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DDEPARTMENTEPARTMENT OFOF W WORKFORCEORKFORCE S SOLUTIONSOLUTIONS

UUNEMPLOYMENTNEMPLOYMENT I INSURANCENSURANCE T TAXAX S SYSTEMYSTEM MMODERNIZATIONODERNIZATION P PROJECTROJECT (UI TAX) (UI TAX)

PROJECT MANAGEMENT PLAN PROJECT MANAGEMENT PLAN (PMP)(PMP)

PROJECT SPONSOR – NEIL MEONI, NMDWS DEPUTY SECRETARY

BUSINESS OWNER - CASANDRA ENCINIAS, UI BUREAU CHIEF

BUSINESS OWNER – ALICE DOMINGUEZ, CHIEF OF TAX UNIT

PROJECT MANAGER – JULIE LOPEZ-CASAUS (INTERIM)ORIGINAL PLAN DATE: MAY 4, 2007REVISION DATE: DECEMBER 7, 2009

REVISION: VERSION 2.2

Table of Contents

REVISION HISTORY.............................................................................................................................................. 3

1.0 PROJECT OVERVIEW...................................................................................................................................... 4

1.1 Executive Summary—rationale for the Project.................................................................................................51.2 funding and sources..........................................................................................................................................51.3 constraints.........................................................................................................................................................61.4 dependencies....................................................................................................................................................61.5 Assumptions......................................................................................................................................................71.6 Initial Project Risks Identified............................................................................................................................7

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE.............................................................................8

2.1 Stakeholders......................................................................................................................................................92.2 Project Governance Structure.........................................................................................................................10

2.2.1 Describe the Organizational Structure – Org Chart..................................................................................102.2.2 Describe the Role and Members of the Project Steering Committee........................................................10

2.3 Executive Reporting.........................................................................................................................................13

3.0 SCOPE......................................................................................................................................................... 13

3.1 Project Objectives...........................................................................................................................................133.1.1 Business Objectives..................................................................................................................................133.1.2 Technical Objectives................................................................................................................................14

3.2 Project exclusions............................................................................................................................................143.3 Critical Success Factors....................................................................................................................................14

4.0 PROJECT DELIVERABLES AND METHODOLOGY.............................................................................................15

4.1 Project Management Life Cycle.......................................................................................................................154.1.1 Deliverables.............................................................................................................................................184.1.2 Deliverable Approval Authority Designations..........................................................................................204.1.3 Deliverable Acceptance Procedure...........................................................................................................20

4.2 PRODUCT LIFE CYCLE.......................................................................................................................................224.2.1 Technical Strategy...................................................................................................................................224.2.2 Product and Product Development Deliverables......................................................................................224.2.3 Deliverable Approval Authority Designations..........................................................................................234.2.4 Deliverable Acceptance Procedure...........................................................................................................23

5.0 PROJECT WORK........................................................................................................................................... 23

5.1 Work Breakdown Structure (WBS)..................................................................................................................235.2 Schedule allocation—Project Timeline............................................................................................................245.3 Project Budget.................................................................................................................................................245.4 Project Team...................................................................................................................................................25

5.4.1 Project Team Organizational Structure....................................................................................................255.4.2 Project Team Roles and Responsibilities..................................................................................................26

5.5 STAFF PLANNING AND Resource ACQUISITION...............................................................................................265.5.1 Project Staff.............................................................................................................................................265.5.2 Non-Personnel resources.........................................................................................................................28

5.6 PROJECT LOGISTICS.........................................................................................................................................285.6.1 Project Team Training..............................................................................................................................29

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6.0 PROJECT MANAGEMENT AND CONTROLS....................................................................................................29

6.1 Risk and issue Management............................................................................................................................296.1.1 Risk Management Strategy......................................................................................................................306.1.2 Project Risk Identification........................................................................................................................306.1.3 Project Risk Mitigation Approach............................................................................................................306.1.4 Risk Reporting and Escalation Strategy...................................................................................................316.1.5 Project Risk Tracking Approach................................................................................................................326.1.6 Issue Management..................................................................................................................................32

6.2 INDEPENDENT Verification And Validation (Iv&V)...........................................................................................336.3 Scope Management Plan.................................................................................................................................33

6.3.1 Change Control........................................................................................................................................336.4 Project Budget Management..........................................................................................................................35

6.4.1 Budget Tracking.......................................................................................................................................356.5 Communication Plan.......................................................................................................................................35

6.5.1 Communication Matrix............................................................................................................................366.5.2 Status Meetings.......................................................................................................................................376.5.3 Project Status Reports..............................................................................................................................376.5.4 Other Group Interfaces............................................................................................................................37

6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS).....................................................................................386.6.1 Baselines..................................................................................................................................................386.6.2 Metrics Library.........................................................................................................................................38

6.7 QUALITY OBJECTIVES AND CONTROL..............................................................................................................386.7.1 Quality Standards....................................................................................................................................396.7.2 Project and Product Review and Assessments.........................................................................................396.7.3 Agency/Customer Satisfaction.................................................................................................................40

6.8 CONFIGURATION MANAGEMENT...................................................................................................................406.8.1 Version Control........................................................................................................................................406.8.2 Project Repository (Project Library).........................................................................................................40

6.9 PROCUREMENT MANAGEMENT PLAN............................................................................................................41

7. 0 PROJECT CLOSE........................................................................................................................................... 41

7.1 Administrative Close........................................................................................................................................417.2 Contract Close.................................................................................................................................................41

ATTACHMENT A - ACRONYM LIST...................................................................................................................... 42

Attachment B – Change Request Form......................................................................................................................44

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REVISION HISTORYREVISION HISTORY

RREVISIONEVISION N NUMBERUMBER DDATEATE CCOMMENTOMMENT

1.0 04/20/07 Initial PMP Version for Requirements Phase

1.0a 05/02/07 Fix document reference error and finalize for Requirements Phase.

2.0 10/2/09 Revised the PMP utilizing the DoIT template (template revision date 7/27/07) as the starting point for the new document. Initial Working Draft – Chris Neitzey. Incorporates internal team review comments.

2.0a 10/12/09 Incorporated Steering Committee comments on draft submittal as well as expanding the sections on 6.1 Risk and Issue Management; 6.3 Scope Management and 6.5 Communication Plan.

2.0b 10/13/09 Incorporating comments from Roy Chandler, Julie Lopez-Casaus and Casandra Encinias.

2.0c 10/14/09 Document sent for technical edit.

2.0d 10/16/09 Additional updates to org charts, project schedule and financial representation.

2.0e 10/21/09 Incorporation of final tech edits and additional comments from Ron Martinez, John Salazar and clarifications from the Steering Committee Meeting.

2.1 10/23/09 Final Document Delivered; no additional changes.

2.1a 10/27/09 Cleared highlights

2.2 RM 12/7/09 Updates

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1.0 PROJECT OVERVIEW1.0 PROJECT OVERVIEW

The Unemployment Insurance (UI) Tax application is the second part of the Unemployment Insurance System (UI Claims System was the first segment).

The UI Tax System collects employer / employee unemployment contributions and deposits the contributions into Federal and State trust funds so that benefit payments can be made to qualified applicants. The UI Tax System and UI Claim system need full integration using a common architecture (business and technical).

The new UI Tax System will move the department to an integrated UI system, common technical and business architecture will be web/server based, and will meet federal performance and reporting requirements. NMDWS will use the Rational Unified Process (RUP) methodology and existing toolset (ClearCase, ClearQuest, RequisitePro, Robot, Rose, and TestManager) for system design, acquisition, integration and operation.

The NMDWS UI Tax System Modernization Project will be referred to as “The Project” in the remainder of this document. Below is a high-level timeline chart showing the phases of the project as it relates to the certification gates and the funding sources. The letters A-G are referenced in the 5.3 Project Budget and tie to the contracts that are funded to perform the work.

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1.1 EXECUTIVE SUMMARY—RATIONALE FOR THE PROJECT1.1 EXECUTIVE SUMMARY—RATIONALE FOR THE PROJECT

FundingSpecial Federal funds, known as Reed Act funds, have been appropriated by the legislature with a remaining amount of $9.08 million. The focus of these funds is specifically for the development of a new Unemployment Insurance Tax System that will address the problems with the current, outdated system. NMDWS is depending on additional federal funding for the implementation phase (American Recovery and Reinvestment Act (ARRA) funding). Initiation Phase has been completed, and the Planning Phase is in progress.

