NMPERA Records Conversion Project
PROJECT MANAGEMENT PLAN
(PMP)
Executive Sponsor – Wayne Propst
Business Owner – Gabriel D. Baca
Project Manager – Gabriel D. Baca
Original Plan Date: 05/07/2015
Revision Date: 05/08/2015
Revision: 1.1
Project Management Plan for PERA RECORDS CONVERSION PROJECT
Revision History iii
Preparing the Project Management plan iv
About This Document iv
Project Oversight Process Memorandum – DoIT, July 2007 iv
1.0 Project Overview 1
1.1 Executive Summary- rationale for the Project 1
1.2 funding and sources 1
1.3 constraints 1
1.4 dependencies 1
1.5 ASSUMPTIONS 1
1.6 Initial Project Risks Identified 2
2.0 Project Authority and Organizational Structure 2
2.1 Stakeholders 2
2.2 Project Governance Structure 3
2.2.1 Describe the organizational structure – Org Chart 3
2.2.2 Describe the role and members of the project steering committee 3
2.2.3 Organizational Boundaries, interfaces and responsibilities 3
2.3 Executive Reporting 3
3.0 Scope 3
3.1 Project Objectives 3
3.1.1 Business Objectives 3
3.1.2 Technical Objectives 3
3.2 Project exclusions 3
3.3 Critical Success Factors 4
4.0 Project Deliverables and methodology 4
4.1 Project Management Life Cycle 4
4.1.1 Project Management Deliverables 4
4.1.2 Deliverable Approval Authority Designations 5
4.1.3 Deliverable Acceptance Procedure 5
4.2 PRODUCT LIFE CYCLE 5
4.2.1 Technical Strategy 5
4.2.2 Product and Product Development Deliverables 6
4.2.3 Deliverable Approval Authority Designations 6
4.2.4 Deliverable Acceptance Procedure 6
5.0 Project Work 6
5.1 Work Breakdown Structure (WBS) 6
5.2 Schedule allocation -Project Timeline 7
5.3 Project Budget 7
5.4 Project Team 8
5.4.1 Project Team Organizational Structure 8
5.4.2 Project Team Roles and Responsibilities 9
5.5 STAFF PLANNING AND Resource ACQUISITION 9
5.5.1 Project Staff 9
5.5.2 Non-Personnel resources 9
5.6 PROJECT LOGISTICS 10
5.6.1 Project Team Training 10
6.0 Project Management and Controls 10
6.1 Risk and issue Management 10
6.1.1 Risk Management Strategy 11
6.1.2 Project Risk Identification 11
6.1.3 Project Risk Mitigation Approach 11
6.1.4 Risk Reporting and Escalation Strategy 11
6.1.5 Project Risk Tracking Approach 11
6.1.6 ISSUE MANAGEMENT 11
6.2 INDEPENDENT Verification And Validation - Iv&V 11
6.3 Scope Management Plan 11
6.3.1 Change Control 12
6.4 Project Budget Management 12
6.4.1 Budget Tracking 12
6.5 Communication Plan 12
6.5.1 Communication Matrix 12
6.5.2 Status Meetings 12
6.5.3 Project Status Reports 12
6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS) 12
6.6.1 Baselines 13
6.6.2 Metrics Library 13
6.7 QUALITY OBJECTIVES AND CONTROL 13
6.7.1 quality Standards 13
6.7.2 Project and Product Review AND ASSESSMENTS 14
6.7.3 Agency/Customer Satisfaction 14
6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS 14
6.8 CONFIGURATION MANAGEMENT 15
6.8.1 Version Control 15
6.8.2 Project Repository (Project Library) 15
6.9 PROCUREMENT MANAGEMENT PLAN 15
7. 0 Project Close 15
7.1 Administrative Close 16
7.2 Contract Close 16
AttachmentS 16
Revision History
Revision Number / Date / Comment1.0 / 5/07/2015 / Original Version
1.1 / 5/??/2015 / Updated for Project Certification Committee
About This Document
Project Oversight Process Memorandum – DoIT, July 2007
The “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 iv of vi
Project Management Plan for PERA RECORDS CONVERSION PROJECT
1.0 Project Overview
1.1 Executive Summary- rationale for the Project
This request is to bring the public employees' retirement association into compliance with 1.14.2 NMAC, Sections 12 through 14. We will be utilizing these funds for professional services to generate microfilm from an electronic image. Included will be system modifications to both the FileNet P8, and the retirement information online systems. The money requested will be utilized for an initial conversion of all of PERA's vital long term retention items, and will be a one-time initial fee. PERA has added funding for a yearly conversion of any new documentation imaged into the annual budget cycle to maintain and support the Records and Imaging Division’s legal retention items.
