NM DoIT - Executive Sponsor – Maggie Toulouse …€¦ · Web viewThe project will be managed by a PMI-PMP/PMI-ACP certified project manager, and the SOS anticipates following an

NEW MEXICO SECRETARY OF STATE

CAMPAIGN FINANCE SYSTEM MODERNIZATION PROJECT

PROJECT MANAGEMENT PLAN

EXECUTIVE SPONSOR – MAGGIE TOULOUSE-OLIVER, NM SECRETARY OF STATE

BUSINESS OWNER – MANDY VIGIL, ACTING ELECTIONS DIRECTOR

PROJECT MANAGER – LORI HEWIG

ORIGINAL PLAN DATE: NOVEMBER 11, 2018VERSION: DRAFT 1.4

SOS CAMPAIGN FINANCE SYSTEM MODERNIZATION PROJECT

Table of ContentsREVISION HISTORY............................................................................................................................................... I

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

1.1 EXECUTIVE SUMMARY.............................................................................................................................................11.2 FUNDING AND SOURCES..........................................................................................................................................21.3 CONSTRAINTS........................................................................................................................................................21.4 DEPENDENCIES......................................................................................................................................................21.5 ASSUMPTIONS.......................................................................................................................................................31.6 INITIAL PROJECT RISKS IDENTIFIED.............................................................................................................................3

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE.............................................................................6

2.1 STAKEHOLDERS......................................................................................................................................................62.2 PROJECT GOVERNANCE STRUCTURE...........................................................................................................................6

2.2.1 Describe the organizational structure – Org Chart....................................................................................62.2.2 Describe the role and members of the project steering committee...........................................................72.2.3 Organizational Boundaries, interfaces and responsibilities.......................................................................9

2.3 EXECUTIVE REPORTING............................................................................................................................................9

3.0 SCOPE......................................................................................................................................................... 11

3.1 PROJECT OBJECTIVES............................................................................................................................................113.1.1 Business Objectives.................................................................................................................................113.1.2 Technical Objectives................................................................................................................................11

3.2 PROJECT EXCLUSIONS............................................................................................................................................123.3 CRITICAL SUCCESS FACTORS...................................................................................................................................13

4.0 PROJECT DELIVERABLES AND METHODOLOGY.............................................................................................13

4.1 PROJECT MANAGEMENT LIFE CYCLE........................................................................................................................134.1.1 Project Management Deliverables..........................................................................................................154.1.2 Deliverable Approval Authority Designations..........................................................................................174.1.3 Deliverable Acceptance Procedure..........................................................................................................18

4.2 PRODUCT LIFE CYCLE............................................................................................................................................184.2.1 Technical Strategy...................................................................................................................................194.2.2 Product and Product Development Deliverables.....................................................................................204.2.3 Deliverable Approval Authority Designations..........................................................................................254.2.4 Deliverable Acceptance Procedure..........................................................................................................25

5.0 PROJECT WORK........................................................................................................................................... 26

5.1 WORK BREAKDOWN STRUCTURE (WBS)..................................................................................................................265.2 PROJECT SCHEDULE AND PROJECT TIMELINE.............................................................................................................265.3 PROJECT BUDGET.................................................................................................................................................265.4 PROJECT TEAM....................................................................................................................................................28

5.4.1 Project Team Organizational Structure...................................................................................................285.4.2 Project Team Roles and Responsibilities..................................................................................................28

5.5 STAFF PLANNING AND RESOURCE ACQUISITION.........................................................................................................295.5.1 Project Staff.............................................................................................................................................295.5.2 Non-Personnel resources.........................................................................................................................32

5.6 PROJECT LOGISTICS...............................................................................................................................................325.6.1 Project Team Training.............................................................................................................................32


6.0 PROJECT MANAGEMENT AND CONTROLS....................................................................................................33

6.1 RISK AND ISSUE MANAGEMENT..............................................................................................................................336.1.1 Risk Management Strategy.....................................................................................................................336.1.2 Issue Management..................................................................................................................................336.1.3 Project Risk Mitigation Approach............................................................................................................336.1.4 Risk Reporting and Escalation Strategy...................................................................................................336.1.5 Project Risk Tracking Approach...............................................................................................................336.1.6 Issue Management..................................................................................................................................33

6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V...............................................................................................346.3 SCOPE MANAGEMENT PLAN..................................................................................................................................34

6.3.1 Change Control........................................................................................................................................346.4 PROJECT BUDGET MANAGEMENT............................................................................................................................35

6.4.1 Budget Tracking......................................................................................................................................356.5 COMMUNICATION PLAN........................................................................................................................................35

6.5.1 Communication Matrix............................................................................................................................356.5.2 Status Meetings.......................................................................................................................................376.5.3 Project Status Reports.............................................................................................................................37

6.6 PERFORMANCE MEASUREMENT..............................................................................................................................376.6.1 Baselines.................................................................................................................................................37

6.7 QUALITY OBJECTIVES AND CONTROLS......................................................................................................................396.7.1 Quality Standards....................................................................................................................................396.7.2 Project and Product Review AND ASSESSMENTS.....................................................................................406.7.3 Agency/Customer Satisfaction................................................................................................................406.7.4 Product Deliverable Acceptance Process.................................................................................................41

6.8 CONFIGURATION MANAGEMENT.............................................................................................................................416.8.1 Version Control........................................................................................................................................416.8.2 Project Repository (Project Library).........................................................................................................42

6.9 PROCUREMENT MANAGEMENT PLAN.......................................................................................................................42

7. 0 PROJECT CLOSE........................................................................................................................................... 43

7.1 ADMINISTRATIVE CLOSE........................................................................................................................................437.2 CONTRACT CLOSE.................................................................................................................................................43

ATTACHMENTS................................................................................................................................................. 43


REVISION HISTORY

REVISION NUMBER DATE COMMENT

Draft 1.3 November 8, 2018 Project Management Plan

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1.0 PROJECT OVERVIEW 1.1 Executive Summary

The Office of the Secretary of State (SOS) is statutorily required to administer campaign finance disclosure laws and the compliance thereof within New Mexico. A large component of this mandate is to provide and maintain an electronic reporting system for candidates, political action committees (PACs) and lobbyists to disclose contributions and expenditures, and to make the information available to the public.

