Executive Sponsor – George Rosenbaum, Executive … · Web view6.9 PROCUREMENT MANAGEMENT PLAN33 7. 0 Project Close34 7.1 Administrative Close34 7.2 Contract Close34 AttachmentS34

NEW MEXICO STATE LAND OFFICE

ROYALTY ADMINISTRATION AND REVENUE PROCESSING SYSTEM (RAPS)

PROJECT MANAGEMENT PLAN (PMP)

Executive Sponsor – George Rosenbaum, Executive Director,

Royalty Management and Information Technology

Business Owner – Danny Martinez, Director, Royalty Management

Technology Owner – Tony Hoffman, Chief Information Officer

Project Manager – Cathy Plummer

Original Plan Date: May 23, 2018

Revision Date:

ROYALTY ADMINISTRATION AND REVENUE PROCESSING SYSTEM (RAPS) PROJECT MANAGEMENT PLAN

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

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

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

1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT................................................................................................11.2 FUNDING AND SOURCES...........................................................................................................................................21.3 CONSTRAINTS........................................................................................................................................................21.4 DEPENDENCIES.......................................................................................................................................................31.5 ASSUMPTIONS...................................................................................................................................................31.6 INITIAL PROJECT RISKS IDENTIFIED...........................................................................................................................4

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE.............................................................................5

2.1 STAKEHOLDERS......................................................................................................................................................52.2 PROJECT GOVERNANCE STRUCTURE...........................................................................................................................7

2.2.1 Describe the organizational structure – Org Chart....................................................................................72.2.2 Describe the role and members of the project steering committee...........................................................82.2.3 Organizational Boundaries, interfaces and responsibilities.......................................................................8

2.3 EXECUTIVE REPORTING..........................................................................................................................................10

3.0 SCOPE......................................................................................................................................................... 10

3.1 PROJECT OBJECTIVES............................................................................................................................................103.1.1 Business Objectives.................................................................................................................................103.1.2 Technical Objectives................................................................................................................................11

3.2 PROJECT EXCLUSIONS............................................................................................................................................113.3 CRITICAL SUCCESS FACTORS...................................................................................................................................11

4.0 PROJECT DELIVERABLES AND METHODOLOGY.............................................................................................12

4.1 PROJECT MANAGEMENT LIFE CYCLE........................................................................................................................124.1.1 Project Management Deliverables..........................................................................................................144.1.2 Deliverable Approval Authority Designations..........................................................................................164.1.3 Deliverable Acceptance Procedure..........................................................................................................17

4.2 PRODUCT LIFE CYCLE.......................................................................................................................................174.2.1 Technical Strategy...................................................................................................................................204.2.2 Product and Product Development Deliverables.....................................................................................204.2.3 Deliverable Approval Authority Designations..........................................................................................214.2.4 Deliverable Acceptance Procedure..........................................................................................................22

5.0 PROJECT WORK........................................................................................................................................... 22

5.1 WORK BREAKDOWN STRUCTURE (WBS)..................................................................................................................225.2 SCHEDULE ALLOCATION -PROJECT TIMELINE..............................................................................................................245.3 PROJECT BUDGET.................................................................................................................................................26

MAJOR PROJECT DELIVERABLE AND PERFORMANCE MEASURE......................................................................26BUDGET............................................................................................................................................................26DUE DATE.........................................................................................................................................................26PROJECT PHASE................................................................................................................................................26

5.4 PROJECT TEAM....................................................................................................................................................275.4.1 Project Team Organizational Structure...................................................................................................275.4.2 Project Team Roles and Responsibilities..................................................................................................27

5.5 STAFF PLANNING AND RESOURCE ACQUISITION................................................................................................275.5.1 Project Staff.............................................................................................................................................27

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5.5.2 Non-Personnel resources.........................................................................................................................275.6 PROJECT LOGISTICS.........................................................................................................................................27

5.6.1 Project Team Training.............................................................................................................................27

6.0 PROJECT MANAGEMENT AND CONTROLS....................................................................................................28

6.1 RISK AND ISSUE MANAGEMENT..............................................................................................................................286.1.1 Risk Management Strategy.....................................................................................................................286.1.2 Project Risk Identification........................................................................................................................296.1.3 Project Risk Mitigation Approach............................................................................................................296.1.4 Risk Reporting and Escalation Strategy...................................................................................................296.1.5 Project Risk Tracking Approach...............................................................................................................296.1.6 ISSUE MANAGEMENT..............................................................................................................................29

6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V...........................................................................................296.3 SCOPE MANAGEMENT PLAN..................................................................................................................................29

6.3.1 Change Control........................................................................................................................................306.4 PROJECT BUDGET MANAGEMENT............................................................................................................................30

6.4.1 Budget Tracking......................................................................................................................................306.5 COMMUNICATION PLAN........................................................................................................................................30

