CCAMPAIGN FINANCE INFORMATION SSYSTEM
PROJECTPROJECT MANAGEMENTMANAGEMENT PLANPLAN (PMP)(PMP)
EXECUTIVE SPONSOR – MARY HERRERA AND NM STATE LEGISLATORS BUSINESS OWNER - DON FRANCISCO TRUJILLO II PROJECT MANAGER – JOSE HERNANDEZ ORIGINAL PLAN DATE: APRIL 6, 2009 REVISION DATE: REVISION: VERSION 1.0 PROJECT MANAGEMENT PLAN FOR CAMPAIGN FINANCE INFORMATION SYSTEM
REVISION: 1.0 DOIT-PMO-TEM-020 2 OF vi PROJECT MANAGEMENT PLAN FOR CAMPAIGN FINANCE INFORMATION SYSTEM
REVISION HISTORY
REVISION NUMBER DATE COMMENT 1.0 April 6, 2009 Campaign Finance Information System Project Management Plan (CFIS)
REVISION: 1.0 DOIT-PMO-TEM-020 3 OF vi PROJECT MANAGEMENT PLAN FOR CAMPAIGN FINANCE INFORMATION SYSTEM
PREPARING THE PROJECT MANAGEMENT PLAN
The workbook for preparation of the Project Management Plan is built around helping the project manager and the project team to use the Project Management Plan in support of successful projects. Please refer to it while developing this PMP for your project.
ABOUT THIS DOCUMENT
Project Oversight Process Memorandum – DoIT, July 2007
1 “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.
2 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.
3 A project plan includes at least other plans for issue escalation, change control, communications, deliverable review and acceptance, staff acquisition, and risk management.
4 “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.
5 Project product” means the final project deliverables as defined in the project plan meeting all agreed and approved acceptance criteria.
6 “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 4 OF vi PROJECT MANAGEMENT PLAN FOR CAMPAIGN FINANCE INFORMATION SYSTEM
1.0 PROJECT OVERVIEW The Project Overview sets the stage for the details of the project and begins the “story” of the project and plan.
1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT The purpose of this project is to design, develop and implement the Campaign Finance Information System (CFIS) to replace the currently installed Political Finance Reporting System (PFRS) to be more user friendly, increase functionality, enhance administrative support and to make this immediately accessible to the public. For the Bureau of Elections and Ethics Administration, the purpose of this effort is to increase public confidence in the conduct of elections and the electoral process; to assist local election officials through ongoing education and training; to educate and ensure compliance with governmental ethics laws by persons subject to their provisions; to improve the management of reports and other documents filed by reporting entities; to successfully implement electronic filing of campaign finance reports; to improve access to records; and to adopt administrative rules and regulations and internal procedures.
1.2 FUNDING AND SOURCES
Source Amount Associated Approvers restrictions HOUSE BILL 2, $176,500.00 SINCE THE PCC-PROJECT LAWS OF 2008, PROJECT IS A CERTIFICATION SECTION 7, ITEM CUSTOM BUILT COMMITTEE, DFA, 19 APPLICATION EXECUTIVE THAT WILL HAVE SPONSOR-MARY IMPACT ACROSS HERRERA, THE STATE THE BUSINESS SOS WILL OWNER-DON PROVIDE THE FRANCISCO COMPLETE TRUJILLO II ARCHITECTURE INCLUDING NETWORK, SECURITY, E- MAIL AND SYSTEM DEPENDENCIES
1.3 CONSTRAINTS
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Constraints are factors that restrict the project by scope, resource, or schedule.
NUMBER DESCRIPTION 1 $176,500.00 in funding is approved for project upon delivery of required documents as specified by the Department of Information Technology Cabinet Secretary State Chief Information Officer 2 Timely submission of IT Project Certification for PCC approval and certification
3 In house application developer capability of meeting deadlines and developing new Campaign Finance Information System application 4 Project must be fully operational no later than July 1, 2009 5 Training for the Secretary of State Office Project Team, County Clerks, Candidates, Lobbyists and Political Action Committees (PAC) before the October 2009 Bi-Annual Report is due 6 Bi-Annual Report due October 12, 2009. All incumbents, lobbyists, candidates and political action committees with an open account must report finances
1.4 DEPENDENCIES Types include the following and should be associated with each dependency listed. Mandatory dependencies are dependencies that are inherent to the work being done. D- Discretionary dependencies are dependencies defined by the project management team. This may also encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle. E-External dependencies are dependencies that involve a relationship between project activities and non- project activities such as purchasing/procurement
Number Description Type M,D,E 1 COMPLETE PROJECT CHARTER DEFINING SCOPE M
2 DEVELOP PROJECT MANAGEMENT PLAN M
3 PCC APPROVAL GATE AND AGENCY PRESENTATIONS M
4 PURCHASING EQUIPMENT AND SOFTWARE TO HOUSE D,E NEW APPLICATION
5 THE SUPPORT FROM THE DEPARTMENT OF D,E INFORMATION TECHNOLGY ASSISTING THE SECRETARY OF STATE’S STAFF IN THE PURSUIT OF
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Number Description Type M,D,E THE MANAGEMENT OF THIS PROJECT AND CONSULTATION TO MAKE THIS PROJECT A SUCCESS BY IDENTIFYING BARRIERS THAT WOULD INCREASE THE RISKS OF THIS PROJECT
1.5 ASSUMPTIONS Assumptions are planning factors that, for planning purposes, will be considered true, real, or certain.
NUMBER DESCRIPTION 1 New Campaign Finance Information System (CFIS) will be completed by July 1, 2009 2 Certifications will be approved at each phase of the project 3 Adequate personnel resources will be available to perform work 4. Testing by SOS personnel of new CFIS application before July 1, 2009 5. Training will be provided to SOS Project Team of new CFIS application tentatively for the month of August 2009
1.6 INITIAL PROJECT RISKS IDENTIFIED In this section identify and describe how each risk will be managed. Include the steps that will be taken to maximize activity that will result in minimizing probability and impact of each risk.
