National Background Check Program
PROJECT MANAGEMENT PLAN
(PMP)
Co-Executive Sponsors – Judith Parks, Terry Reusser, Ronald Burton
Project Director – Dan Maxwell
Project Manager – Tim Elsbrock and Jon Lucero
Original Plan Date: February 10, 2013
Revision Date: May 22nd, 2013
Revision: 2.0
Project Management Plan for National Background Check Project (NBCP)
Revision History iv
Agency Approval Signatures iv
Preparing the Project Management plan vi
About This Document vi
Project Oversight Process Memorandum – DoIT, July 2007 vi
1.0 Project Overview 1
Executive Summary- rationale for the Project 1
1.2 funding and sources 1
1.3 constraints 2
1.4 dependencies 2
1.5 ASSUMPTIONS 2
1.6 Initial Project Risks Identified 4
2.0 Project Authority and Organizational Structure 4
2.1 Stakeholders 4
2.2.1 Describe the organizational structure – Org Chart 6
2.2.2 Describe the role and members of the project steering committee 7
2.2.3 Organizational Boundaries, interfaces and responsibilities 8
2.3 Executive Reporting 10
3.0 Scope 10
3.1 Project Objectives 10
3.1.1 Business Objectives 10
3.1.2 Technical Objectives 11
3.2 Project exclusions 11
3.3 Critical Success Factors 11
4.0 Project Deliverables and methodology 12
4.1 Project Management Life Cycle 12
4.1.1 Project Management Deliverables 13
4.1.2 Deliverable Approval Authority Designations 13
4.1.3 Deliverable Acceptance Procedure 14
4.2 PRODUCT LIFE CYCLE 14
4.2.1 Technical Strategy 15
4.2.2 Product and Product Development Deliverables 15
4.2.4 Deliverable Acceptance Procedure 16
5.0 Project Work 17
5.1 Work Breakdown Structure (WBS) 17
5.3 Project Budget 19
5.4 Project Team 20
5.4.1 Project Team Organizational Structure 20
5.4.2 Project Team Roles and Responsibilities 21
5.6 PROJECT LOGISTICS 22
5.6.1 Project Team Training 22
6.0 Project Management and Controls 22
6.1 Risk and issue Management 22
6.1.1 Risk Management Strategy 22
6.1.2 Project Risk Identification 22
6.1.3 Project Risk Mitigation Approach 22
6.1.4 Risk Reporting and Escalation Strategy 22
6.1.5 Project Risk Tracking Approach 23
6.1.6 Issue Management 23
6.2 INDEPENDENT Verification And Validation - Iv&V 23
6.3 Scope Management Plan 24
6.3.1 Change Control 24
6.4 Project Budget Management 25
6.4.1 Budget Tracking 25
6.5 Communication Plan 25
6.5.1 Communication Matrix 25
6.5.3 Project Status Reports 26
6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS) 26
6.6.1 Baselines 26
6.7 QUALITY OBJECTIVES AND CONTROL 26
6.7.1 quality Standards 26
6.7.2 Project and Product Review and Assessments 27
6.7.3 Agency/Customer Satisfaction 27
6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS 28
6.8 CONFIGURATION MANAGEMENT 29
6.8.1 Version Control 29
6.8.2 Project Repository (Project Library) 29
6.9 PROCUREMENT MANAGEMENT PLAN 29
7. 0 Project Close 29
7.1 Administrative Close 30
7.2 Contract Close 30
Revision History
1.0 / February 10, 2012 / Planning Version for PCC certification
2.0 / May 22nd, 2013 / Implementation
2.1
2.2
Agency Approval Signatures
The signatures below indicate that this document details the current revision of Project Management Plan for the National Background Check Program.
New mexico Department of health / signature / dateProject Director
Preparing the Project Management plan
The workbook for preparation of the Project Management Plan is built around helping the project manager and the project team to use the Project Management Plan in support of successful projects. Please refer to it while developing this PMP for your project.
About This Document
Project Oversight Process Memorandum – DoIT, July 2007
“Project management plan” is a formal document approved by the executive sponsor and the Department and developed in the plan phase used to manage project execution, control, and project close.
The primary uses of the project plan are to document planning assumptions and decisions, facilitate communication among stakeholders, and documents approved scope, cost and schedule baselines.
A project plan includes at least other plans for issue escalation, change control, communications, deliverable review and acceptance, staff acquisition, and risk management.