6.5.1 Communication Matrix............................................................................................................................316.5.2 Status Meetings.......................................................................................................................................316.5.3 Project Status Reports.............................................................................................................................31

6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS).....................................................................................316.6.1 Baselines.................................................................................................................................................316.6.2 Metrics Library........................................................................................................................................31

6.7 QUALITY OBJECTIVES AND CONTROL..............................................................................................................316.7.1 quality Standards....................................................................................................................................316.7.2 Project and Product Review AND ASSESSMENTS.....................................................................................326.7.3 Agency/Customer Satisfaction................................................................................................................326.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS......................................................................................32

6.8 CONFIGURATION MANAGEMENT...................................................................................................................336.8.1 Version Control........................................................................................................................................336.8.2 Project Repository (Project Library).........................................................................................................33

6.9 PROCUREMENT MANAGEMENT PLAN............................................................................................................33

7. 0 PROJECT CLOSE........................................................................................................................................... 34

7.1 Administrative Close...................................................................................................................................347.2 Contract Close............................................................................................................................................34

ATTACHMENTS................................................................................................................................................. 34

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Revision History

VERSION NUMBER DATE COMMENT

0.1 May 8, 2018 Draft PMP for Planning Certification

ABOUT THIS DOCUMENT

PROJECT OVERSIGHT PROCESS MEMORANDUM – DOIT, JULY 2007The Project Management Plan (PMP) is a formal document approved by the Executive

Sponsor and the Agency, developed in the Planning phase to manage project execution, control, and project close.

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

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

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

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

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

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1.0 PROJECT OVERVIEW The New Mexico State Land Office (SLO) generates revenue from state trust lands to support public education and other beneficiary institutions. SLO produces revenue by leasing lands for grazing, agriculture, commercial use, renewable energy, oil and gas drilling, mining, and other surface and subsurface activities.

The Oil and Natural Gas Administration and Revenue Database (ONGARD) is a priority system for SLO and for the state. The mainframe system has collected and distributed over $26 Billion, but the technology is now nearly three decades old, and more of a risk each year to maintain. Just during the past month, mainframe operating system issues resulted in royalty and leasing functionality offline for several days. Delaying distributions to SLO's beneficiaries is not acceptable.

For more than ten years, New Mexico has struggled to allocate enough resources to replace the ONGARD system. That time is now ripe, and SLO is moving forward with a phased approach that provides the least risk, and the most functionality, in the least time, effort and cost.

1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT SLO’s oil and gas royalty collection and distribution functions are critical to New Mexico’s economy. SLO uses ONGARD to support these functions. ONGARD is a hybrid mainframe, using Common Business Oriented Language (COBOL), Customer Information Control System (CICS), DB2 and server functions (Microsoft Visual Studio, C#, SQL). At this point, ONGARD only serves SLO; support for Taxation and Revenue Department (TRD) severance tax collection moved to a new system in March 2018.

SLO faces several issues with ONGARD. ONGARD’s developers originally created processes to support vertical drilling practices; however, horizontal drilling is now the standard. Interfacing with Geographical Information System (GIS) data is critical to SLO leasing, rights-of-way, permits, fees, and oil, gas, and mineral royalty collection, but ONGARD cannot interface with this technology. SLO also needs to integrate royalty functionality with its Land Information Management System (LIMS). Furthermore, COBOL programmers needed to maintain and operate ONGARD are difficult to retain and increasingly expensive to hire as contractors.

SLO plans to replace ONGARD with a new Royalty Administration and Revenue Processing System (RAPS) that uses current technologies and includes additional needed functionality. SLO will replace ONGARD using a two-phase approach.

During RAPS Phase 1 , SLO will convert the mainframe COBOL into a modern language, e.g., C# or Java. This will result in a fully tested application that replaces ONGARD functionality, and hosted on a server architecture instead of the mainframe.

RAPS Phase 2 will begin in parallel with Phase 1 code and software migration. During Phase 2 SLO will concurrently address business process improvement, application modernization, and software modernization as budget and schedule allow. Application modernization will include optimizing the royalty accounting functions to include contemporary features like interest computation, advance payment computation, royalty payment changes and

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payment matching. Leasing accounting may be migrated to the LIMS application. The modernized system’s ability to interface to GIS will support a more accurate distribution of royalty payments by validating agreements to geophysical areas.

1.2 FUNDING AND SOURCES

SOURCE AMOUNT ASSOCIATED RESTRICTIONS

FISCAL YEAR

General Appropriations Act of 2016, 7, Subsection 5 of Section 7 of Chapter 11 of Laws 2016; and re-appropriated to the Commissioner of public lands in General Appropriation Act of 2017 Subsection 7 of Section 7 of Chapter 135 of Laws 2017; General Appropriations Act of 2018, Subsection 18 of Section 7 of Chapter 73 extended through fiscal year 2019.