ScheduleThe tax system will be implemented in two independent phases with each phase being implemented over a one-year period. The Reed Act funds will cover the Initiation Phase and the Planning Phase of the project and the first portion of the Implementation Phase.

1.2 FUNDING AND SOURCES1.2 FUNDING AND SOURCES

SOURCESOURCE PHASEPHASE AMOUNTAMOUNT ASSOCIATED ASSOCIATED RESTRICTIONSRESTRICTIONS

APPROVERSAPPROVERS

Reed Act Funds Initiation and Planning

$1.95 M Department of Workforce Solutions (DWS)

Reed Act Funds Implementation $9.08 M Request for Proposal (RFP) needs to be issued by 9/1/2009 in order to allow for release of remaining funds.

Must be spent by 6/30/10.

Department of Finance and Accounting (DFA)

Department of Information Technology (DoIT)

DWS

UI Modernization Funds (ARRA)

Implementation and Closeout

To be determined based on Vendor Selected

United States Department of Labor (USDOL)

New Mexico Office or Reinvestment and Recovery (NMORR)

DFA

DoIT

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SOURCESOURCE PHASEPHASE AMOUNTAMOUNT ASSOCIATED ASSOCIATED RESTRICTIONSRESTRICTIONS

APPROVERSAPPROVERS

DWS

1.3 CONSTRAINTS1.3 CONSTRAINTSConstraints are factors that restrict the project by scope, resource, or schedule.

NNUMBERUMBER DDESCRIPTIONESCRIPTION

1 A Request for Proposal (RFP) for acquiring an Unemployment Insurance (UI) Tax System that will replace the current legacy UI Tax system and assisting in the customization and implementation of the system needs to be issued no later than September 1, 2009 in order for the New Mexico legislature to release the remaining allocated monies from the Reed Act Funds.

2 The $9.01M must be spent by June 30, 2010.

3 The new UI Tax System must interface with the UI Claims System.

4 The Legacy UI Tax System must remain functional during the transition to the new system.

1.4 DEPENDENCIES1.4 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

NUMBERNUMBER DESCRIPTIONDESCRIPTION TYPE M,D,ETYPE M,D,E

1 There is a dependency on NMDWS Purchasing/Procurement in terms of getting the requested funding approved.

E

2 UI Tax System solution needs to preserve the NMWebFile ability to allow customers a central location for submitting state employer information.

E

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1.5 ASSUMPTIONS1.5 ASSUMPTIONS


SCH1 The Project will be governed by the following prioritization of the three key interrelated constraints of project Scope, Schedule (elapsed time), and Budget. The project constraint prioritization is:

Priority (H,M,L) Constraint Comment

High Schedule The project priority is to maintain the project schedule.

Medium Scope If a scope change is requested, the change will need to be implemented in the current project timeframe (schedule).

Low Budget Budget must be preserved, but Schedule and Scope are considered and reviewed first when making project decisions.

The above prioritization will drive the manner in which the project is managed, the way changes of scope will be handled, and the approach to resolving issues. Note that project change requests that include the Budget constraint would have to be decided at the steering committee level. Change requests that do not involve the Budget constraint might be made at the project level where they will be expected to maintain the overall project Schedule and when addressing Schedule/Scope changes.

SCH2 NMDWS staff, their vendors, and contractors involved with this project will be able to meet the project schedule and timing.

SCH3 Deliverable content will be written and reviewed continuously (i.e., the team will not wait until just before the deliverable is due to write it).

SCH4 Once the project starts, any new changes in NMDWS UI Tax policies and procedures could be considered a change of scope where it impacts the work effort and will be approved through the change management process.

ADM1 For each deliverable defined as documentation, an electronic copy will be provided and stored in a central project repository that remains in control of the NMDWS Project Office; Hard copies, as defined in the contracts, will be delivered to the NMDWS Project Office where one copy will remain in the library.

LOG1 Each contractor team member who is working on the designated project office site will have an office desk with its own high-speed access to the Internet and contractor’s Internet locations.

1.6 INITIAL PROJECT RISKS IDENTIFIED1.6 INITIAL PROJECT RISKS IDENTIFIEDThe risks listed below document the initial very high risks identified by the initial review team and validated by the Steering Committee. The mitigation plans are identified to reduce possible risk or actions to address a possible occurrence. This detail is maintained in the Risk Log which attached below for further reference. Section 6.1 Risk and Issue Management describes in more detail how risks will be managed.PAGE | 7

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# Risk Prob Impact Mitigation Plan

1

Any change in direction for the architecture may have significant impact on infrastructure support and technical integration with the CLAIMS system.

Certain High

* At the time proposals are received, potential infrastructure options will be known; identify any technical integration issues at that time and address* This should be included as part of the evaluation for the vendor selection

2

Certification for Implementation Phase (3rd gate) will occur prior to full knowledge of architecture requirements by PCC. Funding approved may not adequately support the funding approved at time of vendor selection.

Expected Very High

*Preparing TARC materials with known data *Work with TARC / PCC owners to pre-identify any challenges/issues*Include in the RFP requirement at BAFO's to the vendors to include the architecture

3

Skilled term developers will not be ready to work at project start up. Identification of skills required for term developers (3) will be delayed to the event of vendor selection (i.e., system).

Certain High

*Start looking for potential candidates as soon as the proposals are received*Create Matrix for skill sets that will be required based on proposals and technology platforms.

4

Unavailability of NMDWS internal business resources will impact the project schedule and quality of reviews and acceptance of project deliverables.

Expected Very High

*Team will commit resources*Identify reviewers and approving authority as part of the planning process*Communicate target review cycles ahead of time*Allow for interim reviews

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL 2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURESTRUCTURE

The steering committee is the governing body for the project consisting of five primary members. The UI Tax project manager and the UI Tax vendors (procurement, hardware and software) all report their activities through the steering committee.

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2.1 STAKEHOLDERS2.1 STAKEHOLDERSListed below are the key stakeholders for this project but not inclusive of all the internal and external stakeholders.

NAMENAME SSTAKETAKE ININ P PROJECTROJECT OORGRG TTITLEITLE

Neil Meoni Executive Sponsor NMDWS Deputy Secretary

Jason LewisAdministrative Oversight NMDWS Chief of Staff

Clyde DeMersseman Legal Oversight NMDWS Legal Counsel

John Salazar Technical Oversight NMDWS Chief Information Officer

Casandra Encinias Business Oversight NMDWS UI Bureau Chief

Lloyd GarleyAdministrative Oversight NMDWS

Administrative Services Division Director

15 Business Units – as identified in the UI Tax Directory

Need to interface with the UI Tax System NMDWS See directory

Payroll Services – as identified in the UI Tax Directory

Need to interface with the UI Tax System

See directory See directory

External Stakeholders as identified in the UI Tax Directory

See directory

The attached file contains all individuals associated with the project including the internal and external stakeholders.

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2.2 PROJECT GOVERNANCE STRUCTURE2.2 PROJECT GOVERNANCE STRUCTURE

2.2.1 D2.2.1 DESCRIBEESCRIBE THETHE O ORGANIZATIONALRGANIZATIONAL S STRUCTURETRUCTURE – O – ORGRG C CHARTHART

This chart below represents the organizational structure for the governance of this project. This chart should be reviewed and updated when the vendor has been selected for the implementation phase to ensure this still represents how the governance will run.

2.2.2 D2.2.2 DESCRIBEESCRIBE THETHE R ROLEOLE ANDAND M MEMBERSEMBERS OFOF THETHE P PROJECTROJECT S STEERINGTEERING C COMMITTEEOMMITTEE

Steering Committee Member Name Role Agency

Neil Meoni, NMDWS Deputy Secretary Project Sponsor NMDWS

Casandra Encinias, UI Bureau Chief Business Owner NMDWS

Clyde DeMersseman, Legal Counsel Legal Oversight NMDWS

Jason Lewis, Chief of Staff Administrative Oversight NMDWS

John Salazar, CIO Technical Owner and Steering Committee Chair

NMDWS

Lloyd Garley, ASD Director Business Owner NMDWS

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2.2.3 ORGANIZATIONAL BOUNDARIES, INTERFACES AND RESPONSIBILITIES

NMDWS is the overall responsible entity, with its collective representatives and organizational units, for the project. The NMDWS responsibilities include:

Requesting and securing project funding Ensuring sufficient resources Reviewing and approving commitments to other agencies and entities Reviewing, approving, and supporting project management tools Championing the project

The project sponsor is the person for the project with the highest level authority for the project. The responsibilities of the Sponsor include:

