaining the major tasks that must be accomplished to make a functional
ticket office a reality.
chapter eight
What Will This Cost?

How Much Do You Believe This Initiative Will Cost?
Get ready for it. This question is usually on everyone’s mind. Just how
much is this “great idea” of yours going to cost us? Sometimes you are even
interrupted during your opening comments about your proposal with the
“how much” question. For some Initiative Proposals, the answer to this
question is simple and easy to document. You’ve been down this path
before and you know the costs involved. Or the work at hand is very spe-
cific and the associated costs are known. But many great ideas will require
significant discovery before cost questions can be answered. And you are
reluctant to paint yourself into a financial corner until you have more facts.
Because your initiative is in a very preliminary state, it is quite rea-
sonable that projected costs are speculative. You sense that your decision
makers are reluctant to move forward unless they have some understand-
ing of cost. It may not be feasible to create detailed specific costs at this
time, but it might help if you break it down around a number of categories.
8.1 Tangible Costs
Start with the costs you can predict more easily. List tangible costs you
believe are required to deliver the results of your initiative. Start with any
labor costs needed to perform the initiative. This could include internal
staff, consultants, or contract labor you think the project will need. Do you
expect costs for equipment or supplies? What costs, if any, will the initia-
tive need for facilities such as rent, purchase, or even remodeling? These
could be the initial build-out costs incurred while the project is under-
way. Predict the cost of any computer hardware and software. How about
training costs? These are real expenditures. Someone will write checks
for these items. In a way, you can consider these sunk costs of the project.
It represents what is needed to accomplish the work required to deliver on
what you are proposing.
8.2 Intangible Costs
There are other costs you may anticipate will happen but you have difficulty
pinning down specific amounts. Past experience tells you that there will be
47
additional costs beyond the tangible list you prepared but you don’t have
anything concrete. Intangible costs usually come from recognized sources
with less certain implications. For example, you may be able to clearly define
the cost of an in-house training program but you are not certain about how
long it will take employees to become proficient in the newly gained skills.
So you estimate based on your best judgment or past experience. You may
be able to predict the tangible cost of constructing a new product but you
are not certain about the financial implications of customer support. List
any intangible costs you see and be prepared to explain your reasoning.
You will encounter others who take an interest in your proposal and they
may be able to help you solidify these intangible estimates.
8.3 Operational Costs
Beyond the tangible and intangible costs are expenditures needed to oper-
ate project end results for some period of time. These costs come into play
if you are requesting funding that will keep a program in place beyond
the initial development period. Operational costs may include staff, sup-
plies, utilities, facilities maintenance, equipment repairs, computer sup-
port, or software updates. Consider any license or services with an annual
or monthly fee. In my experience with financial people, they are equally
concerned with the ongoing operational cost forecasts as they are with the
start-up costs for a project. Too many projects have been funded based on
initial cost expectations with little thought given to how a project will be
paid for in the long run. These operational costs tend to add up, and if not
recognized, can deliver unpleasant surprises.
When forecasting the operational costs, sync the time frames with the
period of time you will use for any realized benefits. For example, if you
are showing financial benefit for the next seven years, you should also
show the operational costs for the same period of time. In some cases,
these costs, such as maintenance of old equipment, may increase over time.
8.4 Contingency Costs
This is also where you protect your proposal from unknown unpredict-
able change. Think of it as buying insurance. It is common in many indus-
tries to establish a percentage of the total cost as a contingency for growth
or unplanned costs. I worked with an airline reservation system CEO who
would only allocate 70% of his available annual budget to active projects.
He called the remaining funds a “set aside.” He knew change would hap-
pen but didn’t know where. He wanted to be prepared and avoid financial
turmoil when unexpected change created new costs. In new construction,
it is common to establish a 75% estimate that is later refined to a 95% level
prior to the delivery of final costs. Your proposal is no different. At this
Chapter eight: What Will This Cost? 49
moment, most financial elements are speculative. It is important to show

realistic financial expectations that include the reality of possible changes.
Be careful with unexplained contingencies. Promise strict accounting for
how any of these funds are spent during the project.
If your initiative is well defined in your mind and you foresee quite a
number of cost categories, you may wish to use a formal worksheet. Talk to
your company’s financial team. They may have established cost categories
they would like to see on your worksheet. If they have a basic project-based
chart of accounts, get a copy. You can use this to consider less obvious cost
items. It is also wise to keep any notes or spreadsheets you use to collect
your cost data. They will come in handy if your initiative is approved.
8.5 Updating Costs
I have included a simple cost worksheet template in Appendix D. Use this
to create something customized to your organization and project type.
You will notice that I’ve included rows for some common types of cost.
I’ve also included columns for four types of cost projections. This repre-
sents the need to keep your cost information current as your project moves
beyond the idea stage and into full project status. These columns are
• Original Estimated Cost: This area will contain the initial estimates
you create for your proposal. This field is also known as the cost at
complete. You would do well to include a note with this component
of your estimate stating that it is speculative and subject to revision.
If your proposal is for a project that has a valid history with ranges
of estimate confidences, note it. Avoid leaving the impression these
are fixed cost projections unless you have the facts to back it up.
• Cost to Date: Once your project is underway, track the actual costs of
the project and capture them here. This provides your organization
with a running summary of how much has been spent on the project
for each category you listed.
• Cost to Complete: This is not your original estimate minus what
has been spent to this point. Cost to Complete is a fresh projection
of p roject costs of what it will take to finish the job from today.
Although the results may sometimes be unpleasant, it is important
to keep everyone realistic about project expenditures.
• Revised Project Cost: During the life of the project, this number will
reflect a combination of Cost to Date plus Cost to Complete. This
information is useful for validating the initial estimates created for
your proposal and may influence the accuracy of future projections.
Your personal credibility will be enhanced if this final number is
reasonably close to your initial cost projections in the Initiative

Proposal. It will show you are considering a wide range of costs and
are being realistic.
Some Project Managers are uncomfortable with tracking these cost

columns on a regular basis. They fear telling senior managers the bad
news when costs start to run higher than expected. Your senior decision
makers need current information to provide direction for the project. They
can do this only if they have relevant updated information. The informa-
tion you provide in the Initiative Proposal sets the stage for proper cost
management during the eventual project.
8.6 Final Thoughts
When you are creating your Initiative Proposal, all of these cost categories
are in the future. But this is an excellent time to let your senior leadership
know that they can expect realistic accounting for their investment. This
just might be the element that gets your project approved.
Keep in mind, these early cost projections are just that . . . projections!
They are guesses based on a preliminary set of information. The real cost
may actually change significantly once the initiative is approved. But with-
out these early estimates, it will be very hard for your decision makers to
give you the approval you seek. I’ve met very few senior executives willing
to write blank checks for a new proposal, even if it is mandated and critical.
You may be wondering about where to place tangible and intangible
benefits associated with this idea. Obviously, these figures are equally
important and are addressed in the next chapter.
EXAMPLE
This initial effort will provide automated ticket sales, ticket taking, and ticket
accounting for events held in the Expo Square Pavilion beginning in October
this year. Total cost for Phase 1 is estimated at $150,000.
The cost projections for this Initiative Proposal were limited. It was based primarily
on early estimates for selecting a software/hardware vendor. And it was only for the
initial ticket office implementation. There were other costs that should have been
included such as build out cost for the facility, expansion for Phases 2 and 3, and
projections for operational costs. Those items were added in an attachment to the
subsequent Project Charter.
chapter nine
How Will We Pay for This?

How Should This Initiative Be Funded?
For some people, suggesting ways to pay for their Initiative Proposal is
unfamiliar and uncomfortable territory. They would rather focus their
energies on solving problems and not worrying about how to pay for
them. Other people believe, sometimes correctly, that this topic is simply
beyond their expertise.
No matter how you feel about this issue, I urge you to attempt to iden-
tify possible funding sources. I’ve heard numerous managers and finan-
cial staff make the point that the people proposing a project are closer
to the idea than anyone and they should know things about it that are
unknown to others. You may be in the best position to imagine ways to
fund the eventual project. You just might come up with a perspective that
makes your proposal viable.
9.1 Internal Budgets
The most common form of traditional funding for promising projects is
internal organizational budgets. If you believe this is the best path for your
project, make that clear. Be aware that this will place your proposal in an
often large queue of other worthy projects, all vying for the same limited
internal funds. It may be some time before your number comes up, but
such is life for most internal projects. One way to increase the potential for
internal funding is to share costs across multiple departments. Return to
the earlier sections of your Initiative Proposal where you listed benefits to
specific groups of people. If the proposal provides benefit to other internal
groups, they will be more willing to support a shared funding model.
Do not become discouraged when your project remains on hold for
several months or even years. That is a normal response of organiza-
tions with limited funds and an overload of required expenditures and a
collection of viable new ideas.
For small entrepreneurial organizations, you may be able to supple-
ment internal funding with corporate or personal loans. If that is the plan,
you will need to add plenty of detail to your cost and benefit projections
to satisfy the requirements of lending institutions.
51
9.2 New Income
Any Initiative Proposal that results in a new product or service should
also evaluate the potential for new revenues that may be the result of a
new market entry. New products or services usually come with the expec-
tation of new sales. If the anticipated demand for your product or service
is significant, the new revenues may more than justify the projected costs.
Perhaps your idea expands current productivity with some associated
increase in revenues. It would be wise to engage your financial people to
validate any revenue projections you offer up.
9.3 Cost Savings
When laying out the improvements for your initiative, you may have
included ideas that will deliver significant cost savings for your organization.
Any reduction in cycle-time or the removal of unneeded delays can result in
substantial cost savings. Add in any realistic cost savings as a form of new
income. Calculating these savings usually requires creating models show-
ing current process costs along with where you believe the improvements
will result in savings. You may be able to show reductions in a wide range
of costs including labor, materials, utilities, transportation, or packaging.
I led a project where the total cost of the effort was justified by reduc-
ing the amount of inventory that was retained on-site. By creating pro-
cesses that projected sales trends and delivered “just in time” inventory,
we dramatically reduced the amount of physical space required to store
inventory. We also lowered the cost associated with maintaining too
much inventory. The reduction in interest on the inventory cost paid for
implementing a new computer system to manage the inventory planning
and sales processes.
9.4 Grants and Donations

If there are no ready internal funds available for your idea, try an exter-
nal approach. For instance, if your initiative will provide benefit to your
fellow man and not just build the organization’s bottom line, you may
be able to locate federal grants or trusts with significant available funds.
Look initially to organizations with some link to your industry. They will
have a greater appreciation for your proposal. The best place to check for
grant potential is your nearest Internet connection.
When you move into the world of competitive funding, make sure
you have clearly defined the problem statement, the summary of your
initiative, and the beneficiaries. You are competing with other worthy
ideas for the same funds. You may even wish to engage the services of a
professional grant-writer.
Chapter nine: How Will We Pay for This? 53
9.5 Mutually Beneficial Partnerships

Another innovative approach to funding includes creating a partnership
with parties who will benefit indirectly from your proposal. Although
the indirect beneficiaries for your proposal may not see direct value to
their bottom line, they may find needed justification to help your idea
come to life. They may see your effort as one step toward a larger goal
they are pursuing.
I helped launch a four-year medical school that trains healthcare pro-
viders to work in community clinics. The largest source of funding for
this massive undertaking came from foundations that will see very little
direct benefit from the university program. Instead, they see the medical
school as a vital element to solving healthcare discrepancies that exist in
a local community. By fixing these healthcare gaps, the community is able
to attract new business to stimulate the economy. Oh, and people also
have healthier lives.
If you are having a hard time figuring out how to fund your idea,
go back to your list of possible beneficiaries. Even if they don’t write you a
check to help, they may have other ideas on how to get the venture funded.
9.6 Final Thoughts
When you raise a proposal that requires significant financial investment,
you will find no shortage of people telling you about all of the problems
you will encounter. Building an imaginative funding strategy may help
overcome these objections. In the worst case, your decision makers may
love your proposal and hate your funding ideas. That is fine. Now it is
their turn to find a good answer. You haven’t lost a thing. They may even
find a few good ideas in your suggestions.
EXAMPLE
6. How should this initiative be funded?
Use general funds for initial setup with a portion of ticket sales fees placed in a
dedicated account for future expansion.
This is an example of suggesting funding options but leaving the details to the senior
decision maker. There will be cases, however, where a proposal is dependent on
well thought out financing. That wa s not the case here. The senior decision maker
had already considered funding for this proposal.
chapter ten
Who Will This Impact?

