SOS INTEGRATED REPORTING AND INTEGRITY SYSTEM (IRIS)
PROJECT MANAGEMENT PLAN (PMP)
Election System Modernization Project
SOS IRIS
The NM Secretary of State Integrated Reporting & Integrity System
PROJECT MANAGEMENT PLAN
(PMP)
Executive Sponsor – Dianna J. Duran, Secretary of state
Project sponsor – Kari Fresquez, Elections Director
Project Director – Kari Fresquez, Chief Information Officer
Project Manager – Gregory Rockstroh, Technical Lead
Original Plan Date: September 24, 2013
Revision Date: 5/27/2015
Revision: 1.5
SOS INTEGRATED REPORTING AND INTEGRITY SYSTEM (IRIS)
PROJECT MANAGEMENT PLAN (PMP)
Revision History iii
Preparing the Project Management plan iv
About This Document iv
Project Oversight Process Memorandum – DoIT, July 2007 iv
1.0 Project Overview 1
1.1 Executive Summary- rationale for the Project 1
1.2 funding and sources 2
1.3 Constraints 3
1.4 DEPENDENCIES 3
1.5 ASSUMPTIONS 3
1.6 PROJECT Risks Identified 4
2.0 Project Authority and Organizational Structure 6
2.1 Stakeholders 6
2.2 Project Governance Structure 8
2.2.1 Describe the organizational structure – Org Chart 8
2.2.3 Organizational Boundaries, interfaces and responsibilities 10
2.3 Executive Reporting 10
3.0 Scope 11
3.1 Project Objectives 11
3.1.1 Business Objectives 11
3.1.2 Technical Objectives 11
3.2 Project exclusions 12
3.3 Critical Success Factors 12
4.0 Project Deliverables and methodology 13
4.1 Project Management Life Cycle 13
4.1.1 Project Management Deliverables 14
4.1.2 Deliverable Approval Authority Designations 23
4.1.3 Deliverable Acceptance Procedure 24
4.2 PRODUCT LIFE CYCLE 25
4.2.1 Technical Strategy 26
4.2.2 Product and Product Development Deliverables 27
4.2.3 Deliverable Approval Authority Designations 31
4.2.4 Deliverable Acceptance Procedure 32
5.0 Project Work 32
5.1 Work Breakdown Structure (WBS) 32
5.2 Schedule allocation -Project Timeline 33
5.4 Project Team 37
5.4.1 Project Team Organizational Structure 37
5.4.2 Project Team Roles and Responsibilities 38
5.5 STAFF PLANNING AND Resource ACQUISITION 41
5.5.1 Project Staff 41
5.5.2 Non-Personnel resources 41
5.6 PROJECT LOGISTICS 42
5.6.1 Project Team Training 42
6.0 Project Management and Controls 43
6.1 Risk and issue Management 43
6.1.1 Risk Management Strategy 43
6.1.2 ISSUE MANAGEMENT 43
6.2 INDEPENDENT Verification And Validation - Iv&V 43
6.3 Scope Management Plan 44
6.3.1 Change Control 44
6.4 Project Budget Management 45
6.4.1 Budget Tracking 45
6.5 Communication Plan 45
6.5.1 Communication Matrix 45
6.5.2 Status Meetings 46
6.5.3 Project Status Reports 46
6.6 PERFORMANCE MEASUREMENT (PROJECT & Quality METRICS) 47
6.7 QUALITY OBJECTIVES AND CONTROL 47
6.7.1 quality Standards 47
6.7.2 Project and Product Review AND ASSESSMENTS 48
6.7.3 Agency/Customer Satisfaction 48
6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS 49
6.8 CONFIGURATION MANAGEMENT 49
6.8.1 Version Control 50
6.8.2 Project Repository (Project Library) 50
6.9 PROCUREMENT MANAGEMENT PLAN 50
7. 0 Project Close 51
7.1 Administrative Close 51
7.2 Contract Close 51
AttachmentS 52
APPENDIX A — Definitions 53
Acronyms and Abbreviations 53
Definitions 53
Revision History
Revision Number / Date / Comment / Approved by / Date1.0 / 9/24/2013 / Initial PMP by SOS CIO / Kari Fresquez
1.1 / 10/7/2013 / Add WBS as Attachment B / Kari Fresquez
1.2 / 10/9/2013 / Final review by executive sponsor / Kari Fresquez
1.3 / 2/4/1420 / Project Kick-Off / Kari Fresquez
1.4 / 3/7/2014 / End of Phase 1 / Kari Fresquez
1.4.3 / 4/15/2014 / Status updates / Kari Fresquez
1.5 / 5/12/2015 / Phase 3 Planning / Kari Fresquez
Preparing the Project Management plan
The workbook for preparation of the Project Management Plan is built around helping the project manager and the project team to use the Project Management Plan in support of successful projects. Please refer to it while developing this PMP for your project.
