New Mexico Treasury Offset Program
PROJECT MANAGEMENT PLAN
(PMP)
Executive Sponsor –Jason Dean
Business Owner –Roy Padilla
Project Manager – Gerrie Becker
Original Plan Date: March 29, 2013
Revision Date: October 21, 2103
Revision: 3.1
Revision History
1.0 Project Overview
1.1 Executive Summary- rationale for the Project
1.2 funding and sources
1.3 constraints
1.4 dependencies
1.5 ASSUMPTIONS
1.6 Initial Project Risks Identified
2.0 Project Authority and Organizational Structure
2.1 Stakeholders
2.2 Project Governance Structure
2.2.1 Describe the organizational structure – Org Chart
2.3 Executive Reporting
3.0 Scope
3.1 Project Objectives
3.1.1 Business Objectives
3.1.2 Technical Objectives
3.2 Project exclusions
3.3 Critical Success Factors
4.0 Project Deliverables and methodology
4.1 Project Management Life Cycle
4.1.1 Project Management Deliverables
4.1.2 Deliverable Approval Authority Designations
4.1.3 Deliverable Acceptance Procedure
4.2 PRODUCT LIFE CYCLE
4.2.1 Technical Strategy
4.2.2 Product and Product Development Deliverables
4.2.3 Deliverable Approval Authority Designations
4.2.4 Deliverable Acceptance Procedure
5.0 Project Work
5.1 Work Breakdown Structure (WBS)
5.2 Schedule allocation -Project Timeline
5.3 Project Budget
5.4 Project Team
5.4.1 Project Team Organizational Structure
5.4.2 Project Team Roles and Responsibilities
5.5 STAFF PLANNING AND Resource ACQUISITION
5.5.1 Project Staff
5.5.2 Non-Personnel resources
5.6 PROJECT LOGISTICS
5.6.1 Project Team Training
6.0 Project Management and Controls
6.1 Risk and issue Management
6.1.1 Risk Management Strategy
6.1.2 Project Risk Identification
6.1.3 Project Risk Mitigation Approach
6.1.4 Risk Reporting and Escalation Strategy
6.1.5 Project Risk Tracking Approach
6.1.6 ISSUE MANAGEMENT
6.2 INDEPENDENT Verification And Validation - Iv&V
6.3 Scope Management Plan
6.4 Project Budget Management
6.4.1 Budget Tracking
6.5 Communication Plan
6.5.1 Communication Matrix
6.5.2 Status Meetings
6.5.3 Project Status Reports
6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)
6.6.1 Baselines
6.7 QUALITY OBJECTIVES AND CONTROL
6.7.1 quality Standards
6.7.2 Project and Product Review AND ASSESSMENTS
6.7.3 Agency/Customer Satisfaction
6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS
6.8 CONFIGURATION MANAGEMENT
6.8.1 Version Control
6.8.2 Project Repository (Project Library)
6.9 PROCUREMENT MANAGEMENT PLAN
7. 0 Project Close
Revision History
Revision Number / Date / Comment1 / March 29, 2013 / Original Plan Draft
2 / August 28,2013 / Plan update
3 / October 8, 2013 / Plan update
4 / October 21, 2013 / Updated for Project Certification Committee
1.0 Project Overview
1.1 Executive Summary- rationale for the Project
The Treasury Offset Program (TOP) is a government-wide debt matching and payment offset system developed by the U.S. Department of the Treasury/Financial Management Services (DOT/FMS). TOP works by matching a data base of delinquent debts owed to various government agencies against payments made by the government. When a delinquent claimant record is matched to a payment being issued, the payment is intercepted and offset by all or part of the debt.
The New Mexico Department of Workforce Solutions (NMDWS) is now expanding the TOP system with the New Mexico Treasury Offset Program (NMTOP) application, to include all unemployment insurance overpayment due to fraud or misreported and unreported earnings. These debts will be cross matched against an individual’s Federal income tax return and any overpayment owed to the NMDWS will be deducted from the individual’s tax refund and applied to the debt.
A successful development of the NMTOP application in coordination with updates to the existing Unemployment Insurance Application is expected to achieve these goals.
1.2 funding and sources
Source / Amount / Associated restrictions / ApproversUS Department of labor –federal / $399,864 / sbr 2012 program integrity funds / NMDWS CIO, CFO DFA
DoIT
1.3 constraints
Number / Description1 / The technical architecture and corresponding hardware and software requirements are defined to align with the Unemployment Insurance Application (UIA) architecture.
2 / Any file transfers that happen between UIA,NMTOP and the TOP application and the reverse file transfers from the TOP, NMTOP and the UIA system will always be through a Secure FTP Process. Any reference to a FTP process always means ‘Secure FTP’.
