Project Management Plan for SRCA CERR Project
Centralized Electronic Records Repository
(CERR)
PROJECT MANAGEMENT PLAN
(PMP)
Executive Sponsor – [Linda Trujillo]
Business Owner - [Linda Trujillo]
Project Manager – [Jane Betterton]
Original Plan Date: April 3, 2013
Revision Date: 3- 9- 15 (In process of updates)
Revision: 2.1 (For PCC Review)
Contents
Revision History iv
Preparing the Project Management plan vi
About This Document vi
Project Oversight Process Memorandum – DoIT, July 2007 vi
1.0 Project Overview 7
1.1 Executive Summary- rationale for the Project 7
1.2 Funding and Sources 8
1.3 constraints 8
1.4 dependencies 8
1.5 ASSUMPTIONS 9
1.6 Initial Project Risks Identified 9
2.0 Project Authority and Organizational Structure 10
2.1 Stakeholders 10
2.2 Project Governance Structure 11
2.2.1 Project Governance – Overview 11
2.2.2 Organizational Structure & Project Governance - Description 12
2.3 Executive Reporting 14
3.0 Scope & Objectives 15
3.1 Proof of Concept Scope, Objectives & Key Outcomes 15
3.2 POC Project OBJECTIVES - Overview 16
3.3 POC Application Technical Objectives – Overview 16
3.2 POC exclusions 17
4.0 Project Deliverables and methodology 18
4.1 Project Management Life Cycle 18
4.1.1 Project Management Deliverables 18
4.1.2 Deliverable Approval Authority Designations 18
4.1.1 & 4.1.2 Project Deliverables Matrix 18
4.1.3 Deliverable Acceptance Procedure 22
4.2.2 Product Development Deliverables 23
4.2.3 Deliverable Approval Authority Designations 23
4.2.2 & 4.2.3 Product Deliverable Matrix 23
4.2.4 Deliverable Acceptance Procedure 26
5.0 Project Work 27
5.1 Work Breakdown Structure (WBS) 27
5.2 Schedule allocation - Project Timeline 33
5.3 Project Budget 34
5.3.1 Current Funding Change Request 35
5.3.2 Overall Project Funds Balance 35
5.4 Project Team 36
5.4.1 Project Team Organizational Structure 36
5.4.2 Project Team Roles and Responsibilities 36
6.0 Project Management and Controls 38
6.1 Risk and issue Management 38
6.1.1 Risk Management Strategy 38
6.1.2 Project Risk Identification and Qualification 38
6.1.3 Project Risk Prioritization Mitigation Approach 38
6.1.5 Project Risk Roles & Responsibilities 38
6.1.6 Project Risk Tracking Approach 40
6.1.7 ISSUE MANAGEMENT PROCESS 41
6.1.8 RISK/ ISSUE GOVERNANCE/ ESCALATION PROCESS 41
6.2 Scope, sCHEDULE cOST cHANGE cONTROL pROCESS 42
6.3 PERFORMANCE MEASUREMENT (PROJECT METRICS) 42
6.4 QUALITY OBJECTIVES AND CONTROL 42
7. 0 Project Close 43
7.1 Administrative Close – Define during planning 43
7.2 Contract Close 43
8.0 AttachmentS 43
2015-03-10-CERR-Project-PCC-PMP-V2.1.doc VI
Project Management Plan for SRCA CERR Project
Revision History
Revision Number / Date / CommentDraft - 1 / March 26, 2013 / First Draft to identify what information was been collected and can be used from FY14 business case and what information is required to be identified during initiation phase.
Draft – 2 / April 10, 2013 / Finished sections 1- 3 with content from FY14 Business Case for review with PC on 4- 3- 13
Draft – 3 / April 22, 2013 / Additions by JB for review with PC on 4- 24- 13
Draft – 4 / April 24, 2013 / PC & JB review and update Section 1- 3, send to core team for review
Draft – 05 / May 1, 2013 / PC, LL, MS provided comments. JB sent to JM for review
Draft – 06 / May15- 27, 2013 / JB work to update executive summary and finish remaining sections of plan
Draft – 07 / June 26, 2013 / 1. Updates to expand plan to represent $1.2M
2. Incorporate input from DoIT
3. Updates to prep for PCC meeting
Draft – 08 / July 10, 2013 / 1. Defined critical success factors
2. Aligned Project Life Cycle, & Product Life Cycle with Visio Diagram
3. Marked items in red for CERR Team review (Sections 3.2
4. Updated Section 5.2 Schedule with a high level graphic that ties to FY14 Business Case
5. Clearly marked sections that will be working on during Planning Phase
V 1.0 / July 14, 2013 to present / 1. Started making additions to align with approach and details acquired since the PCC review in July 2013. Pending release and review by team once RFP is posted and timing sequence is more established.
1.1 / January 2, 2015 / Updated all sections to reflect recent decisions to partner with DoIT to provide enterprise and billing services, utilize integrator to complete SRCA Proof of Concept to finalize design in Planning Phase, prioritize on email management
1.2 / 1- 9- 15 / Review with Bernadette. Updated plan based on input.
2.0 / 3- 5- 15 / Updates to all sections to reflect work in integrator’s SOW, inclusion of IV&V services and updated scope and timelines
2.1 / 3- 9- 15, 3- 10- 15 / Update based on current wording in PCC Presentation and alignment with integrator’s scope and timeline. Update Risk section to align with process that team will use during POC work
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.