1.2 funding and sources
Source / Amount / Associated restrictions / Approvers /laws OF 2015, cHAPTER 101, sECTION 7(9) / $350,000 / NONE / Wayne Propst, PERA Executive Director and Project Certification Committee
1.3 constraints
Number / Description /1 / Assuring qualified personnel are available, so there are no delays in project funding.
2 / DOIT Project certification process, to ensure all documentation is correct and funds are released on time.
1.4 dependencies
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
1 / Scheduling quualifed HP and Softech personnel for the project / M
2 / Internal staff scheduling to ensure testing is completed and validated / M
3 / Doit project certification process, to ensure that all documenation is correct and funds are released on time. / E, M
1.5 ASSUMPTIONS
Number / Description /1 / Files are received and validated from External Vendors, to ensure death and social security files are validated in an efficient process.
2 / Internal Staff Members are available for UAT regression testing.
3 / All preliminary Membership File Audits are completed prior to scheduled conversion dates.
4 / Microfilm services will be in compliance with all SRCA regulations.
1.6 Initial Project Risks Identified
[Risk 1 Data Cleansing and Auditing of Files]
Mitigation Strategy: Schedule Internal Staff Members and manage all data processing fully in UAT environments
Contingency Plan – Maintain all current data in the production environments until all regression testing is completed.
[Risk 2 Funding Delays]
Description – Funding Delays that will cause the creation of Microfilm to be delayed. / Probability – 5% / Impact – halt project/delay deliverables to SRCAMitigation Strategy – Ensure all funding is properly secured and encumbered.
Contingency Plan - Utilize other PERA Funds
[Risk 3 Microfilm is not in compliance with SRCA standards]
Description – Microfilm is rejected by the SRCA. / Probability – 25% / Impact – halt project/delay deliverables to SRCAMitigation Strategy – Create and provide proof of concept rolls for all phases of the conversion process. This will ensure that all Film is being generated correctly.
Contingency Plan - Create new film that will comply with SRCA standards.
2.0 Project Authority and Organizational Structure
2.1 Stakeholders
name / Stake in Project / Organization / Title /Greg Trujillo / Project Oversight / PERA Member Services / Deputy Secretary
Greg Portillos / Project Oversight / PERA IT / CIO
Gabriel Baca / Records Custodian/Imaging Systems Administrator / PERA Records and IT / Records Division Manager
Vince Jaramillo / User Administrator / PERA User Administration / User Admin Manger
Krishnan Ganesan / HP Project manager / HP
Hao Lu / Softech FileNet / Softech & Associates / Project Manager imaging specialist
PERA Staff / Regression and functional testing / PERA / staff
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
Wayne Propst – PERA Executive Director, overall project funding and functional approval.
Greg Trujillo – PERA Deputy Director, overall project deliverables and functional approval
Karen Risku – PERA Legal Advisor, overall legal responsibilities of NMPERA.
Melinda Marquez – PERA Member Services Bureau Chief, overall approval of the membership file audits, and the RIO removal and deletion processes.
Gabriel D. Baca – PERA Records Division Manager, overall approval of the records and retention policies and procedures, approval of all records destruction. Approval of all Softech & Associates deliverables.