Adjudicate appeals relative to steering committee decisions Appoint Committee and Team members Attend executive requirements reviews and resolve requirements issues Champion the project Contribute to lessons learned Support the project manager Ensure project staff availability, funding, and contract management Ensure user and sponsor acceptance of Project Deliverables and Product Deliverables Participate in planning sessions Provide management review Review/accept the initial risk assessment, management plan, project plan, and budget

The steering committee provides governance over the direction and support of the project. The steering committee is chaired by the project sponsor. The steering committee member responsibilities include:

Attendance and participation in meetings; Review and acceptance of deliverables; Review of project documents; Help to balance long term objectives with closer term project details; Review project funding and expenses; Champion the project; and, Contribute to lessons learned (both at the end of a certification gate as well as at the

end of the project). Approve changes to project plan, contract or deliverables

The agency project manager’s primary responsibility is to manage the project. The project manager:

Develops initial management and project plans and schedules; Establishes leadership for a coordinated project effort; Facilitates documentation of project assumptions, constraints, and critical success

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Facilitates development of the initial risk assessment and ongoing risk management; Facilitates meetings; Ensures that project tasks area assigned and tracked to project schedules; Establishes and adheres to plans for project change, risk, communication and quality; Reports on project status; and Generates the Project Close Report

In addition, specific oversight activities for the project manager include: Certification Gates (ensure all documentation is in order) Ensure Agency personnel are available to support project as defined in individual

plans Address any key actions that arise. Coordinate assignment of temporary personnel to

backfill for SMEs assigned to assist with the Design and Implementation Phase of the Project

The project team member is an important role in that it is the link between the vision and the reality of the project. Project Team members:

Attend and participate in meetings; Participate in the planning process; Complete tasks leading to completion and preparation of deliverables; Represent functional areas related to NMDWS business process and function; Report on progress and issues related to the project or individual tasks; Champion the project; and, Contribute to lessons learned.

The budget analyst supports the tracking and financial elements of the project. The primary roles would include:

The key point of contact for questions or recommendations on budget items; Complete BARs as necessary: Review budget information – Budget and Program should be on the same page and

both agree on information being presented to the steering committee; Work with project manager on how to obtain data for analysis; Issue combo codes to people working on the project; and Work with Financial Accounting Reporting unit as necessary for

information/reporting/etc.

The stakeholder community is comprised of individuals or organizations whose interest may be impacted by the execution or completion of the project. They may also exert influence over the project and its results. Key stakeholders include the performing organization (NMDWS): Sponsor, steering committee, project manager, and Project Team members. In addition to these internal resources named, there are other internal resources and various external resources

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Independent verification and validation (IV&V) representation is key to the quality activities of a project. This role is discussed in Section 6.2 which describes the IV&V activities for the project.

** IV&V will be managed by the Department of Information Technology (DoIT) through an MOU with DWS. DWS is responsible for funding the project. DWS is issuing an RFP to award a multi-year contract for both IV&V and PM services to allow for project continuity.

2.3 EXECUTIVE REPORTING2.3 EXECUTIVE REPORTINGThe project manager will report through the steering committee and will be responsible for overseeing the following activities through completion of the project: Project Leader for the completion of the project tasks and deliverables. Once Vendor is selected and new PM on board, the new PM will have oversight for

the Implementation and project closeout Phases of the project.

The details for project reporting and communication are found in more detail in Section 6.5 Communication Plan. There will be semi-monthly steering committee meetings which will serve as the requirement for monthly status reporting.

The steering committee meetings will be facilitated by the project manager who will ensure the following: Meeting space is secured. Meeting notification is provided at least one week prior to the meeting. Meeting Agenda will be provided at least 24 hours prior to the meeting. Meeting materials will be provided in MS Word 2003 compatible documents,

including Power Point. Meeting materials to include status on major milestones, review of any high level

issues and risks, quality of deliverables as defined in the contracts; progress on deliverables and addressing any recommendations for actions.

Meeting Minutes will be distributed between 24-72 hours after the meeting.

3.0 SCOPE3.0 SCOPE

3.1 PROJECT OBJECTIVES3.1 PROJECT OBJECTIVES3.1.1 B3.1.1 BUSINESSUSINESS O OBJECTIVESBJECTIVES


1 NMDWS has undertaken the implementation of a new UI Tax Processing System as part of an overall modernization of the NMDWS UI System. This new system will replace UI Tax processes and systems that are over 20 years old.

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2 Reduce operating costs and improve process efficiencies.

3 Electronic payment processing and fully functional self-service provides improved convenience for customers.

4 Improve on-line capabilities for the New Mexico employers.

5 Provide improved convenience to customer by providing electronic payment processing.

6 Enhanced capabilities for the employers to include real-time registration and account maintenance.

7 Eliminate manual data entry and improve timeliness and accuracy by providing electronic scanning of paper tax forms.

3.1.2 T3.1.2 TECHNICALECHNICAL O OBJECTIVESBJECTIVES


1 Replace the legacy UI Tax application with current technology and business solutions that deliver to current agency and USDOL needs.

2 Enable UI Tax application to migrate from the mainframe environment to a web-based solution.

3 Minimize the platforms that the proposed UI Tax application runs on to minimize technical support complexities.

4 Ensure there is adequate system documentation and that it is maintained.

5 Expand the skill-set of technical support personnel in their ability to support the system.

6 Allow for adequate transition to operational support which includes instructional and on the job training.

3.2 PROJECT EXCLUSIONS3.2 PROJECT EXCLUSIONSThe following is a list of items that will not be considered part of this project:

Interactive Voice Response (IVR) is not being replaced. Replacement of the UI Claims System is not part of this project.

3.3 CRITICAL SUCCESS FACTORS3.3 CRITICAL SUCCESS FACTORS

NUMBERNUMBER DESCRIPTIONDESCRIPTION

1 Adequate funding is allocated to ensure the full functionality of the system as defined by the requirements matrix.

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NUMBERNUMBER DESCRIPTIONDESCRIPTION

2 Agency personnel are given adequate time to support the project to ensure that the system has been installed and implemented within schedule/budget.

3The agency personnel must be knowledgeable in the technology being deployed on the new system to allow for their ability to adequately signoff on deliverables. If training is needed, it needs to be identified early on, and adequate time and funds need to be allotted.

4 The development environment must be consistent with that of the production environment of the Agency to ensure smooth transition.

5 Documentation must be written to support the Agency’s production environment.

6 When new business processes are defined, the team must look at the big picture to ensure seamless flow of information.

7 Consistent approach to project management for the entire project to ensure consistent status reporting and scope management (risk, issues, actions, change).

8 Test scripts need to ensure that the full process flow is addressed.

9 There needs to be a central repository for all project materials.

10 The new UI Tax System needs to be compatible with the existing UI Claims System.

11 Schedule and timeline needs to be driven by level of effort and resource availability.

12 Ensure that the team is familiar with all software tools that are utilized for this project to include testing. Training on these tools should be performed prior to their utilization.

13 Change Management needs to be adhered to.

14 Configuration Management disciplines need to be followed.

15 Steering Committee members need to be available to address issues/risks to ensure timely resolution and/or mitigation.

16 Vendor must understand the existing UI Claims system to ensure smooth integration.

4.0 PROJECT DELIVERABLES AND METHODOLOGY4.0 PROJECT DELIVERABLES AND METHODOLOGY

4.1 PROJECT MANAGEMENT LIFE CYCLE4.1 PROJECT MANAGEMENT LIFE CYCLEThe project initiation phase and the requirements portion of the planning phase have already been completed and are not included in the scope of this Project Management Plan. This PMP encompasses the RFP activities and beyond through the project closeout phase.

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Phase Summary of Phase Key Deliverables

Initiation NMDWS establishes contracts for PM, IV&V services, certifies project and budget with approving authorities and DoIT.

Since the certification process for the project t occurred prior to the current established certification guidelines, new certification documentation will be required and will be included as part of planning phase.

Project Charter

Draft PMP

Planning Project Sponsors and project manager define scope, requirements, resources, risks, work packages. Project schedule and assigned resources finalized and baselined.

Requirements phase of the project was planned separately and has been completed.

Planning for the current RFP activities were already completed at the time this plan was developed. These key milestones/deliverables will be incorporated into the Master Plan and Schedule.

Project replanning will occur when the vendor has been selected as a result of the RFP procurement. More detail will be added to the PMP and the schedule to support the finalized plan for customization and implementation of the new software.

The agency team will generate the initial technical documentation to support the architecture review and will work with the new software vendor to update as needed.

