executive sponsor – wayne propst - new mexico … records... · web viewincluded will be system...

NMPERA RECORDS CONVERSION PROJECT

PROJECT MANAGEMENT PLAN (PMP)

EXECUTIVE SPONSOR – WAYNE PROPST

BUSINESS OWNER – GABRIEL D. BACA

PROJECT MANAGER – GABRIEL D. BACA

ORIGINAL PLAN DATE: 05/07/2015REVISION DATE: 05/08/2015

REVISION: 1.1

PROJECT MANAGEMENT PLAN FOR PERA RECORDS CONVERSION PROJECT

REVISION HISTORY............................................................................................................................................. III

PREPARING THE PROJECT MANAGEMENT PLAN................................................................................................. IV

ABOUT THIS DOCUMENT................................................................................................................................... IV

PROJECT OVERSIGHT PROCESS MEMORANDUM – DOIT, JULY 2007.................................................................................... IV

1.0 PROJECT OVERVIEW...................................................................................................................................... 1

1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT....................................................................................................11.2 FUNDING AND SOURCES...........................................................................................................................................11.3 CONSTRAINTS........................................................................................................................................................11.4 DEPENDENCIES.......................................................................................................................................................11.5 ASSUMPTIONS...................................................................................................................................................11.6 INITIAL PROJECT RISKS IDENTIFIED...........................................................................................................................2

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE.............................................................................2

2.1 STAKEHOLDERS......................................................................................................................................................22.2 PROJECT GOVERNANCE STRUCTURE...........................................................................................................................3

2.2.1 Describe the organizational structure – Org Chart.....................................................................................32.2.2 Describe the role and members of the project steering committee...........................................................32.2.3 Organizational Boundaries, interfaces and responsibilities.......................................................................3

2.3 EXECUTIVE REPORTING............................................................................................................................................3

3.0 SCOPE........................................................................................................................................................... 3

3.1 PROJECT OBJECTIVES..............................................................................................................................................33.1.1 Business Objectives....................................................................................................................................33.1.2 Technical Objectives..................................................................................................................................3

3.2 PROJECT EXCLUSIONS..............................................................................................................................................33.3 CRITICAL SUCCESS FACTORS.....................................................................................................................................4

4.0 PROJECT DELIVERABLES AND METHODOLOGY...............................................................................................4

4.1 PROJECT MANAGEMENT LIFE CYCLE..........................................................................................................................44.1.1 Project Management Deliverables.............................................................................................................44.1.2 Deliverable Approval Authority Designations............................................................................................54.1.3 Deliverable Acceptance Procedure.............................................................................................................5

4.2 PRODUCT LIFE CYCLE.........................................................................................................................................54.2.1 Technical Strategy.....................................................................................................................................54.2.2 Product and Product Development Deliverables........................................................................................64.2.3 Deliverable Approval Authority Designations............................................................................................64.2.4 Deliverable Acceptance Procedure.............................................................................................................6

5.0 PROJECT WORK............................................................................................................................................. 6

5.1 WORK BREAKDOWN STRUCTURE (WBS)....................................................................................................................65.2 SCHEDULE ALLOCATION -PROJECT TIMELINE................................................................................................................75.3 PROJECT BUDGET...................................................................................................................................................75.4 PROJECT TEAM......................................................................................................................................................8

5.4.1 Project Team Organizational Structure......................................................................................................85.4.2 Project Team Roles and Responsibilities....................................................................................................9

5.5 STAFF PLANNING AND RESOURCE ACQUISITION..................................................................................................95.5.1 Project Staff...............................................................................................................................................95.5.2 Non-Personnel resources...........................................................................................................................9

5.6 PROJECT LOGISTICS.........................................................................................................................................10

REVISION: 1.0 DOIT-PMO-TEM-020 i OF vi


5.6.1 Project Team Training..............................................................................................................................10

6.0 PROJECT MANAGEMENT AND CONTROLS....................................................................................................10

6.1 RISK AND ISSUE MANAGEMENT..............................................................................................................................106.1.1 Risk Management Strategy......................................................................................................................116.1.2 Project Risk Identification........................................................................................................................116.1.3 Project Risk Mitigation Approach............................................................................................................116.1.4 Risk Reporting and Escalation Strategy...................................................................................................116.1.5 Project Risk Tracking Approach................................................................................................................116.1.6 ISSUE MANAGEMENT..............................................................................................................................11