1.4 dependencies
Types include the following and should be associated with each dependency listed.
- M-Mandatory dependencies
- D- Discretionary dependencies
- E-External dependencies
Number / Description / Type M,D,E
1 / Testing time windows and cycle windows of US Treasury Department / E
2 / UIA Development and Release Cycle / d
1.5 ASSUMPTIONS
Number / Description1 / The NMTOP application will be housed in the NMDWS data center.
1.6 Initial Project Risks Identified
Risk 1
Description - This implementation is dependent on the timeliness of submission of completed forms, designing processes, procedures, security, training of NMDWS staff, and maintaining audit logs for the Federal Tax Information (FTI) data form. As these processes are new and have to be developed, this is an implementation risk. / Probability:High / Impact: SignificantMitigation Strategy:Training and QA on work
Contingency Plan: Tool Tip training and quality reviews
Risk 2
Description -DOT/FMS: has specified the minimum amount of time that is required by the agency to test, approve, audit and certify the software before NMDWS can participate in TOP. This is a high risk if NMDWS needs to participate in TOP beginning in January 2014. Additional risk includes the early closure of pre implementation testing due to allowing testing through 9/30/13. This is a schedule risk. / Probability: High / Impact:Significant
Mitigation Strategy: Manage schedule
Contingency Plan: Alternative but sufficient testing approach to include phased code development
2.0 Project Authority and Organizational Structure
2.1 Stakeholders
- The NMDWS WTD is the division responsible for maintaining and operating the servers that host the NMTOP application.
- The WTD security group is responsible for maintaining the physical security for access to the NMTOP application.
- NMDWS security is responsible for the system wide security for allowing access to specific user interfaces, reports and databases.
- Office of the Cabinet Secretary is responsible for certifying legally enforceable claimant debts.
- Processing payments will be handled by Financial Management Bureau (FMB) and the Benefit Payment Control (BPC) Groups.
- The Human Resources and Training division is responsible for determining and establishing procedures, processes, and training needs for staff.
- FMS is responsible for timely processing of files that are sent from the NMTOP application and for sending payment, error/unmatched files to the Secure Server.
- NMDWS WTD is responsible for the exchange of data between the NMTOP application and TOP.
- FMB unit is responsible for validating payments received fromTOP, comparing and validating the payments with the ACH wire/transfer information from the bank, and producing reports to ensure that the payments are credited to appropriate program (Regular UI, UIX, UIFE, EB, TRA, etc.) and account.
2.2 Project Governance Structure
2.2.1 Describe the organizational structure – Org Chart
2.3 Executive Reporting
A TOPS Project SharePoint site has been created to store all documentation and notes. Team meetings are held weekly to review progress and address issues. Monthly reports compiled for senior management review internally to NMDWS. Status will also be reported monthly to DoIT.
3.0 Scope
3.1 Project Objectives
3.1.1 Business Objectives
Number / DescriptionBus. Objective 1 / NMDWS will significantly improve its collection rate for both fraud and non-fraud overpayments as well as for underpaid tax assessments including associated penalty and interest owed. NMDWS currently collections $3,401,580 annually as a result of its collections process. It is anticipated that collection will improved by 5% in the first year of operation and increase 3% annually in the subsequent 3 years.
3.1.2 Technical Objectives
Number / DescriptionTechnical Objective 1 / Ensure compliance with IRS safeguards
Technical Objective 2 / Integrate with UIA
3.2 Project exclusions
No exclusions noted.
3.3 Critical Success Factors
Number / DescriptionQuality Metric 1 / Letter accuracy as matched with UIA
Quality Metric 2 / Data accuracy on change and transfer to US Treasury.