Risk 1 Providing Deliverables to Department of Information Technology Probability 75 percent Impact CERTIFICATION OF Description- Preparing and PROJECT MANAGEMENT PLAN gathering Documents by AND RELEASE OF FUNDS management and project Mitigation Strategy -The Office of the Secretary of State has created a manager for certification Project Management Team and Steering Committee to provide process of TARC and PCC guidance, leadership and develop strategies to produce the deliverables review required for this project. Understand and follow DoIT’s Project Certification Timeline and Gates process. Request support from assigned DoIT consultant.
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Contingency Plan Review and Revise the original CFIS Project Charter Develop a Project Management Plan and Scope of Change Status Report for the Campaign Finance Information System Identify all deliverables that are associated with this project Prepare CFIS Project Schedule using Project Management Software (preferably GANT chart style) Gather and Develop all identified deliverables for the TARC and PCC presentations
Set up a date for testing and training of new Campaign Finance Information System. Invite designated parties to participate in the testing phase of the new application. Document and produce a user guide of all electronic functions by July of 2009. Implement recommendations submitted by participants.
Risk 2 Developing CFIS Application Internally Probability 75 per cent Impact UTILIZING BEST Description – Designing in PRACTICES AND SUPPORTING IN- house CFIS Oracle based HOUSE APPLICATION application Mitigation Strategy – Develop a Business Continuity and Disaster Recovery plan specific for this new CFIS application. Contingency Plan Identify SOS IT staff roles in assisting the developer Input from the Bureau of Elections Ethics personnel in the design stage of the project Assist developer in documentation, system testing methodology and user defined functionality and developing final output of reports Develop and Independent Validation and Verification contract to analyze, identify risks, develop Risk Management Plan, and provide technical advice of CFIS in house application Identify short and long term application backup support plan in the event in house developer is no longer available or moves on Develop proper documentation and design of CFIS application Develop Training Plan for IT staff supporting this new application Develop periodic scheduled User Acceptance Testing of CFIS application
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2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE The Project Organization describes the roles and responsibilities of the project team. It also identifies the other organizational groups that are part of the project and graphically depicts the hierarchical configuration of those groups. It exists to clarify interaction with the project team.
2.1 STAKEHOLDERS List all of the major stakeholders in this project, and state why they have a stake. . Stakeholders are individuals and organizations that are actively involved in the project, or whose interests may be positively or negatively affected as a result of project execution or project completion. They may also exert influence over the project and its results.
NAME STAKE IN PROJECT ORGANIZATION TITLE Mary Herrera Project Sponsor/Users SOS Secretary of State
Don Francisco Business Owner SOS Deputy Trujillo II Secretary of State
New Mexico State Project Sponsor SOS New Legislators Mexico Legislators
County, District and Users Candidates New State wide Mexico (Executive Branch) candidates Judicial Candidates and office holders
Lobbyists Users Lobbyists New Employer Mexico Lobbyists
Political Action Users Various New Committees (PACs) Mexico Political Action Committee
Members of the Reporters New Mexico Media Media Media affiliated
Jose Hernandez IT Project Management Support SOS Project Manager
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NAME STAKE IN PROJECT ORGANIZATION TITLE Patricia Lemus Lead Technical Support SOS Business Analyst
Tessa Jo Mascarenas Ethics Administrative Support SOS Ethics Administra tor
Tracey Littrell Ethics Administrative Support SOS Ethics Administra tor
Brad Allen CFIS Application Developer SOS Database Administra tor
2.2 PROJECT GOVERNANCE STRUCTURE
2.2.1 DESCRIBE THE ORGANIZATIONAL STRUCTURE – ORG CHART
2.2.2 DESCRIBE THE ROLE AND MEMBERS OF THE PROJECT STEERING COMMITTEE Mary Herrera Executive Project Sponsor Don Francisco Trujillo II Business Owner Kelli Fulgenzi Interim IT Director/BOE Administrator Jose Hernandez Project Manager AJ Salazar Elections Director Brad Allen Database Administrator
2.2.3 ORGANIZATIONAL BOUNDARIES, INTERFACES AND RESPONSIBILITIES Use this section to describe any special considerations regarding contact between the project team, the project manager, and individuals from various organizations involved in the project: Boundary, interface and responsibilities at the interface The new Campaign Finance Information Reporting system will not interface with any other State application system. This is a standalone in-house developed Oracle database system that will include a search engine. This application will be supported internally by IT staff with the guidance of the Oracle Database developer and accessible by Candidates, PACS, and Lobbyist through a secure website. Due to the timeliness and budget constraints of this project, the Office of the Secretary of State decided to proceed with the development of the new Campaign Finance Information System internally.
