SDLC SOP 1001 - Document Governance

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The objective of this Standard Operating Procedure (SOP) is to document the procedures for periodic review and possible modification of guiding, policies and procedures for SDLC.


This SOP establishes the criteria and activities performed by the owners of each policy and/or procedure to maintain their documents.


Chief Technology Officer

Both the Owner and Engineering Department Senior Management will review each Policy and Procedure at least annually. The review will affirm that the policy or procedure accurately reflects current condition and incorporates known changes that will be rolled out in the department.

All Policies and Procedures shall be reviewed and updated within 3 months of any major organizational change (acquisition, merger, reorganization, etc.). Engineering Department Senior Management shall notify all document owners that an event driven review is to be conducted. Event driven reviews will be conducted as a project and as such will be assigned a project manager to monitor and report progress.

Term Definition/Description
Program/Project Management The systematic execution of a System Development Life Cycle (SDLC) for a release or projects that have significant impact on an organization’s service delivery. This procedure oversees the SDLC execution; thus, it relies heavily on defined procedure activities and acceptance criteria for inputs and outputs

Note: Every unit within SDLC interacts with Program/Project Management. Every release of new and enhanced features and functionality requires the commitment and effort from all departments.

Process Flow Diagrams

Process Overview


Roles and Responsibilities

Role Responsibility
Contracting Organization The Contracting Organization contracts with the performing organization to develop the product using a project discipline. The Contracting Organization represents two departments: Product and Technical Support. Product is divided into Sales and Advertising, Marketing and Product, and Strategic Development.

A brief description of each area follows.

  • Sales and Marketing: The area that sells to clients/customers in both the domestic and international markets.
  • Marketing and Product: This area manages the portfolio of features and functionality for outbound marketing.
  • Strategic Development: Research and Development group viewing opportunities in emerging markets and up-selling existing accounts.
  • Technical Support: Technical Support performs two roles in the current environment: Training and customer

support. As the Service Organization they provide customer support to end users (first level). In their role as the Training Organization they provide training to field and service engineers.

Project Manager The focal point throughout a project who ensures that the responsible party has completed with quality and comply with defined acceptance criteria. The Project Manager also acts as the conduit for communicating the progress of the project and decisions made throughout the process to the Project Sponsor Contracting Organization, and the Performing Organization.
Customer A Customer is the individual or organization who will use the project product. Note that there is a distinction for SDLC between the true customer and the Contracting Organization that acts as the customer’s representative within SDLC
Office of the Chief Executive (OCE) The Office of the Chief Executive is the executive management team at SDLC. They establish business strategy and commission projects.
Owner The Owner oversees the completion of work at a gate. They may be from the Product, Content, Technical Support, or Development areas depending on the project activities underway. The Project Sponsor assigns owners at the beginning of a project.

Each gate has an Owner who is accountable for tracking the gate requirements, maintaining the status of the gate and taking corrective action to ensure that the gate is met in a timely manner. The gate owner is also responsible for convening a meeting of the appropriate review board to approve passage of the gate. In the case of gates that have associated management phase reviews (see glossary), the gate owner convenes the review meeting and facilitates the decision making that is required at that gate. In the event that an exception arises at a gate that does not have any associated management phase review, the owner is responsible for escalating the issue to the appropriate management phase review board for resolution.

Performing Organization The Performing Organization is generally the Engineering Department. The Engineering Department consists of Development (Sustaining, Advanced and Strategic), Validation/Quality Assurance, Operations (OCC, Release Engineering, Database Administration, Network and Operations Engineering), Systems Engineering/Architecture and project management.
Program Manager The Program Manager is the individual who oversees multiple projects that are related by a type of service delivery or by feature and functionality. The Program Manager is accountable for the program and is empowered by the Office of the Chief Executive to make decisions affecting the successful outcome of the program.