In 2010, the SOS implemented the current campaign finance information system (CFIS)

to replace a pen and paper filing process in hopes of making reporting easier and information more accessible to the public. While this electronic reporting system made data entry easier, significant changes have since occurred in statute and the current system was not designed in a way that lends well to enhancements needed to bring CFIS into statutory compliance. The known design constraints, along with ever-increasing public and media scrutiny of CFIS’s role in erroneous reporting, led to the unanimous passage of House Bill 105 during the 2016 Legislative Session. The system specifications contained within the enacted bill are necessary to address many of the reporting gaps, to enable robust analysis, and to improve usability for those required to disclose financial information.

The purpose of this project is to replace the existing CFIS with a modernized electronic reporting system that will enable the SOS, and the entities required by law to disclose financial information to the office, to meet all requirements outlined in the Campaign Reporting Act, the Lobbyist Regulation Act, the School District Campaign Reporting Act, and the Financial Disclosure Act, including the new system requirements outlined in HB105 that become effective in December 2017.

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1.2 Funding and Sources

SOURCE AMOUNT ASSOCIATED RESTRICTIONS

APPROVERS

LAWS OF 2018, CHAPTER 73, SECTION 7(14)

$985,000 REQUIRED RELEASE OF FUNDS BY PCC

DOIT; SPD; PCC

Total: $985,000

1.3 Constraints

NUMBER DESCRIPTION

1 RESOURCE: Internal staff resources are available only on a part time basis due to other assignments.

2 BUDGET: Funds allocated to the project cannot exceed the appropriation amount of $985,000. Budget projections were estimated without having full project requirements defined.

3 SCHEDULE: Project should be completed by January 2020 to synchronize implementation with the election cycle.

4 SCOPE: Scope will be defined by RFP and contract requirements.

1.4 Dependencies

NUMBER DESCRIPTION TYPE M,D,E

1 SOS must have services contracts in place with the vendors for Project Management and IV & V no later than 1/15/2018 for planning activities.

M, E

2 RFP award and contract for software development vendor must be in place by 4/1/2018.

M,E

3 The Project must be certified for each phase – Initiation, Planning and Implementation – by the Project Certification Committee before planning and implementation can begin.

M, E

4 Completion of final configuration is dependent upon the M, E

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NUMBER DESCRIPTION TYPE M,D,E

receipt of feedback from internal and external agency users during testing

5 Contract approvals E

1.5 Assumptions

NUMBER DESCRIPTION

1 Business owner will be sufficiently available to ensure project meets business objectives.

2 Existing technical architecture will support new system implementation.

3 The SOS Subject Matter Experts will be available for requirements validation, data preparation, end-user testing, and training.

4 Non-SOS end-users will be available for training and will understand how to use the system after training.

5 Business Owners decisions on issues will be timely.

6 Contract approval and project certification will occur at time and budget identified in project plan.

7 The vendor solution can be customized to meet the specific requirements for New Mexico campaign finance rules and requirements.

1.6 Initial Project Risks IdentifiedResources

Description – SME and stakeholder availability could affect the schedule for training and testing

Probability Medium

Impact HIGH

Mitigation Strategy – Meet with the stakeholders and users and coordinate scheduling and testing, keep them informed by sending the proposed training schedules.Contingency Plan – Conduct train-the-trainer sessions to reach a broader audience. Create virtual training sessions and offer specialized webinars as major components are developed. Perform exploratory testing throughout project to expose stakeholders to the application throughout the implementation. Develop training materials incrementally as modules are completed. Build test scenarios along with development using the specification by example approach to requirements.

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Scope Change

Description - Possible statutory and rule changes during project – Campaign finance reform is a topic discussed every legislative session and has continued to receive some traction in recent years. It is likely that laws will continue to evolve and change which will impact the system and require regular changes.

Probability – HIGH Impact - MEDIUM

Mitigation Strategy- Choose a responsive vendor with a flexible system that can respond to system enhancement requests that are required due to legislative mandates.• Ensure that a solid maintenance and support contract is negotiated with the vendor that supports system enhancement efforts.Contingency Plan - Request additional special project funding to develop enhancements to chosen software solution.

Training

Description – Limited scope of training and user testing

Probability Low

Impact HIGH

Mitigation Strategy – configure the content of the training to mirror the specifications used in configuration of the system. Training will include UAT training, Train-the-Trainer training, Internal User Training, and External User Training. Make exploratory testing environment available throughout the project. Identify superuser or power users early in the project to gain expertise with the system.Contingency Plan – Produce a standardized training manual for distribution. Make training manuals available online within the application.

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Schedule

Description – Procurement delays will delay go-live date

Probability HIGH

Impact HIGH

Mitigation Strategy – Prepare contract drafts 2 months in advance of desired execution date. Meet with stakeholders to reach consensus on key contract Scope of Work deliverables. Careful internal review of contracts before official routing to minimize revisions.Contingency Plan – Identify as many project tasks that can be started or completed without vendor assistance, such as project meeting schedules, meeting room reservations, contact lists, draft communication plans and setting up the project library.

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2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE

2.1 Stakeholders

NAME STAKE IN PROJECT ORGANIZATION

TITLE

MAGGIE TOULOUSE OLIVER

Executive Sponsor SOS Secretary of State

MANDY VIGIL Business Owner SOS Deputy Elections Director

CANDIDATES, ELECTED OFFICIALS, POLITICAL ACTION COMMITTEES AND LOBBYIESTS

Use system to report monies raised and expended in conjunction with a campaign or lobbyist effort

Various Various

SOS ELECTIONS AND ETHICS STAFF

Subject matter experts on campaign finance reporting and responsible for enforcing compliance with regulations

SOS Ethics and Elections Compliance Officers

IT SUPPORT STAFF Responsible for some implementation and transition to operations activities throughout the project lifecycle

SOS Various

PUBLIC USERS & THE MEDIA

Uses system to obtain campaign finance information

Various N/A

2.2 Project Governance Structure2.2.1 DESCRIBE THE ORGANIZATIONAL STRUCTURE – ORG CHART

It should be noted that IV&V reports directly to DoIT, but will coordinate the IV&V activities with the Project Manager.