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2.3 EXECUTIVE REPORTING
3.0 SCOPE
3.1 PROJECT OBJECTIVES
3.1.1 BUSINESS OBJECTIVES
NUMBER DESCRIPTION Business Objective 1 To provide a user friendly Campaign Finance Information System (CFIS) via the internet to all candidates, lobbyists and political action committees reporting financial information
Business Objective 2 To provide upon request to media representatives and public inquiries a complete CFIS data file in a standard format
Business Objective 3 To allow the Secretary of State’s Office IT staff full administrative and support of the new Campaign Finance Information System (CFIS)
3.1.2 TECHNICAL OBJECTIVES
NUMBER DESCRIPTION Tech. Objective 1 Major technical objective is to redesign and develop a Campaign Finance Information System that will allow candidates, lobbyists, political action committees, media and the public to input data, create reports or search capabilities utilizing an Oracle database structure
Tech. Objective 2 The ability to maintain and enhance the new CFIS application in- house without depending on third party resources
3.2 PROJECT EXCLUSIONS Due to time constraints an exemption request for the Independent Verification and Validation requirement of the Campaign Finance Information System project shall be submitted.
3.3 CRITICAL SUCCESS FACTORS Identify the critical success factors for achieving success in this project. Metric are key to understanding the ability of the project to meet the end goals of the Executive Sponsor and the Business Owner, as well as the ability of the project team to stay within schedule and budget. See also section 6.7 Quality Objectives and Controls.
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Number Description
QUALITY METRICS PROJECT MUST BE COMPLETED AND IN PRODUCTION BY 1 JULY 1, 2009
QUALITY METRICS ACCEPTANCE OF IT PROJECT CERTIFICATION TIMELINE 2 AND GATES PROCESS
QUALITY METRICS APPLICATION DEVELOPER PROVIDING CODE, COMPLETE 3 SYSTEM ARCHITECTURAL DESIGN DIAGRAMS INCLUDING NETWORK, SECURITY, EMAIL, SYSTEM DEPENDENCIES USER REQUIREMENTS DOCUMENTATION
QUALITY METRICS PROVIDE REQUIRED DOCUMENTATION ON THE PROJECT TO 4 INCLUDE: COMPLETE PROJECT MANAGEMENT PLAN PROJECT SCHEDULE; IDENTIFY KEY MILESTONES, TRANSITIONS, TESTING AND TRAINING PLAN
4.0 PROJECT DELIVERABLES AND METHODOLOGY
4.1 PROJECT MANAGEMENT LIFE CYCLE
Phase Summary of Phase Key Deliverables Initiation Phase Certification Overall scope of the Project Charter and Campaign Finance Certification Information System, governance plan, performance measures, business and technical objectives Planning Phase Manage project execution, Project Management Plan and control and close. Document Certification of PMP, Detail planning assumptions and System Design-Statement of decisions, facilitate Work, Detail Technical communication among Assessment- hardware, stakeholders, document software and approved scope, cost and telecommunication schedule baselines requirements Implementation Phase Quality Assurance Testing, Present an Independent User Acceptance Support and Validation and Verification Programming Development report, Quality Assurance Plan and Results Report of prior phase deliverables submitted
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with certification request. Project Change Request Form (Change of Scope) submitted. Closeout Phase Certification Deployment of the Campaign Project Closeout Report Finance Information System
4.1.1 PROJECT MANAGEMENT DELIVERABLES Project Deliverables are work products or artifacts that are driven by the project management methodology requirements and standard project management practices regardless of the product requirements of the project.
1. Project Management Plan 2. Detailed System Design 3. Detailed Technical Assessment 4. Programming Development 5. Quality Assurance Testing 6. User Acceptance Support 7. Deployment
4.1.1.1 Mission Critical Description – New Campaign Deliverable Acceptance Criteria: Finance Information System web Project is mission critical to the Secretary of State Office; based application that is user Project cost is equal to or in access of $100,000.00; friendly and readily accessible via Project impacts customer on-line access; the internet Project is one deemed appropriate by the Secretary of the DoIT Standards for Content and Format – Feedback from the UCLA California Voter Project and Law Center; Legislators; Reporters Quality Review -Comply with the Campaign Reporting Act (Sections 1-19-26 NMSA 1978) as it reads at the time of the signing of the project charter
4.1.1.2 Architectural Design
Description – Project impacts Deliverable Acceptance Criteria – Project is an internet customer on-line access and based-on-line system available to all candidates, political disruptions resulting from action committees, lobbyists and citizens of the State of New inadequate technical security Mexico
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Standards for Content and Format – Provide architectural plan and secure certificate credentials for a secure website
Quality Review – Comply with DoIT Office of Security Policies and Procedures on defining metrics and practices for secured websites
4.1.2 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS 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.
DELIVERABLE DELIVERABLE APPROVERS (WHO DATE NUMBER CAN APPROVE) APPROVED 1 Project Management Plan (PMP) DoIT Project Date Certification Pending Committee 2 Statement of Work Detail System DoIT Project 06/30/08 Design Certification
3 Hardware, software and SOS IT Director, 06/01/08 telecommunication requirements staff Detail Technical Assessment 4 Commencement of project SOS staff 08/01/08 Programming Development 5 New Campaign Finance Information DoIT PCC Pending System (CFIS) development code tested and approved Quality Assurance Testing 6 Fully functioning CFIS system ready Political Action Pending for testing User Acceptance Support Committees (PACS), Legislators, Candidates, Lobbyists, and SOS staff
7 Fully functioning CFIS application DoIT PCC and SOS 07/01/09 Deployment staff
4.1.3 DELIVERABLE ACCEPTANCE PROCEDURE Describe the process that this project will use for the formal acceptance of all deliverables.