$ 5,000,000 ONGARD Replacement Funding

FY16-19

General Appropriation Act of 2018, subsection 19 of Section 7 of Chapter 73 of Laws 2018.

$ 5,000,000 Extends ONGARD Replacement Funding and increases appropriation with additional $5,000,000

FY18 -20

TOTAL $ 10,000,000 FY18 - 20

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

NUMBER DESCRIPTION

1. The project budget for implementation of the base program is limited; system modernization and RAPS functionality to be completed within $10M budget.

2. The project schedule is ambitious and dependent on contract approval.

3. Current SLO IT resources have limited knowledge, skills and abilities.

4. Other constraints to be determined

1.4 DEPENDENCIES

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Types include the following and should be associated with each dependency listed. M- 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.Vendor selection and contract development depends on DoIT Project Certification Committee (PCC) approval for Project Planning and Implementation.

M, E

2.

Ongoing operation of system is dependent on having master data management governance in place to support data exchange among SLO, Taxation and Revenue Department (TRD) and Energy, Minerals and Natural Resources Department (EMNRD).

E

3. Vendor contract execution is dependent on DoIT and or DFA for Prime Contractor and IV&V contract approvals. M, E

1.5 ASSUMPTIONSAssumptions are planning factors that, for planning purposes, will be considered true, real, or certain.

NUMBER DESCRIPTION

1. The new Commissioner of Public Lands, taking office in January 2019, will continue to support the project.

2.Project scope is royalty, oil and gas, and associated accounting functions, including business rules for collection, audit, and distribution to SLO beneficiaries.

3. SLO IT team training and tools use will enable management of hybrid code and ultimate conversion to native language and platform.

4. SLO will define business rules, process changes, and enhancements to its royalty, and leasing accounting processes before the completion of Phase 1.

5. There is sufficient budget to complete required changes to business rules for modernized Royalty support.

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NUMBER DESCRIPTION

6. TRD and EMNRD will participate in Master Data Management and continue to provide information to support oil and gas revenue collection and distribution.

1.6 INITIAL PROJECT RISKS IDENTIFIEDIn 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

The refactored code produced from Phase 1 may not adequately replicate ONGARD system functionality.

Probability LOW Impact HIGH

Mitigation Strategy: Ensure that code validation is sufficient to prove legacy system functionality, including royalty return submission, accounting, and notices/reporting. Validate code in modules, starting with foundational modules first. Repeat steps with each module.

Contingency Plan: Deny approval of contractor deliverables until refactored code meets functional requirements.

Risk 2

Knowledge, skills and abilities of SLO and OSC IT teams may not be sufficient to collaborate on development and deployment or maintain the modernized system.

Probability HIGH Impact HIGH

Mitigation Strategy: Ensure in depth knowledge transfer during all project phases. Enable knowledge transfer by setting up cross-functional teams, including IT and contractor staff. Ensure that contractor produces detailed documentation, training material, and access to tool suite. Provide professional development to IT staff.

Contingency Plan: Contract with the vendor to continue to provide limited SLO IT support.

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.

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2.1 STAKEHOLDERSList 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

Aubrey Dunn Product owner and project decision maker SLO Commissioner of Public

Lands

Laura Riley Executive Steering Committee Chair SLO Deputy Commissioner

George RosenbaumExecutive sponsor, Product Owner Representative, and project decision maker

SLO

SLO Executive Director, Royalty Management and Information Technology

Tony Hoffman Technology owner SLO CIO

RAPS Executive Steering Committee

Empowers project managerEnsures project staff availability Provides budget oversightEscalates issues requiring Commissioner approval or decision and recommends solutions Champions project with SLO employees

SLO

Executive Director, Royalty and Information Technology

Assistant Commissioner Oil, Gas and Minerals

Assistant Commissioner Administrative Service Division

CIO Director Royalty Division

Danny Martinez Business owner SLO Director Royalty Division

SLO Oil, Gas & Minerals Department

Business users, subject matter experts (SMEs), testers

SLO Various

SLO Administrative Services Department Business user, SMEs, testers SLO Various

SLO Information Technology Division

Project manager, business analyst, developers SLO Various

John Monforte or Audit and Compliance (ACD) Director, TRD

Data sharer TRD Secretary or ACD Director

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NAME STAKE IN PROJECT ORGANIZATION TITLE

Joe Montano or Oil Conservation Division (OCD) Director, (EMNRD)

Data sharer EMNRD CIO or OCD Director

Oil and gas royalty remitters Business user Various

State of New Mexico Beneficiary Institutions

Beneficiaries of royalty disbursements Various

Consensus Revenue Estimating Group

Derives statistics from oil and gas production and royalty collection to support revenue estimates