6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V...........................................................................................116.3 SCOPE MANAGEMENT PLAN..................................................................................................................................11

6.3.1 Change Control........................................................................................................................................126.4 PROJECT BUDGET MANAGEMENT............................................................................................................................12

6.4.1 Budget Tracking.......................................................................................................................................126.5 COMMUNICATION PLAN........................................................................................................................................12

6.5.1 Communication Matrix............................................................................................................................126.5.2 Status Meetings.......................................................................................................................................126.5.3 Project Status Reports..............................................................................................................................12

6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS).....................................................................................126.6.1 Baselines..................................................................................................................................................136.6.2 Metrics Library.........................................................................................................................................13

6.7 QUALITY OBJECTIVES AND CONTROL..............................................................................................................136.7.1 quality Standards.....................................................................................................................................136.7.2 Project and Product Review AND ASSESSMENTS.....................................................................................146.7.3 Agency/Customer Satisfaction.................................................................................................................146.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS......................................................................................14

6.8 CONFIGURATION MANAGEMENT...................................................................................................................156.8.1 Version Control........................................................................................................................................156.8.2 Project Repository (Project Library).........................................................................................................15

6.9 PROCUREMENT MANAGEMENT PLAN............................................................................................................15

7. 0 PROJECT CLOSE........................................................................................................................................... 15

7.1 Administrative Close...................................................................................................................................167.2 Contract Close.............................................................................................................................................16

ATTACHMENTS................................................................................................................................................. 16

REVISION: 1.0 DOIT-PMO-TEM-020 ii OF vi


REVISION HISTORY

REVISION NUMBER DATE COMMENT

1.0 5/07/2015 Original Version

1.1 5/??/2015 Updated for Project Certification Committee

REVISION: 1.0 DOIT-PMO-TEM-020 iii OF vi


ABOUT THIS DOCUMENT

Project Oversight Process Memorandum – DoIT, July 2007

The “Project Management Plan” is a formal document approved by the executive sponsor and the Department and developed in the plan phase used to manage project execution, control, and project close.

The primary uses of the project plan are to document planning assumptions and decisions, facilitate communication among stakeholders, and documents approved scope, cost and schedule baselines.

A project plan includes at least other plans for issue escalation, change control, communications, deliverable review and acceptance, staff acquisition, and risk management.

“Project manager” means a qualified person from the lead agency responsible for all aspects of the project over the entire project management lifecycle (initiate, plan, execute, control, close). The project manager must be familiar with project scope and objectives, as well as effectively coordinate the activities of the team. In addition, the project manager is responsible for developing the project plan and project schedule with the project team to ensure timely completion of the project. The project manager interfaces with all areas affected by the project including end users, distributors, and vendors. The project manager ensures adherence to the best practices and standards of the Department.

“Project product” means the final project deliverables as defined in the project plan meeting all agreed and approved acceptance criteria.

“Product development life cycle” is a series of sequential, non-overlapping phases comprised of iterative disciplines such as requirements, analysis and design, implementation, test and deployment implemented to build a product or develop a service.

REVISION: 1.0 DOIT-PMO-TEM-020 iv OF vi


1.0 PROJECT OVERVIEW

1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT This request is to bring the public employees' retirement association into compliance with 1.14.2 NMAC, Sections 12 through 14. We will be utilizing these funds for professional services to generate microfilm from an electronic image. Included will be system modifications to both the FileNet P8, and the retirement information online systems. The money requested will be utilized for an initial conversion of all of PERA's vital long term retention items, and will be a one-time initial fee. PERA has added funding for a yearly conversion of any new documentation imaged into the annual budget cycle to maintain and support the Records and Imaging Division’s legal retention items.

1.2 FUNDING AND SOURCES

SOURCE AMOUNT ASSOCIATED RESTRICTIONS

APPROVERS

LAWS OF 2015, CHAPTER 101, SECTION 7(9)

$350,000 NONE Wayne Propst, PERA Executive Director and Project Certification Committee

1.3 CONSTRAINTS

Number DESCRIPTION

1 Assuring qualified personnel are available, so there are no delays in project funding.

2 DOIT Project certification process, to ensure all documentation is correct and funds are released on time.

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1.4 DEPENDENCIESMandatory 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 Scheduling quualifed HP and Softech personnel for the project

M

2 Internal staff scheduling to ensure testing is completed and validated

M

3 Doit project certification process, to ensure that all documenation is correct and funds are released on time.

E, M

1.5 ASSUMPTIONS

NUMBER DESCRIPTION

1 Files are received and validated from External Vendors, to ensure death and social security files are validated in an efficient process.