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Maggie Toulouse Oliver, Executive Sponsor

Mandy Vigil, Business Owner

Project Manager

IV&V Contractor

Project Team Software Developer

SOS IT Staff SOS Elections and Ethics Staff (as needed)

Steering Committee

2.2.2 DESCRIBE THE ROLE AND MEMBERS OF THE PROJECT STEERING COMMITTEE

ROLE RESPONSIBILITY

EXECUTIVE SPONSOR(S)

Ensure appropriate resources and priority is set for the project.

PROJECT SPONSOR Maintains ultimate authority over, and responsibility for, the project. Secures executive commitment, approvals, and funding. Ensures clear requirements and direction are provided for the project. Approves plans, schedules, and budgets, and ensures timely availability of resources.

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ROLE RESPONSIBILITY

PROJECT BUSINESS OWNER

Makes final decisions regarding key features the system will have. Understands the rules, process flows and requirements of Campaign Finance in order to make sound decisions. Finalizes requirements definition and acceptance criteria. Considered the lead SME. Sets direction on the release plan and prioritization of requirements. Serves as the single point of contact for the vendor team for requirements clarification.

SOS PROJECT TECHNICAL LEAD

Ensures that the technology aspects of project are appropriately planned and executed, that security is appropriately implemented and safeguarded, that technical resources are assigned, and issues resolved

DEVELOPMENT TEAM

Ensure product is developed according to specifications and ensuring customer expectations are met. The development team must provide input into requirements and design, developing prototypes, validating potential solutions, and acting as technical experts in leading the project team through the full software development life cycle.

FOCUS GROUPS

Election Support Staff

Elections Ethics Staff

IT Support Staff

Act as subject matter experts by sharing of expertise. Responsible for producing deliverables within the project scope as defined by the project sponsor and project manager. Business users will generally be responsible for testing and accepting deliverables. IT Administrators will be responsible for infrastructure deployment and implementation oversight. Project Team members will be pulled into project at appropriate times to complete deliverables such as participating in requirements gathering or user acceptance testing.

IV&V CONTRACTOR IV&V will be utilized to ensure adequacy of planning and that requirements are being implemented as defined in the planning phase of the project. Specifically, the IV &V will identify issues during the project phases so that the executive and project team can make proper modifications to the project plan and take action.

The IV & V will also analyze the software development and identify any issues that would affect the quality of the final product.

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NAME STAKE IN PROJECT ORGANIZATION TITLE

Maggie Toulouse-Oliver

Steering Committee LeadExecutive Sponsor

NMSOS NM Secretary of State

Blezoo Varghese Technical Owner NMSOS Acting CIO

Mandy Vigil Business Owner Project Sponsor

NMSOS Deputy Elections Director

Lori Hewig Project Manager Contractor Project Manager

IV&V Analyst Contractor IV&V

2.2.3 ORGANIZATIONAL BOUNDARIES, INTERFACES AND RESPONSIBILITIES

The Project Manager will manage the project tasks and the software development vendor through established status meetings, reporting and deliverable review and acceptance documents. Final acceptance of changes, documents and escalated project decisions will be made by the Steering Committee. The Project Manager will provide a monthly status report to DoIT. The Project Manager and the Business Owner will coordinate project communication within the SOS and to campaign finance reporting entities.

Communication of project information and status will follow the Communication Plan. The Project Manager will conduct bi-weekly steering committee meetings with the Executive Steering Committee members. Project Manager will hold daily 15-minute meetings with the project team to share progress and identify any issues or impediments for the project manager to handle. Interaction will also occur through email, phone, briefings, presentations and ad-hoc meetings. Final decisions will be made at the Project Manager and/or Steering Committee level.

2.3 Executive ReportingThe CFIS Modernization Project Manager will normally brief the ESC bi-weekly; however, a meeting may be called at any time to deal with major problems. The briefings will include, but not be limited to: Project Status (schedule, budget, staffing), Deliverables, Risks, Issues, and any other significant project activities/events. The chair of the ESC will brief the Secretary of State.

Executive sponsor(s) are required to participate in the bi-weekly Executive Steering Committee which is responsible for final approval of all project Requirements and Acceptance of all Deliverables as directed by the Secretary of State

Executive sponsor(s) are included in the bi-weekly project status meetings and are included on bi-weekly status report correspondence.

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Project sponsor is responsible for communicating project status to executive sponsors when they are unable to attend status meetings.

Audience Method Timing Information Participants

Executive Sponsor

Email progress reports

Steering Committee meeting

Access to web-based Project collaboration site

As Desired

Status of project schedule, issues, budget

Electronic task board

Secretary of State

Steering Committee

Email progress reports

Steering Committee meeting

Access to web-based Project collaboration site

Bi- weekly

Status of project schedule, deliverables, issues, budget

Electronic task board

Executive Steering Committee members

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3.0 SCOPE3.1 Project Objectives

3.1.1 BUSINESS OBJECTIVES

NUMBER DESCRIPTION

Business Objective 1 Meet all statutory mandates in the various regulations administered by the SOS that require electronic registration and submission of disclosure reports via the SOS’s website.

Business Objective 2 Improve SOS operational efficiency by optimizing processes using automation and integration with existing systems and eliminating paper-based customer transactions where possible.

Business Objective 3 Improve user satisfaction by developing an easy to use dashboard interface that allows reporting entities to access a single system for all required transactions, such as registering and reporting, from a single system.

Business Objective 4 Reduce reporting errors by developing a system that matches business rules and includes intuitive interface with drop down boxes and prompts regarding what is required in order to be compliant.

Business Objective 5 Improve “on time” campaign finance reporting compliance by lobbyists, political committees, and candidates.

Business Objective 6 Increase transparency by providing the ability to download bulk data in open, structured formats to allow for easy analysis, searching, and downloading to discover data trends and to replace the rigid pdf report format currently provided to the public.

Business Objective 7 Ensure data uniformity for cross checking and data analysis features.