The Program Manager takes an enterprise view. The Program Manager is responsible for determining the schedule for deployment of company resources and achieving the objectives of a specific program. The role includes the following additional responsibilities:

  • Managing project managers
  • Producing milestone progress reports
  • Initiating issue and risk mediation
  • Scheduling and conducting status meeting
  • Preparing status reports
  • Ensuring the project is on time, within budget program deliverables.

Program Management Office (PMO) The Program Management Office (PMO) monitors, supports and reports on SDLC's programs and projects. Program Managers provide defined periodic updates to the PMO. The PMO consolidates the efforts of all programs and technology specific projects and delivers these reports to the OCE.

The PMO is responsible for issuing standards and guidelines for planning, tracking, and reporting, and for providing project support to individual project teams.Accountability for project delivery will remain with the individual Project Manager and Program Manager.

Program Manager The Project Manager is accountable for the project and must be empowered to make decisions affecting the successful outcome of the project responsible for managing a project. This should not be confused with the project management function that exists within many organizations.

Project Managers are responsible for determining the deployment schedule for their specific project.This role includes the following additional responsibilities:

  • Reviewing progress reports
  • Taking corrective action in problem solving
  • Scheduling and conducting status meetings
  • Preparing status reports
  • Ensuring that change control procedures are being followed

Review Board The Review Board is composed of representatives from both the Performing and Contracting Organizations, as well as the Project Sponsor, Project Manager and Program Manager.Review

Boards assess the deliverables at each gate in the System Development Life Cycle to insure that requirements have been met. Also, the Review Board’s specific knowledge of the project’s goals and status allow it to make informed decisions to which they are held accountable.

Milestone/Gate reviews provide the mechanism for the management of the Performing Organization and the Contracting Organization to make decisions concerning the scope, cost and schedule of the project. At each review, the members of the Review Board are required to make decisions that are in the best interests of SDLC.

These decisions may involve making tradeoffs to arrive at an optimal decision.It may be necessary to omit or remove scope in order to satisfy cost and schedule constraints.Additional cost may be approved to maintain scope and schedule commitments. A schedule delay may be agreed upon to enable required scope to be delivered within existing budgets. Each case is unique and must be considered on its specific merits.

Service Organization The Service Organization is the unit that that provides deployment support services to the Contracting Organization for all SDLC products. Services include provision and support of deployment tools, software load support, problem resolution, phone support and deployment planning support.At SDLC the Service Organization is generally Technical Support.
Training Organization The Training Organization is the organization that provides customer installation and operations training to the Contracting Organization for all SDLC products. This generally refers to Technical Support.

Review Criteria

Policies and Procedures require periodic and event driven review to reflect the current guiding principles and practices within the Engineering Department. Therefore, the following schedule shall be observed.

Description Policies Procedureses
Annual Review 4th Quarter

1st Quarter

Event (announcement) With 3 Months With 3 Months

Activity Description

Engineering Department Senior Management

Provide information to document owners about changes in:

  • Internal Processes
  • Interacting Organizations
  • Corporate Acquisitions, Mergers, etc.
  • Organization Structure
  • Change in Business Mission or Strategy
  • Major Business Initiative

Project Management Office (PMO)

Provide information to document owners about changes in:

  • Internal Processes
  • Interacting Organizations
  • Corporate Acquisitions, Mergers, etc.
  • Organization Structure
  • Change in Business Mission or Strategy
  • Major Business Initiative

Event Driven

Executive Management provide corporate announcements, any of which may have a significant impact on the Engineering Department. Each event having a significant impact on the Engineering Department shall trigger the immediate review and modification of Policies and Procedures.Engineering Department Senior Management will lead the interpretation and necessary response to each announcement.

Event driven reviews will be handled as any other project within the Engineering Department.Project Management will be used.The Project Manager will establish a project plan and the project infrastructure to ensure plan maintenance and reporting are timely and accurate.The Program/Project Management (SOP 1000) procedure will be followed in these cases.