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1. The IT Project Certification Timeline and Gates process administered and approved by DoIT
2. The Secretary of State Ethics and IT staff will provide guidance and acceptance approvals as needed
3. Schedule training and testing dates by approvers of this project i.e. (SOS staff, PAC’s, Candidates, Lobbyists, and Legislators)
4.2 PRODUCT LIFE CYCLE “During the project management lifecycle, agencies shall select and implement a phase product development lifecycle methodology approved by the Department.” PROJECT OVERSIGHT PROCESS Memorandum
Phase Summary of Phase Key Deliverables Initiation Phase Project Charter Created Scope of work and purpose of project defined Planning Phase Project Management Plan Define documentation, project timeline, user requirement documentation, system testing methodology, project schedule and system architectural design diagrams Implementation Phase Independent Verification and The SOS will pursue an IV & Validation and report results V process to validate and of prior phase verify the results of the application with both State Legislators and members of the media Closeout Phase Project closeout and lessons A closeout notification of the learned report end of this project will be issued by the SOS IT director
4.2.1 TECHNICAL STRATEGY Discuss the key technical strategies for achieving success in this project.
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Provide System Architectural Design Diagram (ERD Diagram) by developer Identify application code created for the Campaign Finance Information System Setup system testing methodology capturing feedback from reporters, legislators, users, citizens and other qualified entities Involve SOS information technology staff in all phases of this project for current and future support Implement Candidate Campaign Electronic Reporting Requirements process administered by the Ethics Department of the Secretary of State Office Create a Campaign Finance Information System user guide of new system Provide formal training of CFIS to Secretary of State relevant staff
4.2.2 PRODUCT AND PRODUCT DEVELOPMENT DELIVERABLES 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. Please Refer to 4.1 Project Management Deliverables.
4.2.2.1 Deliverable 1 Name Description Deliverable Acceptance Criteria -
Standards for Content and Format -
Quality Review -
4.2.2.2 Deliverable 2 Name
Description - Deliverable Acceptance Criteria -
Standards for Content and Format -
Quality Review -
4.2.3 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS 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.
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DELIVERABLE DELIVERABLE APPROVERS (WHO DATE NUMBER CAN APPROVE) APPROVED 1 Project Management Plan DoIT PCC 2 Detail System Design DoIT PCC
3 Detail Technical Assessment SOS IT Director 4 Programming Development SOS Staff 5 Quality Testing DoIT PCC 6 User Acceptance Support PACs, Legislators, Lobbyists, SOS Staff
4.2.4 DELIVERABLE ACCEPTANCE PROCEDURE Describe the process that this project will use for the formal acceptance of all deliverables.
5.0 PROJECT WORK
5.1 WORK BREAKDOWN STRUCTURE (WBS) A WBS is a deliverable-oriented grouping of project elements that organizes and defines the total work scope of the project. Describe the work activities that comprise the work breakdown structure (WBS) or the work packages within the WBS. Identify the WBS element or other work package identifier and provide a general description of the tasks or activities, the definition or objectives, and the milestones and deliverables of each work package. Use the chart below for highest level presentation, and provide a more detailed WBS as an attachment to this project plan.
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Identifier Work Package Description Definition/Objective Milestone/Deliverable
Project Initiate project, develop project Project Charter and Management charter, define scope, define Develop Project Charter for Certification Approval by Improvement of requirements, identify high Campaign Finance Information Project Certification CFIS Project –Phase level roles, finalize charter and System Committee 1 acquire approval
Identify the project’s tasks and Plan Campaign Develop Work Breakdown provide a framework for Project Management Plan and Finance Information Structure, project staffing plan, organizing and managing the Certification of CFIS System Project schedule, and budget work
Weekly and monthly meetings and status reports of project. Completeness and Correction of criteria of CFIS reporting requirements; Updated Project Management Develop communication plan Quality Assurance deals with Project Control Plan Plan and Project Schedule and and quality management plan process used to create the Certification deliverables; Quality Control used to record and track the ongoing activities that the project team will perform
Design framework (content format, web framework deliver tool, stages and activity) Build Define, Design, Test and Execute and and write the framework Implement framework of CFIS Project Closeout Report Control CFIS Project content and review for quality system Test and Implement Framework
Identifier Work Package Description Definition/Objective Milestone/Deliverable
5.2 SCHEDULE ALLOCATION -PROJECT TIMELINE The project timeline is a high-level view of project activities with a focus on project milestones. The project timeline does not replace the need for a detailed project schedule and it is to highlight key events such as deliverable due dates and when go/no-go decisions are made. The table below should provide a high level view of the project time line, or a summary-level Gantt chart can be used to meet the timeline requirement. Please provide a more detailed project schedule as an attachment to this plan
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Identifier Task/Activity Resource Milestone Effort/ Start Finish Dependent Name Name (Y/N) Duration Task
Data Preparation Data document Candidate and PAC y 1 month 03/01/ 04/01/ Implementati standards, data 09 09 on Phase establish copyright restrictions and permissions
Image Capture Purchase or Oracle Server y 2 weeks 03/15/ 04/01/ Testing lease setup database 09 09 equipment, store application images securely, perform quality control
Storage and Manage, Oracle Server y 2 weeks 04/01/ 04/16/ Planning Delivery maintain and database 09 09 refresh data and application images
5.3 PROJECT BUDGET Costs estimates are the costs applied to an activity in a project by assigning resources with associated rates or fees. Resources can include equipment, material, technology, processing cycles, or people. The total cost is critical and should be consistent with the proposal; include breakdowns as needed. Match these cost estimates with the actual billed amounts. Use an appropriate format for the project size and customer requirements (e.g., by WBS, milestone, or deliverable). Current balance of $176,500.00 for the Campaign Finance Information System is available for spending pending on list of expenditures from database administrator.