3.1.2 TECHNICAL OBJECTIVES

NUMBER DESCRIPTION

Technical Objective 1 Transparency will be achieved through –

Data Downloads (Excel, Csv, Xml)

Data analysis tools (charting functionality, breakdown of expenditures/contribution by category, advanced sorting and filtering of results)

Publish bulk data in open, structured formats to allow for easy analysis and reuse of data instead of current Pdf format

Technical Objective 2 Accountability and Compliance will be achieved through –

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NUMBER DESCRIPTION

Compliance crosschecking functionality –Provide ability for candidates to crosscheck prior to publishing their reports to determine if others have reported information that they may have missed

Integrated reminder notices before filing deadlines

Integrated compliance and fine\penalty tracking

Interfaces with major campaign management software systems to allow direct uploading of reports into SOS reporting system

Technical Objective 3 Data Integrity will be achieved through –

Unique identifiers and master lists of donors, candidates, PACs, lobbyists, as well as occupations, expenditure types, contribution types, and other data to ensure the accuracy and traceability of data which will minimize mistakes in data entry and misspellings

Technical Objective 4 User Friendly interface will be achieved through –

Drop down lists for donor information (names, addresses, occupations) allowing easy data entry and data uniformity

Master list of expenditure contacts and expenditure types

Technical Objective 5 Real time disclosure of information will be achieved through –

Online Registration and Payment for Lobbyists and PACS

3.2 Project ExclusionsThere are no exclusions.

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3.3 Critical Success Factors

NO. FACTOR

1 Ability for Lobbyists, Political Action Committees Candidates, and Elected Officials to register and report financial disclosure information.

2 Increase Campaign Finance Act compliance rate of Political Action Committees Candidates, and Elected Officials.

3 Improve reporting, analytics and search functions of contribution and expenditure data from Lobbyists, Political Action Committees Candidates, and Elected Official for internal compliance administrators, interested parties and the public.

5 Project completed by scheduled end date.6 Project completed within approved budget.

4.0 PROJECT DELIVERABLES AND METHODOLOGY4.1 Project Management Life Cycle

PHASE SUMMARY OF PHASE KEY DELIVERABLES

Initiation Define the scope, schedule, and budget for performance, including business benefits to be achieved.

Begin procurement activities, including RFP development, for Project’s professional services in the following areas:

1. Software Development

2. Project Management

3. IV&V

PCC Initiation Phase Certification Request and associated Presentation

Draft Project Charter

Published RFP for software development vendor

Contract drafts for Project Management and IV&V

Planning Develop the strategy for delivering on the goals and objectives of the project and all key planning documents.

Identify key project team members and form Project Team.

PCC Planning Phase Certification Request and associated Presentation

Final Project Charter

Project Management

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Develop Work Breakdown Structure, estimation of costs and time, identify resources and manpower.

Develop high level release plan and establish framework to support iterative and incremental software delivery

Evaluate RFP responses, choose BAFO (Best and Final Offer) and select vendor

Complete procurements for IV&V services, Project Management Services and Software Development Services

Plan

IV&V Professional Services Contract

Project Management Professional Services Contract

Initial Schedule

Initial Release Plan

Project Management Sub Plans (Communication, Change Management, Requirements Management)

Implementation Execute the project using the methodology established and documented in the Project Management Plan to monitor and control the project.

TARC Documentation and TARC review

TARC approval

PCC Implementation Phase Certification Request and associated Presentation

RFP award and Software Development Professional Services Contract

IV&V Reports

Budget Reports

Project Dashboard

Updated Project

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Management Plan

Closeout Project comes to a close, with product and services ready for use.

Contracts are terminated, and project teams dissolved.

All invoices are paid.

Lessons Learned Report

PCC Closeout Phase Certification Request and associated Presentation

PCC Closeout Presentation

IV&V Final Report

4.1.1 PROJECT MANAGEMENT DELIVERABLES

4.1.1.1 Project Management – InitiationDescription –

Project Charter IV&V Contract Monthly reports Request for Proposal

(RFP) Requirements

Deliverable Acceptance Criteria – Approved by the Executive Sponsor and Project Steering Committee, project team members, and PCC

Standards for Content and Format – DoIT project management templates

Quality Review – Steering Committee.

4.1.1.2 Project Management – Planning Description –

Project Schedule Release Plan Risk Log and Issue Log Budget and Procurement

Documents Project Management

Contract Software vendor contract

(TBD by RFP award) Project Management Plan Monthly reports Web-based requirements

repository

Deliverable Acceptance Criteria – Reviewed and approved by the Steering committee, the Executive Sponsor and project team members. DoIT review for certification.

Standards for Content and Format – DoIT Project Management Plan template. DoIT Monthly Report template. DoIT contract templates.

Quality Review – IV&V review, Steering Committee and Project Team.

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4.1.1.3 Project Management – ImplementationDescription –

Test Plan Training Plan Production Rollout

Checklist/Task Board Monthly reports Updates to release plan Deliverables and budget

tracking reports Release Plan

Deliverable Acceptance Criteria – Reviewed and approved by the Steering committee, the Executive Sponsor and project team members.

Standards for Content and Format. DoIT Training Requirements Document template, Test Plan Template; Test Case template

Quality Review – IV&V review, Steering Committee and Project Team.

4.1.1.3 Risk Assessment and ManagementDescription –

Risks Log Issues Log

Deliverable Acceptance Criteria – Approved by the Steering Committee and project team

Standards for Content and Format – DoIT Risk Log or online tool for risk management and reporting

Quality Review – The Steering Committee, IV&V vendor and Project Team will review the risk log and provide feedback.

4.1.1.4 Project Schedule and Release PlanDescription –

Project Schedule

Release Plan – schedule of component releases

Deliverable Acceptance Criteria –Steering Committee.

Standards for Content and Format – MS Project, MS Excel, Visio timelines or another format agreed to by Steering Committee

Quality Review – The Steering Committee, IV&V vendor and Project Team will review the Project Schedule.