Project Management Plan which includes but not limited to the following:

Project Risk Management Plan

Project Communications Plan

Project Change Management Plan

Baselined MS Project schedule which includes the following:

Defined Project milestone dates

Defined Tasks

Defined Dependencies

Assigned Resources

RFP Activity

RFP and selection of software vendor

RFP and selection for multi-year IV&V Services (oversight at time of Vendor Selection)

RFP and selection for multi-year project manager (overall project responsibility at time of Vendor Selection)

Certification Documentation for Implementation Phase

Certification Form (new)

Project Abstract

Project Charter

Project Management Plan

Project Schedule

Contingency on IV&V (RFP will be in process, but no-one selected yet)

Architecture Review (vendor selection in process,

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but no one selected yet)

Agency CIO compliance Form

Network Architecture Design

System Hardware and Software Architecture Design

Business Continuity, Backup, and Recovery Implementation Design

Transition to Operations documentation (including hosting location and staffing)

Execution / Implementation

Project activities proceed per the tasks and milestones set forth by the project schedule and completed according to the NMDWS Project Deliverables and Objectives and Scope.

The activities listed here only represent those that are currently occurring for the planning phase of the project. At the time of vendor selection, this section will be updated to reflect updated information.

Project Management

Project Monitoring/Status Reports

Project Control of Risks, Issues, Changes

RFP Activities

The following activities will commence after vendor selection for the new UI Tax System:

IV&V Activities

Customization Activities

Transfer / Test / Implementation Activities

Training

Data Conversion Activities

Lessons Learned between Certification Gates

Monitor/Control /

Communications

Project Manager applies management and control per the protocol and methodologies described in the Project Management Plan

Semi-Monthly Project Status Reports and meetings with the steering committee which includes Budget tracking data

Monthly Project Status Report to DoIT

Facilitation of steering committee Activities

Oversight of project governance

Stakeholder Communications

Close Request that the project be officially closed and Acceptance by project sponsor.

Closeout Certification as last phase of the DoIT certification process.

Project Closeout Report

Closeout Report for Certification

Final Budget Closeout

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4.1.1 D4.1.1 DELIVERABLESELIVERABLES

This deliverables table will be updated with those required during the Implementation Phase when the vendor has been selected. This activity will occur during their planning phase of the project. Listed below are the UI Tax Project Planning deliverables and for the RFP activities only.

# Deliverable Description Date Criteria Standards Quality UI Tax Project Planning

1 Draft PMP and Schedule

Create Draft PMP to include Procurement Phase and allow for placeholders for Implementation Phase content.

10/01/09

Will follow the DoIT template standards; Reviewed by NMDWS internal team.

DoIT Template Standards

Review with project team and acceptance by the Project Business Owners

2 Final PMP and Schedule

Update the Draft PMP to include Risks, Project Communications and Project Change.

10/27/09

Will follow the DoIT template standards; Reviewed by NMDWS internal team.

DoIT Template Standards


3Certification Package Complete

Ensure that all documentation necessary for project certification is ready for PCC

11/11/09All required forms are submitted.

PCC Standards


4 Semi-Monthly Status Reports

Prepare status report for steering committee to include stoplight reporting for executive summary, current and planned deliverables and planned vs. actuals on schedule; also includes budget planned vs. actuals.

Starting 10/5/09

Reports contained required data; distributed prior to meeting.

Format agreed upon with project sponsor.

Review with project team

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# Deliverable Description Date Criteria Standards Quality

5 Monthly DoIT Status Report

Prepare monthly project status report for DoIT/POCD by 10th of each month.

Starting 10/8/09

Report completed and presented to DOIT by 10th of each month; in agreed upon format.

DoIT defined format

Review with project sponsor and CIO.

6

Semi-Monthly steering committee Meetings

Schedule and coordinate steering committee Meetings.

Starting 10/6/09

Schedule meetings; space secured; notice provided; agendas provided.

Use the Semi-Monthly Status Report as meeting materials.

Internal Team review prior to submission of report materials

RFP Activities for SW Vendor Selection

7 Issue of RFP

Oversight of the development of the RFP to ensure that it is ready to issue; work with the agency to obtain necessary content requirements.

08/14/09

RFP meets the Procurement standards; RFP is issued on mandatory target date.

RFP Procurement Standards

Internal Team review prior to submission

8Conduct Pre-Proposal Conference.

Coordinate and conduct pre-proposal conference.

08/25/09 Conference is conducted.



9

Distribute Presentation/Demonstration Agenda and Data.

Agenda and guidelines for vendor demonstrations and scenarios is created and distributed.

08/25/09

Presented at conference and posted on Agency Website.



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# Deliverable Description Date Criteria Standards Quality

10

Provide Response to Written Questions/RFP Amendments.

Answer questions that are posed by potential offerors and issue RFP Amendments as appropriate.

09/11/09

All questions are answered; legal reviews and approves; project sponsor approves; posted on State Purchasing website and sent to all potential offerors on the distribution list.



11Create Evaluation Guide

This describes how the evaluation will be conducted.

10/13/09

Standards are followed; approvals by evaluation committee, CIO and DWS Secretary.



12Oversee Proposal Evaluation

Chair the evaluation scoring sessions; record evaluation committee scores; record comments and concerns; present draft materials to the approving body.

10/30/09

Data presented to the approving body.



4.1.2 D4.1.2 DELIVERABLEELIVERABLE A APPROVALPPROVAL A AUTHORITYUTHORITY D DESIGNATIONSESIGNATIONS

All product deliverables are approved by the project steering committee following the acceptance procedure identified below.

4.1.3 D4.1.3 DELIVERABLEELIVERABLE A ACCEPTANCECCEPTANCE P PROCEDUREROCEDURE

Product deliverables will be reviewed and approved as follows:

# Activity Description Action Owner1 Core Team Initial

ReviewThe project manager will send the deliverable via email to the core working team (includes technical and business representation) for the review/approval of the document.

Project Manager

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# Activity Description Action Owner2 Core Team

ApprovalThe core working team will indicate their approval via email and include any comments that need to be addressed.

Core Team

3 Steering Committee Appointed Business/Technical Lead Approvals

The project manager will ensure that comments are addressed and then forward the deliverable along with the core team acceptance to the Business and Technical Leads as appointed by the Steering Committee for their approvals. This can also be done via email. Copies of emails can be included with the final deliverable acceptance form along with the invoice for the project sponsor to sign off.

Project Manager

4 Invoice reviews The invoices are reviewed and accepted by the person designated by the Project Sponsor prior to being submitted for approval by the project sponsor. Any issues on the invoice will be resolved prior to signature.

Project Sponsor Designee

5 Invoice Approval / Deliverable Acceptance

The project sponsor will return approved invoice and deliverable acceptance to the technical lead.

Project Sponsor

6 Approval / Acceptance Processing

The invoice will be forwarded to Accounts Payable for processing. The project manager will be informed that the deliverable has been approved and the invoice processed and provide an electronic image of the approvals.

Project Sponsor Designee

7 Document Control An electronic image of the approved deliverable acceptance form will be maintained in the project control book.

Project Manager

For project management support, there are recurring deliverables on a monthly basis to support status reporting, governance oversight and steering committee activities. Invoices for these monthly activities will occur on a monthly basis, as defined in the contract, and will not require deliverable signoff from the project sponsor.

NMDWS will have 15 days to review the deliverable and provide in writing their acceptance or their rejection of the deliverable. If it is rejected, they must provide a consolidated set of comments indicating issue, unacceptable items, and/or requested revisions accompanying the rejection. Upon rejection and receipt of comments, there will be 10 days allocated to resubmit the deliverable for approvals.

The contract deliverables will be delivered to the approving authority according to the guidelines as stipulated in appropriate contracts. The complete description is provided in the contract, however some of the key information has been repeated below:

• Deliverables will be submitted to the approving body along with the invoice for work performed.

• The approving body will determine if the Deliverable meets specifications to include: Complies with the Deliverable requirements as defined in the Statement of Work

(SOW)

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Meets the performance measures for the deliverable Meets or exceeds the generally accepted industry standards and procedure for the

deliverable

The approving body will respond back in writing within 15 days advising• Accepted • Rejected with comments.

If the deliverable has been rejected, then the contractor has 10 days to revise and resubmit.

4.2 PRODUCT LIFE CYCLE4.2 PRODUCT LIFE CYCLE This entire section to be completed when the Vendor has been selected as a result of the RFP activities.

“During the project management lifecycle, agencies shall select and implement a phase product development lifecycle methodology approved by the Department.” PROJECT OVERSIGHT PROCESS Memorandum


4.2.1 T4.2.1 TECHNICALECHNICAL S STRATEGYTRATEGY

Discuss the key technical strategies for achieving success in this project.

