SOS Business Filing System Project
PROJECT MANAGEMENT PLAN
(PMP)
Executive Sponsor(s) – Dianna J. Duran, Secretary of State
Mary quintana, Deputy Secretary of state
Project sponsor – Ken Ortiz, Chief of staff
Business Owners –Christina Espinoza and Stacy Starr- Garcia
Business Services and Corporations Directors
Project Manager – John Salazar, CSW Enterprises
Vendor Project Manager – Raghu Chandra, PCC Technology Group
Vendor Project Executive – Vishal Hanjan, PCC Technology Group
Original Plan Date: May 7, 2013
Revision Date: May12, 2014
Revision: 5.0
Project Management Plan for SOS Business Filing System Project
Revision History
Preparing the Project Management plan
About This Document
Project Oversight Process Memorandum – DoIT, July 2007
1.0 Project Overview
1.1Executive Summary- rationale for the Project
1.2 funding and sources
1.3Constraints
1.4DEPENDENCIES
1.5ASSUMPTIONS
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
2.2.2 Describe the role and members of the project steering committee
2.2.3 Vendor Organizational Structure
2.2.4 Organizational Boundaries, interfaces and responsibilities
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)
5.4 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
6.3.1 Change Control
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)
6.7 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)
7. 0 Project Close
7.1 Administrative Close
7.2 Contract Close
AttachmentS
Acronyms and Abbreviations
Definitions
Revision History
Revision Number / Date / Comment1.0 / May 7, 2013 / Initial PMP by SOS CIO
2.0 / November 20, 2013 / Updated by PM to include Implementation Phase
3.0 / January 13, 2014 / Updated by PCC PM
1)Initial Project Risks Identified
2)Stakeholders
3)Role and Members of Steering Committee Meeting
4)Executive Reporting
5)Deliverable Approval Authority Designations
6)Risk and Issue Management
7)Communication Plan
8)Change Control Process
9)Quality Objectives and Control
10)Vendor OrganizationalStructure
4.0 / January 23, 2014 / Jointly updated by SOS PM and PCC PM in order to incorporate feedback from IV&V vendor to strengthen documentation in the following areas:
1)Change Control Process
2)Change Control Board
3)Version Control
4)Project Repository
5)Glossary
5.0 / May 12, 2015 / Update PMP with current project dashboard information and contract amendment information.
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 planis 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 cycleis 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: 2.01 of vi
Project Management Plan for SOS Business Filing System Project
1.0 Project Overview
The Project Overview sets the stage for the details of the project and begins the story of the project and plan.
1.1Executive Summary- rationale for the Project
The 15 year old Secretary of State’s Knowledgebase System (SOSKB) is running on obsolete hardware, is too old for successful equipment migration, has documented security vulnerabilities, and is currently at high risk of failing. The small IT staff is currently overburdened by reacting to problems in an overly complex and antiquated IT environment. System downtime and lost or inaccurate data is common due to the age, lack of system controls, and overall data integrity issues in the current systems. This puts the New Mexico Secretary of State’s Office (SOS) at risk of being unable to conduct its many daily statutory obligations.
Due to the constitutional amendment passed in the 2012 general election and the subsequent passing of House Bill 46 during the 2013 legislative session, the PRC Corporations Division will be moved into the SOS effective July 1, 2013. This will bring another silotypefiling system under the umbrella of the SOS that is burdensome on both users and IT staff. The current system requires redundant key entry, manual business processes, and daily IT data fixesto keep it functioning.
The SOS was awarded $220,000 in FY 13 to complete a business requirements study to analyze and document all business processes, system requirements, statutory obligations, and record retention rules within the Business Services Division and the PRC Corporations Division. Using the requirements outlined during the assessment, an RFP will be issued in June 2013 for the Business Services Software Replacement Project, in order to purchase and implement a new integrated business filings software program.
The assessment completed during FY 13 documents many inefficient and manual processes, inconsistencies in the way documents are stored (i.e.paper, digital image, or microfilm), system errors, and double key entry in both the existing SOS and PRC systems. The volume of documents filed on a daily basis combined with the inefficiencies and bugs in the software currently utilized at PRC have resulted in a huge document backlog. CSW Enterprises, the vendor charged with completing the assessment, describes the systems running at SOS as being on borrowedtime due to the inability to recover from a disaster due to the age of the systems.