4.1.2 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS

DELIVERABLE NUMBER

DELIVERABLE APPROVERS (WHO CAN APPROVE)

DATE APPROVED

1 Project Management Charter Executive Sponsor, Business Owner and CIO

2 Project Management Plan (PMP) Executive Sponsor,

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DELIVERABLE NUMBER


DATE APPROVED

Business Owner and CIO

3 PCC Certification Request Forms & Presentations

Executive Sponsor, Business Owner and CIO

4 IV&V Contract & Reports Executive Sponsor, Business Owner and CIO

5 Project Management Professional Services Contracts


6 IV&V Professional Services Contracts


7 Monthly Project Status Reports to DoIT

Business Owner and CIO

8 Project Schedule and Release Plan


9 Executive Steering Committee Meeting Agenda/Minutes

Executive Steering Committee

10 Project Team Meeting Agenda/Minutes

Project Team Members

11 Project Budget and Expenditures Report

Executive Steering Committee

12 Risk/Issue Log Executive Steering Committee

13 Lessons Learned Executive Steering Committee

4.1.3 DELIVERABLE ACCEPTANCE PROCEDURE

The following procedure will be used for the formal acceptance of all deliverables.

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1. Deliverables will be submitted to the Project Manager and project Steering Committee for review.

2. The Project Manager will present the deliverable in the Steering Committee for formal acceptance. Prior to the Steering Committee meeting, Project Manager will distribute relevant deliverable artifacts to project team members, Steering Committee Members and other subject matter experts, as applicable, and coordinate any feedback.

3. Review comments/suggestions will be incorporated into the deliverable for final submission to Steering Committee.

4. The Steering Committee will vote on deliverables acceptance, with a majority vote marking a deliverable as “Accepted.” All deliverables must receive a “yes” vote from the Executive Sponsor and the Business Owner.

4.2 Product Life Cycle

Phase Summary of Phase Key Deliverables

Requirements Elicit initial configuration requirements

Define major system components

Map requirements to development phases

Business Requirements

Technical Requirements

Release Plan

Design Develop system configuration design

System configuration design document

System architecture design document

Software Development (Agile)

Follow an agile approach to design/build/test in 2-3-week sprints

Vendor’s system configured to NM SOS Campaign Finance specifications

Test Perform unit, system, integration, performance, regression, and UAT.

Perform interim exploratory testing sessions at component completion milestones

Fully tested system, ready for deployment

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Phase Summary of Phase Key Deliverables

Deploy Training is conducted for end users

Training for IT staff and transition to production

System moved into production

Operational system

4.2.1 TECHNICAL STRATEGY

The key technical strategies that will be used to replace the New Mexico Secretary of State’s current Campaign Finance Information System (CFIS) to a modern system will be outlined in detail once the RFP contract for software development is awarded. Those details will be provided in the TARC documents as well as in this plan.

Software Development Approach

The project will be managed by a PMI-PMP/PMI-ACP certified project manager, and the SOS anticipates following an agile-based framework to the software development process, utilizing development sprints of 2- 3 weeks.

Regular meetings will include:1) Daily stand-ups with development team to plan the day’s activities and identify

impediments and risks2) Requirements refinement and acceptance test specification (aka Sprint Backlog

Grooming)3) Planning Sessions to decide on what work items to complete in the sprint cycle and 4) Review Sessions to present working software and gather feedback from stakeholders

The project will commence with release planning that maps requirements to features and lays out when those features will be completed.

Stakeholders, that is identified superusers, will have frequent views of the software as it is developed to gain knowledge and to provide feedback via exploratory test sessions.

Testing:

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Testing and quality are valued highly in this project, and therefore the structure affords testing at various levels and types throughout the project. Developers will perform unit and integration testing. SOS business analysts will perform functional exploratory testing and will build testing scenarios with the help of the vendor to guide those efforts. After each release there will be structured user testing, and when all releases are complete, a full fledged UAT. Finally, system end to end and load testing takes place prior to final production rollout.

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4.2.2 PRODUCT AND PRODUCT DEVELOPMENT DELIVERABLES

DELIVERABLE NUMBER

DELIVERABLE DESCRIPTION ACCEPTANCE

PRJ-1 Design Documents Software Design Document/Vendor Proposal

Gap Analysis

Requirements Management Plan

Deliverable Acceptance Criteria

As defined in contract scope of work and approved by project steering committee and IT operations staff

Standards for Content and Format

As defined in contract scope of work

Quality Review

Bi-weekly status meeting with project steering committee

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PRJ-2 Systems Specifications Data conversion specifications

Map business requirements to functional components

Software customization specifications





Quality Review


PRJ-3 Systems Architecture IT Infrastructure Diagrams – technical, application, and security



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As defined in contract scope of work and in accordance with DoIT TARC requirements

Quality Review


PRJ-4 System and Acceptance Testing

Software Review Sessions

Exploratory Testing Sessions

Test plan – UAT, System and Performance testing

Software review sessions held at the end of each development cycle (2-3 weeks)

Exploratory testing sessions scheduled every 4-6 weeks





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Quality Review

Weekly status meeting with project steering committee

PRJ-5 Operations requirements

Training Manuals

Business Process Diagrams

IT Procedures checklists





Quality Review

Weekly status meeting with project steering committee

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4.2.3 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS

DELIVERABLE NUMBER


DATE APPROVED

1 Requirements Management Plan Business Owner, Project Manager, Executive Steering Committee

2 Design Documents Business Owner, Project Manager, Executive Steering Committee

3 Systems Specifications Business Owner, Project Manager, Executive Steering Committee, SOS Technical Owner

4 Systems Architecture DoIT TARC,

Technical Owner, Project Manager

5 Systems and Acceptance Testing Business Owner, Project Manager, Executive Steering Committee, SOS Technical Owner

6 Training Materials Business Owner, Project Manager

7 Operations Requirements Business Owner, Project Manager, Executive Steering Committee, SOS Technical Owner

4.2.4 DELIVERABLE ACCEPTANCE PROCEDURE

The Project Manager will use a project milestone document and the deliverables described in the executed contract. The project business owner and project manager will sign off on all completed deliverables in the contract after a Steering Committee majority vote of “yes” for acceptance. Vendors will submit letters requesting deliverables’ acceptance to be signed by

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project manager and business owner. All invoices submitted for payment will be accompanied by copies of the signed acceptance letters.