Department of Finance Administration (DFA)

Legislative Finance Committee (LFC)

TRD

Chief Economist (of each organization)

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

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2.2.2 DESCRIBE THE ROLE AND MEMBERS OF THE PROJECT STEERING COMMITTEE

TITLE, NAME, ESC ROLE RESPONSIBILITIES

Deputy CommissionerLaura RileyESC Chair

Chairs the ESC: Ensures project staff availability, funding and contract

management Reviews and accepts initial risk assessment, project

management plan, project schedule and budget Casts the deciding vote where a consensus cannot be

reached by the Executive Steering Committee Escalates issues requiring Commissioner approval or decision

Executive DirectorGeorge RosenbaumESC Member

Primary liaison with CIO Executive liaison with Contractor Provides direction to the project team based on agency

objectives Maintains close budget control Empowers the Project Manager Communicates with SLO Staff and the Commissioner about

project progress

CIOTony HoffmanESC Member

Approves and guides the technology solution Primary liaison with RAPS Project Manager Balances larger picture versus details of project Manages vendor contract deliverables as needed Communicates with respective Division staff regarding

progress and escalations

DirectorRoyalty Management Division Danny MartinezESC Member

Primary liaison with Royalty business units Assigns project resources Champions the Project Communicates with respective Division staff regarding


Acting Assistant CommissionerOil Gas and Minerals DivisionEd MartinESC Member

Primary liaison with Oil and Gas business units Assigns project resources Champions the Project Communicates with respective Division staff regarding


Assistant Commissioner for Administrative ServicesSandra LopezESC Member

Primary liaison with Accounting and Records business units Assigns project resources Champions the Project Communicates with respective Division staff regarding


2.2.3 ORGANIZATIONAL BOUNDARIES, INTERFACES AND RESPONSIBILITIES

The SLO Project Manager will be the principal interface between the Steering Committee, Project Team, and the Contractors. Project team responsibilities are as described below.

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ROLE RESPONSIBILITY

CIO Directs the project and reports to SLO Executives. Manages IT environment, budget and human resources.

IT Project Manager

Plans and manages the project. Develops contracts and manages vendors. Facilitates procurement. Track and report on cost, schedule, and scope progress; manage change; escalate issues for resolution; manage risk; manage vendors. Report to the Executive Steering Committee on project progress, risks, issues and matters requiring Executive Steering Committee action. Prepare presentations and documentation required for the certified project.

Business Analyst Identify, document and validate user acceptance test cases; schedule control.

Royalty Team Lead Assign resources for user acceptance testing; identify and prioritize future system enhancements; escalate concerns.

Accounting Team Lead Assign resources for user acceptance testing; identify and prioritize future system enhancements; escalate concerns.

Oil, Gas and Minerals Team Lead

Assign resources for user acceptance testing; identify and prioritize future system enhancements; escalate concerns.

SLO IT Team

Support efforts to capture and define requirements and business rules. Review draft test plan and test cases. Validate data during refactoring, conversion and migration. Support efforts to assess and inventory mainframe data assets, and to catalog system inputs and outputs, including data exchanged with external systems. Work with prime contractor on all phases of code refactoring and migration. Support efforts to identify and prioritize future system enhancements.

Prime Contractor PM

Collaborate with SLO PM as required on PM artifacts, including: Project Management Plan, including project management

approach, communication plan, program functional overview, escalation paths, and change management process

Issues Log Risk RegisterProduce status reports. Collaborate with the Procuring Agency as required on technical artifacts. Provide quality assurance and technical coordination on all deliverables submitted. Obtain approval or iterate to secure approval on all work product.

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ROLE RESPONSIBILITY

Prime Contractor Technical Team

Perform code migration and platform conversion work; system test; provide recommended architecture for future phases; train SLO IT team on maintenance of converted code, tool use, and operationalization.

IV&V Contractor

Evaluate project management plans, processes, and procedures. Monitor project activities and the project schedule to assess the progress of the project. Identify key areas that pose potential risk to the project and recommending mitigation strategies to reduce those risks. Evaluate and verify all system development and data management configuration and processes. Verify quality assurance approach and progress. Evaluate training and knowledge transfer activities from Prime Contractor to SLO technical and business staff

2.3 EXECUTIVE REPORTINGThe SLO Project Manager will ensure regular and timely communications with the Executive Steering Committee. Reports and meetings include the following:

Steering Committee Meetings bi-monthly or as directed to review project status, schedule, budget, risks/issues, and action items;

Monthly Project Certification Committee progress reports;

Immediate notification for any issue that represents a significant impediment to progress; and

Notifications as warranted by attainment of specific milestones.

3.0 SCOPE

3.1 PROJECT OBJECTIVES3.1.1 BUSINESS OBJECTIVES

NUMBER DESCRIPTION

BUSINESS OBJECTIVE 1Deploy a modern royalty application to support SLO customers with improved user interfaces, registration, return filing, auditing and collection, royalty distribution, notices and reporting.