About This Document
Project Oversight Process Memorandum – DoIT, July 2007
“Project management plan” is a formal document approved by the executive sponsor and the Department and developed in the plan phase used to manage project execution, control, and project close.
The primary uses of the project plan are to document planning assumptions and decisions, facilitate communication among stakeholders, and documents approved scope, cost and schedule baselines.
A project plan includes at least other plans for issue escalation, change control, communications, deliverable review and acceptance, staff acquisition, and risk management.
“Project manager” means a qualified person from the lead agency responsible for all aspects of the project over the entire project management lifecycle (initiate, plan, execute, control, close). The project manager must be familiar with project scope and objectives, as well as effectively coordinate the activities of the team. In addition, the project manager is responsible for developing the project plan and project schedule with the project team to ensure timely completion of the project. The project manager interfaces with all areas affected by the project including end users, distributors, and vendors. The project manager ensures adherence to the best practices and standards of the Department.
Project product” means the final project deliverables as defined in the project plan meeting all agreed and approved acceptance criteria.
“Product development life cycle” is a series of sequential, non-overlapping phases comprised of iterative disciplines such as requirements, analysis and design, implementation, test and deployment implemented to build a product or develop a service.
Revision: 1.5 5/27/2015 iv of vi
SOS INTEGRATED REPORTING AND INTEGRITY SYSTEM (IRIS)
PROJECT MANAGEMENT PLAN (PMP)
1.0 Project Overview
The Project Overview sets the stage for the details of the project and begins the “story” of the project and plan.
1.1 Executive Summary- rationale for the Project
Currently, the Secretary of State (SOS) and the 33 County Clerk Offices use a multitude of disjointed software and hardware systems and many manual processes during a statewide election cycle. The SOS has identified 17 systems and/or manual processes utilized to complete a full election cycle from candidate filing, ballot creation and certification, tabulator programming, voter registration, military an’d overseas ballot delivery, election night reporting, and state and county result canvassing and certification.
After the 2012 general election, the SOS election staff, the county clerks, and the statewide auditors identified some concerns that must be addressed for the next election cycle. Some of the observations include:
· Large number of disparate systems,
· Large number of manual processes,
· High election costs and budget shortfalls,
· Significant reliance on vendor support with low customer satisfaction,
· Vendor managed, COTS systems have “one size fits all” business model with inflexible software release dates and expensive enhancement costs making system changes difficult or impossible,
· Inadequate election night reporting solution that involves manual file processing and inadequate bandwidth to meet demand of election night site visits,
· Systems do not adequately or efficiently meet business and/or statutory requirements without manual workarounds and inefficient work processes, and
· Limitations exist in current tabulation and results reporting software to properly canvass counties that have adopted voting convenience centers.
Based on these observations, the goal of the Secretary of State’s Office is to implement a modern, centralized election management system that will eliminate duplicate data entry, reduce manual processes, and better integrate the components of conducting a statewide election. The SOS envisions a system that allows for seamless transition between candidate data, ballot preparation, ballot on demand data, election results reporting, and electronic canvassing for counties and the state.
The Secretary of State has obtained ownership of a proven voter election management software system from the State of South Dakota, at no cost to the State of New Mexico, valued at approximately $1,000,000. The SOS has been granted permission to modify the software in order to implement a customized and integrated election management system for the State of New Mexico - the New Mexico SOS Integrated Reporting and Integrity System (SOS IRIS). SOS IRIS will be a modern, integrated system that will reduce the 17 current disparate and/or manual systems and will allow for uniform data collection and statewide reporting as well as allow the public better access to voting information such as sample ballots and polling location information as well as quick dissemination of election night results.
[Update – May 2015]
During Phase 1 and Phase 2 of the project, the SOS implemented certain components of the SOS IRIS to include Candidate Filing, Results Reporting, and Electronic Canvass. Phase 3 of the project, the current phase, will continue development of SOS IRIS; thereby, implementing a modern election management system that will integrate all processes and systems utilized by the SOS and county clerks for voter registration and election management. Full implementation of this system will further increase uniformity of election data and processes and significantly reduce operating costs.