Identifier Work Package or Budget Category Cost
Hardware
Software
Contract Support
Backup Support
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Phase / Activity Associated Deliverables Estimated Budget Umbrella Tasks Phase 1 Phase 2 Phase 3 Phase 4 TOTALS
5.4 PROJECT TEAM
5.4.1 PROJECT TEAM ORGANIZATIONAL STRUCTURE Insert a graphical Organization Chart here. The Organizational Structure (OS) is a hierarchical configuration defining levels of program management and may identify all project personnel. The OS should be simple and straightforward. Include role names and people’s names. Consider identifying the core project team by shading their respective boxes on the chart. On complex projects, consider using a second OS to identify core project team. The OS can also be used for management reporting.
5.4.2 PROJECT TEAM ROLES AND RESPONSIBILITIES List the team members, their role, responsibility and functional manager. Make sure to include a comprehensive listing including those from the organization managing the project, business members involved to ensure business objectives are met and the vendor members that may have a specific role.
ROLE RESPONSIBILITY NAME FUNCTIONAL AREA Application Design new Campaign Brad Allen Deputy Secretary Developer Finance Information System Deputy Secretary Deputy Secretary business Don Francisco Secretary of State business owner of owner and decision maker Trujillo II new application of this project
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ROLE RESPONSIBILITY NAME FUNCTIONAL AREA Project Director Provide leadership of AJ Salazar Secretary of State Project and assist project management team and sponsors with completion of project Project Sponsor Oversees and coordinates Kelli Fulgenzi Deputy Secretary information technology staff responsibilities Project Manager Develop Campaign Jose Hernandez IT Director Finance Information System project plan Information Support developer in all Paul Flaherty, IT Director Technology phases of the project Patricia Lemus, Steve support Fresquez, Angel Espinoza
Project Provide project Ron Martinez DoIT Secretary Certification certification support, Committee approval and certification, authorizing letter to DFA to release funds Ethics Administer, audit, advise Tessa Jo Mascarenas Bureau of Election Administration of and provide technical Tracey Littrell Director Candidate, PACS, direction for Campaign and Lobbyists Finance Information System
5.5 STAFF PLANNING AND RESOURCE ACQUISITION Complete the chart below identifying the project team members and details concerning their project commitment. Project staff should include State, Contract, Customer (Business Owner), or Vendor team members
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5.5.1 PROJECT STAFF
Cost Estimated Resource Estimate Hours Availability Skill Set Work Product/Deliverable
Brad Allen $176,500 40 yes Database New Campaign Finance Administrator Information System Application
Paul Flaherty 15 yes Assist in design Submitted reports by of report candidates and PACS
Patricia Lemus 10 yes Documentation Implementation Plan of all of application deliverables
Angel Espinoza 10 yes Graphics for Administer and update CFIS front end new Campaign Finance Information System Portal
Steve Fresquez 10 yes Conversion of Update images to new Images format
Jose Hernandez 30 yes Project Certification of Project Management Management Plan Plan
Tessa Jo Mascarenas 40 yes Data Entry, Ensure compliance of reporting, completed required administer reports by candidates, CFIS political action committees processing and lobbyists
Tracey Littrell 40 yes Data Entry, Ensure compliance of reporting, completed required administer reports by candidates, CFIS political action committees processing and lobbyists
5.5.2 NON-PERSONNEL RESOURCES Use this section to list services or product (HW/SW and such) needed for project
Cost Estimated Resource Estimate units/hours Availability Source Work Product/Deliverable
Microsoft Project Pro 2007 600. 00 40 yes Software Project Management Plan Schedule, Communication Plan, Project Team Training
5.6 PROJECT LOGISTICS
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Logistics describes how the project manager, project team, the business owner/customer and any vendor resources will physically work together. Include anything to do with moving or starting resources. Training specifically related to project team members should be included here.
5.6.1 PROJECT TEAM TRAINING Describe training if any needed by project team members. This is not to include training for end users, system administrators or business owners; those should be handled within a training document or part of the transition to operations planning. A project team training chart and schedule is forthcoming by the project team. The project manager will develop a training table describing training for project team members only.
Cost Estimated Resource Estimate Hours Availability Skill Set Work Product/Deliverable
SOS Ethics Section 8 hours yes CFIS First level support of Reporting Campaign Finance Work Flow Reporting System
SOS IT Staff 8 hours yes Technical and Accessible Web based Administrative CFIS via the internet support
6.0 PROJECT MANAGEMENT AND CONTROLS
6.1 RISK AND ISSUE MANAGEMENT PMBOK©: (Project Management Body of Knowledge) Integration Management: Coordination of different elements of the CFIS project to achieve needs and expectations of project stakeholders. Scope Management: To ensure work performed in CFIS project is necessary to the successful completion. It includes initiation, scope planning, scope definition, scope verification, and scope change. Time Management: To ensure CFIS project completes in a timely manner, to include activity definition, activity sequencing, activity duration estimating, schedule development and control. Cost Management: Ensure CFIS project completes within approved budget; resources planning, cost estimating, cost control. Quality Management: The satisfaction of CFIS needs. Ensure the products and services produced by the CFIS system satisfy the needs for which the project was undertaken. Human Resources Management: To ensure effective use of the stake holders. It includes organizational planning, staff acquisition and team development.
