SOS Business Services Software Replacement 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 Owner –Patricia Herrera, Business Services Director
Project Manager – Kari Fresquez, IT director
Original Plan Date: May 7, 2013
Revision Date:
Revision: 1.0
Project Management Plan for SOS Business Services Software Replacement 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
1.6 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
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
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)
6.7 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
APPENDIX A — Definitions
Acronyms and Abbreviations
Definitions
Revision History
Revision Number / Date / Comment1.0 / May 7, 2013 / Initial PMP by SOS CIO
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: 2.01 of vi
Project Management Plan for SOS Business Services Software Replacement 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 “silo type” filing 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 fixes” to 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 (iepaper, 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 “borrowed time” 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 stop shop” for 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 stop shop” 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.
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
1.3 Constraints
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 "key" personnel 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 : High / Impact : High
Mitigation Strategy: Hiring of additional staff members.
Contingency Plan: Have personnel from other areas assist during implementation.
Risk 4
Description -Competing Demands on staff resources -Same IT staff are involved in maintaining status quo 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: Missed Functionality in Software Replacement SOW
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 6
Description -Failure to acquire full project funding due to expanded SOW caused by Corporations Division move to SOS / Probability: HIGH / Impact: Inability to fully complete project
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.
Risk 7
Description -Underfunding in base budget for recurring support costs / Probability: MEDIUM / Impact: Inability for agency to maintain software support after product enters production
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.
Risk 8
Description -Difficulty with data conversion / Probability: LOW TO MEDIUM / Impact: Project delays
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: Delay in providing services to the public
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.
2.0 Project Authority and Organizational Structure
The Project Organization describes the roles and responsibilities of the project team. It also identifies the other organizational groups that are part of the project and graphically depicts the hierarchical configuration of those groups. It exists to clarify interaction with the project team.
2.1 Stakeholders
List all of the major stakeholders in this project, and state why they have a stake. . Stakeholders are individuals and organizations that are actively involved in the project, or whose interests may be positively or negatively affected as a result of project execution or project completion. They may also exert influence over the project and its results.
name / Stake in Project / Organization / TitleDIANNA J. DURAN / Executive sponsor / secretary of state’s office / SECRETARY OF STATE
mary quintana / executive sponsor / secretary of state’s office / deputy secretary of state
KEN ORTIZ / project sponsor / secretary of state’s office / CHIEF OF STAFF
KARI FRESQUEZ / internal project manager / IT Division / cio
IT Operations Staff / IT implementation and ongoing support / IT Division / IT Operations Staff
patricia herrera / business sponsor / business services division / division director
Business service staff / business users & Subject Matter Experts / business services division / business ops specialists
John salazar / Project Manager / CSW Enterprises / Project Manager
TBD – IV&V Vendor / IV&V dEliverables / TBD / IV&V Contrac-tor
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
Role / ResponsibilityExecutive Sponsor(s) / Ensure appropriate resources and priority is set for the project.
Project Sponsor / Ensure clear requirements and direction is provided for the project. Approve plans, schedules, and budgets, and ensure timely availability of resources.
Project Manager(s) / Ensure project resources are being managed, project deliverables are being met, deliverable acceptance is occurring, appropriate communication is occurring, and issues are being identified, reported, and mitigated and that the overall project is being completed as defined.
steering committee / Core project stakeholders including management and project team members will assist in driving the direction and decisions of the project, setting project requirements, participating in the RFP, and evaluating solution providers.
project team
- Business users
- IT Administrators
- External Solution Providers
IV&V provider / During implementation, IV&V will be utilized to ensure requirements are being implemented as defined in the planning phase of the project.
2.2.3 Organizational Boundaries, interfaces and responsibilities
Use this section to describe any special considerations regarding contact between the project team, the project manager, and individuals from various organizations involved in the project: Boundary, interface and responsibilities at the interface
Project Manager and project steering committee will interface with executive management and subject matter experts located at the PRC for product delivery requiring input from PRC department staff members. Project Manager is expected to coordinate meetings and product delivery.
2.3 Executive Reporting
Executive sponsor(s) are included in the weekly project status meetings and are included on weekly status report correspondence. Project sponsor is responsible for communicating project status to executive sponsors when they are unable to attend status meetings.