Vince Jaramillo – PERA User Administration Manager, overall approval of the HP deliverables, and the RIO process.
2.2.3 Organizational Boundaries, interfaces and responsibilities
The PERA project manager will be responsible with all coordination of all teams, and all management functions. The executive members will approve any changes to the original scope of this project through a change request process. The change request process will consist of documenting and approving any and all changes to the scope, project deliverables, or time frames defined in the original project.
2.3 Executive Reporting
3.0 Scope
3.1 Project Objectives
3.1.1 Business Objectives
Number / Description /Bus. Objective 1 / Modification and implementation of a process that will readily identify deceased members and their accounts. This will allow for a stronger outreach to next of kin, to ensure that all membership accounts are properly refunded, or maintained through survivor beneficiaries. NMPERA will also be maintaining a certified copy of all NMPERA records, becoming in compliance with SRCA regulations and requirements.
Number / Description /
Bus. Objective 2 / Modification and implementation of a process that will properly process the destruction of electronic information, which will be incompliance with all SRCA regulation and guidelines.
3.1.2 Technical Objectives
Number / Description /Technical Objective 1 / To update current RIO system and LOB databases with a process that will allow for the flagging, tracking and reporting of deceased members. This process will allow for NMPERA to properly destroy all electronic information held in the LOB data base.
Technical objective 2 / NMPERA will also be setting an automated process to update the LOB imaging database with dates of deaths, and dates of survivor information. Included in this process will be the creation of a bi-yearly microfilm creation process, which will also update both the imaging and the LOB database with information for auditing and tracking information.
3.2 Project exclusions
The RIO system and the FileNet P8 architecture and functionality will not be modified or replaced in the scope of this project. The only modifications that may need to be made are minor interface changes due to updated data requirements for both SQL databases.
3.3 Critical Success Factors
Number / Description /1 – Compliance with SRCA regulation / Updating this process will assist the PERA Records Management programs to provide for long term legal retention of vital membership files.
2 – Updating RIO deceased member data / Creation of a process which will identify deceased members, will ensure that the PERA funds are protected from payments to deceased members.
3 – deletion of deceased rio and imaging data / By maintaining a proper process of destroying electronic data and images PERA will create a business lifecycle for membership files. It will also assist with creating business processes that will clearly state PERA responsibilities and liabilities with unclaimed property involved with the deceased member process.
4 – Improved system maintenance and backup creation and retention / The database maintenance performed during this updated process will assist with shrinking maintenance hours when creating data backups. PERA IT staff will have smaller data sets to maintain, and replicate to the offsite disaster recovery center.
4.0 Project Deliverables and methodology
4.1 Project Management Life Cycle
Phase / Summary of Phase / Key DeliverablesSystem Process Review and planning / Reviewing of the current system processes and research any system changes necessary. / A Project plan that encompasses all actions to be taken by all team members
HP and Softech off-site testing of process changes. / Current support vendors to change current processes in the DEV environment, to ensure all system functions are properly working / Functional installation and process change procedures, as well as finalized functional specifications.
Onsite UAT system changes / Modification of current UAT environments with process changes. / A UAT environment to perform all testing, and validation that delivered changes meet the PERA business requirements.
Build onsite Production system changes / Deploying system process changes to the Production environment. / Configuration of all system process changes into production with successful regression testing.
Processing the destruction of eligible member files / Running all necessary data and image destruction in the Production Environment. / Detailed audit reports of all membership file deletions and the removal of all member data that is eligible for destruction.
Creation of Microfilm for the proper retention of active member files. / Produce all member image files to be written to microfilm. / Acceptable microfilm that is in compliance with SRCA regulations.
Modification to the Disaster Recovery location. / Deploy all system process changes to the Disaster Recovery site. / Fully functional DR environment.
Final regression testing of PRD and DR environments, and final project documentation. / User application utilization with new system processes are fully functional. / User and Management acceptance of the system process changes and finalized documentation.