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Communication Management: To ensure timely and effective flow of information for the CFIS project, to include information distribution and performance reporting. Risk Management: To ensure identification, analysis and appropriate response to the risks encountered by the CFIS project. Procurement Management: To ensure effective acquisition of products and services from sources external to the CFIS project organization. Such as sources selection or contract administration.
Risk: “An uncertain event or condition that, if it occurs, has a positive or negative effect on a project’s objectives.” 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.” Both Risks and Issues can significant impact a project’s success, and both should be handled in similar ways.
6.1.1 RISK MANAGEMENT STRATEGY Provide a detailed explanation on the strategy for how risks are identified, analyzed/ quantified, mitigated, reported, escalated and tracked. Include the use of tools such as project management software, forms, and templates. A separate risk management plan may also be developed if needed for the project and included as an Appendix to this document. If that is the case, a high level summary of this plan needs to be included here with the specific reference. Through the use of Microsoft Project Professional 2007 a risk management strategy assessment report will be developed to monitor, identify, analyze/quantify report and track all possible risks involved in this project. Risks such as organizational, resource, external, planning, technical and business will be identified, quantified, escalated and tracked using Microsoft Project Professional 2007.
6.1.2 PROJECT RISK IDENTIFICATION
ORGANIZATION, RESOURCE, EXTERNAL, PLANNING AND TECHNICAL ARE JUST A FEW OF THE POSSIBLE RISK S THAT WILL BE IDENTIFIED
6.1.3 PROJECT RISK MITIGATION APPROACH A Microsoft Project Pro 2007 Risk Management Process Table will be created to monitor this process. Risk Processes Risk Risk Identification Risk Quantification Risk Planning Response
Definition
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Inputs Tools & Techniques Outputs
6.1.4 RISK REPORTING AND ESCALATION STRATEGY The DoIT Risk and Issue Log Template uses a calculation based on the following values: Provability Levels: Certain, Expected, Likely, Possible, Unlikely Impact Levels: Very High, High, Medium, Low, and Very Low A table indicating the values, at which the risks should be tracked, reported and escalated such as: Blue Minimum risk—Acceptable Yellow Some Risks---Monitor at PM/Team Level Orange High Risks—Active monitoring with ongoing contingency/mitigation activity Red Show stopper---Active participating with steering committee to mitigate
6.1.5 PROJECT RISK TRACKING APPROACH
In the DoIT Risk and Issue Template the risk log provides a risk log that not only calculates the risk level, but also provides space for inputting the contingency and mitigation plan summary Number Risk Probability Impact Rating Contingenc Mitigation y Plan Plan 1 Example of Certain High 0.7125 Risk
6.1.6 ISSUE MANAGEMENT For either type of issue, projects should consider using the DoIT Risk and Issue Log template
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6.1.6.1 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. Refer to the governance structure flowchart and the DoIT project certification phase to resolve internal issues and escalation. Develop a project management flowchart of internal issues process resolution
6.1.6.2 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.
Provide the necessary documents and requirements administered by the Department of Information Technology concerning this CFIS project in the time frame associated with the Project Certification Committee. Develop a project management flowchart of external issues process resolution
6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V Independent Verification and Validation (IV&V) means the process of evaluating a system to determine compliance with specified requirements and the process of determining whether the products of a given development phase fulfill the requirements established during the previous stage, both of which are performed by an organization independent of the development organization. Describe the process that will be employed to meet IV&V requirements. The SOS will pursue an IV & V process to validate and verify the results of the application with both State Legislators and members of the media
6.3 SCOPE MANAGEMENT PLAN Describe the process that is going to be used to manage the scope of the project. Make sure to address managing stakeholder expectations. 1. Adhere to the Department of Information Technology Project Certification Phases for IT projects funds to be released 2. Follow the set standards for Certification Request for any of the four established phases required by the Department of Information Technology 3. Conduct weekly IT meetings to monitor the status and progress of the project
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4. Report monthly updates of project or projects to DoIT by the 10th day of each month 5. Conduct user acceptance testing of application and provide feedback and documentation 6. Documentation and explanation of source code created for new application 7. Design architectural structure or plan of new system
6.3.1 CHANGE CONTROL 6.3.1.1 Change Control Process Change Control establishes how change will be managed, including capturing, tracking, communicating, and resolving change. Due to much ambiguity regarding change, it is vital that we document and discuss the change process with the executive sponsor. CAMPAIGN FINANCE INFORMATION SYTEM > CHANGE CONTROL PROCESS
Process Flow between Core Team and Policy Stakeholders Core Team Flow chart of control process Change Control Flow chart of control process Board
Any changes enacted by The Legislature of the State of New Mexico affecting the Campaign Reporting Act must be considered and implemented in the development of the New Campaign Finance Information System.
6.3.1.2 Change Control Board (CCB) Insert a graphic or textual description identifying the Change Control Board (or function) for this project. The CCB may be an individual or group of individuals authorized to approve changes to the project plan.
PPROJECT CCHANGE RREQUEST
PROJECT:
AGENCY: DATE:
PROJECT MANAGER: PROJECT #:
AGENCY AND PROJECT INFORMATION:
REQUESTED BY: DATE:
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AUTHORIZED BY: DATE:
DESCRIPTION:
IMPACT: Technical Schedule Cost Other
ACTION PLAN:
MARK ONE :
THIS CHANGE: Is Is NOT Within Scope.