2 Internal Staff Members are available for UAT regression testing.

3 All preliminary Membership File Audits are completed prior to scheduled conversion dates.

4 Microfilm services will be in compliance with all SRCA regulations.

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1.6 INITIAL PROJECT RISKS IDENTIFIED

[Risk 1 Data Cleansing and Auditing of Files]

Description – Data cleansing and Membership Files have not been properly audited

Probability 10% Impact - PROJECT DELAY AND POSSIBLE LOSS OF VITAL AGENCY DATA

Mitigation Strategy: Schedule Internal Staff Members and manage all data processing fully in UAT environments

Contingency Plan – Maintain all current data in the production environments until all regression testing is completed.

[Risk 2 Funding Delays]

Description – Funding Delays that will cause the creation of Microfilm to be delayed.

Probability – 5% Impact – HALT PROJECT/DELAY DELIVERABLES TO SRCA

Mitigation Strategy – Ensure all funding is properly secured and encumbered.

Contingency Plan - Utilize other PERA Funds

[Risk 3 Microfilm is not in compliance with SRCA standards]

Description – Microfilm is rejected by the SRCA.

Probability – 25% Impact – HALT PROJECT/DELAY DELIVERABLES TO SRCA

Mitigation Strategy – Create and provide proof of concept rolls for all phases of the conversion process. This will ensure that all Film is being generated correctly.

Contingency Plan - Create new film that will comply with SRCA standards.

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2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE

2.1 STAKEHOLDERS

NAME STAKE IN PROJECT ORGANIZATION TITLE

Greg Trujillo Project Oversight PERA Member Services

Deputy Secretary

Greg Portillos Project Oversight PERA IT CIO

Gabriel Baca Records Custodian/Imaging Systems Administrator

PERA Records and IT

Records Division Manager

Vince Jaramillo User Administrator PERA User Administration

User Admin Manger

Krishnan Ganesan HP Project manager HP

Hao Lu Softech FileNet Softech & Associates

Project Manager imaging specialist

PERA Staff Regression and functional testing PERA staff

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2.2 PROJECT GOVERNANCE STRUCTURE2.2.1 DESCRIBE THE ORGANIZATIONAL STRUCTURE – ORG CHART

2.2.2 DESCRIBE THE ROLE AND MEMBERS OF THE PROJECT STEERING COMMITTEE

Wayne Propst – PERA Executive Director, overall project funding and functional approval.

Greg Trujillo – PERA Deputy Director, overall project deliverables and functional approval

Karen Risku – PERA Legal Advisor, overall legal responsibilities of NMPERA.

Melinda Marquez – PERA Member Services Bureau Chief, overall approval of the membership file audits, and the RIO removal and deletion processes.

Gabriel D. Baca – PERA Records Division Manager, overall approval of the records and retention policies and procedures, approval of all records destruction. Approval of all Softech & Associates deliverables.

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Vince Jaramillo – PERA User Administration Manager, overall approval of the HP deliverables, and the RIO process.

2.2.3 ORGANIZATIONAL BOUNDARIES, INTERFACES AND RESPONSIBILITIES

The PERA project manager will be responsible with all coordination of all teams, and all management functions. The executive members will approve any changes to the original scope of this project through a change request process. The change request process will consist of documenting and approving any and all changes to the scope, project deliverables, or time frames defined in the original project.

2.3 EXECUTIVE REPORTING

3.0 SCOPE

3.1 PROJECT OBJECTIVES3.1.1 BUSINESS OBJECTIVES

NUMBER DESCRIPTION

Bus. Objective 1 Modification and implementation of a process that will readily identify deceased members and their accounts. This will allow for a stronger outreach to next of kin, to ensure that all membership accounts are properly refunded, or maintained through survivor beneficiaries. NMPERA will also be maintaining a certified copy of all NMPERA records, becoming in compliance with SRCA regulations and requirements.