4.0 Project Deliverables and methodology
4.1 Project Management Life Cycle
Phase / Summary of Phase / Key DeliverablesPlanning/ Preparation / Initial investigation of project, identification / acquisition of resourcing, scheduling / Funding, Charter, PMP, Schedule, ongoing meeting minutes and reports
Requirements/Design / System Requirement Interface Documents, Initial Design Concepts, Flow Charts / SRIs, Design Documents
Development/Testing / Coding, infrastructure set up and iterative testing / HW/SW set up, application complete, test case scenarios, test results
Implementation / Final testing and documentation, training, production and monitoring / Implementation Plan, Training guides, operational instruction, monthly monitoring results
4.1.1 Project Management Deliverables
4.1.1.1 Charter, PMP, Schedule
Charter, PMP, Schedule - / Deliverable Acceptance Criteria – as defined by DOITStandards for Content and Format -
Templates provided by DoIT
Quality Review -
DoIT review and approval
4.1.1.2 Meeting Minutes & Reports
Summary of meetings, action items an status reports / Deliverable Acceptance Criteria –2 days after meetings, posted to share pointStandards for Content and Format –meeting minute format, action items attached
Quality Review –Approved by PM, team option to edit
4.1.2 Deliverable Approval Authority Designations
Deliverable Number / Deliverable / Approvers (Who can approve) / Date ApprovedPRJ-DEL-001 / Project Management Plan (PMP)
PRJ-DEL-002 / Charter, PMP, Schedule
PRJ-DEL-003 / Meeting Minutes & Reports / Gerrie Becker / Ongoing
PRJ-DEL-004 / SRI & Design Document / Gerrie Becker/Sue Anne Athens / 8/2013
PRJ-DEL-005 / HW/SW Delivery / Sue Anne Athens/John Hudson / Projected 12/2013
PRJ-DEL-006 / Test Cases, Test Results / Gerrie Becker / Projected 12/2013
PRJ-DEL-007 / Implementation Plan / Sue Anne Athens/CCB / Projected / 12/2013
PRJ-DEL-008 / Training/Ops Instructions / Jason Dean/Roy Padilla / Projected 12/2013
4.1.3 Deliverable Acceptance Procedure
Document coordination is done through email approval with final documents posted to the SharePoint project site.
4.2 PRODUCT LIFE CYCLE
4.2.1 Technical Strategy
The NMTOP Application: This is a new stand-alone application that will be designed and developed to support the management and transfer of TOP data. The purpose of this application is to have a secure database, application and reporting capabilities that interact with the Department of Treasury’s TOP system and UIA. NMTOP will have all of the required security as defined in the Safeguards Procedures Report (SPR) and will reside on a segregated, secured server.
4.2.2Product and Product Development Deliverables
4.2.2.1SRI & Design Document
Systems Requirement Interfaces Document, System Architecture flows with necessary Use Cases / Deliverable Acceptance Criteria – End of the phase, reviewed for completion and correctnessStandards for Content and Format – NMDWS templates
Quality Review – Reviewed by operational team, technical review and approval by CIO
4.2.2.2 HW/SW Delivery
Delivered HW/SW / Deliverable Acceptance Criteria – passes development testing and security reviewStandards for Content and Format – as designed
Quality Review – Peer Code Review, Security Review , CIO
4.2.2.3 Test Cases, Test Results
Test Scenarios developed, test plan and results / Deliverable Acceptance Criteria – use of TFS, address all SRI itemsStandards for Content and Format – spreadsheet and report
Quality Review – Testing Team Review by BA, CIO/CCB approval
4.2.2.4 Implementation Plan
Go live process defined with coordination activities and post deployment monitoring / Deliverable Acceptance Criteria – review for completenessStandards for Content and Format – DoIT template
Quality Review –CIO/CCB approval
4.2.2.5 Training Guides/Operational Instructions
Operations instruction and inclusion in training programs / Deliverable Acceptance Criteria – Business Analyst review for completenessStandards for Content and Format – defined by Ops
Quality Review – Operation Team
5.0Project Work
5.1 Work Breakdown Structure (WBS)
Identifier / Work Package Description / Definition/Objective / Milestone1 / Schedule Start Milestone
2 / Develop/Test/Implement Claimant Intercept Letters / Ensure initial letters to inform claimants designed, and accurate. Send letters to claimants / Letters produced and sent to claimants.
2.1 / Design & Test Letter Creation Process
2.2 / Generate 1st Set of Claimant Letters
2.3 / Generate 2nd Set of Claimant Letters
2.4 / Prepare IT and Business Operations (Letters)
3 / Build/Test/Implement NMDWS-IRS Update/Maintenance Process & Infrastructure
3.1 / Build-Out Infrastructure / Ensure secure set up and capacity to process. / Infrastructure established.
3.2 / Develop & Test NMDWS-IRS Update/Maintenance System / Application specific development. / Application development testing
3.3 / Post-Start Up Development / Change/issue resolution / Application Updates
3.4 / Analyze & Develop CQ 14886 & CQ14887 / UIA changes related to TOPS / UIA change release
3.5 / Develop & Execute NMDWS Internal Function Test / BA integrated testing / Test Report
3.6 / Perform End-to-End integration Test / Final end to end testing / Final Test Report
3.7 / Perform NMDWS-IRS True-Up Test
3.8 / Implement NMDWS-IRS Update/Maintenance System / Operational GoLive
5.2Schedule allocation -Project Timeline
5.3 Project Budget
Identifier / Work Package or Budget Category / Cost1 / Contractor monthly / $250,000
2 / It equipment / $125,000
3 / temporary staff / $19,864
4 / miscellaneous / $5,000
5.4 Project Team
5.4.1 Project Team Organizational Structure
5.4.2 Project Team Roles and Responsibilities
List the team members, their role, responsibility and functional manager. Make sure to include a comprehensive listing including those from the organization managing the project, business members involved to ensure business objectives are met and the vendor members that may have a specific role.