THIS CHANGE IS: Accepted Denied On Hold Delayed
PROJECT SPONSOR (BUSINESS OWNER) PROJECT MANAGER
SIGNATURE: SIGNATURE:
NAME: NAME:
DATE: DATE:
6.4 PROJECT BUDGET MANAGEMENT Costs estimates are the costs applied to an activity in a project by assigning resources with associated rates or fees. Resources can include equipment, material, technology, processing cycles, or people. The total cost is critical and should be consistent with the proposal; include breakdowns as needed. Match these cost estimates with the actual billed amounts. Use an
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appropriate format for the project size and customer requirements (e.g., by WBS, milestone, or deliverable). 1. Refer to 5.3 Project Budget format and plan 2. A project budget management template using Microsoft Project Pro 2007 will be used to provide this information once we identify the cost requirements for this project from database administrator
Identifier Work Package or Budget Category Cost
Hardware
Software
Contract Support
Backup Support
6.4.1 BUDGET TRACKING An excel spreadsheet or project management tool will be used for budget tracking purposes.
Secretary of State CFIS Budget Tracking (SOS)
CFISSpecific GL Codes BUDGET ACTUAL DIFFERENCE External Sales - Contract & Consulting Services $ - $ -$ COGS - External Contract & Consulting Services $ - $ -$ Salaries - Permanent Employees $ - $ - $ - Agency Staff $ - $ - $ - Payroll Tax $ - $ - $ - Work Cover Costs $ - $ - $ - Travel and Accommodation Expenses $ - $ - $ - Training – Employees (IT Employees) $ - $ - $ - Repairs & Maintenance Audio/Visual $ - $ - $ - Repairs & Maintenance Computer Equipment $ - $ - $ - Purchase of Data For Computer Systems $ - $ - $ - IT Systems - External Maintenance and Support $ - $ - $ - Infrastructure - Major Data Links $ - $ - $ - Services -Changes/Connections/Disconnections $ - $ - $ - Consultants Fees $ - $ - $ - Contractors $ - $ - $ - Hire Fees and Leasing Costs - General $ - $ - $ - Printing and Stationery $ - $ - $ - Purchases – IT Equipment – AMD Managed $ - $ - $ - Misc 1 Misc $ - $ - $ - 2 Hardware Cost $ - $ - $ - 3 Licenses $ - $ - $ -
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4 Software $ - $ - $ - 5 0 $ - $ - $ - 6 0 $ - $ - $ - 7 0 $ - $ - $ - 8 0 $ - $ - $ - 9 0 $ - $ - $ - 10 0 $ - $ - $ - 11 0 $ - $ - $ - 12 0 $ - $ - $ -
FROM P0XXXXXXXXX $ $ $ Total - 4 4
$ -$ TOTAL PROJECT BUDGET $ - 4.00 4.00
* All items contained herein (above) are EX GST
6.5 COMMUNICATION PLAN Communication planning involves determining the information and communication needs of the stakeholders, executive sponsors, project team and others as needed. The communication plan needs to address who needs what information, when they will need it, how it will be given to them, and by whom. The complexity of the project may require a separate communication plan; however a high level summary of that plan will need to be included here and a reference made to the appropriate Appendix.
Communications Plan for SOS CFIS Project Name: Campaign Finance Information System Prepared by: Jose Hernandez Date: 04/23/09
Communication Key Description of Methods Stakeholders Specific Timing Issues Stakeholder Key Messages to to be Used Communications (Distribution (see also Bar Other Issues Communicate Schedule) (Written, one-on- (Content, format, Chart, Project one, electronic, level of detail, Schedule) ▼ meetings, etc.) etc.)
Client
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Senior Management
Sponsor
SOS Project team members
SOS Employees
Subcontractors
Suppliers
Political Campaign Committees
Government Agencies
News Media
Community
Other
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6.5.1 COMMUNICATION MATRIX
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6.5.2 STATUS MEETINGS
WEEKLY SOS CFIS STATUS MEETING
Subject: CFIS Project Status Date: 04/24/09 Time: 9:00am Location: SOS Conference Room Meeting AJ Salazar Manager: Attendees Invited: Project Team Please Read: Project Management Plan
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Please Bring: Documents requested from last meeting
AGENDA TOPICS:
1. Project Status Review 2. Issues/Action Items Review 3. Risks/Mitigation Actions 4. Activities and Accomplishments Last Week 5. Status of acceptance submittals 6. Status of change submittals 7. Plans for next week
6.5.3 PROJECT STATUS REPORTS Please refer to Communications Matrix Table 6.5.1
6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS) The Project Manager and Executive Sponsor define the project metrics that will be used to control the project. Each project will need to have an established metrics program. Metrics are collected for measuring the progress of a project against its planned budget, schedule, resource usage, and error rates, and of establishing a historical database, which will aid in planning and forecasting future projects. At a minimum metrics must be established for time (schedule), cost (budget) and quality. Project Area Category Measure Schedule and Progress Work Unit in Progress Component Status Critical Paths Tested
Resources and Cost Personnel Effort, Staff Experience, Staff Availability Turnover Financial Performance Resources Availability Dates Resource Utilization Earned Value Cost
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Growth and Stability Product Size and Stability Lines of Code; Component; Database Size
Product Quality Defects Problem Reports Complexity Defect Density Rework Rework Effort
6.6.1 BASELINES Microsoft Project Management Pro 2007 software will be used to monitor the planning, scheduling, statistics, mathematics and analysis of the project.
Project Area Category Measure
6.6.2 METRICS LIBRARY Microsoft Project Pro will be utilized for this metrics.
6.7 QUALITY OBJECTIVES AND CONTROL Quality Management includes the processes required to ensure that the project will satisfy the needs for which it was undertaken. It includes all activities of the overall management function that determine the quality policy, objectives, quality assurance, quality control, and quality improvement, within the quality system. If a separate Quality Plan is used, include a high level summary in this document and refer to the appropriate appendix.