NUMBER DESCRIPTION

Bus. Objective 2 Modification and implementation of a process that will properly process the destruction of electronic information, which will be incompliance with all SRCA regulation and guidelines.

3.1.2 TECHNICAL OBJECTIVES

NUMBER DESCRIPTION

TECHNICAL OBJECTIVE 1

To update current RIO system and LOB databases with a process that will allow for the flagging, tracking and reporting of deceased

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NUMBER DESCRIPTION

members. This process will allow for NMPERA to properly destroy all electronic information held in the LOB data base.

TECHNICAL OBJECTIVE 2

NMPERA will also be setting an automated process to update the LOB imaging database with dates of deaths, and dates of survivor information. Included in this process will be the creation of a bi-yearly microfilm creation process, which will also update both the imaging and the LOB database with information for auditing and tracking information.

3.2 PROJECT EXCLUSIONSThe RIO system and the FileNet P8 architecture and functionality will not be modified or replaced in the scope of this project. The only modifications that may need to be made are minor interface changes due to updated data requirements for both SQL databases.

3.3 CRITICAL SUCCESS FACTORS

NUMBER DESCRIPTION

1 – COMPLIANCE WITH SRCA REGULATION

Updating this process will assist the PERA Records Management programs to provide for long term legal retention of vital membership files.

2 – UPDATING RIO DECEASED MEMBER DATA

Creation of a process which will identify deceased members, will ensure that the PERA funds are protected from payments to deceased members.

3 – DELETION OF DECEASED RIO AND IMAGING DATA

By maintaining a proper process of destroying electronic data and images PERA will create a business lifecycle for membership files. It will also assist with creating business processes that will clearly state PERA responsibilities and liabilities with unclaimed property involved with the deceased member process.

4 – IMPROVED SYSTEM MAINTENANCE AND BACKUP CREATION AND RETENTION

The database maintenance performed during this updated process will assist with shrinking maintenance hours when creating data backups. PERA IT staff will have smaller data sets to maintain, and replicate to the offsite disaster recovery center.

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4.0 PROJECT DELIVERABLES AND METHODOLOGY

4.1 PROJECT MANAGEMENT LIFE CYCLE

Phase Summary of Phase Key Deliverables

System Process Review and planning

Reviewing of the current system processes and research any system changes necessary.

A Project plan that encompasses all actions to be taken by all team members

HP and Softech off-site testing of process changes.

Current support vendors to change current processes in the DEV environment, to ensure all system functions are properly working

Functional installation and process change procedures, as well as finalized functional specifications.

Onsite UAT system changes Modification of current UAT environments with process changes.

A UAT environment to perform all testing, and validation that delivered changes meet the PERA business requirements.

Build onsite Production system changes

Deploying system process changes to the Production environment.

Configuration of all system process changes into production with successful regression testing.

Processing the destruction of eligible member files

Running all necessary data and image destruction in the Production Environment.

Detailed audit reports of all membership file deletions and the removal of all member data that is eligible for destruction.

Creation of Microfilm for the proper retention of active member files.

Produce all member image files to be written to microfilm.

Acceptable microfilm that is in compliance with SRCA regulations.

Modification to the Disaster Recovery location.

Deploy all system process changes to the Disaster Recovery site.

Fully functional DR environment.

Final regression testing of PRD and DR environments, and final project documentation.

User application utilization with new system processes are fully functional.

User and Management acceptance of the system process changes and finalized documentation.

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4.1.1 PROJECT MANAGEMENT DELIVERABLES

4.1.1.1 Process and Functional Documentation

Description – Delivery of system process changes, that will affect the death processing.

Deliverable Acceptance Criteria – Process and functional design specifications and changes to the existing system processes.

Standards for Content and Format – Documentation from both Softech and HP which detail all process changes.

Quality Review -.Project Manager and Member Services Management review and approval of the process changes and documentation.

4.1.1.2 Analyze/Audit all Deceased Members FilesDescription – Deploy system process changes to the UAT environments.

Deliverable Acceptance Criteria – Fully functional test environment with new process for determining deceased member data.

Standards for Content and Format – All audit reports, detail deceased reports and member account identification is properly functioning.

Quality Review – Member Services Management, User Testing groups, User Administration Manager, Records Manager, Project Manager, CIO and Executive management has reviewed and approved detailed data.