Hardware procurement and configuration

Software installation and configuration

Change Management

Testing Procedures

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4.2.2 P4.2.2 PRODUCTRODUCT ANDAND P PRODUCTRODUCT D DEVELOPMENTEVELOPMENT D DELIVERABLESELIVERABLES

Product Deliverables are work products or artifacts that are driven by the product management methodology requirements and standard project management practices regardless of the product requirements of the project.

4.2.2.14.2.2.1 [Deliverable 1 Name]Description

Phase I Deliverables to be defined post-RFP award.

Deliverable Acceptance Criteria -

Standards for Content and Format -

Quality Review -

4.2.24.2.2.2 [Deliverable 2 Name]

Description

Phase II Deliverables to be defined post-RFP award.

Deliverable Acceptance Criteria -

Standards for Content and Format -

Quality Review -

4.2.3 D4.2.3 DELIVERABLEELIVERABLE A APPROVALPPROVAL A AUTHORITYUTHORITY D DESIGNATIONSESIGNATIONS

Complete the following table to identify the deliverables this project is to produce, and to name the person or persons who have authority to approve each deliverable.

DDELIVERABLEELIVERABLE NNUMBERUMBER

DDELIVERABLEELIVERABLE AAPPROVERSPPROVERS (W (WHOHO CANCAN APPROVEAPPROVE))

DDATEATE AAPPROVEDPPROVED

4.2.4 D4.2.4 DELIVERABLEELIVERABLE A ACCEPTANCECCEPTANCE P PROCEDUREROCEDURE

Describe the process that this project will use for the formal acceptance of all deliverables.

Project manager will work with project team to document PMP tasks, milestones, and deliverables. These and any associated support, justification, proofs, will be submitted to the steering committee for review and acceptance.

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5.0 PROJECT WORK5.0 PROJECT WORK

5.1 WORK BREAKDOWN STRUCTURE (WBS)5.1 WORK BREAKDOWN STRUCTURE (WBS)Below is the WBS for the project as known during the Planning Phase of the project. Once the vendor has been selected as a result of the procurement activities, this section will be expanded to show refinements to the implementation phase.

ID Task Name

1 NMDWS UITax Project2 Initiation Phase4 Planning Phase5 Requirements Definition (w/o FMB)

6 Requirements Definition - FMB

7 Project Planning8 Project Management Documents30 Certification for Implementation Phase50 RFP Activities for Implementation SW Vendor selection69 RFP Activities for Implementation Phase IV&V73 RFP Activities for Implementation Phase PM79 Planning Phase Project Monitor & Control

136 Implementation Phase (3 year)137 Project Replanning139 Certification Activities144 Phase I Self Service150 Phase II - System(s) Integration156 Phase III - Claims Integration162 Closeout Phase

H1 H2 H1 H2 H1 H2 H1 H2 H1 H2 H1 H2 H1 H2 H1 H22006 2007 2008 2009 2010 2011 2012 2013

5.2 SCHEDULE ALLOCATION—PROJECT TIMELINE5.2 SCHEDULE ALLOCATION—PROJECT TIMELINEAttached below is the Microsoft Project Schedule which will be maintained in the Project Control Book. An instance of the project file is attached in this document as a starting point for the project and will be baselined when this document has been approved.

5.3 PROJECT BUDGET5.3 PROJECT BUDGET

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The table below represents the selection of contractors that support the overall implementation of the UI Tax System Modernization project. The total budget will not be known until the vendor has been selected and total projections have been incorporated for the agency. The information presented below is the known state as of 6/30/09 and will be reported and maintained at the Steering Committee Meetings.

GRP Period Activity Description Vendor Selected

Total Budget

A Apr '07 toNov '07

UI Tax Requirements Definition

Tier $ 959,642

B April '07 to Nov '07

UI Tax Requirements Phase IV&V

PDS $ 50,000

C June '08 toAug '08

2008 - Requirements Definition (FMB)

Tier $ 48,000

D May ‘09 toJan '10

2009 SW Vendor Selection RFP Contract

Davenport $ 25,000

E Oct '09 toJan '10

2009 Contract for RFP -- Implementation Phase IV&V and PM

Davenport $ 25,000

Aug '09 to Feb '10

2009-2010 Procurement Phase PM Contract

POD (Neitzey) $ 78,642

Initial / Planning Total $ 1,186,284

F Jan '10 to

Dec '122010 IV&V Contract - Implementation Phase

TBD $ -

G Jan '10 toDec '12

2010 - 2012 SW Vendor for Implementation Phase

TBD $ -

Jan '10 toDec '12

2010 PM Contract - Implementation Phase

TBD $ -

Implementation Total $ - Total Contracts $ 1,186,284

NMDWS Salaries and Benefits

(as of 6/30/09) $ 275,051

NMDWS training, software, Hardware, Travel, Allocations (as of 6/30/09)

$ 175,652

Total Internal Expenses $ 450,703

Total Project $ 1,636,987

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5.4 PROJECT TEAM5.4 PROJECT TEAM

5.4.1 P5.4.1 PROJECTROJECT T TEAMEAM O ORGANIZATIONALRGANIZATIONAL S STRUCTURETRUCTURE

Below is a representation of how the project team is organized.

5.4.2 P5.4.2 PROJECTROJECT T TEAMEAM R ROLESOLES ANDAND R RESPONSIBILITIESESPONSIBILITIES

The UI Tax Directory in Section 2.1 Stakeholders has a list of all the project team members with their roles and responsibilities included. When the vendor has been selected for the Implementation phase of the project, the team organizational chart will be updated as well as the UI Tax Directory.

5.5 STAFF PLANNING AND RESOURCE ACQUISITION5.5 STAFF PLANNING AND RESOURCE ACQUISITIONThis section will be updated when the vendor has been selected and the team is being positioned to support the implementation phase. If the platform for the software does not change with the new solution, then 3 temporary development resources may be hired to support the development effort. In addition, there will be three temporary business analyst resources and one technical support resource hired backfill behind the SME’s that will be supporting the overall project.

5.5.1 P5.5.1 PROJECTROJECT S STAFFTAFF

The following is a detailed breakdown of the roles required to execute the project. It includes: the project role, the project responsibility of the role, skills required, number of staff required fulfilling the role, the estimated start date and the expected duration the staff resource will be needed on the project.

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Role Project Responsibility

Skills Required Number of Staff

Required

Estimated Start Date

Duration Required

Project Team

Project Manager Lead team through design and implementation phase.

Project Management 1 12/1/09 37 months

Core Team Review deliverables, assure quality.

Project Management 4 1/1/10 36 months

Developer Build / modify Java components for new UI Tax system.

TBD 3 12/1/09 37 months

Interfaces / Data Conversion

Build interfaces to new system, data conversion.

Cobol, MVS, CICS, DB2, ESL

3 1/1/10 36 months

Infrastructure Support

Server admin, middleware install, DBA

Server admin, DBA 2 1/1/10 36 months

Business SMEs Business knowledge for design effort

UI Tax business knowledge

15 1/1/10 36 months

Technical SMEs Technical knowledge of legacy system

UI Tax technical knowledge

3 1/1/10 36 months

Backfill for business staff assigned to project

Assist with day-to-day UI Tax business during project.

UI Tax business knowledge

4 1/1/10 36 months

Backfill for technical staff assigned to project

Assist with day-to-day UI Tax technical support during project.

General IT experience in server / web environment

1 1/1/10 36 months

User Acceptance Testing

Test delivered functionality.

UI Tax business and application knowledge

15 4/1/10 33 months

User Account Administration

Maintain user ids on the new system.

PC and web application skills

1 1/1/10 36 months, then ongoing

Trainer Deliver training. UI Tax application knowledge

1 4/1/10 33 months

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Role Project Responsibility

Skills Required Number of Staff

Required

Estimated Start Date

Duration Required

System Maintenance

Maintain Java components for new UI Tax system.

TBD 3 1/1/13 Ongoing

5.5.2 N5.5.2 NONON-P-PERSONNELERSONNEL RESOURCESRESOURCES

Currently there are no non-personnel resources required for the project. This section may change as a result of the vendor selection for the Implementation Phase of the project.

5.6 PROJECT LOGISTICS5.6 PROJECT LOGISTICSThe project manager will have primary responsibility for leading, overseeing, and reporting subprojects associated with the implementation of a new UI Tax system for NMDWS. The project manager for the prime contractor is responsible for maintaining and managing their project plan and reporting to the agency project manager on status as defined in Section 2.3 Executive Reporting and the UI Tax Project Communication Management Plan.