Annual The CTO’s Administrative Assistant will enter into MS Outlook the annual review start date for both Policies and Procedures. On the start date, s/he will forward an e-mail to each document owner notifying them that the annual review has begun (see Appendix A – Notification e-mail Template). The CTO’s Administrative Assistant will send follow-up notices on the first day of the third month. The CTO will ensure that all Policies and Procedures are updated in accordance with this schedule.

Note: It is recommended, but not mandatory, that Policies and Procedures be reviewed whenever a Document Owner changes.The time frame would follow that of any event driven review.

Review and Update

Each Policy and Procedure has a Document Owner. The document owner is stated just prior to the Table of Contents in each Document. (see Appendix B – Policy and Procedure Document Owners) The Document Owner is responsible for the review, consensus reaching, document approval and document publication. The Review and Update activities are shown below:

Activity Description

Review Documents

Review documents in light of the current (and known pending changes to) Corporate and Engineering Department environments, and identify inconsistencies and/or inaccuracies.

Analyse Exceptions

Analyze each exception as to its impact to the underlying activities that the document addresses.Major/significant impacts to the organization or an individual policy or procedure may require a process reengineering effort prior to moving forward to update a document.

Review Distribution

Review the distribution list and modify as necessary to reflect the current structure of the organization.

Prepare Modifications

Prepare proposed modifications for review and comment by those areas that are impacted by the policy or procedure.


Distribute the document to all Impacted Areas.

Review Modifications

Impacted Areas review and comment on the document. Each input and output between areas is defined in detail as to the acceptance criteria.These acceptance criteria will be used, when applicable, as the requirement(s) for passing through a SDLC Business Gate.

Review Comments

Document Owner reviews the Impacted Areas' comments.

Reach Consensus

Document Owner works with Impacted Areas to reach consensus on input and output acceptance criteria.

In cases where consensus can not be reached and the issues are technology based, the CTO shall arbitrate a resolution.

Complete Modifications

Document Owner completes modifications to finalize the document

Management Review

  • Engineering Senior Management reviews the document
    • Approved Document

Owner publishes the document to the Policy and Procedure Electronic Library and distributes the document to individuals/titles listed within the Revision History section of the document.

    • Rejected

Document is returned to the Document Owner, who repeats steps 4 to 11.

Verify Distribution Program Management or Project Manager verifies that the electronic version of the document is located in the Policy and Procedure Electronic Library and accessible to Engineering Department Staff.

Policy and Procedure Electronic Library

The Policy and Procedure Electronic Library is located on the SDLC Network. It is read only to all staff.Program Management has responsibility for version control. Therefore, only Program Management staff shall have write access to the library.

Version Control

A Policy and Procedure file will have the same name as the policy or procedure it represents.Version numbers will be used for documents under review.Any document removed from the Policy and Procedure Electronic Library will start with Version 3.The version number will be incremented with each revision.

Approved documents will be renamed to the same name as the policy or procedure it represents with the YYYYMMDD appended to the end of the file name.


Form Description
Report Template See Appendix A


  • None at this time

Tools/Software/Technology Used

Tool Description
MS-Word Word processing software
MS-Excel Spreadsheet software

Appendix A: Notification Email Template

Annual Review:

The Annual Review of SDLC Engineering Department Procedures has begun. As the owner of one or more procedures you are required to complete a review and make necessary modifications following the Document Governance Procedure.All reviews are to be completed on or before 12/31.

Procedure Owner List:

Event Driven Review

The ____________________________ event has triggered a review of SDLC Engineering Department Policies and Procedures. As the owner of one or more procedures you are required to complete a review and make necessary modifications following the Document Governance Procedure.All reviews are to be completed on or before (date – 3 months from date of notification).

Procedure Owner List: See Appendix B

Appendix B: Policy and Procedure Owners

SOP ID Owner













IT Engineering


Asset  Management










IT Engineering








Human Resources









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