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4.1.1.3 UAT Data and Image Cleansing Description – Run new system process changes in the UAT environment to validate fully functional data and image cleansing.

Deliverable Acceptance Criteria – Delivery of Audit and deletion reporting, proper system data deletion and database maintenance in both the RIO and P8 SQL databases.

Standards for Content and Format – All audit reports and deletion reports are accepted, and approved.

Quality Review – Member Services Management, User Testing groups, User Administration Manager, Records Manager, Project Manager, CIO and Executive management has reviewed and approved detailed data.

4.1.1.4 Proof of Concept for Microfilm CreationDescription – Compilation and extraction utilizing current system processes, to create a proof of concept roll of microfilm.

Deliverable Acceptance Criteria – Delivery of test images to vendor to have a roll of microfilm created, delivered and approved by SRCA.

Standards for Content and Format – Microfilm falls within the acceptable standards.

Quality Review – Records manager, SRCA approval.

4.1.1.4 Transition to ProductionDescription – Deploy, test and run the new system processes in the Production environment.

Deliverable Acceptance Criteria – Deployment of changes to production, and running the process.

Standards for Content and Format – All approved reporting, audit and deletion reports are produced, and all microfilm is created.

Quality Review – Records Manager, Member Services Staff, and Executive Staff sign off.

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4.1.2 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS

DELIVERABLE NUMBER

DELIVERABLE APPROVERS (WHO CAN APPROVE)

DATE APPROVED

PRJ-DEL-001 Process functional and technical specifications

CIO, PERA Records Manager

PRJ-DEL-002 Functional UAT environment with process changes

PERA Records Manager, Member Services Executive Staff, and User Administration Manager

PRJ-DEL-003 Proof of concept for membership file microfilm.

PERA Records Manager.

PRJ-DEL-004 UAT data cleansing, and image cleansing.

PERA Records Manager, Member Services Executive Staff, User Administration Manager

PRJ-DEL-005 PRD Transition, testing and Microfilm creation.

PERA Records Manager, Member Services Executive Staff, User Administration Manager, PERA CIO and PERA Executive Director

4.1.3 DELIVERABLE ACCEPTANCE PROCEDURE

PERA IT staff will test the RIO system within the test environment. If IT discovers any problems, HP and IT will work together to resolve the issue. Once the system is running in the test environment, PERA staff will test the application to ensure the functionality. If PERA staff encounters problems with the system, the problem will be reported to PERA IT. If the problem is with the environment PERA IT will resolve the problem internally and if need be enlist HPs assistance. If the problem that PERA staff finds is a business problem, then an incident report will be raised and HP will work on resolving the problem. PERA IT does not have access to the code so business problems need to be addressed by HP. Once the test system has received user acceptance then work will beginning in the production environment and the process is repeated for production. PERA staff will also review all documentation prior to project completion.

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4.2 PRODUCT LIFE CYCLE

Phase Summary of Phase Key Deliverables

Initiation/Planning Death Processing Changes Project Plan, functional and technical specifications.

Deploy process changes, regression testing, and user acceptance of fully functional RIO UAT environment

Deployment of all changes to system process to UAT environment.

Fully functional test environment.

Deploy changes to the Production environment

Deployment of all changes to system processes to the PRD environment.

Fully functional PRD environment.

Creation of Microfilm Creation and acceptance of membership microfilm.

Approved microfilm approved by the SRCA.

Deploy changes to the DR environment.

Deployment of all changes to system processes to the DR environment.

Fully functional DR environment.

Close Out Assure the system is functioning and that all maintenance contacts are in place

RIO and P8 SYSTEMS.

4.2.1 TECHNICAL STRATEGY

PERA IT staff will work with all parties involved to ensure that all licensing currently in place is properly maintained to support the process changes. PERA it staff will work with both vendors to monitor and assist with any process or system configuration changes as required to support the process changes. This process will also serve as a cross-training exercise so PERA IT can maintain the system’s environment upon completion of the project. Any errors that are encountered will be reported to HP’s on-site environment team. Once the errors have been addressed PERA IT will retest the scripts to insure they are working properly.

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4.2.2 PRODUCT AND PRODUCT DEVELOPMENT DELIVERABLES

4.2.2.1 Membership File Microfilm Creation

Description – Creation of Microfilm for all active membership files.