Project meetings will be held at regular intervals. The project manager will prepare agendas for the meetings using the standard DoIT format, and will coordinate regular reviews of action items, risks, issues and will facilitate review of RFP subproject activities.

The Project Management Office (PMO) will be established to maintain hardcopies of all documents as delivered. These hardcopy repositories will be stored in a controlled location at NMDWS and will be sectioned in the same manner as the Project Control Book (PCB). In general, hardcopy documents will not be scanned into softcopy format.

The softcopy documents will be stored in the project control book, and procedures for configuration control will be established for access to and updating of documents in the project control book. The general structure of the project control book will be defined as follows but may be adjusted as the project progresses:

1. Standards and Proceduresa. Retired Documents

2. Organization, People and Resourcesa. Retired Documents

3. Plans and Actualsa. Retired Documents

4. Meeting Minutes, Agendas, Status Reports and Key e-Mailsa. Meeting Minutes and Agendas

i. Retired Documentsb. Status Reports

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i. Retired Documentsc. Key e-Mails

i. Retired Documents5. Scope (includes Risks, Actions, Issues, Changes)

a. Retired Documents6. Deliverables (not included elsewhere)

a. Retired Documents7. Sponsor Information

a. Retired Documents8. Requirements

a. Retired Documents9. Quality (includes Configuration Management and IV and V)

a. Qualityi. Retired Documents

b. Configuration Managementi. Retired Documents

c. IV and Vi. Retired Documents

10. Engineering (Design/Dev)a. Retired Documents

11. Testinga. Retired Documents

12. Supplier and Contractor Informationa. Retired Documents

13. Traininga. Retired Documents

5.6.1 P5.6.1 PROJECTROJECT T TEAMEAM T TRAININGRAINING

At this time, no team training is anticipated. However, depending on the vendor and software that is selected, this assumption may change.

6.0 PROJECT MANAGEMENT AND CONTROLS6.0 PROJECT MANAGEMENT AND CONTROLS

6.1 RISK AND ISSUE MANAGEMENT6.1 RISK AND ISSUE MANAGEMENTThe definitions for risk and issues from the Project Management Book of Knowledge (PMBOK©) from the Project Management Institute are listed below and are provided to help distinguish between the two. Both Risks and Issues can significantly impact a project’s success, and both should be handled in similar ways.

Risk: “An uncertain event or condition that, if it occurs, has a positive or negative effect on a project’s objectives.”

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Issue: “A point or matter in question or dispute, or a point or matter that is not settled and is under discussion or over which there are opposing views or disagreements.”

6.1.1 R6.1.1 RISKISK M MANAGEMENTANAGEMENT S STRATEGYTRATEGY

Risks will be identified, monitored and tracked on this project. Risks will be prioritized and logged based on the potential likelihood of occurrence and/or severity of the impact on the project.

The section below further expands on how risks are identified, overall mitigation approach, reporting and escalation and tracking.

6.1.2 P6.1.2 PROJECTROJECT R RISKISK I IDENTIFICATIONDENTIFICATION

An initial risk assessment was conducted with members of the project team during the RFP activity of the planning phase for this project. The risks listed in the PMP will remain static, and will be transferred to the active risk tracking log. These initial risks are identified in the project Risk and Issues Log and will be maintained in the project control book. Refer to Section 1.6 Initial Project Risks Identified for the attached log.

Each risk will be individually documented and will contain the following details: Risk Number Risk Description Probability Impact Rating Contingency Plan Mitigation Risk Owner

Although the project manager has overall responsibility for risk management on the project, each risk will have an owner. Any member of the team or the stakeholders can identify potential risks to the project manager. Risks will be ranked with the concurrence of the steering committee.

6.1.3 P6.1.3 PROJECTROJECT R RISKISK M MITIGATIONITIGATION A APPROACHPPROACH

Risk mitigation and contingency will be reviewed with and ratified by the project team. Risks will be ranked utilizing a standardized ranking methodology for probability and impact. The table below shows the values that are used for the computations where the rating is determined by the Probability * Impact.

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Probability Impact

Certain (.95) Very High (.95)

Expected (.75) High (.75)

Likely (.55) Medium (.55)

Possible (.35) Low (.35)

Unlikely (.15) Very Low (.15)

Overall ranking of the risks will be categorized as follows:

• Minimum Risk – Acceptable

• Some risks – Monitor at PM/Team Level

• High Risks – Active monitoring and ongoing Contingency/Mitigation activity

• Show Stoppers – Active participation with steering committee to mitigate

Detailed mitigation and contingency strategies will only be developed by the risk owner for all risks with a ranking of High or Show Stopper

Mitigation strategies should have specific activities that are executable and be stated in a way that it can be evaluated. Action items should evolve from the mitigation activities that can be included in the regular status meetings.

Risks with a medium to low ranking (Some Risk to Minimum Risk) will be monitored, and re-evaluated on a monthly basis to determine if the overall risk rating should be elevated. If a risk ranking is elevated to high, then a mitigation strategy will be developed by the risk owner.

6.1.4 R6.1.4 RISKISK R REPORTINGEPORTING ANDAND E ESCALATIONSCALATION S STRATEGYTRATEGY

Any project team member or stakeholder will notify the project manager in a timely manner by phone, email or written communication of any concerns, issues or risks that require attention.

When the probability of a risk warrants, or in the event becomes real, a specific issue is entered into the UI Tax Risk and Issue log and is included as part of the discussions with the steering committee during the briefings. These risk and issues are also subject to discussion during the team meetings. Effective communications and adherence to guidelines will be essential elements in mitigating identified risks

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The project manager will notify the appropriate project stakeholders and ensure that the project communication and escalation protocol is followed.

6.1.5 P6.1.5 PROJECTROJECT R RISKISK T TRACKINGRACKING A APPROACHPPROACH

High Risks will be reviewed at each regularly scheduled project meeting, with the remaining risks reviewed at least on a monthly basis. The status for each risk will be defined in the risk detail. The tracking will indicate the date the status was documented and the conditions of the project related to the risk. Actions taken for risk avoidance will also be documented. Risks that are rated as High will be recorded on the Project Status Report on a semi-monthly basis and all risks will be recorded and maintained in the NMDWS Risk and Issue Log maintained in the project control book.

Risks which are closed will be flagged as closed in the risk log, but will be left on the log.

6.1.6 I6.1.6 ISSUESSUE M MANAGEMENTANAGEMENT

6.1.6.1 Internal Issue Escalation and Resolution Process6.1.6.1 Internal Issue Escalation and Resolution Process

This internal process is provided for issues that involve project resources, processes, procedures, or methodology that should be resolved within the Division that is responsible for managing the project without affecting the overall project schedule, cost, or quality. This process should be used for improving project processes as the project is executed and where the implementation of such improvements should not be postponed to Lessons Learned during Project Close.

All issues will be reported to the project manager as quickly as possible. The project manager will monitor project health and identify and address issues, as a routine project management activity. Whenever possible, the project manager or the issue owner will analyze identified issues, determine solutions and impacts with the appropriate project stakeholders and apply solutions at the lowest operational level possible. The project manager will be responsible for maintaining the issue log and keeping the project sponsor and steering committee members informed of current status for all project issues and risks.

The project manager will be responsible for judging the severity of an issue and its potential impact to the project schedule, scope and budget. The project manager will keep the project sponsor and steering committee informed about issues that pose significant impact to the project schedule, scope or budget. The project manager will coordinate with the project sponsor and steering committee if a solution requires executive approval, decision or carries a cost.

This internal process will provide the mechanism for addressing issues that involve project resources, processes, procedures, or methodology that should be resolved within the Division that is responsible for managing the project without affecting the overall project schedule, cost, or quality. This process will be used for improving project processes as the project is executed and where the implementation of such improvements should not be postponed to lessons learned during project close.

Activities to address issues will be tracked in the project activities log. Both the issues log and activities log will reside in the project control book.

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6.1.6.2 External Issue Escalation and Resolution Process6.1.6.2 External Issue Escalation and Resolution Process

The external process is provided for issues that involve project resources, processes, procedures, or methodology that cannot be resolved within the Division that is responsible for managing the project without affecting the overall project schedule, cost, or quality.