What Other Groups Might Be Impacted by This Initiative?
The first three topics of the Initiative Proposal allow you to establish the
grand vision behind your idea. The next three address more tangible con-
cerns of schedule and finances. The final three begin with a new assump-
tion. From this point on, assume that your idea has full approval and your
decision makers want to know HOW you plan to proceed. As Boy Scouts
say, “Be prepared!”
Begin with a serious dose of reality. Most projects require the combined
efforts of people across your organization. Some may have participated
with you in this proposal. Others are about to hear of it for the first time.
It is a good idea to make sure that anyone needed to make the result-
ing project a success is on board, or at least informed, before you submit
your Initiative Proposal for approval. The simple question you must ask
is, “Who will I need to make this project successful?” It is always best
to touch bases with these people now than to surprise them later. When
people are surprised, they may react in a negative way.
Think of this component of the Initiative Proposal as a way to prove
you have fully considered the viability of your new product or service.
I assure you, the decision makers of your organization will ask these types
of questions. Moreover, any detractors you might have will c hallenge you
with them.
The type of proposal you are making will determine the actual
groups or people you should contact, however, several common catego-
ries stand out.
10.1 Marketing/Sales
If your idea results in a new product or service for an external consumer,
it should be viewed as a piece of a larger customer support effort by your
organization. The best people to help position your product or service
are people who work with the customers on a regular basis. You often
find this talent on the sales or marketing staff. Engage them in early
discussions about your proposal and be sure to include them in any dis-
cussion about introducing the new product or service to the customer.
These people may even help you begin some type of advertising campaign
55
or communication plan so people can learn about your idea. Your discus-
sions with the marketing and sales specialists will help them schedule
customer notifications.
On a visit to a business I frequent, I saw a large banner announcing
an attractive new product. When I inquired at the front counter, I was met
with puzzled looks. The employee followed me outside to see the b anner.
They usually arrived at the employee entrance and had not seen the
banner. Further, they knew nothing about this new offering. Following
a little research, we discovered that the marketing program was based
on very early product completion dates and the marketing team had not
stayed in touch with the development team. The failure to keep everyone
informed resulted in some organizational embarrassment.
If the results of your project are intended for internal use, you are still
well-served to talk to these types of people. Many great ideas struggle in
implementation because the author failed to market and communicate the
internal product or service properly. Including these people in your pro-
posal gives you valuable insights and adds to the credibility of your idea.
10.2 Designers/Creators
You may have a great idea and absolutely no idea how to create the end
result. Do not be discouraged by this common reality. Most organizations
either staff or subcontract this specialized skill. You should seek out some-
one with proven product creation knowledge to consider the viability of
your proposal. Should this skill set not be available internally, there are
external organizations that can help you create the final design or packag-
ing for your product.
How many products have you used and wondered what the creators
were thinking when they designed the end result? You wonder if they
have ever used their own products or tried to follow their own instruction
sheets. How many computer products have you seen where the screen
flow was so illogical it was impractical to use.
Ergonomics and human factors should be key considerations to get-
ting new products accepted. I consulted with a major airline that invested
in a fully functional Usability Lab for all of their new technology prod-
ucts. Nothing was rolled out to internal or external customers until the
Usability Lab gave their approval. Make sure you have the right people
to help with this vital activity. You may be asked about this during the
approval process. Be prepared to explain, in simple terms, how you plan
to actually produce the product or service.
The skills you seek may include people specialized in engineering,
design, manufacturing, prototyping, user interface design, ergonomics,
construction, testing, training, package design, and product rollout. For
technology projects that require either purchased or custom software
Chapter ten: Who Will This Impact? 57
products, you will need a reality check from business analysts, data ana-
lysts, software designers, database administrators, programmers, and tes-
ters. Do not trivialize this process by ignoring the complexity these skills
represent. Many quality ideas fall apart when the organization treats
them as “no big deal.”
10.3 Technologists
Although not all of your ideas require modern technology for implemen-
tation, many do. Rapid technology advance will be one of the most noted
accomplishments of our place in history. New automated devices allow us
to imagine products or services that were impossible just five years ago.
In fact, your “new idea” may actually be an old idea whose time had not
come due to limited technology. Now it is possible, feasible, and affordable.
However, with the blessing of technology comes a serious challenge.
Even if you fully understand the technology implications of your proposed
idea and you have even preselected the needed components, by the time
your project is actually ready for release, that technology may be obsolete.
It is the rate of change that is keeping the largest and s mallest organiza-
tions in a technology fog. They struggle to settle on a list of “approved”
components only to have them rapidly supplanted with new devices and
upgrades that are far superior.
To further complicate this dilemma, some departments have a delib-
erately slow financial approval process. This prevents rushing into emo-
tion-driven purchase decisions. In the 1970s and 1980s, this was not a
major concern for organizations as technology was reasonably stable. You
selected the needed components, filed the necessary financial requests,
and in due time, placed an order with your selected vendor. However,
all that has drastically changed. If you endure even a six-month delay
between your technology choice and the actual purchase, you have
doomed your product or service to technology that may work, but it is
obsolete on arrival. Your best option is to engage people who understand
emerging trends and capabilities. You hope these people are keeping pace
with tomorrow’s new announcements. You may find this capability within
your organization’s staff, but it is also found through an outside vendor
or consultant who specializes in this field. Do not get me wrong. I am not
talking about securing the services of a high-priced out-of-towner. This
may only require a trip to your local computer store. Explain what you are
trying to do. Chances are there will be someone there with the expertise
you need or who may be able to point you in the right direction.
Last word of caution, do not believe everything you read in maga-
zines. Many of the stories printed in the “free” industry monthlies are
dependent on advertising from companies who market to your field of
work. These advertisers love to see their products identified in print. It is
quite common to see the benefits of a product emphasized while the dif-
ficulties are ignored.
Before you purchase or lease technology for your new product, visit
with several other installed sites to obtain a balanced appraisal. This is
one jungle you will not want to enter alone.
10.4 Operators/End Users
A major hurdle for any new product or service is getting it into actual use.
People often resist change, not because it is bad, just because it is differ-
ent. You will never attract everyone with the results of your new idea, but
there are ways to smooth the path.
You need to identify your target market. Start with the beneficiaries.
That is one of the reasons I encouraged you to think through that question
earlier in the Initiative Proposal. If your new project produces a result that
fails to be faster, cheaper, better, or smaller for the people who will use it,
you have a very difficult sale ahead of you. During my time as a Project
Management consultant and teacher, I have seen many good projects
run aground at implementation time because the target audience was
uninformed and therefore, resistant. Make this group a priority from the
very beginning of your thought process. Ask for their views and listen.
If your intended customers believe you are creating something that works
for them and will make their world better, you will gain valuable allies in
the approval process.
You will also want to make it clear you intend to consult with them
and engage them during the project when you have approval to move for-
ward. You should always strive to create a product WITH your customer,
not just FOR your customer.
10.5 Support/Service
A critical factor in the long-term success of your new product or service
will be how it survives AFTER your project is completed. Many idea
people tend to move along to the next new thing as soon as the previous
idea is in place. If that describes you, just make sure you have consid-
ered the full life of your new product or service. This includes identify-
ing how your intended customers will get post-implementation questions
answered or obtain long-term assistance. For example, if you have limited
experience running a Help Desk, this would be a good time to speak with
someone who plays that role on other products.
Ask yourself, “How will this new product or service be improved over
time?” Again, you may find the answer in a group of people dedicated to
product maintenance and enhancement. When you explain the goals of
your proposal, they may provide you with new considerations.
Chapter ten: Who Will This Impact? 59
10.6 Audit/Certification
Many products must pass some form of official or unofficial inspection
process before they may be released to the general customer for use. This
could include:
1. Inspectors who, based on pre-established criteria or rules, verify

that your product or service satisfies published requirements.
2. Reviewers, often peers or people with a special interest in your
product or service, who agree that it meets professional guidelines.
Although less rigorous than inspections, peer reviews help validate
your work.
3. Auditors who validate that you followed proper processes during your
project and your records of the total effort are complete and accurate.
Audits are helpful and you should consider their influence, but this
work is usually after the fact and provides limited proactive benefit.
If you know of any group that must pass eventual judgment on your
proposal, project, or the end results, start talking to them early. Know
who they are and prepare to gather their expectations once the project
is approved.
10.7 Project Oversight
Everything that goes into this section of your Initiative Proposal is antici-
pating what might happen when and if your idea is approved. When
projects go live, this group will be the most important contributor to even-
tual success. They give you the ongoing support to make it real.
Getting your proposal approved is just the start. Throughout the
actual project, you will face myriad challenges and decisions, many of
which are beyond the reach of your authority. Just as you required senior-
level approval for your Initiative Proposal, you will need the continued
participation of project oversight during your project. At this time, your
idea is new and few political battle lines are drawn. This is an excellent
time to consider who would be the best organizational champion for the
project. If your proposal requires significant executive care and feeding,
surface that fact now!
10.8 Final Thoughts
What you capture for this section of the Initiative Proposal may actually be
quite short. However, the work preparing for it may take a bit of time. It is
all worthwhile. Why? Because you are compiling a first view of an eventual
Project Team. You will not need all these people full-time or even at the
same time. This is, however, your first attempt at creating a Staff Plan that
will mature once your project is approved and again while it is underway.
This segment of your proposal boils down to one thing . . . courtesy.
Instead of surprising these groups with an emergency call for assistance,
you are giving them advance warning about your proposal and inviting
them to work with you. You are engaging them as partners in your idea.
Your efforts here will pay dividends. In the next chapter, I suggest you
create a skeleton plan for your proposal’s implementation. By speaking
with these people, you will have a far more robust strategy than if you just
worked from your own experiences.
EXAMPLE
7. What other groups might be impacted by this initiative?
Th e organizations needed for this proposal include ...
The Accounting Department is needed to help create ticket sales
policies. They will also provide financial oversight and create audit
processes.
Technology support will be needed to acquire technology
including computers, ticket printers, and ticket scanners. They will
need to help set up the technical infrastructure to support ticket sales.
In addition to initial setup, they will be needed for operational support
anytime there is a serviced ticket event.
Facilities will be called on to remodel space in the Fairgrounds
Pavilion for a permanent home for the ticket office. They will also be
needed to make modifications for future remote selling
locations on Expo Square.
Each of the listed organizations were vital to support an opening date of August.
While there were many unanswered questions about the specific products that
would be used in the ticket office, this put each of the departments on notice
about the proposal. It also opened the door for needed discussions. By approving
this proposal, Expo Square management also authorized each of these groups to
participate in the project.
chapter eleven
Here’s My Plan
What Strategy Do You Propose to Complete This Initiative?
In the previous chapter, I encouraged you to fully consider the long-range
staffing implications of your Initiative Proposal. With that information in
hand, it is time to start building a tactical approach to make your idea real
if and when it is approved. This is not the time for great detail. In fact,
all you should do here is show that you have a general idea of what will
happen should your proposal be approved. Detailed plans will come once
you have approval to move forward with a project. To this point, you have
described a concept you consider important and viable. Here you should
list the general steps you intend to follow that will move your proposal to
project status . . . and then get it done.
By thinking about and consulting with all the people and groups who
might be affected by your project, your head should be bursting with spe-
cial considerations and strategies. Capture just enough of this informa-
tion to let your decision makers know you have a plan in mind and are
equipped to move forward. Think about it as a summary action plan. I am
not suggesting that you ignore the planning process, just the opposite.
I do not want you to trivialize this very important act at this point in
the process. You will need additional information before you are ready to
predict detailed plans and schedules.
11.1 Key Deliverables
Focus your attention on a high-level plan that you can explore in detail
later. This high-level strategy should include a list of summary activities
that must be performed along with the intermediate results you expect to
deliver from each set of work. These incremental deliverables represent
decision points for senior management. That is where they will check on
progress against the planned human resources, cost, and elapsed time.
To make these project “gates” or “checkpoints” more significant, we
eventually define them further in a Deliverable Plan, Dependency Diagram,
and Timeline.
61
11.2 Deliverable Plan
This document identifies each of the major tangible results that will be
produced during the eventual project. Each deliverable is clearly described
along with a general list of activities needed to complete the necessary
work. To that we add criteria that define how to determine the work is
actually complete and completed to established quality standards.
11.3 Dependency Diagram
A network diagram displays the predecessor and successor relationships
between each of the major collections of work needed to complete the
project. This diagram allows decision makers to consider alternate strate-
gies to accelerate the project.
11.4 Timeline
Typically contained in Project Management software products, planned
start dates and finish dates are associated with each detailed work a ctivity.
Resource assignments may also be captured here. This data is used to
track progress during the life of the project.
11.5 Final Thoughts
This is not the time to roll out all of these planning documents. Hold on
to them until it is time to drill down into detail. Detailed project plan-
ning is hard work and requires thought as well as time. Save that effort
for when the project is approved and you have clearly defined the total
project. Right now, you just want to build confidence with the decision
makers that you know what will happen next. Capture some of the tactical
information while it is fresh. Should you wish to experiment with it, I have
included a sample template for a Deliverable Plan in Appendix E.
The intent of this component of your Initiative Proposal is to tell
your audience that you have given the tactical strategy thought and, once
approved, there is a viable approach for completing the resulting proj-
ect. The Project Manager, and that could become you, will complete the
detailed plans once the effort is approved and assigned.
Chapter eleven: Here’s My Plan 63
EXAMPLE
8. What strategy do you propose to complete this initiative?
To implement a ticket office, we will ...
Evaluate software and/or agencies.
Determine type of ticket sales for initial support (in-person/phone/
online).
Select software or agency.
Establish ticket sales processes.
Establish financial processes.
Acquire hardware/equipment.
Modify facility.
Set up office.
Hire and train staff.
Run a test event.
Create ticket sales brochure packet.
This list served to let Expo Square management know thought had been given
to the requirements for implementing a ticket office. Other groups participating
in this project, along with selected vendors, provided the details at a later date.
Expo Square management may not have been familiar with what is required to
implement this proposal. The provided list helps them understand the projected
cost and resource needs. Note that this list doesn't attempt to imply sequence of
the work to be done. That would be captured in a dependency diagram during
the more detailed planning process. This list also is not overly specific on the
detailed tasks to be done or the specific results created along the way. But it
does provide the decision makers with a general feel for the complexity of work
required to implement this proposal.
chapter twelve
I’ll Need You, and You,