5.0 PROJECT WORK5.1 Work Breakdown Structure (WBS)

The final WBS for the CFIS Modernization Project is one of the early deliverables for which the contracted Project Manager will be responsible. It will be made available upon request following its receipt and acceptance.

For planning purposes, an initial high-level WBS is provided as attachments A.1 – A.6 at the end of this document.

<REFERENCE ATTACHMENTS A.1 – A.6>

5.2 Project Schedule and TimelineThe preliminary Project Schedule and Timeline can be found as Attachments B.1: Project Schedule and B.2: Project Timeline

<REFERENCE ATTACHMENTS B.1 and B.2>

5.3 Project BudgetPhase Activity Associated Deliverables Estimated

Budget

Initiation RFP Procurement Management

Request for Proposal (RFP) for services and software to replace legacy CFIS system

$40,000

Requirements Business Requirements (incorporated as part of RFP and basis for software system configuration)

$20,000

PlanningImplementation Closeout

Project Management

Plans, Schedules, Contracts, Status Reports, project framework, team charter

$235,000

IV&V Interim Assessment Report $30,000

Software Software (Project Collaboration, Requirements Management)

$5,000

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Phase Activity Associated Deliverables Estimated Budget

ImplementationCloseout

Requirements refinementDesign/Build/Test/Review cycles of development of system componentsExploratory test sessionsTest Plans, Test Cases, Test ResultsTraining Plans, Training materials and Trained UsersFinal data migrationTransition to Operations checklistProduction cutover and Go-Live supportConfigured Campaign Finance system in production

$655,000

TOTAL: $985,000

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5.4 Project Team5.4.1 PROJECT TEAM ORGANIZATIONAL STRUCTURE

The IV&V contractor will coordinate IV&V activities with the CFIS Modernization Project Manager. IV&V reports will go directly to the DoIT EPMO.

5.4.2 PROJECT TEAM ROLES AND RESPONSIBILITIES

ROLE RESPONSIBILITY NAME FUNCTIONAL

AREA

Executive Sponsor

Ensure appropriate resources and priority is set for the project.

Maggie Toulouse Oliver

Secretary of State

Project Sponsor/Business Owner

Project oversight and decision-making authority

Mandy Vigil Acting Elections Director

SOS Project Technical Lead

Provide technical guidance and implementation oversight

Blezoo Varghese SOS IT Division – Acting CIO

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ROLE RESPONSIBILITY NAME FUNCTIONAL

AREA

SOS Ethics SME SOS elections and ethics expertise; liaison to reporting entities; training and user support; logistics management

SOS Elections – Ethics group

SOS IT Systems System architecture, implementation and operational requirements

Network and Systems staff

SOS IT Division –

Software Development/ Implementation

Development & implementation deliverables

Vendor Technical Lead

TBD via RFP award

IV&V Contractor IV&V project validation deliverables and Election Night Reporting Testing assessment

RESPEC (IV&V)

Project Manager Contractor

Senior project management and implementation oversight

Lori Hewig Project Management

Testing Lead Provide testing oversight and management

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5.5 Staff Planning and Resource Acquisition5.5.1 PROJECT STAFF

Resource Cost Estimate

Estimated Hours

Availability(FTE)

Skill Set Work Product/Deliverable

Mandy Vigil .5 Management Project Direction

Blezoo Varghese .4 IT Management Task Direction/workflow process/internal project manager

Ethics and Election Support Staff

.9 Elections Clerk liaison; SME; training; UAT, communication and coordination

Software Vendor $655,000 1.0 Development; solution implementation

Software implementation project tasks

IV&V $30,000 .1 IV&V IV&V Deliverables

Project Manager Contractor

$235,000 1.0 Project Management

Task Direction/workflow process

Testing Coordinator .1 Software Testing Logistics Management

Testing logistics and oversight

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5.5.2 NON-PERSONNEL RESOURCES

Resource Cost

EstimateEstimated units/hours Availability Source Work Product/Deliverable

Project collaboration and requirement management software

$5,000 NA NA Software and Licenses

5.6 Project Logistics5.6.1 PROJECT TEAM TRAINING

Team members may require training in the tools used for requirements management and project collaboration if those tools are not already part of the Agency’s suite of products. Decisions about tools for project collaboration and requirements management will be made during the Planning phase.

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6.0 PROJECT MANAGEMENT AND CONTROLS6.1 Risk and issue Management

6.1.1 RISK MANAGEMENT STRATEGY

The Project Manager will address risk at each project team meeting. Risks will be assessed for possible effects on the project. The status of the risk mitigations will be reviewed and logged. The Project Manager will track and monitor risk throughout the entire project life-cycle. Each risk identified will be assessed using a risk assessment tool. The Risk and Mitigation Log will be updated weekly. The Project Manager will include risk status as part of the Steering Committee and Monthly OCIO Reports.

6.1.2 ISSUE MANAGEMENT

Issues are tracked on project dashboard and discussed at weekly project status meetings. The Project Manager will include critical issues as part of the Steering Committee reports.

6.1.3 PROJECT RISK MITIGATION APPROACH

The identified risks will be documented and have appropriate mitigation strategies and plans. For those risks that are highly probable and have significant impact to the project, the project team will develop contingency plans.

6.1.4 RISK REPORTING AND ESCALATION STRATEGY

Risk identification will be the responsibility of all members of the project team.

This project will follow a continuous risk management strategy. Daily stand up meetings with the project team will help identify risks and impediments early and often so appropriate action can be taken.

The Business Owner and Project Manager will be responsible for tracking risks and for developing mitigation strategies and contingency plans that address the risks identified by the team.

6.1.5 PROJECT RISK TRACKING APPROACH

All risks are tracked separately from this document using a risk log maintained in the project library’s risk log.

6.1.6 ISSUE MANAGEMENT

Issues will be entered into the Issue Tracking Log. The Project Team will be responsible for tracking issues through to resolution. The Project Team will review the issues list at each daily stand up meeting. For each development sprint cycle, the current list of issues, blockers and risks will be placed on the shared project task board for easy reference and

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updates. Issues that require resolution by the Steering Committee will be escalated and brought to their attention.