The vision of the Secretary is that corporate filing transactions will be integrated into the Business Services Division creating a one-stopshopfor all business filings within the office. The Business Services Software Replacement Project will utilize the $1.215 million awarded in FY 14 to purchase and implement a customizable COTS solution for capturing business filings maintained by the SOS Business Services Division and will support the one stopshop vision of the Secretary. This original request did not account for the additional expense of integrating the corporate filings into the scope of work. The RFP will be issued so that it encompasses all business filings, including corporate, to lay the foundation of creating an integrated system, though a future funding request might be necessary due to the expansion in the scope of work.
Version 2.0 PMP Update:
The SOS developed an RFP for a replacement centralized system based upon user defined requirements, and SOS technical expertise with hardware and software products. Additionally, research was performed to identify software products successfully implemented in other states. The RFP was published in July of this year and six companies submitted proposals. The RFP proposals were evaluated in August and September, with two companies identified as Finalists. These two companies were invited to perform oral presentations and to demonstrate the proposed software solution based on software workflow scenarios developed by the SOS. One of the two Finalists demonstrated a product that in most cases exceeded all SOS requirements. The SOS is currently moving towards awarding the contract to the top finalist based upon the RFP point structure.
Version 3.0 PMP Update:
The RFP was awarded to PCC Technologies, a vendor with a solid implementation history in two other states and with an existing software framework that meets the business and technical requirements of the Office of the New Mexico Secretary of State.
1.2 funding and sources
Source / Amount / Associated restrictions / ApproversC-2 General fund / $1.215 / HB-2 Enabling legislation
PCC certification / Doit Project Certification Committee and Department of finance and administration
General Fund / $11.0 / Laws 2014, Chapter 63, Section 4 (pg 50) / NM 2014 Legislative Sesssion
General Fund / $60.0 / Laws 2015, Chapter 101, Section 4 (pg 50) / NM 2015 Legislative Sesssion
1.3Constraints
Constraints are factors that restrict the project by scope, resource, or schedule.
Number / Description1 / Internal staff resources are available only on a part time basis due to other assignments.
2 / Added time constraints must be accounted for in project schedule due to timelinefor RFP, contract and procurement process, and project certification.
3 / Budget projections have been estimated without having full project requirements defined.
4 / Budget, scope, and time of project are inter-related - a change in one changes the others.
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 / Vacant IT FTEs will be filled in order to sustain this and other project initiatives. / e
2 / Contract approval and project certification will occur at time and budget identified in project plan. / e
1.5ASSUMPTIONS
Assumptions are planning factors that, for planning purposes, will be considered true, real, or certain.
Number / Description1 / Existing technical architecture will support new system implementation
2 / Executive sponsors and leadership stakeholders support the project and will provide adequate staffing resources in the IT and business units to accomplish deliverables by the project schedule.
3 / A customizable COTS software solution will be identified that meets the critical business requirements identified during the requirements study.
4 / The project organization structure described will be put in place and used to perform work and resolve issues in a timely manner.
5 / The project charter and subsequent project management plan will be followed by the project team and updated as needed.
6 / Conversion of old hard copy or microfilm records to digital format is not budgeted or accounted for in this project scope of work.
7 / Corporations Division move to the SOS was not accounted for at the time the C-2 funds of $1.215 were requested. System requirements for Corporations Division system requirements will be included in RFP in support of the integrated system model, however, a subsequent funding request may be necessary to incorporate this expanded SOW.
1.6 Initial Project Risks Identified
In this section identify and describe how each risk will be managed. Include the steps that will be taken to maximize activity that will result in minimizing probability and impact of each risk.
Risk 1
Description -Loss of core project team members / Probability:Low / Impact: High
Mitigation Strategy:
Determine keypersonnel and develop back-up plans if that person left.
Contingency Plan:
Monitor workload and personnel assignments closely.
Risk 2
Description -Reliance on contracted resources to accomplish project goals / Probability : High / Impact: High
Mitigation Strategy:
All critical tasks are to be assigned to state personnel. Closely monitor internal staff resources and have internal staff manage outside contractor tasks and workloads.
Contingency Plan:
Make sure internal staff is trained and capable of completing project tasks.
Risk 3
Description -Current vacancies in Corporations, Business Services, and IT Division are impacting staff availability to assist with project implementation. / Probability : Low / Impact : Medium
Mitigation Strategy:
Hiring of additional staff members.
Contingency Plan:
Have personnel from other areas assist during implementation.