and You …
What Staff Will Be Required for the Initiative?
You should be fully prepared to address this final question. You have a
clear vision for your proposal and you have dug deep to examine the more
tactical side of your idea. Adding detail about your anticipated staffing
will help clarify your proposal and answer a major open question . . . what
roles will be needed to deliver on your idea, how many of each role will be
required, and when will you need people assigned to those roles.
Senior executives are often accustomed to issuing mandates and just
assuming appropriate work will be done. They may want to do the same
with your Initiative Proposal. Once they approve it, they are finished . . . or
so they think. They believe work is done when they sign off on expendi-
tures and say, “Go.”
Here is the reality of projects. The work of a project never starts until
you have people on the project to do the work. A project cannot be con-
sidered “active” until people are assigned and available to do their work.
If you don’t think so, try building a house. You can approve the blueprints,
sign the loan papers, and have materials delivered to the job site. But until
you have carpenters, electricians, roofers, and plumbers on-site with tools
in hand, your house is not “under construction.”
I’ve encountered many organizations that seem oblivious to this reality.
In an effort to show productivity they declare projects “active” because
someone signed an appropriation to approve project funding. Very few
projects are completed without significant human capital. If you need active
members of a project team to get your idea completed, trumpet those needs
in your Initiative Proposal. This is a vital condition for project success.
12.1 Staff Planning
Even on efforts of minimal complexity, you should have identified multi
ple skills and capabilities needed to transform your idea into reality.
Identify the following:
65
1. What roles will you require for this initiative? A role is the name of a
worker category you will need. Later you will add specific responsi-
bilities you need for each role.
2. How many people will you need to fill each of the roles you listed?
In some cases, you will only need someone on a part-time basis
while on others, having multiple people with similar skills, working
together, will speed your proposal along.
3. Based on the ideal timing and your general strategy, when will you
need these roles filled? You may choose to give relative dates for
each role dependent on when the project actually begins.
The information you gather here is the beginning of a more formal

Staff Plan you will construct when the initiative becomes a project. At
this point in the process, avoid identifying specific people to fill each role.
Remain neutral on who will be assigned and focus on the roles needed.
12.2 Staff Source
You will help your proposal further by suggesting a source of your project
staffing. The most common sources for your project team will come from . . .
12.2.1 Internal Organizations
By interviewing the groups who might be affected by your proposal, you
learned the capabilities of internal departments. By now, you recognize
that some of them will play vital significant roles in eventual project suc-
cess. Don’t be bashful; state what you need. By defining what roles are
needed along with the expected time periods, you will have a better chance
of getting the type of team that will make the eventual project successful.
12.2.2 External Organizations
Often called contract labor, this resource pool represents how major orga-
nizations frequently staff important projects when they do not have the
internal resources available. In this group you may also find specialized
skills that are not available internally. Many organizations prefer to use
contract labor on projects as this approach allows them to avoid the cost
of full-time employees on a project that has a relatively short runtime.
Using contractors on your project should be reflected in your assessment
of project costs. You may consider preparing two staffing options for your
proposal, one with internal resources and a second loaded with outside help.
12.2.3 Volunteers
This may seem improbable for your type of work but many organizations,
both for profit and nonprofit, perform project activities using unpaid
Chapter twelve: I’ll Need You, and You, and You … 67
volunteers. This is especially true if you are working in a public, religious,

or charitable structure. It is very helpful to find a volunteer coordinator
who will help you match the roles you seek with qualified individuals.
Many highly skilled professionals leave the workforce with the goal of
contributing their time to worthy causes. Other volunteers may come from
parents with kids in school who are looking for something significant to
keep them busy . . . and find a little adult conversation. I once spoke at a
banquet for law enforcement volunteers, many of whom had contributed
thousands of hours supporting their police departments. Some of these
volunteers had a background in forensics and were responsible for solv-
ing cold cases left dormant for decades.
12.3 Your Role
Last, and certainly not least, is the role you plan to play should your pro-
posal be approved for Project Initiation. You will want to strike a balance
with how you address this topic. On one hand, you don’t want to overstate
your position by insisting you are the only one qualified to take the idea
to reality. Just as significant, however, you should remain engaged in the
effort. It is your idea! So, if the proposal is approved, what role do you
wish to play? If there is a specific role you feel qualified to fill and it is
something you want to do, explain that here. Don’t wait to raise your hand
after someone else is assigned to your suggestion.
In some organizations, approved proposals are automatically assigned
to the person who wrote the proposal. However, this is not a universal
solution. Someone may be perfectly qualified to see a problem, explain
what should be done, and then provide all the background needed to get
an Initiative Proposal submitted and still lack the skills or desire to bring
the project to reality.
A word of caution. Imagine the reaction of your senior executives
when they see a quality proposal, yet the author wishes to be excused
from any further involvement. That could weigh negatively against your
Initiative Proposal . . . and your career path.
12.4 Final Thoughts
The information you are collecting for the Initiative Proposal will have
another life during the actual project. Experienced Project Managers often
create formal Staff Plans that expand on what you are documenting here.
If you want more formal documentation of this information, you will find
a simple Staff Plan Template in Appendix G. Although you may summa-
rize your findings in the Initiative Proposal, keep your working papers.
You may need them later when the project is approved.
EXAMPLE
Staffing should include a full-time ticket office manager, a full-time sales staff
member, and at least two part-time ticket sellers for major events. Expo
Square employee, Latresa B., has two years of experience working in an
automated ticket office. Because of that work, she also has multiple contacts
to fill additional positions.
While the need for a full-time ticket office manager proved to be necessary, the
projection of two part-time ticket sellers was not close. In order to meet the
expectations of Expo Square event vendors for major events, it is common for the
selling staff to include more than 10 people. This has transformed the full-time sales
staff into the assistant ticket office manager. The proposal’s author was also
alerting Expo Square management that she was qualified to run the office and
wanted to be considered for that position.
chapter thirteen
Gaining Approval
Wow! The hard work is done! If you are creating an Initiative Proposal
while reading this book, you have done a lot of thinking. It is time for a
cup of coffee or maybe a nap!
Still here? Well here comes the big event. How do you get this freshly
documented idea before your senior executives and have them reach a
decision? Up to this point in the process, you have been in the driver’s
seat. You came up with the idea. You researched the proposal. You docu-
mented it in the form of an Initiative Proposal. You have enjoyed total
control over everything.
However, to gain approval, you must now release your great idea and
place it in the hands of organizational decision makers who may not share
your vision and zeal for this proposal. You can no longer predict how
they will act. In this chapter I explain how I believe they SHOULD behave
based on how I have helped other successful organizations satisfy this
role. Perhaps you will be able to use this information as a model for your
own executives. The best you can hope for is reasonably timely action.
Unfortunately, you cannot be assured of that. So begin with something
you still control.
13.1 Clearly Written
Is your proposal clearly written? This actually raises two questions. Is your
proposal in written form and is it clear? Some have taken the position that
they work in a small organization and have direct access to their decision
maker, so they don’t need to write it down. In fact, the boss is in the next
office. That does not change the need for a written Initiative Proposal.
At some point, the “next door” executive will want to share your idea
with others, both inside your organization and with people who are not.
If your proposal is not in written form, you can only hope your critical
points are remembered and communicated. Without a written document,
it will not happen. Do not sabotage your own effort. Write it down. And
remember, the very act of writing will cause you to consider each thought
more completely.
Clarity is an entirely different beast. My greatest fear in putting my
ideas into a book form is my skills as a writer. Before this document
ever makes it to your hands, it will be reviewed, debated, dissected, and
69
recombined, all in the name of improved clarity. You may not be able to
nor wish to subject your Initiative Proposal to such a process. However,
your word-processing software most likely includes spelling and gram-
mar evaluation tools. Use them!
13.2 Is It Time Yet?