Deliverable Acceptance Criteria – Approved Microfilm for all Active Membership files.

Standards for Content and Format – PERA Records Manager will coordinate with the SRCA to approve and Store all Microfilm created through this process.

Quality Review – Project Executive staff from all areas will approve and deliver final signoff.

4.2.3 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS

DELIVERABLE NUMBER

DELIVERABLE APPROVERS (WHO CAN APPROVE)

DATE APPROVED

PRDJ-DEL-001 Microfilm Gabriel Baca

4.2.4 DELIVERABLE ACCEPTANCE PROCEDURE

PERA Staff will perform the auditing and data cleansing processes, and approve of the overall production testing. PERA Records Staff will coordinate with the Member Services Division to ensure all parties responsible for regression testing are performing all proper functions to ensure data deletions are properly performed. Each functional area will be responsible for signing off on acceptance of all testing of each phase.

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5.0 PROJECT WORK

5.1 WORK BREAKDOWN STRUCTURE (WBS)Identifier Work Package Description Definition/Objective Milestone/Deliverable

PRJ-WBS-1 Deploy process changes to UAT

Configure and test all process and configuration changes.

Three fully functional environments.

PRJ-WBS-2 Review and Audit member files.

Validate reporting data is reporting the correct information.

Reports are created and contain all necessary information for the proper processing of death information.

PRJ-WBS-3 Creation of proof of concept microfilm rolls

Validate the proper creation of microfilm.

Proof of concept roll of film.

5.2 SCHEDULE ALLOCATION -PROJECT TIMELINESee Attachment 1

5.3 PROJECT BUDGETService View

Identifier Work Package or Budget Category Cost

PRJ-PB-1 Process changes HP services $50,000

PRJ-PB-2 Process changes Softech services $100,000

PRJ-PB-3 Softech Microfilm Services $50,000

PRJ-PB-4 Microfilm Creation $150,000

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Phase View

Phase / Activity Associated Deliverables Estimated Budget

Phase 1Project Preparation & Planning

Project planProject Schedule $0

Phase 2 Process Changes to RIO and P8 $150,000

Phase 3 Microfilm creation $200,000

Phase 4Project Closing

Closure and approval$0

TOTAL $350,000

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5.4 PROJECT TEAM5.4.1 PROJECT TEAM ORGANIZATIONAL STRUCTURE

5.4.2 PROJECT TEAM ROLES AND RESPONSIBILITIES

ROLE RESPONSIBILITY NAME FUNCTIONAL AREA

PERA Member Services Executive Staff

Final Project and Process Approval

Greg Trujillo PERA Deputy Executive Director

PERA Project Manager

Approval for all project deliverables

Gabriel Baca PERA Records and Imaging Division Manager

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ROLE RESPONSIBILITY NAME FUNCTIONAL AREA

HP Staff System process changes and development

HP Staff RIO

Softech Staff System process changes and development

Softech Staff Imaging

User Administrator Manager

System process changes Vince Jaramillo RIO System Changes

5.5 STAFF PLANNING AND RESOURCE ACQUISITION5.5.1 PROJECT STAFF

Resource Cost Estimate

Estimated Hours Availability Skill Set Work Product/Deliverable

Wayne Propst 2 hrs/wk 100% Executive Director

Executive Approval

Greg Trujillo 4 hrs/wk 100% Executive Manager

Executive Approval

Greg Portillos 5 hrs/wk 100% CIO Technical Approval

Gabriel Baca 30 hrs/wk 100% IT/Records

Records Managers Approval

Vince Jaramillo 25 hrs/wk 100% System Admin Manager

RIO System Approval

Krishnan Ganesan 30 hrs/wk 100% HP Tech Lead

RIO Process changes

Hao Lu 30 hrs/wk 100% Softech Tech Lead

P8 process changes

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5.5.2 NON-PERSONNEL RESOURCES

Resource Cost Estimate

Estimated units/hours Availability Source Work Product/Deliverable

Microfilm Creation $150,000 160 Softech Microfilm

5.6 PROJECT LOGISTICS The RIO and P8 process changes will be done onsite. After system process changes are made PERA staff within the User Administration unit will coordinate with PERA staff the testing of system components to ensure system functionality. If PERA staff encounters problems with the system, the problem will be reported to PERA IT. If the problem is with the environment, PERA IT will resolve the problem internally and if need be enlist HP’s or Softech’s project staff managers. If the problem that PERA staff finds is a business problem, then an incident report will be raised and reported to HP on-site. HP or Softech will then resolve the problem.