6.7.1 QUALITY STANDARDS Describe the agency, industry or regulatory project performance standards that will be followed and assessed by the project. These quality standards will be used to assess whether the quality objectives were achieved. Identify each of the project quality standards that are directly related to the project and not to the performance of the actual product and/or service. For each quality standard, identify the tracking tool or measure such as number of project reviews or Project Status.
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No. Quality Standard Tracking Tool or Measure
1 System Security – Questionnaire and Diagram completed by the Visio established date DoIT Templates
2 Business Continuity /Disaster Recovery Plan completed by the DoIT Templates established date
3 Network Infrastructure Diagram Visio Smart Draw
4 System Architecture Diagram Visio Smart Draw
5 Project phase is completed by the established finish date Project Schedule Project Status
6 Project Deliverables will be completed by the established date for the System Security Technical Architecture Review Committee (TARC) Template Business Continuity Plan Template Network Infrastructure Diagram Visio System Architecture Diagram Visio
6.7.2 PROJECT AND PRODUCT REVIEW AND ASSESSMENTS
Review Type Quality Standard Tools Reviewer Reports
Requirements
Plans
Milestones
Testing
6.7.3 AGENCY/CUSTOMER SATISFACTION The project manager should assess the on-going sense of the customer agency about how they feel the project is going, and how team members are acting on the project. This feedback would be helpful to the success of the project and the professional growth of the project team members. Examples: Areas of feedback When How Often Agency awareness Weekly Meetings Daily, Weekly, Monthly Reports Quality of communications Internal Email Daily Manages project tasks Normal business hours
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Productive Meetings Management Scheduled Daily, Weekly, Project Meetings Scheduled meetings by DoIT
6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS How the client takes procession of the product. Delivery of media; manuals; contracts; licenses; services agreements; configuration settings; status of patches to COTS products; in-house or vendor developed code; test cases, routines, and scripts; and other items required to operate the product.
Deliverable Final Approval Process Customer Acceptance Criteria
Project Charter Certification Process by DoIT DoIT Project Certification PCC, SOS CFIS Steering Committee Committee and Project Team
Project Management Plan Certification Process by DoIT DoIT Project Certification PCC, SOS CFIS Steering Committee Committee and Project Team
Updated Project Management SOS CFIS Project Team and SOS Project Team Plan Steering Committee
Final IV & V Report PCC SOS Project Steering Committee
Project Closeout PCC SOS Sponsors
6.8 CONFIGURATION MANAGEMENT Configuration Management determines how project information (files, reports, designs, memos, documents, etc.) will be managed (tracked, approved, stored, secured, accessed, version control, etc.) and owned by (e.g., Agency managing the project or the Customer). Standards and team awareness are critical. The Office of the Secretary of State Office will produce a configuration management table to manage CFIS files, reports, diagrams, documents created by the ongoing process of this project
6.8.1 VERSION CONTROL Version control will be tracked on title page of PMP as required by DoIT
6.8.2 PROJECT REPOSITORY (PROJECT LIBRARY) “Provide to the Department all project management and product deliverables. Deliverables shall include but not limited to the project plan, project schedule, initial and periodic risk assessments, quality strategies and plan, periodic project reports, requirements and design documents for entire project. The lead agency must make available all deliverables in a repository with open access for the Department to review” PROJECT OVERSIGHT PROCESS Memorandum.
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All Project Deliverables will be made available to the Department of Information Technology project certification committee at least two weeks before scheduled meetings as describe by the Project Oversight Process Memorandum
6.9 PROCUREMENT MANAGEMENT PLAN Projects often have some element of procurement, i.e. the requirement to purchase goods and/or services from outside the organization. The procedures to be used to handle these procurements should be included here. Activities such as a make-or-buy analysis; writing requirements; solicitation planning, evaluation and selection; inspection and acceptance; contract closeout should all be included.
Procurement process established by the Office of the Secretary of State Finance department will be administered.
7. 0 PROJECT CLOSE Project Close will always consist of administrative project activities and possibly contractual project activities and an external vendor is employed. Completing both sets of activities is a mandatory step in the project life cycle. Administrative activities complete the internal needs for the Agency/Unit that is responsible for managing the project, such as lessons learned, recording the last hours against the project, and providing transition for the staff to other assignments. Contractual activities meet the contractual needs, such as executing a procurement audit and formal acceptance of the project work products. Project Close out cycle will be administered by the SOS project team, project steering committee and sponsors.
7.1 ADMINISTRATIVE CLOSE Administrative Close occurs at both the end of phase and end of project. This closure consists of verification that objectives and deliverables were met. Acceptance is formalized and phase activities are administratively closed out. Administrative closure occurs on a “by-phase” basis in accordance with the WBS and should not be delayed to project end. At that point, the burden of closing is too great and audits inaccurate. The specific project close activities for a given project are contingent on the project’s complexity and size. Project managers should work with the project’s project management consultant to tailored Project Close procedures to compliment the project’s objectives
7.2 CONTRACT CLOSE Contract close is similar to administrative close in that it involves product and process verification for contract close.
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ATTACHMENTS Attachments are included for additional information, but are not formally considered part of the Project Plan for approvals and change management purposes. Examples Acronyms, abbreviations and definitions Technical glossary of IT terms Project Work breakdown schedule Project timeline
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