Do not rush your proposal. Make sure you have everything in order
before you start the submission process. Part of maturing your idea is
taking some time away and then reviewing everything you have written.
A day or two away from this effort will not harm your proposal. It may
just give you a fresh perspective and a chance to fix a flaw or consider
some new information.
Another way to validate the readiness of your proposal is ask a
trusted colleague to review your thoughts and give you candid feedback.
You may even wish to consult an immediate supervisor for advice on how
to approach your senior management.
Finally, ask yourself if this is the proper time for your proposal. For
many ideas, timing is everything. If your organization is facing financial
or operational stress, you may find limited attention for new ideas. Good
ideas become even better when presented at the right time.
In 1974, Art Fry was using scrap paper as bookmarks in a hymnal.
Frustrated that his paper fragments continued to land on the floor, he
remembered a fellow 3M engineer, Dr. Spencer Silver, describing a solu-
tion without a problem. Six years earlier, Dr. Silver was attempting to
create a superstrong adhesive but instead produced a pressure-sensitive
adhesive that could be reused. When Dr. Silver initially introduced the
new product, he found no interest in or vision for his “failure.” People
couldn’t see how such a glue could be used. But when Fry applied the
adhesive to some scrap yellow paper, the Post-itTM Note was born. Timing
makes great ideas, even accidental ones, better.
13.3 Documented Approval Process

If you are concerned with submitting only one proposal, it may not
be worthwhile to create a repeatable process for submitting Initiative
Proposals. However, if you intend to encourage this process as an orga-
nization-wide program, formalize more than a template. You will need a
basic set of submission guidelines that clearly explain a common process
every Initiative Proposal should follow. Consider using the sample sub-
mission process in Appendix B as a starting position for your organization.
This process is based on a real-world implementation.
Chapter thirteen: Gaining Approval 71
13.4 Direct Path for Approval

Simplify, simplify, simplify! If you want to see Initiative Proposals receive
reasonable and timely attention in your organization, you must find a way
to minimize the distance the document must travel en route to senior deci-
sion makers. Approval to proceed with a new proposal typically requires
the concurrence of one or more senior executives in your organization.
The submission process should provide a path that moves each submit-
ted idea directly to these decision makers, without delay or alteration.
When new ideas are forced to traverse the total organization chart on the
way to the senior executives, it is like watching salmon battle the currents
upstream. Only the strongest and most persistent survive. People with
good ideas, but without political endurance, simply give up.
Without direct submission of Initiative Proposals to senior decision
makers, good ideas are lost or delayed at various middle-management
levels. Far worse, they may be submitted under a different name. Nothing
would trigger organizational cynicism more. When someone else takes
credit for submitted ideas, original contributors find very little incentive
to identify future problems and research potential solutions.
13.5 Organizational Comment
Although the most senior executive in your organization will make the final
call on accepting your proposal, it may also be valuable to request comment
from one or two of the upper managers who will be most affected by this
new idea. This information should explain why they believe your proposal
should or should not be approved. The request for these comments must
come from the most senior executive in the process. Asking upper-level
managers to comment forces them to go “on the record” with their views.
13.6 Rapid Response
Even when you have a direct path to your senior decision makers for your
Initiative Proposal, it is important to establish a target date for approval.
Keep the approval time frame as short as possible. I recommend between
two and four weeks. Two weeks provides ample time for the Initiative
Proposal to make the rounds. Beyond four weeks, enthusiasm for a sound
idea begins to wane.
13.7 Possible Responses
Although this is not intended as the ultimate list, I find the following
responses cover most of the decisions asked of the senior executives:
• Approved without changes: The proposal is accepted, a search for

needed funding is underway, and this proposal should be added to
the Candidate Project list.
• Approved with changes: The proposal is accepted pending specific
requested changes. A search for needed funding is underway. This
proposal should be added to the Candidate Project list.
• Under review: Elements of the Initiative Proposal must be veri-
fied by one or more appropriate groups or committees. Once they
have given their opinion, the senior decision makers will rule on
the proposal.
• Tabled with comment: The proposal is worthy, however, it is not fea-
sible at this time. Comments are provided to explain the reasons for
postponing the proposal along with suggestions for when it might
be timely to resubmit the proposal.
• Declined with comment: This proposal is not considered feasible by the
decision makers at this time. Comments will provide the reasons for
this determination.
13.8 Keep It Automated
The only way to stay in control of this process is to automate as much as
is feasible for your organization. This could range from using the native
capabilities of your operating system and folders to a document manage-
ment product. If you want to make the process convenient and useful,
here are some suggested targets for automation:
• Initiative Proposal: The proposal should be captured in a formal tem-

plate using your word-processing software. Provide the ability to
download the blank proposal to avoid having to continually e-mail it
to people. An alternative to a word-processing template is creating a
database for Initiative Proposals where each section is broken out into
a text field. Using this approach, a specific proposal is “reconstituted”
each time someone wants to view or update the content.
• Proposal review: Some people will want to browse other submissions
to get a better understanding of the content they should place in
their document. This also gives them an enhanced understanding
for the types of new ideas that are interesting to senior decision
makers. They may also find an existing initiative that would be a
good partner for something they have in mind.
• Submission process: You need an automated means of uploading
Initiative Proposals to a central location. This should include the
ability to upload an early version of the proposal and then make
additional edits before marking it “final” and officially submitting
the proposal.
Chapter thirteen: Gaining Approval 73
• New initiative notification: Try to avoid sending new Initiative

Proposals to senior decision makers using paper or e-mail. When a
new proposal hits the system, an automated notice should go to the
target management that it is ready for their consideration. Including
a link to the actual proposal location makes it easier for management
to find and comment on the proposal. If you are in a large organi-
zation and there are many combinations of senior managers who
might be involved in this process, some type of triage process will
be needed to send an Initiative Proposal to the right people. If you
expect to entertain a significant number of proposals, consider pro-
viding your management with a quick way to locate all proposals
that are waiting for their comments.
• Comments/Approvals: Provide your decision makers a direct way to
add their comments to assigned Initiative Proposals. This should
include the comments from the final decision maker.
• Author notification: Any time outside comments are added to an
Initiative Proposal, including the final decision, notice should be
sent automatically to the original author.
Much of this functionality can be supported by a document manage-

ment product using metadata to capture the content I have suggested.
Others have created a simple web-based tool intended to manage the life of
an Initiative Proposal. Obviously, some thought is required to design and
create the automation needed to support this process. In the next chapter,
I tackle how you can best engage your senior management around a total
program approach that makes Initiative Proposals a vibrant component
of your organization.
13.9 Never Give Up
To this point, we’ve assumed that everything went well and your pro-
posal was enthusiastically received and approved. Chapter 15 explores
what happens when your proposal transitions to a real project. But first,
let’s assume things didn’t go well with the decision makers. For some rea-
son, they just did not believe this idea was good for the organization. They
explained their decision in the comments area of the Initiative Proposal.
Chances are you are a little deflated. You believe in this idea and commit-
ted time and energy into formalizing your thoughts. Further, you exposed
yourself a bit by submitting the proposal to the senior executives of your
organization. And they said, “No!” Rejection on any level is hard to take.
It is important to not overreact. Before saying or doing anything, give
it a couple of days. When you have a clearer perspective and your initial
emotions have settled a bit, reconsider the reasons for the proposal’s rejec-
tion. If it is a dead issue, let it go. At least you had the opportunity to get
your thoughts in front of these executives. You tried to make a difference.

That says a great deal about you. Move on to your next great idea.
However, if you remain convinced your idea is sound, stay with it.
With the reasons for rejection in mind, reexamine each of the Initiative
Proposal topics. You may find that you failed to fully communicate critical
pieces of information. The review process may help you discover all new
paths of thought.
13.10 Final Thoughts
Business history is awash with stories of rejection that turned into tri-
umph. In 1907, Jim Casey and his partners founded American Messenger
Company, a Seattle-based message delivery service. By 1942, Casey
believed it was time to expand his operation and met with an investment
banker. The banker listened patiently to his plans and then provided an
inspiring 30-minute talk on general business economics. At the close of
his discourse, the banker rejected Casey’s request for financing. From
that talk with the banker, however, came the comment that “determined
people, working together, can do anything.” Delivered in a rejection,
Casey found a guiding principle that he credited for his eventual success.
Casey’s legacy is the worldwide delivery company UPS.
Tim Allen’s character says it best in the movie Galaxy Quest, “Never
give up; never surrender!”
chapter fourteen
Implementing a
“Great Ideas” Program
Everything you have read to this point is intended for you and your idea.
It is meant to guide you through the process of creating and then submit-
ting an Initiative Proposal. But what if you want to make it possible for
everyone in your organization to get in on the fun? After helping organi-
zations do just that, here is what I suggest.
14.1 Management Preparation
For an Initiative Proposal process to function on an organizational level,
your senior executives must understand the process and actively endorse
its use. Without their initial and ongoing support, the process will never
deliver meaningful results. So, what does management support entail?
14.1.1 Give the Program a Name

You need to establish some type of identity for the total program you
are suggesting. The opening line of Chapter 3 was, “Everyone has great
ideas!” So, how about we call it the “Great Ideas” program? I actually tried
to use that as the title of the book but the publisher (correctly) suggested
that I expand the topic a bit to give context to the Initiative Proposal. For
the balance of this chapter, I use the Great Ideas tag. Use it if you like it or
find another name that you believe fits what you are trying to accomplish.
14.1.2 Propose the Great Ideas Program

to Your Senior Management
How is this for irony? I am suggesting you create an Initiative Proposal to
implement a Great Ideas program for your organization. It sounds to me
like practicing what you preach! This book should provide the research
data you need to create this proposal. When you are ready, ask for a meet-
ing with your most senior executive or request to be on the agenda for the
next senior management staff meeting. Find a top-level sponsor for this
program. Your organization’s Human Resources, Career Development,
or Product Development groups should love this program. If you cannot
find a sponsor, your job just got a lot tougher.
75
14.1.3 Build Core Components

Once you have the approval of your senior management to create this
program, begin by formalizing a template for the Initiative Proposal and
document how the submission process should work in your organization.
Use the templates in Appendices C, D, E and G of this book to get started.
14.1.4 Create Training That Explains the Great Idea Program

Although some elements of the program just make common sense, I find
creating quality Initiative Proposals needs explanation. You must agree
or you would have never picked up this book and you certainly would
not still be reading it. Create training that explains the purpose for the
program, expand on each of the Initiative Proposal’s elements, and show
how to submit a completed proposal. If you have professional course
developers on staff, they may help create training materials. I’ve been
teaching half-day courses on this topic for many years. The training
builds enthusiasm and enhances success.
14.1.5 Display Examples
The best way to help people understand the Initiative Proposal is to
demonstrate a few good ones. As you prepare to launch the Great Ideas
program, pick out a couple of ideas you’ve heard floating around the orga-
nization. Work with selected authors to create the first formal proposals.
You may even consider doing this in small teams. Follow these initial pro-
posals through the approval process to show how it works. Build on these
initial experiences by dissecting them and displaying them during any
training sessions. As people will emulate these early proposals, you will
want to make them complete and meaningful.
14.2 Infrastructure Preparation
This is where the “behind-the-scenes” work is done. And chances are,
if this is your proposal, you will be involved in all of it.
14.2.1 Prepare the Technology

I mentioned in the last chapter that you should automate many of the func-
tions needed to support the Initiative Proposal process. If your organiza-
tion is small, you may be able to manage everything with word-processing
software and e-mail. Your best approach is to use document management
products or create something web-based. You may need help from your
technology people to make this happen. (This sounds like an entry in the
Chapter fourteen: Implementing a “Great Ideas” Program 77
“who will be affected” element of your proposal.) It isn’t feasible to list

the specifics for each component of this automation but here is a general
road map. It will keep your resident web wizard busy for a while.
1. Store templates and processes online where the people in your

organization may access them. If possible, allow them to pull down
the template from their home computers. A short summary of the
total Initiative Proposal process should be available as a reminder
to a new author. I placed a sample summary in Appendix B of
this book.
2. If you are working with word-processing templates, a blank version
should be available for download. New authors should be able to
open this file in their word processor and begin immediately writing
about their new idea. When saving the Initiative Proposals, encour-
age authors to use file names that describe their new proposal and
to add metadata that describes their proposal. This descriptive infor-
mation is commonly recorded in the properties area of the document.
3. Idea contributors may want to work on their Initiative Proposals for
a while before exposing them to the harsh light of organizational
review. During this time, they should be able to keep the proposal
on a personal computer, personal workspace, or in a state where only
they can see it. Once they have completed an Initiative Proposal and
it is ready for executive attention, automation should provide an
easy way to upload the saved proposal.
4. When a new proposal hits the automation, a notice should go directly
to an Initiative Coordinator. (More on this role shortly.) The Initiative
Coordinator then sends an electronic notice (e-mail will work) to the
management members who should comment on this proposal. It is
helpful to provide these executives with a hyperlink that takes them
to the stored proposal. All comments should be captured directly to
the automated Initiative Proposal.
5. After members of the management team exit the comment process,
an automated message should be sent to the next appropriate level
of management asking for their response or approval. A note should
also go to the Initiative Coordinator so he or she can track the prog-
ress of the proposal.
6. Final executive action and comments should now be added to
the Initiative Proposal. When finished, a message is routed to the
Initiative Coordinator and the proposal’s author.
7. A summary of all submitted proposals and their current or final sta-
tus should be available for viewing by everyone in the organization.
8. The Initiative Coordinator may also wish to maintain summary infor-
mation that follows each proposal and documents its current status.
14.2.2 Build a Proposal Repository