6.0 PROJECT MANAGEMENT AND CONTROLS

6.1 RISK AND ISSUE MANAGEMENT6.1.1 RISK MANAGEMENT STRATEGY

Risks for this project could be improper testing by PERA staff. This could lead to the improper deletion of member accounts. Project managers, and executive staff will coordinate and validate all testing to ensure only eligible information is properly destroyed.

6.1.2 PROJECT RISK IDENTIFICATION

1. Funding Delays

2. Improper testing, in the data cleansing process.

3. Microfilm is not in SRCA compliance.

4. Staffing losses by either contractor.

6.1.3 PROJECT RISK MITIGATION APPROACH

If new risks arise the project team and the executive sponsor will collectively find an alternative and a mitigation strategy to offset the risk.

6.1.4 RISK REPORTING AND ESCALATION STRATEGY

Risks will be reported by the project team to the project manager. In the event that the project manager cannot resolve the issue, the risk will be elevated to the PERA Executive Director for further assistance.

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6.1.5 PROJECT RISK TRACKING APPROACH

All risks will be tracked carefully by the PERA, HP, Softech and the IV&V vendor project managers to ensure that all perceived risks are dealt with prior to the risk becoming an issue, which may hinder the project.

6.1.6 ISSUE MANAGEMENT

6.1.6.1 Internal Issue Escalation and Resolution ProcessAny issues within the project structure or with the project in general will be addressed and reported to the project manager. In the event that there are any internal IT issues they will be reported to the Chief Information Officer for guidance and direction. If the project manager determines that any issue needs to be further escalated the project manager will then report it to the PERA Executive Director.

6.1.6.2 External Issue Escalation and Resolution ProcessAll issues will be tracked carefully by the PERA, HP, and Softech project managers to insure that they are dealt with prior hindering the project.

6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&VNMPERA has a waiver from the IV&V requirement for this project as no architecture will be changed, no software will be developed, and only minor changes will be made to the existing system and business processes.

6.3 SCOPE MANAGEMENT PLANThe project manager will monitor the project to ensure that the initial project requirements are detailed and complete. IT will report to the project manager during all the phases of the project. The project manager will include the involvement of PERA’s User Administration Unit (they will coordinate PERA staffs involvement) during the acceptance phase. Weekly status reports shall be submitted by PERA IT staff, the HP Project Manager, the Softech Project Manager, the Imaging Project Manager and by User Administration to the overall Project Manager to ensure that the scope of the project is not changing, and that all deliverables are on time.

6.3.1 CHANGE CONTROL

6.3.1.1 Change Control ProcessThe software process change services of this project have been predetermined and budgeted for. Any overages for the project will be addressed by PERA, HP and Softech project managers and if necessary PERA’s Executive Director.

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6.3.1.2 Change Control Board (CCB)Any change controls for the project will be addressed by PERA’s overall project manager after consulting with HP and Softech project managers. If necessary PERA’s Executive Director will make final approval decisions.

6.4 PROJECT BUDGET MANAGEMENT

ITEM COST ESTIMATE

HP SERVICES $50,000

SOFTECH SERVICES $100,000

MICROFILM SOFTECH SERVICES $50,000

MICROFILM CREATION $150,000

6.4.1 BUDGET TRACKING

The budget for this project will be tracked by the project manager and PERA’s budget analyst as payments are made to HP after the completion on specific stages of the project.

6.5 COMMUNICATION PLANThe project team will communicate with the PERA project manager on all items that need to be addressed with the project. The project manager will provide reports to PERA’s Executive Director during weekly management meetings. As information needs to be presented to the project team, the information will be distributed by the project manager. All documentation and correspondences regarding the project will be maintained in a shared folder accessible by the project team members, and made available to the selected IV&V contractor to ensure that everyone is informed at all times.

6.5.1 COMMUNICATION MATRIX

The project manager will serve as the liaison between the internal project team, HP’s project team and PERA’s executive staff regarding this project. Each individual team member will be responsible for reporting to their specific manager who will report to the project manager.

6.5.2 STATUS MEETINGS

Status meetings will be held with the project managers on a biweekly basis and sooner as the needs arise.