2015-03-10-CERR-Project-PCC-PMP-V2.1.doc VI
Project Management Plan for SRCA CERR Project
1.0 Project Overview
1.1 Executive Summary- rationale for the Project
The State Records Administrator (SRA) is charged with establishing standards and procedures for the effective management of public records. Public records are defined in the Public Records Act to mean "all books, papers, maps, photographs or other documentary materials; regardless of physical form or characteristics, made or received by any agency in pursuance of law or in connection with the transaction of public business and preserved, or appropriate for preservation, by the agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the government or because of the informational and historical value of data contained therein." Since this definition extends public records to all documentary materials, regardless of format, the agency has the responsibility to address the management of public records in electronic formats.
The SRA has the statutory responsibility for carrying out the provisions of the Public Records Act (Sections 14- 3- 1 through 14- 3- 25 NMSA 1978) by establishing records management programs that are the foundation for the application of efficient and economical management of public records and providing facilities and tools necessary for the execution of the powers conferred and duties imposed by the Public Records Act. Currently, the State Records Center and Archives (SRCA) is the central- services facility that provides a record center for the storage, records management and disposition services of “physical” (inactive paper and microfilm records) records to all state executive, judicial and legislative agencies, county government offices, and institutions of higher learning.
In order to meet its statutory obligations related to electronic records the SRA has identified the need to implement the Centralized Electronic Records Repository (CERR) for the management and storage of electronic public records, with a specific emphasis and priority on the classification of e-mail records. The CERR project will support the SRA & Commission of Public Records (CPR) to take a major step in meeting its statutory obligation to provide efficient and effective records management programs with respect to all public records “regardless of physical form or characteristics”.
The primary objectives of the CERR project are:
1. Provide a standardized method and tools for State agencies to capture, manage, store and provide retrieval of electronic records
2. Implement the standardized method and tools with agencies to effectively and efficiently manage electronic records throughout their lifecycle.
Execution of this project is divided into 2 major components to align with the 2 objectives. See summary table below for an overview of the approach described in this project plan to achieve the primary objectives of the CERR Project:
CERR Primary Objectives Summary Table
# / Primary Objective / PCC Phase Where Work Will Occur / Execution Approach /1 / Provide a standardized method and tools for State agencies to capture, manage, store and provide retrieval of electronic records / Planning / Work with Integrator to conduct Proof of Concept work to develop, test and finalize standardized method and tools
2 / Implement the standardized method and tools with agencies to effectively and efficiently manage electronic records throughout their lifecycle. / Implementation / Provide agencies with Software as a Service approach and cross- functional implementation teams.
1.2 Funding and Sources
Appropriation Date / Amount / Funding Source / Funding SourceJuly 2008 (FY 09) – For Phase I (for Needs Assessment) / $150,000.00 / Laws of 2008: Chapter 3, Section 7, Item 16 / NA – Funds spent
July 2012 (FY13) – For Phase II (This project) / $450,000.00 / Laws 2012, Chapter 19, Section 7, Item 9
Laws of 2014, Chapter 63, Section 7, Item 8 / Funds to extended to 6/30/2016
July 2013 (FY14) – for Phase III (This project) / $822,400.00 / Laws of 2013, Chapter 227, Sec. 7 / Extension in Current HB2 to 6- 30- 17
Current Expiration is: 6/30/2015
Total (Excluding Phase I) / $1.272,000.00
1.3 constraints
# / Description /1 / Commission of Public Records (CPR) is a small agency and internal resources are limited
2 / Work of integrator is subject to IV&V oversight
3 / Current procurement processes are such that it is very difficult to obtain external resources/ services in a timely manner
4 / Solution must utilize HP RM to integrate with current software that is utilized to manage physical records management at the SRCA
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
# / Description / Type M,D,E /1 / Certification of Project and release of funds to procure integration services and iv&v services / M, E
2 / pilot agency identified and available to complete work required / D, e
3 / IV&V PM & Integrator Vendor Contracts awarded and authorized to start work / M, E
4 / functional schedules approved through commission process / M
1.5 ASSUMPTIONS
Assumptions are planning factors that, for planning purposes, will be considered true, real, or certain.
# / Description /1 / HP TRIM software provides features and functions needed to implement CERR (CPR currently has HP TRIM installed in production for 5 years using the Space Management module to track physical records in the record center located at SRCA)
2 / CERR software (HP- RM) will be set up in a Software as a Service configuration in the implementation phase and hosting service provider will provide agency billing.
3 / Upgrading from HP TRIM to HP RM 8 will not significantly impact current installed environment in production for tracking physical records in the record center located at SRCA
4 / Pilot agency implementations will be have the priority on management email public records.
5 / IV&V & Integrator services can be purchased through State Price Agreement List or Horizons
6 / Integrator services can be purchased through State Price Agreement List
1.6 Initial Project Risks Identified
Risk #1 - CPR Workload
Description - Workload of SRCA and staffing levels of core team continue as a concern.Current Status (3-11-15) / Probability – Medium / Impact – Work to implement CERR takes longer than expected, other work may slip or project deadlines may slip.
Mitigation Strategy – State Records Administrator (SRA) has designated CERR project work as high priority.
Contingency Plan - Request extension of funding deadline
SRA has implemented the mitigation strategy and accepted the impact on other work and projects performed by the agency. Mitigation has been affected but several personnel changes have occurred during this year (FY15) so adjustments have continued to manage the impact to the CERR Project. Additionally, the SRA has requested and received extensions on the deadlines of the funding.
Risk #2 - Acquire Services
Mitigation Strategy - None
Contingency Plan - Request extension of funding deadline
Current Status (3-11-15) / The SRA has requested and received extensions on the deadlines of the funding.
Risk #3 - Maintaining Priority