I am actually suggesting two storage areas here. The big one is a loca-
tion to store, we hope in native word-processor format, every submitted
proposal. This should not be a big deal for your technology people. Basic
document management software can handle this.
The second repository should house the summary information needed
by the Initiative Coordinator. Consider this a launching pad or “jump page”
that takes you to a selected Initiative Proposal. This summary view may
include the name of each proposal, a short description, the name of the
author, and the current status. It should also be hyperlinked directly to
the full proposal. Before you launch this bit of automation, mock up what
information you will want to see on these displays or reports.
14.2.3 Assign an Initiative Coordinator

Just as the program must have the support of your senior management,
you must also have someone in your organization keeping tabs on the
total process. This may not be a full-time assignment, but it is critical to
the success of this program. An Initiative Coordinator:
• Receives notice of any newly submitted Initiative Proposal from any

member of the organization
• Maintains an active queue of all Initiative Proposals submitted by
the organization
• Directs new Initiative Proposals to the appropriate senior manage-
ment and ultimate executive for comment and approval
• Informs the senior executive on the status of all Initiative Proposals
• Ensures each Initiative Proposal is evaluated in a timely manner
• Establishes a target date for comments related to each Initiative
Proposal along with the approval or disapproval of the proposal
• Ensures the target date is met for each proposal
• Records the final comments and actions of the senior executive
• Communicates the final comments and actions to the proposal’s
submitter
• Provides a weekly recap of new or current Initiative Proposals for
presentation at weekly staff meetings
• Works with the proposal author to provide needed information to
the targeted funding source
How is that for a starter job description? As you can tell, this is an
important role. It is also just the start. Once proposals become projects,
this role easily expands into a full-fledged Project Office.
Chapter fourteen: Implementing a “Great Ideas” Program 79
14.3 Organizational Preparation
So, how do you get the organization ready to embrace the Great Ideas
process on an ongoing basis? Here are a couple of proven strategies that
might help.
14.3.1 Train Everyone
If it is true that “everyone has great ideas,” then everyone should have
access to this program. Not everyone in your organization will choose to
submit an Initiative Proposal, but they should have the opportunity. That
can only happen if you train everyone in the process. Expect some resis-
tance. Some will consider this silly and a waste of time. But if presented
properly, they will see this can only be beneficial. You will also find enthu-
siastic support from those who have been frustrated with the sense that
no one is hearing them.
Start the education with every member of your management team
including your most senior executive. They will read and act on these pro-
posals. They must understand what is intended for each of the components.
The training program should also describe their role in the total process.
Some members of your management team may suggest you give
them an overview and save your big course for the troops. The opposite
is actually true. This is a “management” program! They must believe in
it, endorse it, and continually encourage its use or the program will die.
When implemented properly, it is senior management that benefits the
most. Their office will be flooded with innovative fresh ideas for trans-
forming the organization. Their job will be sorting through all of the pro-
posals to focus on the most beneficial. If this program fails to capture the
imagination of your senior management, it will never thrive.
14.3.2 Publicize Results
Look for early successes. There should be people chomping at the bit,
waiting for a program like this. As soon as you have one or two propos-
als, encourage management to act on them quickly. Then include them
as examples in the training. This will help people see how to apply the
process with something that affects them. Moreover, it publicizes that
the program works! If any of your approved proposals are interesting
to p
eople beyond your organizational boundaries, include information
about them in newsletters and maybe even press releases.
By the way, I just created the strategy component of your Initiative
Proposal for a Great Ideas program! You are welcome.
14.4 Final Thoughts
Designing and implementing a Great Ideas program in your organiza-
tion is ideal, however, you may not find sufficient support to make it
happen. As I suggested in earlier chapters, timing is everything. Move
forward using the Initiative Proposal individually to suggest improve-
ments to your management. The format and informative content should
get your ideas attention, even if the full program is not in place to sup-
port you. Others will see the success you are having and follow your
lead. That could build the momentum needed to implement the full Great
Ideas program.
chapter fifteen
From Proposals to Projects

It is quite an accomplishment to establish an organization where creativ-
ity and the new ideas are valued. Such organizations prove that they
respect the talents of all the employees at every level of the organizational
chart. Launching a Great Ideas program is a major first step, but it must be
kept in context. It is time to bring formal Project Management back into
the discussion.
The point of any new idea is to change something in your world.
Gaining approval on your proposal does not change anything. It simply
delivers confirmation that your idea is worthwhile. Once you have fired
the imaginations of the people around you and the Initiative Proposals are
flowing with great new ideas, it is critical that they not just be approved
and then . . . SIT! It would be better to ignore good ideas than to encourage
them and not follow up with positive action.
That is where a formal Project Identification process comes back
into play. Many of the approved Initiative Proposals are what we called
Candidate Projects in the early pages of this book. There are some proposals
that, although significant, require only approval and limited effort to put in
place. These efforts should have been assigned to an operational group for
completion. But the remainder of the approved Initiative Proposals should
be continually added to the pool of Candidate Projects. As noted earlier,
this queue of potential projects should be regularly evaluated, ranked, and
considered for moving into active project status. A successful Great Ideas
program will continually feed new entries into this queue.
Now, let’s assume that your Initiative Proposal was approved by the
senior decision makers. It was added to the list of Candidate Projects
and then selected for Project Initiation. That action signals the end of the
Project Identification process for your proposal. As your proposal transi-
tions into full project status, there is a series of activities that should take
place. You are entering the netherworld between Project Identification
and Project Initiation. My intent is to help you think through the most
important elements of this transition process.
15.1 Reevaluate the Approved Proposal

You may be a bit weary of looking at your Initiative Proposal. But in the
true sequence of events, several weeks or months may have passed since
you were notified of its approval. Before the proposal transitions to project
81
status, this is the time to give it one last review to clear up any confus-
ing or incomplete information. As your proposal progressed through the
approval process, you were likely called on to answer a host of questions.
Suggestions were sent your way that may change some perspective on
your Initiative Proposal. It is very healthy to review each of the elements
to determine the need for substantial change. Give extra care to staff
needs, financial expectations, total duration, and organizational impacts.
This information will be needed to classify your new project.
15.2 Classify the Project

Not all projects are equal, nor do they require the same level of Project
Management. To prevent over-control on small projects and under-control
on large ones, your organization should establish a set of objective cri-
teria to classify every approved proposal that is becoming a project.
Even if your organization has not addressed this issue, you still need to
think through this classification. It will help you know what degree of
Project Management is appropriate on your project. Although there is
no industry standard for this “project triage,” I suggest you consider the
following categories.
15.2.1 Class 3 Projects
Some approved proposals may only require a decision that changes future
policy or procedures. Perhaps they may be implemented with simple, short
operational efforts. Class 3 projects require little time to complete and
planning is generally limited to adjusting a personal schedule. Staffing
is limited to the person assigned to see the work through. These projects
require no significant Project Management effort and may be controlled
through normal daily operations and management.
Labeling a project as a Class 3 does not automatically make it one.
In an attempt to avoid increased attention to the project, some approved
proposals are assigned to operational departments to perform. Only later,
the organization realizes the project was too complicated or far-reaching
to be a Class 3. They become out of control with extensive schedule and
cost overruns. Be realistic when using this classification.
These are very familiar, routine projects. Class 2 projects are typically
either small with a short window for execution, or they are very famil-
iar to the organization. If the project will simply follow the same path as
earlier successful efforts with little or no deviation, they could be called
Class 2. These projects are not operational issues and should be treated as
Chapter fifteen: From Proposals to Projects 83
a project, but they are not big enough to bring out the big guns of Project
Management nor do they expose sufficient risk.
So how do you know if your project is a Class 2 or a Class 1? Look at
the criteria suggested for a Class 1. If you are in doubt, treat it as a Class 1.
If your project is clearly smaller than a Class 1, lower it to a Class 2.
Classifying a project as a Class 2 does not remove the need for formal
Project Management methods, it simply reduces the degree of use. Instead
of the full process, use Project Management “lite.” Everything you would
do on a Class 1 project will still happen, just to a lesser extent. The Project
Charter will be shorter and Project Plans will not have as much detail.
Should you find a host of issues that are pushing out the size of your
charter and plans, guess what. You have a Class 1 project disguised as a
Class 2. And keep in mind, Class 2 projects are great learning opportuni-
ties for new Project Managers.
Here is where you will find the most complete criteria. Your project is a
Class 1 when one or more of the follow criteria are true:
• Human Effort: Establish a threshold on human effort that moves a

project firmly to a Class 1 status. Some organizations consider any-
thing greater than 500 hours as a Class 1 effort. Others may set the
limit in the thousands of hours. To small organizations, 100 hours
could be the break-over point. Whatever limit you select, make sure
the decision makers of your company agree. Keep in mind that the
real question is how much exposure your organization can absorb
before demanding more rigorous control of a project. Class 2 projects
are generally not tracked as rigorously as Class 1 efforts.
• Project Duration: To this point, all time estimates are highly specula-
tive. However, even these early projections will give you a sense of
how long it will take to complete the project. Again, you will need to
set a boundary between Class 1 and Class 2 projects. For some orga-
nizations, anything that takes longer than three months is automati-
cally a Class 1. For others, it may be six months. Position this question
to your organizational leadership and solicit their opinion. This also
goes back to the types of projects your organization takes on. For
some organizations, even the longest projects are broken into 3- to
6-month time-boxes. For them, a Class 2 project may be something
completed in just a couple of weeks. Consult your management and
review the history of recent projects when establishing this boundary.
• Project Cost: As you did with size and duration, your organization
will need a financial distinction between Class 1 and Class 2 efforts.
On this topic, the question to your senior executives is a bit more
direct. How much money are they willing to risk without regular
ongoing control and accountability? Again, the answer will vary
from organization to organization. Some companies have a formal
financial threshold for reporting to external agencies and auditors.
Others set a limit on expenditures before decisions must be made
by senior-level executives. If possible, set your financial threshold to
be consistent with the criteria used for other monetary policies and
controls. For example, if your organization requires all expenditures
greater than $10,000 to be approved by a Division Manager, and the
Division Manager is often the owner of the projects you work on,
use the same number as the point of moving a project from Class 2
to Class 1 status.
The answers to these first three questions are finite and easy to judge.
Do not be surprised, however, if you begin seeing projects scored just
under the Class 1 criteria. This could indicate a practice of modifying
project profiles to avoid the “overhead” of formal Project Management
methods. I actually find the following three criteria of greater importance
when classifying a project.
• Technology or Methodology Stability: A significant influence on project