“Project manager” means a qualified person from the lead agency responsible for all aspects of the project over the entire project management lifecycle (initiate, plan, execute, control, close). The project manager must be familiar with project scope and objectives, as well as effectively coordinate the activities of the team. In addition, the project manager is responsible for developing the project plan and project schedule with the project team to ensure timely completion of the project. The project manager interfaces with all areas affected by the project including end users, distributors, and vendors. The project manager ensures adherence to the best practices and standards of the Department.
Project product” means the final project deliverables as defined in the project plan meeting all agreed and approved acceptance criteria.
“Product development life cycle” is a series of sequential, non-overlapping phases comprised of iterative disciplines such as requirements, analysis and design, implementation, test and deployment implemented to build a product or develop a service.
Revision: 1.0 DoIT-PMO-TEM-020 v of vi
Project Management Plan for National Background Check Project (NBCP)
1.0 Project Overview
Executive Summary- rationale for the Project
The project described in this project plan reflects the next steps to improve New Mexico’s ability to the prevent abuse, neglect and exploitation of care recipients.
Established by statute in 1998 [section 19-17-1-5 NMSA 1978], the Caregivers Criminal History Screening Program (CCHSP) required caregivers to undergo a nationwide criminal history screening to ensure to the highest degree possible the prevention of abuse, neglect or financial exploitation of care recipients.
New Mexico was one of only seven states selected by the Centers for Medicare & Medicaid Services (CMS) to participate in the Background Check Pilot Program which completed in 2006. Created through the Medicare Prescription Drug, Improvement, and Modernization Act [MMA PL 108-173] major goals of the New Mexico pilot improved employer compliance and education, and created a consolidated online registry enabling care providers to search for disqualifying information.
Since the inception of the CCHSP program, however, application volume increased from 3,864 in State FY 1999 to 35,000 in FY 2010. Resource demands have been high on providers, the Department of Health (DOH) and the Department of Public Safety (DPS) to keep up with the pace and still maintain the accuracy of screening. Improvements in technologies for scanning and reporting (Live Scan and Rapback) as well as training and compliance processes are pivotal to ensuring continued protection of care recipients.
1.2 funding and sources
Efforts are funded by federal and states sources. Federal funding totaling $1.5 million comes from FY2010-2012 National Background Check Program grant (NBCP) under section 6201 of the Affordable Care Act. Non-federal match funds will be generated from NM State Licensing fees, State civil monetary penalties and fees collected to perform criminal background checks. The DOH does not plan to use any other funding sources for the funding of this project.
Source / Amount / Associated restrictions /FY2010-2012 National Background Check Program grant (NBCP) under section 6201 of the Affordable Care Act / $1.5 million / For Grant expenditures, 75% will be paid from Federal funding. Grant number:
1A1CMS330813-01-01
State funding: NM State Licensing fees, State civil monetary penalties and fees collected to perform criminal background checks / $500,000 / For Grant expenditures, 25% will be paid from State funding.
1.3 constraints
Number / Description /1 / This three-year federal Grant was awarded to New Mexico early January 201, ending in December 2013. There is potential for one year extension which would extend the funding to December 31st, 2014
2 / Current business rules may prove to be a constraint and may need to be modified to support the goals of this effort. This will require public hearings.
1.4 dependencies
Types include the following and should be associated with each dependency listed.
· Mandatory dependencies are dependencies that are inherent to the work being done.
· D- Discretionary dependencies are dependencies defined by the project management team. This may also encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle.
· E-External dependencies are dependencies that involve a relationship between project activities and non-project activities such as purchasing/procurement
Number / Description / Type M,D,E /1 / Systems selected to fulfill specific roles (IE: scanning, registry searching, employee tracking, criminal update notification) must be able to exchange information though the systems come from different vendors. / D
2 / This project will require close alignment between The DOH and The Department of Public Safety (DPS). The live scan and Rap back aspects of this project are within the purview of DPS. / M
1.5 ASSUMPTIONS
Number / Description /1 / The planning activities of DOH project manager and DPS project management must be closely integrated to ensure procurement activities and vendor development can be tightly coupled to achieve cohesive schedules.
2 / Systems coming from different vendors are able to communicate with each other as defined in the requirements.
3 / Department of Health (DOH) will take the lead in performing the outreach needed to communicate, educate and engage the DOH downstream stakeholders, such as the provider Associations and the direct care providers, necessary to make the overall project successful.
1.6 Project Risks
Significant Risks and Mitigation StrategyRisk 1: Systems selected to fulfill specific roles (IE: scanning, registry searching, employee tracking, criminal notification) do not interface properly per requirements.
Mitigation 1: The requirements and design activities of DOH project manager and DPS project management must be closely integrated so that vendor development can be tightly coupled to ensure these requirements are addressed to mitigate this potential risk.