BUSINESS OBJECTIVE 2Convert the ONGARD mainframe code base to a modern language to support software migration and modern accounting and distribution technologies.

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NUMBER DESCRIPTION

BUSINESS OBJECTIVE 3Support data quality and integrity, by deploying a royalty application on a common platform with LIMS and GIS, that can integrate leasing and royalty data.

BUSINESS OBJECTIVE 5 Enhance industry users’ reporting and filing experience with improved user interfaces and reporting workflow.

BUSINESS OBJECTIVE 6 Employ data analytics and reporting tools to support royalty audit activity, increase collection and maximize state revenue.

3.1.2 TECHNICAL OBJECTIVES

NUMBER DESCRIPTION

TECHNICAL OBJECTIVE 1Shift the legacy code off the mainframe to an N-tier, client-server architecture.

TECHNICAL OBJECTIVE 2Convert the mainframe code base to a modern language to support software migration and application development on a modern server-based architecture.

TECHNICAL OBJECTIVE 3

Reduce the cost of royalty administration through the application of cost effective and sustainable technologies. Research on mainframe conversion projects notes an average 50% or greater IT cost reduction by moving applications off the mainframe.

TECHNICAL OBJECTIVE 4Develop and deploy the royalty solution on a common platform with SLO’s other applications, as well as disaster recovery, that can be maintained and operated by IT staff.

TECHNICAL OBJECTIVE 5Improve SLO IT ability to respond to required business rule changes and processing methodology for the collection of leasing and royalties.

3.2 PROJECT EXCLUSIONSThe project excludes any changes to external file content or format.

3.3 CRITICAL SUCCESS FACTORSIdentify 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 METRIC 1 10% reduction in time required for SLO Accounting to prepare and validate month-end close reports.

QUALITY METRIC 2 There is no increase in royalty suspended lines.

QUALITY METRIC 3 There is no delay in royalty distributions to SLO beneficiaries.

QUALITY METRIC 4The NM Consensus Revenue Estimating Group (CREG) is able to acquire metrics on royalty production and revenue to support state revenue estimates.

QUALITY METRIC 5 SLO Royalty Management increases collections by 5%.

4.0 PROJECT DELIVERABLES AND METHODOLOGY

4.1 PROJECT MANAGEMENT LIFE CYCLE

PHASE SUMMARY OF PHASE KEY DELIVERABLES

Initiation Funding is requested by an agency for use in initial project setup activities such as defining governance, stakeholders, project objectives, high level scope, approach/phases, project charter, conducting research and analysis, procurement planning, developing Independent Verification and Validation (IV&V) plan and contract; developing initial project management plan with rough order magnitude estimates, etc.

Initiation Certification Form

Draft Project Charter

PCC Presentation

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Planning This request is for funds needed to complete all planning needed to successfully accomplish project objectives. This could include activities such as procuring project manager or business analyst services to assist with planning, defining & baselining, scope, schedule, budget, quality metrics, requirements, business processes, procurement planning, communication plan, change management plan, risk/issue management plan, project management plan (PMP), technical planning, system design, security planning, business continuity/disaster recovery planning, etc. The PMP is a manifestation of planning on all aspects of the project and will serve as the basis to track and manage the project during subsequent phases.

Draft Project Management Plan

Final Project Charter

Planning Certification Form

PCC Presentation

IV&V Contract

Implementation This request is for funds needed to execute, track and manage actual work of the project/phase in accordance with plans. Typical activities could include JAD sessions, procurements (RFPs, contracts, etc.), contract and vendor management, build, buy, modify, configure, implement, testing, training, rollouts, transition to operations, etc. The project should have qualified PM structure to manage, track, monitor and report on progress. IV&V consultant should be actively engaged in the project

Project Management Plan

Implementation Certification Form

PCC Presentation

IV&V Reports

Approved TARC

Close The termination or completion of the project. Closeout Certification Form

Lessons Learned

Final IV&V report

PCC Presentation

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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.

4.1.1.1 Project Charter

Description – The project charter is the document that formally authorizes a project. The project charter provides the project manager with the authority to apply organizational resources to project activities.

Deliverable Acceptance Criteria – Must meet acceptance of the Executive Sponsor

Standards for Content and Format – Will use standard DoIT EPMO template

Quality Review – Will be reviewed and approved by the SLO Executive Sponsor and CIO

4.1.1.2 Project Management Plan

Description – Project management plan is a formal document approved by the Executive Sponsor and the CIO and developed in the planning phase used to manage project execution, control, and project close.


Standards for Content and Format – Will use standard DoIT EPMO template


4.1.1.3 PCC Presentations

Description – Presentation developed to summarize essential elements related to Project Initiation, Planning, Implementation, or Closeout.