success or failure is how familiar your organization is with the tech-
nology planned for your project. If you are using currently installed
technology and the capabilities are well known to your staff, p roject
risk of failure due to this factor is low. If your project requires a
wide variety of cutting-edge hardware and software components,
you have a Class 1 project regardless of any other criteria. If this
is the first time selected technology products will be used in the
“real world,” you have a Class 1 project. Don’t be fooled. The moment
you start working with a new technology direction, there are always
unexpected complications that require tight control and rapid deci-
sion making. Coupled with technology will be a set of methods and
techniques for creating project deliverables and final results. Any
time you are called on to use new design or construction methods,
you have a Class 1 project. This is unfamiliar ground with many
opportunities for failure. You need the project control and thought
process the Project Management discipline brings.
• Organizational Impacts: On the Initiative Proposal, I suggested that
you consider all the organizational units that might be influenced
in some way by your idea. Initially, it was to make sure you had the
proper range of viewpoints to support and enhance your proposal.
Now you should return to that list with a new question. How will
this new project affect the operations of these departments and
groups? If you find your project causes significant change in multiple
business units, your project must be a Class 1 to ensure proper gov-

ernance when decisions are made. This will also likely result in a
larger Project Team comprised of representatives from the different
organizations. Keeping all of those people informed and moving in
the right direction will tax the skills of your best Project Manager.
• Operational Impacts: What are the implications to your organization if
this project fails to deliver its expected result? Will a critical product
or service be missing? Will normal operations be interrupted? If your
organization is dependent on the success of your project, large or
small, treat it as a Class 1. One last thing. If the failure of your project
would bring public embarrassment to your organization, reduce that
risk with full Project Management treatment.
The bottom line on these questions is to establish a threshold for

project risk. If this review suggests significant risk of failure, even if the
project is small, make formal Project Management a mandatory act. When
the risk is small, a reduced version may be acceptable. Answering these
questions will also help you add content to the Project Charter when you
are asked to explain any constraints or assumptions you are operating
under. It will also start you on a path of creating strategies to avoid the
risks or minimize them.
When in doubt between classifications, be safe and move to the
higher standard. If you have a project that is borderline Class 3, treat it as
a Class 2 project with a reduced level of Project Management control. The
same goes for a Class 2 that is on the edge of being a Class 1. If that is true,
the increased attention will not be significant and certainly not onerous.
Project classification determines how much planning and control
is needed on your project. It also suggests which Project Management
deliverables should be built. And it indicates what roles are needed to
make the project successful. Although you may use the criteria I’ve listed
above to determine the level of control you propose for a new project, this
classification of projects should be coordinated by a standing group. I sug-
gest you use the Initiative Coordinator along with a Project Review Board
comprised of seasoned Project Managers to classify new projects that are
exiting the Project Identification process.
15.3 Assign Project Roles

The most significant difficulty of moving proposals to projects is in
having people actually assigned to the project. Without people assigned
to the project, it may be approved but your project is not active. The most
common required project roles are the following.
15.3.1 Project Owner
Every project needs an ultimate decision maker. The buck stops with the
Project Owner. He or she is the trustee for the project to the total organi-
zation. This person or small group has the authority to make or obtain
all decisions needed to keep the project moving forward. This person
or group must be actively engaged from the beginning to the end of the
project. They understand the vision for the project and have the authority
to approve or acquire resources needed to complete the project.
15.3.2 Project Manager
This is the individual responsible for organizing, planning, controlling,
and leading the project. It is the Project Manager’s job, with the assistance
of the Project Owner and Project Team, to complete the project. If pos-
sible, avoid assigning this role to more than one person at a time. This
role is not a title, it is a JOB! Being a Project Manager is real work with
real deliverables.
15.3.3 Project Team
This should be an interdependent collection of people who have been
skill-matched to the project and are empowered to accomplish their
portion of project work. Although these people often report administra-
tively to different parts of an organization, they report functionally to the
Project Manager.
Every project class has recommended staffing requirements.
• Class 3: The greatest concern here is that someone is making sure

this project will be finished. A Project Owner and Project Manager
should be assigned to Class 3 projects, even though their time
requirements may be small.
• Class 2: A Project Owner, Project Manager, and one or more members
of a Project Team are commonly required to complete these projects.
Make sure the roles and responsibilities of the team members are
clearly defined. If the project is a true Class 2, the time demands
will be minimal. Just be careful that this group is available to do
the work. If these people are engaged in too many other activities,
especially on-call duties, and don’t have time to work on the Class 2
project, the duration may expand into Class 1 territory.
• Class 1: Every project of this class requires a Project Owner, a trained
Project Manager, and a collection of people needed to complete the
project. Based on project complexity, ownership may be represented
in layers that include Steering Entities or co-owners. The Project
Team may be structured around specific work activities managed

by Team Leaders. This is a good time to create a Staff Plan and
Responsibilities Profile to document staffing requirements.
15.4 Final Thoughts
When your project is approved and you have a formal team assigned,
it is time to launch the project. Project Identification is behind you and
you are clearly into Project Initiation territory. To put all of this material
in context, that is where I started in Chapter 1. Although you probably
worked your way through those pages earlier, it would be a good idea
to reread that content. It may be more relevant to you now. You will
understand why I call Project Identification the missing component of
the Project Life Cycle.
Think about all of the topics we’ve discussed in these pages. If you
don’t have a formal process for Project Identification and something
similar to an Initiative Proposal process, none of this goes away, it just
becomes accidental. Identifying, ranking, selecting, and staffing new
projects remain chaotic. What I’ve described is a way to change that. So
reread Chapter 1 and consider the reality of creating a Project Charter and
Project Plan when you have an Initiative Proposal in hand versus starting
from scratch. Think about the job of creating a valid governance structure
in both scenarios. And consider getting people excited about a project they
helped to propose in contrast to s imply handing out new assignments.
Good organizations with good people can pull off some pretty
marvelous things. But if you give them great tools, sound leadership, and
a logical process, they can do it on a regular basis.
Conclusion
Wow, what a journey. And you made it to the end. First, let me thank you.
You pay me such a compliment by considering my ideas and I appreciate
it. I sincerely hope this book has inspired you to formalize Project Identi-
fication and launch an Initiative Proposal program in your organization.
My primary reason for writing this book has nothing to do with finan-
cial gain. If you believe technical book writers are raking in the royalties,
I hate to disappoint you. My motivation comes from helping you change
your environment. You may be planning to use this approach at work or
in a volunteer organization. The ultimate objective should be to create or
enhance an organization where new ideas are valued and encouraged.
The whole idea of this program is to solve problems and take advan-
tage of opportunities. Not only is this concept appealing to all members of
your organization, it makes a very positive statement about your company.
The opposite is also true. What does it say about the organization where
the knowledge resources of their people are ignored? Who can criticize
employee cynicism when obvious problems go unfixed and opportunities
for dramatic improvement are ignored?
Everyone likes to be recognized by management and peers for doing
a good job. It doesn’t matter if the work is for a major corporation, a small
entrepreneurial start-up, or a charitable group. We all want to be compli-
mented for a job well done. The notions I’ve proposed in this book go even
further by recognizing people for their ideas and initiative. No longer will
people with great ideas be pushed off as being “over-zealous” or “trying to
make a name for themselves.” They will be seen as problem solvers.
89
90 Conclusion
With formal Project Identification, all proposals are treated equally.

And the success of your Initiative Proposal is no longer based on who you
work for, what political connections your boss might have, or your level of
persistence. It will be evaluated on its merit.
Some of the new proposals initiated under this program will address
limited small areas, however, some will change your world. Just how big
is your organizational vision? How willing is your company to let go of
traditional, but limiting traditions? This program will test your organiza-
tional capacity for change.
And here is the best part. Almost everything I’ve proposed in this
book utilizes resources you already have . . . your employees. It stimu-
lates them, challenges them to grow, and rewards them for creativity. No
outside experts. No consultants. You will encourage your smart people
to deliver smart ideas. How can it get any better than that? Good luck.
Appendix A: Project
Identification
A.1 Process Description
Project Identification is a repeatable process for documenting, validat-
ing, ranking, and approving Candidate Projects within an organization.
A Project Identification process considers competing business needs,
staff availability, and financial implications before selecting a Candidate
Project for Project Initiation.
A.2 Process Purpose
Due to the changing financial conditions within the total organization,
it is necessary to establish a stable process for recognizing and approving
projects for initiation. This process:
• Validates the business need for each Candidate Project

• Provides the base information for more informed financial commit-
ments to projects
• Establishes a more objective ranking of Candidate Projects
• Allows a more effective matching of skilled resources to the right
project
91
92 Appendix A: Project Identification
• Avoids over-allocating limited skilled resources

• Anticipates the need for future human resource quantities and skills
• Provides a basis for staff training
• Makes Project Initiation faster and more efficient
Because priorities, finances, and resources may change frequently, this

process should be well defined and regularly updated. It is also important
that its value is understood and supported by corporate leaders and the
business organization.
A.3 Use Criteria
This process is intended for proposed projects that:
• Are of significant size and will require considerable time, staff,

and finances to complete (Classes 1 and 2)
• Must be tightly coordinated with other active projects
• Will use new or emerging technology
• Will require new work processes
• Are intended for a new customer or unproven markets
• Will affect multiple departments or organizations
• Are highly critical to the success of the business
• Are a known high risk
This process is not intended for operational requests (Class 3) that

may be handled directly by an established operational group.
A.4 Process Flow
A.4.1 Capture Candidate Projects
An Initiative Proposal has been submitted and the organization’s senior
decision makers have determined it has merit and should be considered
for Project Initiation. The Initiative Proposal is now a Candidate Project
and should be captured in a repository for ranking and selection.
A.4.2 Rank Candidate Projects

At regular intervals (monthly, quarterly, semiannually, etc.) all Candidate
Projects that are in the repository should be ranked based on objective
criteria that include:
• Target due dates

• Impact on the total business
• Impact on the technology architecture
Appendix A: Project Identification 93
• Impact on other applications

• Project size, cost, and duration
• Project risk
Each organization should establish the criteria it considers sig-

nificant for this ranking. Rank Candidate Projects against each of these
criteria separately and then compile a single ranking with values that are
weighted based on perceived importance.
A.4.3 Evaluate Human Resources

Maintain a Skills Inventory of all corporate human resources that are avail-
able for project assignment. Additionally, an inventory of available contract
resources should also be captured. The purpose of this Skills Inventory is
to understand the true capabilities and capacities of these resources.
A.4.4 Forecast Human Resource Needs

By evaluating the Skills Inventory and the human resources needed by
Candidate Projects, anticipate the skill types and skill quantities that
will be required to support Candidate Projects when they are selected
for Project Initiation. This information can be used to:
• Anticipate skills that will be needed on future projects

• Identify when specific skills will be required
• Create a training plan for needed skills
• Counsel current employees in future opportunities
• Provide a basis for employment opportunities
• Justify the need for contract labor
A.4.5 Approve Project for Initiation

Based on the information provided by the ranking process, the orga-
nization’s senior decision makers select a specific Candidate Project
for initiation. A Project Owner and Project Manager are assigned to
the approved project. Initial members of the Project Team may also be
assigned. The approved project transitions from Project Identification to
Project Initiation.
Appendix B: Initiative
Proposal “Quick Start”
B.1 Objective
Every employee has the opportunity to see problems, conditions, or make
observations about his or her organization or community. Employees also
have the ability to identify solutions to these problems. This process is
intended to guide them as they document and propose their idea for an
initiative to address the situation.
B.2 Guidelines
B.2.1 Submission Information
Obtain a blank Initiative Proposal in Appendix C. Fill in the names of all
employees who are making this proposal along with their departments.
B.2.2 Describe the Problem, Condition, or Observation

That Inspired This Proposal
Most ideas for a new initiative result from problems or conditions that exist
in the community or within the organization. Provide a short s ummary
that describes the perceived conditions that will be addressed by this
95
96 Appendix B: Initiative Proposal “Quick Start”
initiative. This ranges from community problems to inefficient processes

to perceived waste or new products and services.
B.2.3 Provide an Overview of the Initiative You Are Proposing

Explain how you believe the problem should be addressed. Identify
what should be done to resolve the problem or condition. Included in
this information should be how the initiative will improve the commu-
nity, your department, or the total organization. Improvements generally
make something better (more efficient or better quality), faster, smaller,
or less expensive.
B.2.4 Who Will Benefit from This Initiative and How?