Role / Responsibility / Name / Functional AreaBusiness Analyst / Requirement documentation, user acceptance / Suzanna Kitts, Ruth Herman / BPC
Systems Security / Oversight of design, testing and validation / Phillip Zamora, Lynn Carrier / IT
Developer / Develop design, specification and coding / Josh Rivera, / IT
System Architecture / IT architecture design and operations / John Hudson / IT
5.5 STAFF PLANNING AND Resource ACQUISITION
5.5.1 Project Staff
Resource / Cost Estimate(note deliverables based) / Estimated Hours / Availability / Skill Set / Work Product/Deliverable
Gerrie Becker / 480 / Yes / Project Manager / Management Reporting/Tracking
Lynn Carrier / $25,000 / 480 / Yes / System Security / Documentation control and security overview
Phillip Zamora / 200 / Yes / System Security / Security Architecture Design
Suzanna Kitts / 200 / Yes / Business Analyst / Requirements, testing, training
Ruth Herman / $50,000 / 200 / Yes / Business Analyst / Requirements, testing, training
Josh Rivera / $75,000 / 640 / Yes / Developer / Develop application to reformat files and track
SankaranSomasundaram / $100,000 / 640 / Yes / Developer / Design and update changes to the UIA.
John Hudson / 200 / Yes / Bureau Chief / Infrastructure support & implementation
5.5.2 Non-Personnel resources
Use this section to list services or product (HW/SW and such) needed for project
Resource / Cost Estimate / Estimated units/hours / Availability / Source / Work Product/DeliverableIt equipment / $125,000 / Infrastructure setup
5.6 PROJECT LOGISTICS
Weekly, in-person meetings will be held at the NMDWS Tiwa building. All documentation will be posted to the project’sSharePoint site.
5.6.1 Project Team Training
No training required.
6.0 Project Management and Controls
6.1 Risk and issue Management
6.1.1 Risk Management Strategy
The Project Team, in conjunction with the operations staff, has identified the risks for the project and the specific mitigations required. Reporting is done through the project manager with escalation to the CIO, business owner and executive sponsor. Risk tracking is managed with a spreadsheet and posted to the DWS project folder on our internal SharePoint site.
6.1.2 Project Risk Identification
The following risks have been identified:
- NMDWS: This implementation is dependent on the timeliness of submission of completed forms, designing processes, procedures, security, training of NMDWS staff, and maintaining audit logs for the FTI data from. As these processes are new and have to be developed this is a risk. This is an implementation risk.
- DOT/FMS:FMS has specified the minimum amount of time that is required by the agency to test, approve, audit and certify the software before NMDWS can participate in TOP. This is a high risk if NMDWS needs to participate in TOP beginning in January 2014. Additional risk includes the early closure of pre implementation testing due to allowing testing through 9/30/13. This is a schedule risk.
- WTD: WTD is responsible for housing the NMTOP application and the associated software that is required for communicating with TOP. Physical access to the server and system access to server must be restricted to authorized users only. This is a schedule risk.
6.1.3 Project Risk Mitigation Approach
- NMDWS Mitigation: A full implementation plan is in place with training provided during testing. Monitoring of files and status will ensure adjustments can be made post implementation.
- DOT/FMSMitigation: Monitor to plan. Add additional resources to keep to schedule.
- WTDMitigation: Evaluate the security profile. Ensure review and monitoring of server room access.
6.1.4 Risk Reporting and Escalation Strategy
Risk reporting will be managed by the project manager. When necessary, escalationswill proceed through the CIO, Business Owner and Executive Sponsor.
6.1.5 Project Risk Tracking Approach
Risk tracking will be managed by the project manager, weekly meetings and recorded in meeting minutes.
6.1.6 ISSUE MANAGEMENT
6.1.6.1 Internal Issue Escalation and Resolution Process
Issues will be tracked via meeting minutes and action items. Resolutions identified will be documented.
6.1.6.2 External Issue Escalation and Resolution Process
External issues will be escalated through project manager and coordinated with external agencies through the CIO.
6.2 INDEPENDENT Verification And Validation - Iv&V
IV&V-equivalent activities are performed by the IRS and US Treasury for compliance and approval to operate. Yearly audits of our security processes and procedures are performed by Social Security Administration and the IRS.
Therefore NMDWS has requested a waiver of the IV&V requirement for this project.
6.3 Scope Management Plan
6.3.1 Change Control
6.3.1.1 Change Control Process
Changes will be submitted through our HelpDesk and logged accordingly. Changes will be reviewed by the subject matter expert with an assessment and recommendation provided to the board.