Standards for Content and Format – Will use standard DoIT Project Oversight presentation categories


4.1.1.4 Certification Request Forms

Description – Forms specifically tailored to provide specific information to support SLO’s requests for Project Initiation, Planning, Implementation or


Standards for Content and Format – Will use standard DoIT EPMO template.

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Closeou.t Quality Review – Will be reviewed and approved by the SLO Executive Sponsor and CIO

4.1.1.5 IV&V Reports

Description -- written interim IV&V reports on project status. The reports will include an evaluation of project progress, issues and how the project team is implementing previously recommended risk mitigation activity(ies),

Deliverable Acceptance Criteria – Must meet acceptance of the SLO Project Manager

Standards for Content and Format – Will use standard DoIT EPMO template for report content.


4.1.1.6 Executive Steering Committee Meeting Agenda/Minutes

Description – Executive Steering Committee meeting agenda and minutes


Standards for Content and Format – Will use standard PM format


4.1.1.7 Project Team Meeting Agenda/Minutes

Description – Project Team meeting agenda and minutes.

Deliverable Acceptance Criteria – Must meet objectives defined by the SLO Project Manager

Standards for Content and Format - Will use standard PM format


4.1.1.8 Project Budget Report

Description – Project Budget report to identify spend by project phase and projected amount remaining.

Deliverable Acceptance Criteria – As defined by the vendor contracts.

Standards for Content and Format – Will use standard SLO Administrative Services Division (ASD) format

Quality Review – Will be reviewed and approved by SLO Assistant Commissioner for Administrative Services

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4.1.1.9 Risk/Issue Log

Description – Project Risk/Issue Log to track Risk, Mitigation and Contingency plans. The SLO Project Manager will track Issues and assign each to a principle owner for resolution.

Deliverable Acceptance Criteria – Will be reviewed and accepted by the Executive Sponsor

Standards for Content and Format – Will use standard PM format


4.1.1.10 Monthly PCC Report

Description – Deliver Monthly Project Certification Committee report due the 10th of every month.

Deliverable Acceptance Criteria – The DoIT EPMO team will review and accept the monthly report.

Standards for Content and Format – Will use the standard DoIT template.


4.1.2 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS

The following table identifies the deliverables this project is to produce, and designates the person or persons who have authority to approve each deliverable.

DELIVERABLE DELIVERABLE APPROVERS DATE APPROVED

PRJ-001 Project Charter Executive Sponsor, CIO, PCC 4/25/2018

PRJ-002 Project Management Plan (PMP)

Executive Sponsor, CIO, PCC

PRJ- 003 PCC Presentations Executive Sponsor, CIO

PRJ- 004 Certification Request Forms

Executive Sponsor, CIO, PCC Initiation, 4/25/2018

PRJ- 005 IV&V Reports Project Manager

PRJ- 006 Executive Steering Committee Meeting Agenda/Minutes

Executive Sponsor, CIO

PRJ-007 Project Team Meeting Executive Sponsor, CIO

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DELIVERABLE DELIVERABLE APPROVERS DATE APPROVED

Agenda/Minutes

PRJ-008 Project Budget Report SLO Assistant Commissioner for Administrative Services

PRJ-009 Risk/Issue Log Executive Sponsor, CIO

PRJ-010 Monthly PCC Report Executive Sponsor, CIO, DoIT EPMO

4.1.3 DELIVERABLE ACCEPTANCE PROCEDURE

All deliverables will be reviewed by the Executive Sponsor, the CIO, the Project Manager, and/or the PCC or DoIT EPMO, to either approve or deny acceptance. Project Manager will maintain list of deliverables with approvals and denials documented.

4.2 PRODUCT LIFE CYCLE


Initiation Funding is requested by an agency for use in initial project setup activities such as defining governance, stakeholders, project objectives, high level scope, approach/phases, project charter, conducting research and analysis, procurement planning, developing Independent Verification and Validation (IV&V) plan and contract; developing initial project management plan.

Confirm project objectives and scope

Research technical options

Draft project charter

Proceed with solution provider procurement

Identify IV&V contractors

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Planning This request is for funds required to complete planning. This phase includes the definition of SLO’s project management approach, with examination of business analysis, technical and QA work streams. The planning phase will also include discovery sessions, and documentation of the current state including architecture, COBOL code, data, interfaces, third party products, the development process, tools, test cases/data availability, and other concurrent projects.

The team will develop the schedule for online/batch refactoring, data migration, testing, training, and implementation.

The team will also define the separate environments to support development, testing, staging and production.

The project team will define the future state architecture with sizing recommendations.

Finally, SLO will procure a contract with IV&V Contractor and meet with that resource as required to support the development of its Initial Assessment.