6.2 Independent Verification and Validation - IV&VSOS has contracted with RESPEC for IV&V services for this project

6.3 Scope Management Plan

The following process will be followed if a change to the contract Scope of Work (SOW) is required:

A Project Change Request (PCR) will be the vehicle for communicating change. The PCR must describe the change, the rationale for the change and the effect the change will have on the project.

The PCR must be approved by the Project Sponsor and Software Vendor prior to implementation.

6.3.1 CHANGE CONTROL

6.3.1.1 Change Control ProcessTo ensure timely and effective delivery of the project, a formal change control process will be maintained. A change refers to any modification or new development that deviates from the baseline requirements established during the design portion of each phase of the project.

A PCR can be initiated by anyone on the project team, must be formally documented in a change log and tracked by the Project Manager, and must be approved by the Project Sponsor. All potential changes must be analyzed for impact on schedule, functionality, cost, and resource availability.

The steps of the change control process include:1. A Project team member identifies a function not already identified as a deliverable.2. This team member prepares a PCR and forwards to the Project Manager and Project

Sponsor.3. The Project Manager works with the Project Sponsor and Development team to

determine criticality as well as impact on cost, schedule, or resources.4. The change is added to the weekly status project agenda for discussion by all project

team members.

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5. If the change is approved by the Project Sponsor, the PCR is signed by the Project Sponsor and BPro and provided to the Project Manager to update change log and project repository for tracking.

6. If the change is deferred or rejected, the Project Manager will update the change log to reflect this decision.

6.4 Project Budget Management6.4.1 BUDGET TRACKING

Project expenditures will be tracked in detail by vendor, purchase order date, deliverable date, invoice receipt and invoice payment. Balances will be tracked with each change. Any changes to project costs will be updated promptly into the budget tracking spreadsheet.

On a monthly basis, the Project Manager will work the NM SOS finance office to reconcile project budget and expenditure tracking with reports generated from SHARE and identify and fix any discrepancies found.

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6.5 Communication Plan6.5.1 COMMUNICATION MATRIX

Communication Type

Objective of Communication

Medium Frequency Audience Owner Deliverable

Initial Internal Kickoff Meeting with SOS Staff only

Project manager to meet team

Onsite One time NM CFIS Modernization Project Team – NM SOS members

Project Steering Committee

Contractor CFIS Mod Project Manager

The Project Manager coordinates the project kick-off meeting

Agenda

Project Task board

Status of sprint tasks – organized by type of work

Online collaboration tool - Trello

Always available

Project Team

Business Owner

Project Team Task Board(s) configured

Daily stand up Dev Team Meetings

Share progress and impediments/issues

Conference Calls

Daily Development Team Project Manager

Updated Project Schedule & issue/risk log

Updated task board

Vendor/SOS Project Managers meeting

Development Progress, Scope evaluation, Impediments, Review of Schedule and upcoming deliverable due dates

Conference Call – Vendor PM

Others - onsite

Bi-weekly Project Managers and Business Owner

Agenda

Meeting Minutes

Steering Review status of Meeting Monthly Steering Committee Project Project status – review

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Communication Type

Objective of Communication

Medium Frequency Audience Owner Deliverable

Committee Meetings

the project Manager of risks, progress, issues

IT Project Reports

Report the status of the project including activities, progress, costs and issues.

Email Bi-Weekly Steering Committee Project Manager

Project Status Report

DoIT Monthly Status Reports

Report the status of the project, including progress, cost, performance to budget and risk.

Email Monthly DoITPCC

Steering Committee

Project Manager

Monthly Report

6.5.2 STATUS MEETINGS

The SOS PM and software vendor PM will meet weekly. The Executive Steering Committee will meet bi-weekly for regular meetings and will be convened on a more frequent basis, as necessary. Ad hoc meetings with focus groups will be held, as needed, for defining requirements, completing user acceptance testing, or for other project deliverables where wider participation and input is necessary.

6.5.3 PROJECT STATUS REPORTS

The IT Project Manager will provide bi-weekly project status reports to the Steering Committee and monthly reports to DoIT. The online project collaboration site will display up to date task board, issues, risks and impediments and status. It will also show task assignments and status.

6.6 Performance MeasurementThe 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.

The detailed project plan includes milestones\deliverables that conform to a certain cost, schedule, and quality. The development team lead will identify deliverable review points and setup the structure for the reviews. Each milestone will be evaluated by the core project team and the IV&V contractor, involving end users and focus groups as needed, to ensure quality and completeness of each deliverable. Once the deliverable has been reviewed and evaluated against

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the project cost, schedule, and quality metrics, the Project Sponsor will perform sign off and acceptance of the deliverable.

6.6.1 BASELINES

Project Area Category Measure

Project Management Task performance On Schedule

Budget Cost goals On Budget

Quality Errors in the system Errors by functional area

Testing Performance and Quality Accepted/Not Accepted

Implementation System execution Input and report feeds from the Subject Matter Expert (SME) that is accurate and complete.

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6.7 Quality Objectives and Controls6.7.1 QUALITY STANDARDS

NUMBER DESCRIPTION

QUALITY METRICS 1 Regular executive steering committee meetings must be held for the duration of the project to facilitate:

o Requirements managemento Risk managemento Financial oversighto Change\Issue managemento Deliverables acceptance

QUALITY METRICS 2 Project development methodology must be followed – all documents and plans must clearly reflect the project deliverables, tasks, and decisions made during this project.

QUALITY METRICS 3 Project stays on time, on scope, and within budget.

QUALITY METRICS 4 Measure enhanced service delivery and user satisfaction via positive feedback received in regard to the project.

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6.7.2 PROJECT AND PRODUCT REVIEW AND ASSESSMENTS

Review Type

Quality Standard Tools Reviewer Reports

Project Team and Key Stakeholder Review Sessions- Sprint reviews held at the end of each 2-3-week sprint cycle

Per deliverable Checklists anddeliverableacceptance criteria

TeamMembers and Key Stakeholders

Review Meeting Minutes containing feedback; Updates to requirements attributes in repository, including acceptance status.