1.2 funding and sources
Source / Amount / Associated restrictions / Approvers /Laws of 2013, Chapter 227, Section 4 / $311,000 / None / DoIT; SPD
Laws 2014, Senate Bill 313, General Fund, Secretary of State, Elections Program / $190,000 / None / doit; spd; pcc
Laws 2015, Chapter 101, Section 7(12), (pg 193), Secretary of State / $1,400,000 / Requires Release of funds by pcc / DOit; spd; pcc
1.3 Constraints
Constraints are factors that restrict the project by scope, resource, or schedule.
Number / Description /1 / Internal staff resources are available only on a part time basis due to other assignments.
2 / Budget projections have been estimated without having full project requirements defined.
3 / Budget, scope, and time of project are inter-related - a change in one changes the others.
1.4 DEPENDENCIES
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 / Sole source for BPro contract will be approved without protests / E
3 / Contract approval and project certification will occur at time and budget identified in project plan. / e
1.5 ASSUMPTIONS
Assumptions are planning factors that, for planning purposes, will be considered true, real, or certain.
Number / Description /1 / Executive sponsors and leadership stakeholders support the project and will provide adequate staffing resources in the IT and business units to accomplish deliverables by the project schedule.
2 / The South Dakota Total Vote framework can be customized to meet the specific requirements for New Mexico election code and requirements.
3 / The project organization structure described will be put in place and used to perform work and resolve issues in a timely manner.
4 / The project charter and subsequent project management plan will be followed by the project team and updated as needed.
5 / Changes to scope, schedule, and budget will be handled through the project’s formal change control processes.
6 / Tabulator vendors will accept SOS generated election definition file for programming tabulators and ballots.
7 / Tabulator vendors will provide results files in pre-determined format for election night reporting.
1.6 PROJECT Risks Identified
In this section identify and describe how each risk will be managed. Include the steps that will be taken to maximize activity that will result in minimizing probability and impact of each risk.
Risk 1
Description -Loss\Illness of core project team members / Probability: Low / Impact : High – could cause missed deadlines
Mitigation Strategy: Determine "key" personnel and develop back-up plans if that person left. Keep detailed requirements documents so new staff can step in more readily.
Contingency Plan: Monitor workload and personnel assignments closely.
Risk 2
Description -Reliance on contracted resources to accomplish project goals / Probability : High / Impact : high - Ability to complete work by deadline; costs increase
Mitigation Strategy: Closely monitor contract resources and associated costs.
Contingency Plan: Make sure internal staff is trained and capable of completing long term support and administration.
Risk 3
Description -Competing demands on staff resources - Same IT staff are involved in maintaining status quo while also working on multiple new project initiatives / Probability : High / Impact : high - More reliance on contract staff; effect on project deadlines
Mitigation Strategy: Executive management is strongly committed to the success of this project; resource contention is addressed regularly in weekly project meetings to facilitate resolving issues quickly and managing expectations of stakeholders. Strategic use of external resources to accomplish project goals.
Contingency Plan: Delay implementation of other projects that do not have hard deadlines and dedicate additional external resources as needed to accomplish project goals.
Risk 4
Description -Failure to identify all user requirements / Probability: MEDIUM / Impact: MEDIUM
Mitigation Strategy: Thorough needs assessment planned with experienced subject matter experts (focus groups) at both the SOS and the County Clerk offices with several levels of approval. Contract staff is also highly experienced with election projects and process.
Contingency Plan: Address missed functionality in future software release.
Risk 5
Description -Existing Election Process is not fully analyzed or understood / Probability: MEDIUM / Impact: MEDIUM
Mitigation Strategy: Work with focus groups to better understand processes and perspectives. Conduct mock election with new system early enough to catch design flaws.
Contingency Plan: Conduct iterative roll out of solution in test environment to full user audience (beyond project team) to capture and mitigate problems early.
Risk 6
Description -Reluctance from key stakeholders or county clerk user community to participate / Probability: LOW / Impact: HIGH
Mitigation Strategy: Communicate project progress regularly to encourage buy-in and participation. Request clerk participation early in the project and form focus groups. Also, ensure adequate and timely testing and training.
Contingency Plan: Identify potential issues as early as possible so project team can address needs/concerns and garner participation.
Risk 7