Deloitte contract with deliverables

Project schedule with milestones

Resource Plan (project workgroups, teams and initial schedules)

Future State Architecture

IV&V Contract

IV&V Initial Assessment

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Implementation This request is for funds needed to execute, track and manage actual work of the project/phase in accordance with plans. Activities will include:

Install and configure tools on environments provisioned by SLO;

Refactor current ONGARD COBOL online and batch mainframe code into a modern language;

Extract and migrate legacy DB2/VSAM data into new target state database;

Perform iterative online/batch/data migration and exception resolution;

Refactor letter/notice, report modules on mainframe;

Remediate mainframe Third Party utilities;

Perform quality assurance, defect resolution, and test reports; support acceptance testing;

Provide operational sustainability via Knowledge Transfer, Operator’s Manual, user training materials, and developer/administrator training.

The vendor will provide production go-live support, stabilization and warranty support.

The project team will employ proven project management, quality assurance, and technical coordination methods for a migration project.

The IV&V consultant will be actively engaged in the project.

Demonstration of refactoring, in iterations

Test Cases and related Testing Plan

Implementation Plan

Test Reports

Migrated application assets

Production Readiness Report

Go/No Go checklist

Operator’s Manual

User training materials

Developer/administrator training materials.

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Close The termination or completion of the project.

Final deliverable acceptance and final contract payments.

Lessons Learned documentation.

4.2.1 TECHNICAL STRATEGY

SLO is employing a phased approach for RAPS. During RAPS Phase 1, SLO will convert the mainframe COBOL into a modern language, e.g., C# or Java. This will result in a fully tested application that replaces ONGARD royalty and leasing accounting functionality, hosted on a server architecture instead of the mainframe.

During Phase 2 SLO will concurrently address business process improvement, application modernization, and software modernization as budget and schedule allow. Application modernization may include optimizing the royalty accounting functions to include contemporary features like interest computation, advance payment computation, royalty payment changes and payment matching.

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.

4.2.2.1 IV&V Contract

Description – IV&V Contract Deliverable Acceptance Criteria – Terms and Conditions, compensation, term, and Exhibit A deliverables will be reviewed by SLO ASD and Legal, SLO Executive Sponsor, SLO CIO, DoIT and DFA

Standards for Content and Format – Standard DoIT large template IT contract template

Quality Review – Performed by SLO ASD and Legal, the Executive Sponsor, CIO, the IV&V Contractor, DoIT and DFA

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4.2.2.2 Deloitte contract

Description – Deloitte Contract Deliverable Acceptance Criteria – Terms and Conditions, compensation, term, and Exhibit A deliverables will be reviewed by SLO ASD and Legal, SLO Executive Sponsor, SLO CIO, Deloitte DoIT and DFA

Standards for Content and Format – Standard DoIT large template IT contract template

Quality Review – Performed by SLO ASD and Legal, the Executive Sponsor, CIO, Deloitte, DoIT and DFA

4.2.2.3 Project Schedule with Milestones

Description – Project Schedule with Milestones

Deliverable Acceptance Criteria – High-level schedule indicating milestones and key activities. Will be reviewed and accepted by the Project Manager, CIO and Executive Sponsor.

Standards for Content and Format – Format to be agreed to by Deloitte and the SLO PM.

Quality Review- Performed by the Project Manager, CIO and Executive Sponsor.

4.2.2.4 Deloitte Work Plan

Description – Work Plan for NM SLO ONGARD Refactoring including initiate/plan, define, design, build, test, training, deploy, and maintain & operate phases

Deliverable Acceptance Criteria – the Project Manager, CIO, Executive Sponsor and Project Team will review Work plan for sufficient detail and accuracy.

Standards for Content and Format – Format will be confirmed between Deloitte and the PM

Quality Review - the Project Manager and CIO will perform 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.

DELIVERABLE NUMBER

DELIVERABLE APPROVERS (WHO CAN APPROVE)

DATE APPROVED

PRD-001 IV&V Contract SLO ASD, Legal,

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DELIVERABLE NUMBER

DELIVERABLE APPROVERS (WHO CAN APPROVE)

DATE APPROVED

CIO, Vendor, Executive Sponsor, DoIT, DFA

PRD-002 Deloitte Contract SLO ASD, Legal, CIO, Vendor, Executive Sponsor, DoIT, DFA

PRD-003 Project Schedule with Milestones Project Manager, CIO, Executive Sponsor

PRD-004 Deloitte Work Plan Project Manager, CIO, Executive Sponsor

PRD-005 TBD

4.2.4 DELIVERABLE ACCEPTANCE PROCEDURE

The Executive Sponsor, the CIO, the Project Manager will review all deliverables to either approve or deny acceptance. SLO will conform to the terms and conditions stated in the DoIT Standard Contract template, Article 4, Acceptance. DoIT and DFA will review and accept contracts as required.