If an Issue that poses significant impact to the project cannot be resolved by the project manager at the lowest operational level, the project manager will alert the project sponsor and enlist their support and direction to resolve. The project sponsor will take necessary steps with appropriate stakeholders to direct priority attention of project resources, processes, procedures, or methodology within a division so the issue can be resolved quickly with the least affect on the overall project schedule, cost, or quality.

6.2 INDEPENDENT VERIFICATION AND VALIDATION (IV&V)6.2 INDEPENDENT VERIFICATION AND VALIDATION (IV&V)An IV&V Contractor was assigned for the Requirements Phase of the project. The project manager is acting in this capacity during the procurement activity. Identification for an IV&V contractor for the Implementation phase is running in parallel with the RFP activities.

Typically under an IV&V contract, the IV&V analyst will request documents for review, will attend project meetings, and will consult telephonically to update project status. The IV&V analyst will also have read access to the NMDWS project control book. The analyst will prepare a draft report approximately five (5) days prior to the deliverable due date for review with the steering committee and the project manager. For IV&V findings in dispute, the IV&V analyst will document the project team’s exception to the finding. For non-disputed findings, the project team will develop action plans to address the IV&V finding.

6.3 SCOPE MANAGEMENT PLAN6.3 SCOPE MANAGEMENT PLANThe project manager will follow a formal process for change control. The project team will maintain control of scope by establishing baselines where needed; define a change process with change log and written change form; define the approval process for project changes; define freeze points for requirements and other items during project phases; and, facilitating the formal change control process as part of ongoing activities.

The software vendor contract will have very specific controls on how the process will work for contract deliverables.

6.3.1 C6.3.1 CHANGEHANGE C CONTROLONTROL

Contractor may only make changes or revisions within the Scope of Work as defined by Article 2 and Exhibit A of their contract after receipt of written approval by the Executive Level Representative (Project Sponsor). Such change may only be made to Tasks or Sub-Task as defined in the Exhibit A. Under no circumstance shall such change affect the:

Deliverable requirements; Compensation due under the terms of this Agreement; or

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Due Date of any Deliverable, as outlined in Exhibit A.

6.3.1.1 Change Control Process6.3.1.1 Change Control Process

In the event that circumstances warrant a change to accomplish the Scope of Work as described above, a Change Request shall be submitted that meets the following criteria:

The contractor shall draft a written Change Request using the change request form for Executive Level Representative review and approval to include: the name of the person requesting the change, a summary of the required change, the start date for the change, the reason and necessity for change, the urgency level for the change, the elements to be altered, the impact of the change, the staffing plan associated with the change, the impact on the schedule for implementing the change, the cost impact, the risk assessment and a recommended approach to the change, and

The Executive Level Representative shall provide a written decision on the Change Request to the Contractor within a maximum of ten (10) working days of receipt of the Change Request. All decisions made by the Executive Level Representative are final. Change requests, once approved, become a part of the contract and become binding as a part of the original contract.

Change Control will be managed by the project manager, with final approval by the steering committee. This will be managed according to the business and budgetary protocols and procedures of the Agency. This would include ensuring that the budget manager needs to have signoff on changes that affect the budget.

The Change Request Form template can be found in the project control book as well as in Appendix B of this document. The project Change Request Log will be maintained by the project manager.

6.3.1.3 Change Control Board (CCB)6.3.1.3 Change Control Board (CCB)

The CCB consists of project manager, the budget manager, the NMDWS Business Lead(s) and the NMDWS Technical Lead(s). The change form will be provided to all members of the CCB. The project manager will facilitate review of the proposed change; and movement toward a decision for the change (accepts, accept with modification, accept with limitation, reject). Recommendations from the CCB will be submitted through the Steering Committee for final approval. The softcopy change form will be stored in the project control book.

For adopted changes:

Changes affecting requirements will result in modification of the requirements tracking document.

Change activities adopted will be reflected in modifications to the project schedule, the PMP and the activities log.

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There are multiple contracts for the projects. The cost estimates and actual billed amounts are governed by the deliverable descriptions in the contracts.

6.4.1 B6.4.1 BUDGETUDGET T TRACKINGRACKING

Invoices and payments are tracked in SHARE. These applications are security restricted to access by State of New Mexico personnel. For ongoing project status, the NMDWS CIO or designee will be responsible for providing regular expense and budget updates to the project manager. The sub project PMs will maintain budget tracking at the deliverable level. Earned value tracking will not be conducted for this project.

Costs for NMDWS Internal Expenses are also tracked in SHARE. All resources assigned to the project will charge their time on a weekly basis to the following combo code: 2931178. Authorization for the use of this code will be approved by the IT Technical Lead and the assigned project budget analyst.

Updated budget information will be included in the Monthly Status Reports that are due by the 10th of each month to DoIT. The same budget information will be presented in the status report that is submitted on the third week of each month to the steering committee.

6.5 COMMUNICATION PLAN6.5 COMMUNICATION PLANThe steering committee provides overall leadership for the project. The project manager supports the steering committee and has overall responsibility for communication to all participants on this project. The picture below demonstrates this relationship:

6.5.1 C6.5.1 COMMUNICATIONOMMUNICATION M MATRIXATRIX

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Media Audience Content Developer

Message Deliverer

Message Frequency

Presentation Steering committee and Project Team

Project Manager Project Sponsor UI Tax Project Kickoff at beginning of Implementation Phase (new team)

Includes the following: Assembling and

introducing the team Reviewing

communications plans Communicating

team goals and objectives

Reviewing plans Identifying

challenging areas Establishing

accountability and responsibilities

Obtaining team and individual commitments

One Time

Meeting Steering Committee

Project Manager Project Manager Review project progress including financials, milestones, risks, and issues.

Obtain deliverable approvals as appropriate.

Semi- Monthly

Meeting UI Tax Project Team

Project Manager Project Team Review Process & Performance.

Weekly

Meeting Project Sponsor Project Manager Project Manager Review Process & Performance.

Weekly

Working Meetings

Audience determined based on information needed

Project Manager and/or Project Team

Project Manager and/or Project Lead

Ad-hoc meetings that are needed to work through issues, obtain information or to provide information

As needed

Lessons Learned Project Team & Stakeholders

Lessons Learned Lead

Lessons Learned Lead

Review what went well and area’s for improvement

One-Time

Report – PowerPoint

Steering Committee & DoIT/POCD

Project Manager Project Manager Project status, including financials, milestones, risks and issues

Semi-Monthly

Report – Excel Spreadsheet

DoIT/POCD Project Manager Project Manager Project Status Monthly (by the 10th of each month)

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Media Audience Content Developer

Message Deliverer

Message Frequency

Newsletter – via email or posted on a website

Internal & External Stakeholders

Project Manager Project Manager Summary Status

Upcoming Activities

Reference /Contact Info

Key noteworthy items

Project Milestones and progress

The Friday following steering committee Meetings (Semi-Monthly)

6.5.2 S6.5.2 STATUSTATUS M MEETINGSEETINGS

Status meetings will be conducted at regular intervals and as stipulated contractually. All meetings for this project will follow standard meeting procedure to include the distribution of an agenda at least 24 hours in advance with minutes generated, distributed and posted at least 72 hours after the meeting. Minutes will be approved as part of the next regularly scheduled meeting. All meetings will include recording and tracking of actions, issues and risks. Any scope related issues will be addressed, and if necessary, project change requests will be created to address anything that isn’t already addressed in the current contract. All meeting materials will be posted and maintained in the Project Control Book.

In addition, the project manager will schedule and conduct meetings of the project steering committee. The project manager is responsible for securing the meeting space and providing adequate notices of the meeting. Meetings not attended by at least 50% of the required audience will need to be rescheduled. Advance notification by meeting attendees of meeting conflicts will help to facilitate easier rescheduling should the need occur.

6.5.3 P6.5.3 PROJECTROJECT S STATUSTATUS R REPORTSEPORTS

A project status report will be developed by the project manager and provided semi-monthly to the steering committee and the DoIT/POCD.

The project manager will prepare the monthly MS Excel status report that is due to DoIT the 10th of each month. The project sponsor (or designee) will provide input for expenses for the financial sections of this report.

6.5.4 O6.5.4 OTHERTHER G GROUPROUP I INTERFACESNTERFACES

For certification and funding activities, there are other groups that are involved with this project to include the Legislative Finance Committee (LFC), Department of Finance and Accounting (DFA), Project Certification Committee (PCC) and the Technical Architecture Review Committee (TARC). Meetings and communications with these groups will be handled as part of the agency protocols.

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6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)

6.6.1 B6.6.1 BASELINESASELINES

Project Area Category Measure

Project Schedule Time Overall project schedule established and baselined; rebaselined following modifications to schedule.