Risk 3 - Version 4.0 PMP Update: The NM SOS has been able to hire additional resources and is now fully staffed in the IT area. In the Business Services and Corporations area, temporary workers have been hired to assist with the workload. Due to temp workers, improvements in system design, and improved business processes, the Corporation’s backlog was reduced dramatically the past several months.
Risk 4
Description -Competing Demands on staff resources -Same IT staff are involved in maintaining existing systems while also working on new project initiatives. / Probability : High / Impact : High
Mitigation Strategy:
Executive management is strongly committed to the success of this project; resource contention is addressed regularly in weekly project meetings to facilitate resolving issues quickly and managing expectations of stakeholders
Contingency Plan:
Implement project over a longer period of time and add additional external resources as needed to accomplish project goals.
Risk 5
Description -Failure to identify all user requirements / Probability: Medium / Impact: Medium
Mitigation Strategy:
Thorough needs assessment planned with experienced subject matter experts with several levels of approval.
Contingency Plan:
Address missed functionality in future software release.
Risk 5 - Version 4.0 PMP Update: The Agency and PCC (Vendor) are conducting in-depth Joint Application Development meetings in order to document existing and future user requirements
Risk 6
Description -Failure to acquire full project funding due to expanded SOW caused by Corporations Division move to SOS / Probability: Low / Impact: Medium
Mitigation Strategy:
Request comprehensive solution that includes full SOW in RFP and attempt to acquire full solution with existing funding.
Contingency Plan:
Possible scope reduction depending on funding deficiencies and\or request additional special funds in next fiscal year to complete full project implementation.
Version 2.0 PMP Update: Risk 6 reduced to a Low Probability based on the RFP price proposal. The proposed solution will include Corporation’s functionality within the budget.
Risk 7
Description -Underfunding in base budget for recurring support costs / Probability: Low / Impact: Medium
Mitigation Strategy:
Estimation of recurring costs appears to be in line with cost reallocation.
Contingency Plan:
Request base budget expansion to cover costs or determine other cost saving measure to cover cost difference.
Version 2.0 PMP Update: Risk 7 reduced to a Low Probability based on the RFP price proposal for on-going maintenance support. Additionally, the proposed solution will include a six-month warranty period, before the annual maintenance costs kicks in. Maintenance costs, for the proposed solution, will be less than existing maintenance costs for software products to be replaced by the proposed solution.
Risk 8
Description –Difficulty with data conversion / Probability: Medium / Impact: Medium
Mitigation Strategy:
Include an analysis of data migration in scope of needs assessment; development data conversion strategy.
Contingency Plan:
None – Data migration is required but difficulties may increase project cost.
Risk 9
Description –Impacting normal business operations during project implementation / Probability: Medium / Impact: Medium
Mitigation Strategy:
Implementation and testing will be done in parallel to minimize downtime; Deployment strategy will be discussed and documented by project team; deployment will be phased by module to minimize impact to end user and public.
Contingency Plan:
Extend service hours or end user work hours to meet demand for services during deployment.
Risk 10
Description –Subject Matter Expert (SME) Availability for User Acceptance Testing (UAT) in Question. / Probability: HIGH / Impact: Medium
Mitigation Strategy: Extend service hours or SME work hours to meet demand for services during User Acceptance Testing.
Contingency Plan: Provide alternate SME resource to meet demand for services during User Acceptance Testing and Signoff on testing.
Risk 11
Description –Process for Development Database Changes could create delays. / Probability: HIGH / Impact: Medium
Mitigation Strategy: Use communication of viable options to reach a mutually acceptable process.
Contingency Plan: Provide access to PCC database administrator for changes to be made in the database.
Risk 12
Description –Online Intake Process Implementation.
- The proposed application provides an option to search the filings for all modules based on defined search criteria.
- The proposed solution has the capability to configure the online filing in one flow without a hold and approve mechanism, which was demonstrated during the Orals and also mentioned in our RFP response.
- However, the online intake process is a new requirement and the proposed application online module needs to be modified to handle the online intake process with a hold and approve mechanism.
Mitigation Strategy:
- PCC proposes to SOS team that in-house and public inquiry portions will be customized for all Segment 1 release items, which will be released on July 1st 2014.
- PCC proposes to SOS team to move online intake process as part of Segment 2 release to March’2015.
Contingency Plan: Provide an online intake process for heavily used filing such as service of process or notary or trademarks.
Risk 13