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6.5.3 PROJECT STATUS REPORTS

The project team will communicate with the PERA project manager on all items that need to be addressed with the project. The project manager will provide reports to the PERA’s Executive Director, DoIT Project Oversight and Compliance Division on a monthly basis.

6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS) 6.6.1 Baselines

Project Area Category Measure

UAT Process changes System/Business Functional RIO/P8 environment

PRD/DR Process changes System/Business Functional RIO/P8 environment

PERA Staff Training of System Changes

Business HP/User Admin train end users process.

Production Microfilm Business Approved Microfilm

6.6.2 METRICS LIBRARY

6.7 QUALITY OBJECTIVES AND CONTROLThe primary goal is to update the way the current death files are processed, indentified, updated and purged through the online systems.

6.7.1 QUALITY STANDARDS

No. Quality Standard Tracking Tool or Measure

1 Deployment of Process Changes Audit reporting is correct

2 PERA Staff training Vendors and User Administration are trained on new system process

3 Microfilm Creation Approved microfilm is transferred to NMSRC

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6.7.2 PROJECT AND PRODUCT REVIEW AND ASSESSMENTS

Review Type Quality Standard Tools Reviewer Reports

Requirements

1,2 Project plan PERA Project Manager

Functional Specification

Plans 1,2 Project plan PERA Project Manager

Functional Specification

Milestones 3 Regression Testing

Project Team

Testing 4 Application Usage

Project Managers Functional Specification

6.7.3 AGENCY/CUSTOMER SATISFACTION

Areas of feedback When How Often

Project team awareness Throughout the life of the project

Bi-Weekly

Quality of communications During the life of the project, or during a communication issue

As needed, or as issues arise

Manages project tasks Upon completion of each task, or major milestone or deliverable.

Upon completion of milestones, or phases

Productive Meetings During the life of the project Bi-Weekly

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6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS

Deliverable Final Approval Process Customer Acceptance Criteria

Process functional and technical specifications

Project Manager/User Administration manager

All Functional and Business Specification

Three Functional system environments

Project Manager/User Administration manager

Three Functioning system environments.

User and Administration guidelines

Project Manager/User Administration

A detailed guide that will assist in training, and in the daily administration of the system.

Microfilm Records Manager/Project Manager

Microfilm is accepted by SRCA

6.8 CONFIGURATION MANAGEMENTConfiguration Management determines how project information (files, reports, designs, memos, PERA will be the owners of all information generated throughout the project lifecycle. The project manager will keep all electronic project information until the completion of the project. All data will be stored within PERA’s secure data repository system, and made available at any time.

6.8.1 VERSION CONTROL

Any modifications to any documentation pertaining to this project shall be reviewed and approved by the project team. Each team member will be asked to approve and ratify any modifications prior to versioning any documentation. All versions of each document must be saved for future reference and new version number will be assigned within the CVS repository and managed by the project manager.

6.8.2 PROJECT REPOSITORY (PROJECT LIBRARY)All documentation for this project will be maintained by the project manager. The project manager will be in charge of maintaining and providing the agency with any documentation or information they may need.

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6.9 PROCUREMENT MANAGEMENT PLANPERA will be utilizing several State Price Agreements. The vendors PERA will be utilizing Abba Technologies for third party software, Softech & Associates for Imaging products and services, and Dell for all hardware purchases. PERA IT must also meet the strict internal standards set by internal and state wide procurement rules and regulations.

7. 0 PROJECT CLOSEUpon completion of this project, the project team will meet to verify that all project goals and deliverables were met. The project team will also keep and maintain a copy of the systems administration guide. The project manager will sign off on any outstanding invoices from HP and provide a final report to PERA’s Executive Director, and the DoIT Enterprise Project Management Office.

7.1 ADMINISTRATIVE CLOSE

At the close of each phase of the project, the project manager will sign off on invoices pertaining to the completed phase and coordinate payment to HP. The project manager will provide a report to PERA’s Executive Director, and the DoIT Enterprise Project Management Office.

7.2 CONTRACT CLOSE

All invoices and payments will be reviewed by the project manager to ensure correct and complete payment processing accuracy. The finance section will be notified to close the encumbrances.

ATTACHMENTS Attachment 1 Gant chart and project time line.

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