Risk 2: There are multiple systems which all must be integrated. If the efforts of scheduling, planning and procurement process are not be well-coordinated between DOH and DPS project may become lengthy and impact project schedule.
Mitigation 2: Ensure that project planning efforts and deliverables are timely and well coordinated between agencies to allow as much time for procurement as possible.
Risk 3: This project depends on changes being made to the DPS proprietary Criminal Justice Information systems, which may slow the project down.
Mitigation 3: Project manager will attempt to escalate through DPS and IV&V to apply pressure on MorphoTrak to engage on the project.
2.0 Project Authority and Organizational Structure
2.1 Stakeholders
name / Stake in Project / Organization / Title /Judith Parks / Co-Executive Sponsor / DOH / Director - Department of Health Improvement (DHI)
Dan Maxwell / Project Director / DOH / Deputy Director
Terry Reusser / Co-Executive Sponsor / DOH / Chief Information Officer (CIO)
Ronald Burton / Co-Executive Sponsor / DPS / Chief Information Officer (CIO)
Gil Mendoza / Business Team Lead / DOH / Program Manager - CCHSP
Regina Chacon / Special Programs Mgr - TESD Records Bureau / DPS / CSO – Records Bureau Chief
Jon Lucero / LiveScan & Rapback technology planning and implementation management / DOH / Project Manager
Tim Elsbrock / Overall project planning and implementation management / DOH / Project Manager
DPS / DPS will guide other agencies in the use of new background check technology who are not in scope for this project / DPS
Health Care Providers / Understand, adapt to and comply with new processes / Associations
Care Recipients / Depending upon this project to better safeguard them from abuse, neglect and exploitation / Statewide
HFLC – Health Facilities Licensing and Certification
CSO – Chief Security Officer
2.2 Project Governance Structure
2.2.1 Describe the organizational structure – Org Chart
2.2.2 Describe the role and members of the project steering committee
Name / Group / Role / ResponsibilityDan Maxwell / NMDOH / Project Director
Steering Committee Member / §
§ Facilitate Steering Committee Meetings
§
§
§
§
§
§ Participate in planning sessions
§ Ensure project staff availability, funding, and contract management
§ Review and accept the initial risk assessment, management plan, project plan, and budget
§ Provide management review and accept changes to project plan, contract or deliverables
§ Appoint Committee and Team members
§ Attend executive requirements reviews and resolve requirements problems
§ Cast the deciding vote where a consensus cannot be reached by the Steering Committee
§ Adjudicate any appeals relative to Steering Committee decisions
§ Empower the Project Director and the Project Manager
§ Communicate with the Department of Health
§ Champion the project
§ Ensure user and sponsor acceptance
§ Contribute to lessons learned
Judith Parks / NMDOH / Co-Executive Sponsor
Steering Committee Member / § Attend and participate in meetings
§ Review and accept deliverables
§ Review presented documentation
§ Balance larger picture versus details of project
§ Review project funding and expenditures
§ Champion the project
§ Communicate with the Department of Health
Terry Reusser / NMDOH / Co-Executive Sponsor
Steering Committee Member / § Provide Information Technology guidance
§ Attend and participate in meetings
§ Review and accept deliverables
§ Review presented documentation
§ Balance larger picture versus details of project
§ Review project funding and expenditures
§ Champion the project
§ Communicate with the Department of Health
Ronald Burton / NMDOH / Co-Executive Sponsor
Steering Committee Member / § Provide Information Technology guidance
§ Attend and participate in meetings
§ Review and accept deliverables
§ Review presented documentation
§ Balance larger picture versus details of project
§ Review project funding and expenditures
§ Champion the project
§ Communicate with the DPS
Gilbert Mendoza / NMDOH / Steering Committee Member / § Champion Program requirements
§ Attend and participate in meetings
§ Review and accept deliverables
§ Review presented documentation
§ Balance larger picture versus details of project
§ Review project funding and expenditures
§ Champion the project
§ Communicate with the DPS
2.2.3 Organizational Boundaries, interfaces and responsibilities
This is a multi-agency project. While the DOH is the Grant holder, the DPS is a key contributor to the success and ongoing support of the Grant goals and will also be able to achieve other related DPS internal goals. A Memorandum of Understanding (MOU) is being developed between DOH and DPS defining the project agreements made and the services being provided. There are two Project Managers (PM) – one for each Agency. The PM from the DOH works with the PM from DPS for overall coordination. Each agency will meet internally to define needs, plan and deliver project. At times, representatives from both Agencies (i.e. Business, Technical) will meet along with PMs during appropriate forums to communicate and resolve needs regarding requirements, expectations, issues and timing.