Any initiative should directly benefit one or more groups, organizations,
or geographic areas. List each beneficiary and what they will receive as a
result of this initiative. It is also helpful to identify beneficiaries who will
see secondary or indirect value from the proposal.
B.2.5 When Should This Initiative Be Attempted?

Identify any specific or general times when this initiative should or
should not be attempted. Explain why. Explain how long the total initia-
tive should take and when it should be completed.
B.2.6 How Much Do You Believe This Initiative Will Cost?

Provide some estimation of the total costs required to complete this
i nitiative. If it is a multiyear effort, be sure to make that clear. Remember
that total funding may be based on this projection. It is wise to c reate
a breakdown of the costs and have the details available. You may also
wish to review this estimate of cost with one or more people who have
managed similar initiatives. Be sure to consider more than just the
i nitial costs of the project. You may also need to include such things as
recurring operational costs, technology upgrade costs, and support or
maintenance costs.
B.2.7 How Should This Initiative Be Funded?

There are several potential sources for funding new initiatives. This may
include internal budgets, loans, or some form of investment funding.
If you know of conditions that would make one or more of these options
likely, explain why. It is also possible the initiative could be funded from
multiple sources.
Appendix B: Initiative Proposal “Quick Start” 97
B.2.8 What Other Groups Might Be Affected by This Initiative?

Often a project has influence on other organizations or groups, sometimes
intentional and sometimes not. Use this section to consider if other inter-
nal or external organizations are needed for this initiative’s success.
B.2.9 What Strategy Would You Propose

to Complete This Initiative?
Assuming this initiative is approved and funded, what general activities
must be accomplished to perform the initiative from beginning to end?
It is not necessary to provide great detail here, but you should provide a
general picture of the major steps required to make this initiative successful.
B.2.10 How Would You Propose to Staff This Initiative?

Explain how many people will be needed during this initiative including
their roles and when you believe they will be needed. If you are making
this proposal, it is assumed that you will play a key role. If that is not the
case, be sure to explain that here. One of the limitations on getting an
initiative approved will be the availability of staffing.
B.2.11 Other Comments?
Add any additional comments you have about your proposal that you
believe should be considered by the reviewers.
B.2.12 Format Suggestions?
When you complete your proposal, place the name of your proposal at
the top of the template where it says <Proposal Name Here> and again in
the footer area. You should also save your work with a name that makes
it recognizable to you and others who will access your document. Avoid
calling your document simply “Initiative Proposal.”
B.3 Reviewer Information
When you are satisfied with your proposal and you are ready to submit it,
the following should take place:
Step 1: Author: Uploads the completed Initiative Proposal into a central-

ized electronic repository.
Step 2: Initiative Coordinator: Recognizes the receipt of the Initiative
Proposal with a notice back to the Author. Assigns an “Under Review”
98 Appendix B: Initiative Proposal “Quick Start”
status to the proposal in the repository. Notifies the r eviewers (this

should include designated members of the organization’s manage-
ment team) that a new Initiative Proposal is available in the reposi-
tory for their review and comments. Assigns a target date for final
review of this proposal.
Step 3: Reviewers: Access the Initiative Proposal in the repository and
add their comments or suggestions.
Step 4: Senior Decision Maker: Makes final determination on the approval
or rejection of the Initiative Proposal. Notifies the Initiative Coordi-
nator that a decision has been made on this proposal.
Step 5: Initiative Coordinator: Alerts the Author of the action taken on the
Initiative Proposal. Changes the status of the proposal to match the
action of the senior decision maker.
The goal is to provide notice of this decision within 14 days from

when you first submitted your initiative. You may be called on to clarify
elements of your proposal. There are several possible outcomes to the
review process that include:
1.
Approved without changes: Your initiative has been approved. Needed
funding will be pursued following established processes. You will
likely be asked to participate in the application for funds and be
notified when funding response is received.
2.
Approved with changes: Your initiative has been approved with certain
conditions or requirements. You may need to reconsider components
of the proposal and resubmit it. Needed funding will be pursued fol-
lowing established processes. You will likely be asked to participate
in the application for funds and be notified when funding response
is received.
3.
Under Review: Some proposals cannot be decided by the senior deci-
sion maker alone. There may be formal organizational committees
asked to review your proposal and forward their recommendation
to the senior decision maker. If this action is needed, you will be
notified of the group who will review your proposal and when they
will meet.
4.
Tabled with comments: Your idea has merit but the funding or t iming
does not make it feasible at this time. If that is the case, you will
receive this explanation along with a suggested time to resubmit
your proposal.
5.
Declined with comments: If your initiative is rejected, you will receive
an explanation with this notice.
Appendix B: Initiative Proposal “Quick Start” 99
B.4 Final Notes
New ideas often require significant thought before they are feasible or
their merit is recognized. You may wish to review your proposal with
trusted colleagues or people who have worked on similar initiatives. You
are always welcome to resubmit proposals that were previously rejected.
Appendix C: Initiative
Proposal Template
101
102 Appendix C: Initiative Proposal Template
INITIATIVE PROPOSAL
Proposal Title:
Submitted By: Date Submitted:
1. What is the problem, condition or opportunity that inspired this proposal?
Initiative Proposal Template is available for download at www.tryonassoc.com.

Appendix C: Initiative Proposal Template 103
10. Other comments.
Reviewed By ... Comments/Recommendations
Name:
Name:
Appendix D: Cost Worksheet
Template
105
106 Appendix D: Cost Worksheet Template
COST WORKSHEET
Cost Item Original Cost Cost Revised
Estimated To To Project
Cost Date Complete Cost
Labor Costs: (Staff, Contract, Overtime)
Equipment and Supplies:
Facilities: (Construction, Lease/Rent, Remodel)
Computer Hardware and Software:
Training Costs:
Operational Costs: (Ongoing, repetitive)
Intangible Costs: (Cost Avoidance, Limit Liability, Lost

Opportunity, Lost Availability, Cost of Change, Contingency)
Annual Costs: (Staff, Facilities, Upgrades, Support)
Total Costs:
Cost Worksheet Template is available for download at www.tryonassoc.com.

Appendix E: Deliverable Plan
Template
107
108
DELIVERABLE PLAN
Project Name Here
Date: Date here Page 1 of 1 Version: A
ID Deliverable Deliverable Definition Work/Activities/Tasks Completion/ Approval/ Due Primary

Name Quality Criteria Certification Date Resource(s)
Process
•
•
•
•
•
•
•
•
•
•
Deliverable Plan Template is available for download at www.tryonassoc.com.

Appendix E: Deliverable Plan Template
Appendix F: Case Study
F.1 Overview
Expo Square, located in Tulsa, Oklahoma, is host to the Tulsa State
Fair along with hundreds of other events. Also known to locals as the
“Fairgrounds,” the variety of modern and unique facilities makes Expo
Square home for major attractions all year. These events range from motor
sports to bicycle races to national horse and livestock shows. Expo Square
also hosts RV shows, home improvement events, concerts, sporting events,
and swap meets of all descriptions. Please see Figure F.1.
Expo Square’s popularity is due in part to its location and facilities.
Situated on 240 acres of prime real estate near Tulsa’s epicenter, Expo
Square’s facilities feature the cavernous Exposition Building (Figure F.2)
and the historic Pavilion (Figure F.3). Recent additions are the modern
Central Park Hall, Exchange Center, and massive livestock facilities.
Because of Tulsa’s convenient “middle of America” location, Expo Square is
the site of choice for many national events and thousands of visitors every
year. The Expo Square RV Park, with full hookups for more than 300 units,
becomes a temporary city for exhibitors and vendors throughout the year.
The Tulsa State Fair runs for 11 days each year starting in late
September into early October. It features a large midway, food vendors,
livestock displays, a petting zoo, concerts, rodeo, and ice skating shows.
More than 1 million people attend the Tulsa State Fair each year, making
it one of the top 20 in the United States.
109
110
Appendix F: Case Study
Figure F.1 Expo Square map.

Appendix F: Case Study 111
Figure F.2 Exposition Building and the Golden Driller.
Figure F.3 The Pavilion.
The highly visible Exposition Building is a 400,000 square foot behe-

moth that is more than three blocks long. The massive, air conditioned and
heated structure was originally constructed to house the International
Petroleum Exposition (IPE). The size of the building now makes it an
ample location for hundreds of exhibitors during the annual Fair and
provides ideal space for large events. Each January, over 300 top race
car drivers, from across the country and several international locations,
compete in the Chili Bowl Nationals, the largest indoor midget sprint car
event in the World. A 3/8-mile dirt track fills the lower level of the Expo
Building with seating for over 10,000 spectators. Pit areas for each car are
112 Appendix F: Case Study
accommodated on the upper level. The five-day event typically sells out
a year in advance. January weather in Tulsa can be frightful but the Chili
Bowl runs in perfect climate-controlled conditions.
Over the Thanksgiving weekend each year, the Exposition Building is
home to USA BMX’s season-ending Grand National race where thousands
of bicyclists vie for top class honors. They compete on a full-sized Bicycle
Moto Cross (BMX) track constructed each year in the lower level of the
Exposition Building. Teams and vendors are located in the upper level.
Due to the high ceilings and protection from winter weather, the
Minnesota Vikings once used the Exposition Building as an indoor prac-
tice facility en route to a Super Bowl appearance.
The entrance to the Exposition Building is guarded by one of the larg-
est freestanding statues in the World . . . the Golden Driller. Originally
introduced to Tulsa during an oil equipment show, the Golden Driller was
moved to its current location in 1966 and is one of the most visited sites
in Tulsa. Standing 76 feet tall on size 393 DDD shoes, the Golden Driller
rests his arm on a real oil derrick. His image appears on thousands of
logos, t-shirts, and souvenirs. One of the most cherished trophies in all
of motor sports is the Golden Driller awarded to each year’s Chili Bowl
winner. Two-time Chili Bowl winner and NASCAR legend, Tony Stewart,
told one interviewer that he is proudest of winning his Golden Driller
over any other event, because he earned it racing against such a large field
comprised of the very best in motor sports.
Another Expo Square jewel is the Pavilion, an art deco-styled arena
constructed in 1931. The external walls of the Pavilion are decorated with
images representing Western life. The open center ring hosts circuses,
horse shows, basketball games, wresting tournaments, rodeos, ice-skating
presentations, concerts, stage shows, and large meetings. Seating approxi-
mately 6,000 people, it is an ideal option for family-oriented entertainment.
F.2 The Opportunity
With the quantity and variety of events held at Expo Square, ticket sales
were a challenge. Previously, tickets were sold by outside contractors or
the event’s promoter. Patrons were frequently confused about where to
purchase tickets and displeased with inconsistent policies and service
charges. As ticket sales commonly comprised a portion of financial settle-
ments with promoters, Expo Square found it challenging to obtain accu-
rate sales figures. Because the events were held at Expo Square, patrons
assumed the Fairgrounds was responsible for ticket operations and
complaints were directed to Expo Square senior management.
The Expo Square CEO requested a member of his staff to investigate
the potential for opening a ticket office that was owned and operated by
Expo Square. The Initiative Proposal included in this appendix is the

result of that request. The proposal was reviewed with members of the
Tulsa County Fair Board who gave permission to launch Phase 1. Expo
Ticket Xpress was created to sell tickets for Pavilion-based events. Later
that year, the southwest corner of the Pavilion became home for the
fledgling operation.
Once the ticket office became reality, the potential for a full-service
operation was apparent. A Business Plan and Project Charter were cre-
ated to extend service to other Expo Square facilities and events. New
technology was added to support handheld scanners. Expo Ticket Xpress
was operational providing ticket services for the initial seasonof an
NBA development league basketball team.
F.3 Current Operations
Today, Expo Ticket Xpress (Figure F.4) provides ticketing services for most
events held at Expo Square, including gate admissions during the Fair.
Tickets may be purchased in person at the Pavilion Ticket Office, over the
phone, or by accessing the Internet. Full-time staff remains at one man-
ager and an assistant manager. Part-time sellers swell the staff count as
high as 50 part-timers during major events. Service fees remain consis-
tent and are a fraction of those charged by major ticket agencies. Formal
policies and advanced technology enable rapid customer service and the
ability to audit results at the end of each day. Settlement with promoters
is fast and accurate.
This Initiative Proposal delivered on a truly great idea!
Figure F.4 Expo Ticket Xpress.