5.0 PROJECT WORK

5.1 WORK BREAKDOWN STRUCTURE (WBS)The WBS will be determined during Project Planning phase.

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Identifier Work Package Description Definition/Objective Milestone/Deliverable

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5.2 SCHEDULE ALLOCATION -PROJECT TIMELINE

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5.3 PROJECT BUDGET

PROPOSED MAJOR DELIVERABLE SCHEDULE AND PERFORMANCE MEASURES

MAJOR PROJECT DELIVERABLE AND PERFORMANCE MEASURE BUDGET DUE DATE PROJECT

PHASE

Royalty RFP and PM support contracts 273,861 6/30/2018 Initiation

Research Industry Solutions NA 6/30/2018 Initiation

Solution selection/procurement strategy determination NA 6/30/2018 Initiation

Contract Award (IV&V) 212,313 6/30/2020

PlanningImplementationClosing

Contract Award (Phase 1 Refactoring) 7,700,000 6/30/2020


Phase 2 Professional Services to support Business Analysis, Integration, Security development for RAPS application

1,600,000 6/30/2020


Equipment to support new operational environment 213,827 10/30/201

9Implementation

Sign off deliverable acceptance, verify final vendor payment(s) and close contract(s) NA 5/30/2020 Closeout

TOTAL 10,000,000

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5.4 PROJECT TEAM5.4.1 PROJECT TEAM ORGANIZATIONAL STRUCTURE

To be determined during project planning phase.

5.4.2 PROJECT TEAM ROLES AND RESPONSIBILITIES

As noted above, during the project planning phase SLO will identify project workgroups, teams, roles and responsibilities and initial schedules.

The Project Team will include SLO IT staff, business users and SME’s, and vendor resources.

5.5 STAFF PLANNING AND RESOURCE ACQUISITION5.5.1 PROJECT STAFF


Resource Cost Estimate

Estimated Hours Availability Skill Set Work Product/Deliverable

5.5.2 NON-PERSONNEL RESOURCES


Resource Cost Estimate

Estimated units/hours Availability Source Work Product/Deliverable

5.6 PROJECT LOGISTICSTo be determined during Project Planning phase.

5.6.1 PROJECT TEAM TRAINING

SLO will define RAPS training requirements during the project planning phase.

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ResourceCost Estimate

Estimated Hours Availability Skill Set Work Product/Deliverable

6.0 PROJECT MANAGEMENT AND CONTROLS

6.1 RISK AND ISSUE MANAGEMENTTo be established during the project planning phase.

PMBOK©:

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.

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6.1.2 PROJECT RISK IDENTIFICATION

6.1.3 PROJECT RISK MITIGATION APPROACH

6.1.4 RISK REPORTING AND ESCALATION STRATEGY

6.1.5 PROJECT RISK TRACKING APPROACH

6.1.6 ISSUE MANAGEMENT

6.1.6.1 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.

6.1.6.2 External Issue Escalation and Resolution ProcessThe 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.

6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&VSLO Management has reviewed State Price Agreement IV&V Contractors. SLO Legal and ASD are in the process of negotiating a contract for IV&V services to support RAPS.

6.3 SCOPE MANAGEMENT PLANTo be established during the project planning phase.

Describe the process that is going to be used to manage the scope of the project. Make sure to address managing stakeholder expectations.

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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.

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.

6.4 PROJECT BUDGET MANAGEMENTTo be established during the project planning phase.

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).

6.4.1 BUDGET TRACKING

6.5 COMMUNICATION PLANTo be established during the project planning phase.

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.

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6.5.1 COMMUNICATION MATRIX

6.5.2 STATUS MEETINGS

6.5.3 PROJECT STATUS REPORTS

6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS) To be established during the project planning phase.

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.

6.6.1 BASELINES

Project Area Category Measure

6.6.2 METRICS LIBRARY

6.7 QUALITY OBJECTIVES AND CONTROLTo be established during the project planning phase.

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 •

2 •

3 •

4 •

5 •

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

Quality of communications

Manages project tasks

Productive Meetings

6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESSHow 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.

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Deliverable Final Approval Process Customer Acceptance Criteria

6.8 CONFIGURATION MANAGEMENTTo be established during the project planning phase.

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.

6.8.1 VERSION CONTROL

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.

6.9 PROCUREMENT MANAGEMENT PLANTo be established during the project planning phase.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.

7. 0 PROJECT CLOSETo be established during the project implementation phase.

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

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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.

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.

ATTACHMENTSAttachments 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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Documents

Executive Sponsor – George Rosenbaum, Executive … · Web view6.9 PROCUREMENT MANAGEMENT PLAN33 7. 0 Project Close34 7.1 Administrative Close34 7.2 Contract Close34 AttachmentS34