Project Schedule Time Activities for this project are deliverable based. Milestones for these deliverables will be tracked as % complete as provided by the contractor. There will be no earned value tracking or reporting on this project.

Project Expenses Budget Invoicing adheres to the expense plans defined in the Contracts.

Work Product Reviews Quality Documents delivered for this project will be peer reviewed prior to delivery and measurement collected in terms of the defects found.

6.6.2 M6.6.2 METRICSETRICS L LIBRARYIBRARY

All project softcopy documentation will reside in the project control book. Binders for hardcopy documents will be maintained in the Project Management Office.

6.7 QUALITY OBJECTIVES AND CONTROL6.7 QUALITY OBJECTIVES AND CONTROLThe project quality plan addresses quality via work product inspection, IV&V validation and verification activities, change control, requirements management, customer satisfaction and deliverables acceptance. Quality, in general, will be the close adherence to requirements and deliverables which closely adhere to the business goals and functionality desired as expressed in the project initiation documents and the business case for this project. An aspect of quality is product grade. Project deliverables are characterized by both quality and grade. Quality is related to the end products or deliverables addressing project goals, functionality and requirements. Grade is the level of acceptance for project deliverables. An example of grade would be a report delivered addressed all required contract terms and addressed project requirements, but was poorly written or organized.

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6.7.1 Q6.7.1 QUALITYUALITY S STANDARDSTANDARDS

No. Quality Standard Tracking Tool or Measure1 The UI Tax application provides the functionality as

defined in the requirements.• Implementation of application• User Acceptance• Customer Satisfaction

2 Deliverables are completed on time; address the goals expressed by the business users and synchronized with UI Tax requirements.

• Project Schedule• Meeting Minutes• Requirements Traceability Matrix• Status Reports

3 All changes are processed through change control and approved changes are referenced in updates to the schedule, plans and the requirements traceability matrix.

• PMP• Document review and acceptance• Change Log• Requirements Traceability Matrix• Schedule

4 Project is completed within budget. • Status reports• Financials

5 Projects issues are addressed and chronicled. • Issue Log• Minutes of Meetings

6 Project risks are reviewed regularly; and high risks have detailed mitigation plans that are monitored and tracked.

• Risk log• Meeting Minutes

6.7.2 P6.7.2 PROJECTROJECT ANDAND P PRODUCTRODUCT R REVIEWEVIEW ANDAND A ASSESSMENTSSSESSMENTS

Project/Product Deliverable Presentation and deliverable review cycles are documented in Section 4.2.2 above. The Project will follow the review process defined in Section 4.2.4. Reviewers will indicate their acceptance of the project/product deliverable by signing and dating the Deliverable Acceptance Form Scanned copies of the Deliverable Acceptance Form will be stored in the Deliverables section of the project control book.

Deliverable Acceptance Form

Deliverable #:

Deliverable Title:

Subtask #:

Subtask Description:

Subtask Deliverable:

Deliverable Acceptance Criteria (from PMP) -

Standards for Content and Format (from PMP) -

Date(s) Quality Reviewed:

Date Approved: Approver Name(s): Approver Signature(if hardcopy):

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6.7.3 A6.7.3 AGENCYGENCY/C/CUSTOMERUSTOMER S SATISFACTIONATISFACTION

The questionnaire used for the UI Tax Project will feature rating system consisting of an even number of factors (strongly disagree, disagree, agree, strongly agree) to avert “ties” or neutral scores. Sample questions are listed below, and other questionnaire models in the industry may be adapted for use.

Measuring Sample Question

Functionality, Project goals

The level of business or agency knowledge of the contractor meets your expectations.

Usability The contractor performs in a professional and cooperative manner.

Usability The level of communications by the contractor both written and oral, meet your expectations.

Project management

The contractor project team works well with you and your staff.

Project management

The contractor project management team is accessible when you need them.

Usability The contractor provides adequate information and training resulting in effective knowledge transfer.

Project management

The contractor completes project tasks within the agreed upon schedule.

Quality The level of technical or business expertise of the contractor meets your expectations.

Project management

You are receiving full value from the contractor project management team.

Overall assessment

The overall service provided contractor is fully meeting your expectations.

6.8 CONFIGURATION MANAGEMENT6.8 CONFIGURATION MANAGEMENT

6.8.1 V6.8.1 VERSIONERSION C CONTROLONTROL

A standard will be established with the team to ensure that all documents follow a consistent naming convention which will be maintained in the version table of the document. Without the use of a formal tool, it will be incumbent on the team members to ensure that they closely follow the naming conventions when working on documents that are stored in the project control book. Typical convention for naming of documents will be:

Document Name – version # - date – authors initials – Draft / Final

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6.8.2 P6.8.2 PROJECTROJECT R REPOSITORYEPOSITORY (P (PROJECTROJECT L LIBRARYIBRARY))

The NMDWS UI Tax Project will have a project control book for all electronic documents maintained by the Project Management Office. Hardcopy document will be organized in a format similar to the project control book and stored in binders located at NMDWS. Procedures for document access in the project control book will be defined and adhered to. In general, hardcopy documents will not be scanned into electronic form. Document versioning will be configured and available in the repository.

6.9 PROCUREMENT MANAGEMENT PLAN6.9 PROCUREMENT MANAGEMENT PLANGoods and services for this project will be purchased pursuant to the procurement code. Procurement activities supporting the RFP activities during the life of this project will be coordinated through the office of the project business owners and executive sponsor and follow the agency standard operating procedure for procurement. Procurement activities related to contract awards for the Design and Implementation phases are outside the scope of the current project activities, and will be addressed under the aegis of the project Executive Sponsor by and for the Agency.

7. 0 PROJECT CLOSE7. 0 PROJECT CLOSE

7.1 ADMINISTRATIVE CLOSE7.1 ADMINISTRATIVE CLOSEAt project close, project management will verify that the final product is complete and meets the goals and objectives of the project. All contracts will be closed. Final vendor invoices will be approved and paid. Project management will verify that the final product has been accepted. The final project status report will be completed and stakeholders notified that the project is complete and will be closed. Project records will be archived. The project lessons learned documentation will be prepared, including lists of project successes and issue.

7.2 CONTRACT CLOSE7.2 CONTRACT CLOSEContract close is similar to administrative close in that it involves product and process verification for contract close.

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ATTACHMENT A - ACRONYM LISTATTACHMENT A - ACRONYM LIST

Acronym Description

ARRA America Recovery and Reinvestment Act

CCB Change Control Board

CICS Customer Information Control System

CIO Chief Information Officer

DB2 Database 2 (IBM’s database)

DBA Database Administrator

DFA Department of Finance and Accounting

DoIT Department of Information Technology

FMB Financial Management Bureau

IBM International Business Machines

IV&V Independent Verification and Validation

IVR Interactive Voice Response

LFC Legislative Finance Committee

MS Microsoft

MVS Multiprogramming Variable Number of System

NMDWS New Mexico Department of Workforce Solutions

NMORR New Mexico Office of Reinvestment and Recovery

PCB Project Control Book

PCC Project Certification Committee

PM Project Manager

PMO Project Management Office

PMBOK Project Management Book of Knowledge (from the Project Management Institute)

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Acronym Description

PMP Project Management Plan

POCD Project Oversight and Compliance Division

RFP Request for Proposal

RUP Rational Unified Process

SHARE Statewide Human Resources, Accounting and Management Reporting System

SME Subject Matter Expert

SOW Statement of Work

TARC Technical Architecture Review Committee

UI Unemployment Insurance

UI Tax Unemployment Insurance Tax System Modernization Project

USDOL United States Department of Labor (Federal group)

WBS Work Breakdown Structure

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ATTACHMENT B – CHANGE REQUEST FORMATTACHMENT B – CHANGE REQUEST FORMThe Change Request Form will be maintained in the project control book. A template is also attached here as part of the PMP.

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Project Change Request (PCR)

Change Request No. Submission Date: Project

NMDWS UI Tax Project

Requested Change Description

Reason for the Change

Assumptions (optional)

Project and Schedule Impact (to be filled out by project management)

Estimated Price

CLIENT NAMEPROJECT MANAGER #1 PROJECT MANAGER #2

BY (Authorized Signature) Required BY (Authorized Signature) Required

NAME (Print or Type) NAME (Print or Type)

TITLE (Print or Type)

NMDWS Project ManagerDATE TITLE (Print or Type) DATE

BY (Authorized Signature) Required

NAME (Print or Type)

TITLE (Print or Type)

Project SponsorDATE

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