INITIATIVE PROPOSAL
Proposal Title: Expo Ticket Office
Submitted By: Latresa B. Date Submitted: February 2
1. What is the problem, condition or opportunity that inspired this proposal?
Expo Square currently uses subcontractors for ticket sales at major fairgrounds events,
including those that occur during the Tulsa State Fair. We perceive the issues to be ...
Significant loss of revenue that could go directly to Expo Square.
Subcontractors fail to provide the same level of customer service as could be
provided by Expo Square staff.
Customers are unsure of where to purchase tickets at Expo Square facilities.
Ticket operations are inconsistent during the year depending on the event being
held. Hours, payments and policies vary with each ticket subcontractor.
Poor experiences at the ticket office reflect on all of Expo Square.
Expo Square senior management is required to resolve customer service
problems with ticket operators, especially with major sponsors.
Th e goals of the subcontractor are inconsistent with those of Expo Square.
Establish a ticket office on Expo Square property that
Is staffed by Expo Square employees.
Operates at a consistent location and schedule.
Is directly accountable to the CEO of Expo Square.
Uses consistent technology owned or leased by Expo Square.
Uses consistent tickets sales processes for all events held at Expo Square
facilities.
Uses proven seating charts.
Services all ticket events during the year.
Beneficiaries from this proposal include ...
Expo customers – They will receive more consistent service and they will know
where and how to purchase tickets for all Expo Square events. They will also
find service fees are consistent and minimal. Customers will enjoy the use of
online purchases.
Promoters – They will be able to expect a proven ticket sales process and an
established customer base. We will also provide rapid, accurate settlement
services. Th e Expo Ticket Office will deliver event setup including online
purchases and credit card services.
Expo management – An internal ticket office will deliver total audit control over
ticket procedures and records, providing a much clearer picture of ticket sales.
They will also see reduced cost through more efficient processes. This will help
increased revenues.

If Expo Square plans to utilize this service for the Tulsa State Fair in late Setember, it is
critical to begin this process as soon as possible. In addition to completing the selection
of a ticket vendor, purchasing the technology, implementing the product and training
staff, it is important to prove the new process on smaller events prior to ticket sales time
for the Fair. Ticket sales for the Tulsa State Fair events begin by the end of August.
This initial effort will provide automated ticket sales, ticket taking and ticket accounting
for events held in the Expo Square Pavilion beginning in October. Total cost for
Phase 1 is estimated at $150,000.

Use general funds for initial setup with a portion of ticket sales fees placed in a
dedicated account for future expansion.

The organizations needed for this proposal include ...
The Accounting Department is needed to help create ticket sales policies. They
will also provide financial oversight and create audit processes.
Technology support will be needed to acquire technology including computers,
ticket printers and ticket scanners. They will need to help set up the
technical infrastructure to support ticket sales. In addition to initial setup, they
will be needed for operational support anytime there is a serviced ticket event.
Facilities will be called on to remodel space in the Fairgrounds Pavilion for a
permanent home for the ticket office. They will also be needed to make
modifications for future remote selling locations on Expo Square.
To implement a ticket office, we will...
Evaluate software and/or agencies.
Determine type of ticket sales for initial support (in-person/phone/on-line).
Select software or agency.
Establish ticket sales processes.
Establish financial processes.
Acquire hardware/equipment.
Modify facility.
Set up office.
Hire and train staff.
Run a test event.
Create ticket sales brochure packet.

Staffing should include a full-time ticket office manager, a full-time sales staff member
and at least two part-time ticket sellers for major events. Expo Square employee,
Latresa B., has two years of experience working in an automated ticket office. Because
of that work, she also has multiple contacts to fill additional positions.
10. Other comments.
Reviewed By ... Comments/Recommendations
Name:
Name:
Appendix G: Staff Plan Template
117
118 Appendix G: Staff Plan Template
This template is available for download at www.tryonassoc.com.

Business Management
Most organizations recognize the need for formal project management processes.
However, many are leaving out one of the most important elements of a project’s life
cycle—the origins of the project. Project Identification introduces a strategy that
can help organizations of every type remain relevant in their marketplace as they
strive to introduce new products and services at a rate that satisfies their customers.
In their search for fresh ideas, organizations often overlook the most significant
source of new thought—their employees.
Today’s employees are knowledgeable and able to see opportunities or solutions

to problems. Within the framework of the Project Identification process, this book
explains how to transform “great ideas” from your employees into actionable pro-
posals. It presents a simple, but powerful set of questions that has proven to deliver
a never-ending stream of inspiration to an organization.
“How do people in your organization raise fresh ideas to your decision makers? In
Project Identification: Capturing Great Ideas to Dramatically Improve Your
Organization, Chuck Tryon provides a road map to answer that question, ensuring
that all ideas are captured for future reference.”
— Paul F. Williams, Chief of Police, Springfield (MO) Police Department
“I have worked with Chuck Tryon for over 20 years and he brings a wealth of infor-
mation on Project Management. His book on Project Identification addresses a topic
that is often overlooked or trivialized. His recommendations and templates will help
you jump-start the recognition of new projects, increasing the potential for success.”
—Brent Coussens, Director of Information Management, Williams Company
“Chuck Tryon was the first consultant I ever met who worked in the real world,
the world where real projects take place. His approach is pragmatic, practical, and
effective. He brings real-world grounding to a field that too often is the stuff of fairy
tales and meaningless platitudes.”
—Sue Ratkowski, Director of Industrial Engineering, UPS (Retired)
K24320
6000 Broken Sound Parkway, NW ISBN: 978-1-4822-6212-4
Suite 300, Boca Raton, FL 33487
711 Third Avenue 90000
New York, NY 10017
an informa business 2 Park Square, Milton Park
www.crcpress.com Abingdon, Oxon OX14 4RN, UK
9 781482 262124
w w w.crcpress.com

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No claim to original U.S. Government works

International Standard Book Number-13: 978-1-4822-6213-1 (eBook - PDF)

Chapter 1 Completing the Project Life Cycle........................................... 1

Chapter 2 Framework for Project Identification....................................... 7

2.8 Forecast Future Human Resource Needs........................................... 15

Chapter 3 Defining a Candidate Project.................................................. 21

Chapter 4 What’s the Problem?.................................................................. 29

Chapter 5 You Want to Do What…?.......................................................... 33

Chapter 6 What’s in It for Me?................................................................... 39

Chapter 7 When Do We Start?................................................................... 43

Chapter 8 What Will This Cost?................................................................ 47

Chapter 9 How Will We Pay for This?...................................................... 51

Chapter 10 Who Will This Impact?............................................................. 55

Chapter 11 Here’s My Plan........................................................................... 61

Chapter 12 I’ll Need You, and You, and You …........................................ 65

Chapter 13 Gaining Approval...................................................................... 69

Chapter 14 Implementing a “Great Ideas” Program............................... 75

Chapter 15 From Proposals to Projects....................................................... 81

15.3 Assign Project Roles............................................................................... 85

Appendix A: Project Identification................................................................. 91

Appendix B: Initiative Proposal “Quick Start”............................................ 95

Appendix C: Initiative Proposal Template.................................................. 101

Appendix D: Cost Worksheet Template....................................................... 105

Appendix E: Deliverable Plan Template...................................................... 107

Appendix F: Case Study................................................................................. 109

Appendix G: Staff Plan Template..................................................................117

my three incredible grandkids; Madeline, Landon (The LJ), and Cailyn.

Completing the Project Life Cycle

1.1.1 Formalize Project Governance

1.1.2 Create a Project Charter

1.1.3 Craft a Project Plan

1.1.4 Obtain Approval to Proceed

1.2.1 Create Detailed Plans

resources, (4) assigning members of the Project Team to specific activi-

1.2.2 Track Progress against Detailed Plans

1.2.3 Assess Each Component of the Project

your technology department or an elite few. The need for team-based

and a resistance to change. Those two often lead to obsolescence in the

2.4 Great Ideas Process

2.5 Capture Candidate Projects

2.6 Rank Candidate Projects

2.7 Evaluate Human Resources

types in your inventory. Meet with experienced Project Managers to ­create

2.8 Forecast Future Human Resource Needs

2.8.1 Anticipate Skill Needs

2.8.2 Create a Training Plan

2.8.3 Future Career Opportunities

2.8.4 New Employment Profiles

2.8.5 Requirements for Contract Labor

2.9 Approve Projects for Initiation

2.9.1 Ranking, Not Priority

entire budget is consumed. Giving little attention to resource availability,

2.9.3 Assigning Initial Resources

conduct the process on a regular schedule. The ability to quantify the

Defining a Candidate Project

3.1 Everyone Has Great Ideas

3.4 Capture Your Idea

create an Initiative Proposal. (This is where you should be hearing trum-

1. What is the problem, condition, or opportunity that inspired this proposal?

Chapters 4 through 12 focus on each of these questions. I suggest­

1.1.1 Formalize Project Governance

1.1.2 Create a Project Charter

1.1.3 Craft a Project Plan

1.1.4 Obtain Approval to Proceed

1.2.1 Create Detailed Plans

1.2.2 Track Progress against Detailed Plans

1.2.3 Assess Each Component of the Project

2.4 Great Ideas Process

2.5 Capture Candidate Projects

2.6 Rank Candidate Projects

2.7 Evaluate Human Resources

types in your inventory. Meet with experienced Project Managers to create

2.8 Forecast Future Human Resource Needs

2.8.1 Anticipate Skill Needs

2.8.2 Create a Training Plan

2.8.3 Future Career Opportunities

2.8.4 New Employment Profiles

2.8.5 Requirements for Contract Labor

2.9 Approve Projects for Initiation

2.9.1 Ranking, Not Priority

2.9.3 Assigning Initial Resources

3.1 Everyone Has Great Ideas

3.4 Capture Your Idea

Chapters 4 through 12 focus on each of these questions. I suggest

3.5.1 Observe an Inefficient Process

3.5.2 Special Interest or Significant Research

4.1 Explain the Problem

4.2 Review the Source

4.3 Define the “Real” Problem

5.4.1 Faster (More Efficient)

5.4.2 Cheaper (Financial Impact)

5.4.3 Better (Higher Quality)

5.4.4 Smaller (More Compact)

5.4.5 All of the Above

7.1 Ideal Start Date

7.2 Target Completion Date

7.4 Avoid Artificial Dates

9.4 Grants and Donations

9.5 Mutually Beneficial Partnerships

13.2 Is It Time Yet?

13.3 Documented Approval Process

13.4 Direct Path for Approval

14.1.1 Give the Program a Name

14.1.2 Propose the Great Ideas Program

14.1.3 Build Core Components

14.1.4 Create Training That Explains the Great Idea Program

14.2.1 Prepare the Technology

14.2.2 Build a Proposal Repository

14.2.3 Assign an Initiative Coordinator

15.1 Reevaluate the Approved Proposal

15.2 Classify the Project

15.3 Assign Project Roles

A.4.2 Rank Candidate Projects