Testing Exploratory UAT testing at end of each release

Test scripts andCases.Test Plans.Automated testScripts.Test scenarios for Exploratory Testing

TeamMembersKey Stakeholders

Test ResultsUpdates to Test Tracking tool

IV&V Project management processes

Project documentation and communicationreview.Attendance at select meetings for observation

Business Owner. Project Team

Interim reports

6.7.3 AGENCY/CUSTOMER SATISFACTION

Areas of feedback When How OftenAgency awareness Meeting(s) to go over the

status of the projectWeekly (Project Team)Bi-weekly (Business Owner and Project PMs)Monthly (ESC)

Quality of communications Contractor is always available to call or emails

Weekly

Productive Meetings Meetings held daily with development team for continuous planning

Daily

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6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS

The project manager will update this document to identify process of product delivery once the contract has been awarded to the solution provider.

6.8 Configuration Management6.8.1 VERSION CONTROL

Project documents are named with the version number identified in the naming convention and the version control page is updated on all project documents. All versions are maintained in the project repository.

Software versioning will be controlled by/thru the application development software.

6.8.2 PROJECT REPOSITORY (PROJECT LIBRARY)

The Project Manager will be responsible for setting up a project repository and ensuring all critical documents are tracked and maintained for use by the core project team. Project Team members can read documents in the repository, but changes and updates are controlled by the Project Manager to ensure versioning and master files are not altered. Project Team Members must use track changes and send changed documents to the Project Manager for appropriate acceptance, filing, and version control.

6.9 Procurement Management PlanAll procurement for project goods and services will be performed under the guidance and direction of New Mexico State Procurement Statutes. Standard State of New Mexico procurement guidelines will be followed for all professional service contracts required for this project.

The Project Manager will develop, manage and close out project contracts. The SOS CIO and Cabinet Secretary will approve all contracts. The NM SOS Contract Manager will forward all contracts to DoIT for review. The Project Manager will review and approve invoices and forward to the SOS Finance Office.

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7. 0 PROJECT CLOSE

7.1 Administrative CloseItems that required administrative close:

All deliverables as specified in this document must be completed and accepted. Deliverables must be accepted by SOS, in writing. Deliverable Acceptance Form – for every formal deliverable in the phase, deliverable

acceptance form, must be signed and filed in the Project Repository. Baseline Verification – Project deliverables should be inventoried and the project

archives updated with the current artifacts. Lessons Learned – Lessons learned sessions should be conducted after the phase/ project

and incorporated into future project plans, procedure, and artifacts.

7.2 Contract CloseIn addition to the Administrative Closure, the following actions should be taken to complete Contract Closure:

Procurement Audit – The Project Manager and Project Sponsor should review the vendor Agreement Terms and Conditions to ensure all items met requirements agreed upon by both parties.

Contract File Creation – A contract file, archiving all project and contractual documentation should be baselined and archived, including invoices, costs, and project documentation.

Formal Acceptance and Close – A document that accepts the contract completion and closure should be submitted by the vendor, accepted by SOS and filed in the Contract File.

ATTACHMENTSRefer to the following pages for attachments referenced in this document.

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ATTACHMENT A.1

WBS: SOFTWARE MODULE CUSTOMIZATION

Software Module Customization

Test

Integration Testing

Unit Testing

The same set of software module customization deliverables will apply for each major component release.

Development will occur in 2-3 week sprint cycles, with a demonstration of working software at the end of each cycle.

Design

Build

Component Exploratory Testing

Demonstrate Working Software

Exploratory Testing will take place at the end of a system component development cycle.

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ATTACHMENT A.2

WBS: INTERFACES and SOFTWARE ENVIRONMENT

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ATTACHMENT A.3

WBS: COMPUTING PLATFORM

Computing Platform

Install, Configure, Backup Database

Host Servers

Install and Configure Security Model

Install, Configure, Backup Application

Host Servers

Platform Configuration Management

Install, Configure, Backup Application

Host Servers

Record environmental variables that can be changed such as:

Hostname resolutionUser or group accountsIP and network connectivityFiles and directoriesApplication and operating system files

Procurement: Licenses,

Maintenance and Support

Network set up

DR Configuration and Set up

Installation, Configuration and Backup for each of the following environments:

Development Test Production

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ATTACHMENT A.4

WBS: USER ACCEPTANCE TESTING (UAT) and DATA MIGRATION

UAT

Test Environment Configure and Installation

Prepare Test Application

Maintain Environment

Data Conversion/Migration

Data Migration Analysis and

Plan

Specialized Processing

Issues Log

Secure Datasets (no PII)

Configure Interfaces

Defect Issue Tracking and Resolution

Database Population

CFIS Legacy System

Validation and Testing

Execute Migration Plan

Migration Plan Components:

Data source/target list Source/target mapping File formats for import/

export Data transfer protocol Data cleansing

requirements and procedures

Migration Exception Handling

Migration schedule by dataset

Timing and load statistics

Migration Rollback

User Account Setup

Test Scripts

Test Plan

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ATTACHMENT A.5

WBS: USER TRAINING

User Training

Scope and Materials

Maintain Training Environment

(refreshes and backups)

Training Environment Build

Execute Training Plan (Developed during planning phase)

Agendas, schedules, presentations, user

manuals

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ATTACHMENT A.6

WBS: FINAL DATA MIGRATION, TRANSITION TO OPERATIONS AND PRODUCTION DEPLOYMENT

Production

Deployment

Production Rollout Plan

Post Deployment Validation

Production Readiness Checklist

Execute Production Rollout Plan

Rollout tasks, personnel and

schedule

Checklist of post deployment items

Deployment Report

Transition to Operations

IT Technical Training

Operations Manual

Transition to Operations Checklist

Transition to Operations Execution

Contingency Plan

Maintenance and Support Plan (and

contract)

Final Data Migration

Production Migration Schedule by Data Set

Issues Log

Validation and Testing

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ATTACHMENT B.1 PROJECT SCHEDULE

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ATTACHMENT B.2 PROJECT TIMELINE

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