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CHILD SUPPORT ENFORCEMENT SYSTEM REPLACEMENT (CSESR) PROJECT

PROJECT MANAGEMENT PLAN (PMP)

Executive Sponsor – Sean Pearson, Deputy Cabinet Secretary

Executive Business Owner - Steven G. Smith, J.D., CSED Director

EXECUTIVE BUSINESS SPONSOR - BETINA MCCRACKEN, CSED DEPUTY DIRECTOR

EXECUTIVE TECHNOLOGY OWNER – SUSAN PENTECOST, CIO

HSD IT Project Manager -- Helen Yackel

Original Plan Date: May 21, 2014

Version 2.0 Date: June 10, 2015

CSESR Project Management Plan

Revision History

Version No. Date Author Summary of Changes1.0 5/21/2014 HSD IT Project

Manager Planning PMP

2.0 6/10/2015 PMO Team Revised to include project sub-plans and planning activities

Child Support Enforcement Replacement (CSESR) Project PMP v2 – June 10, 2015


Table of Contents1.0 Acronyms and Definitions................................................................................................................6

2.0 Project Overview.............................................................................................................................6

2.1 Executive Summary - Rationale for the Project..............................................................................6

2.2 Funding Sources.............................................................................................................................7

2.3 Constraints.....................................................................................................................................7

2.4 Dependencies.................................................................................................................................7

2.5 Assumptions...................................................................................................................................8

2.6 Project Risks...................................................................................................................................8

3.0 Project Authority and Organizational Structure...............................................................................8

3.1 Stakeholders...................................................................................................................................8

3.2 Project Governance Structure........................................................................................................9

3.2.1 Describe the organizational structure – Org Chart.................................................................9

3.2.2 Describe the role and members of the project steering committee......................................9

3.2.3 Organizational Boundaries, interfaces and responsibilities...................................................9

3.3 Executive Reporting........................................................................................................................9

4.0 Project Scope...................................................................................................................................9

4.1 Project Objectives...........................................................................................................................9

4.1.1 Business Objectives................................................................................................................9

4.1.2 Technical Objectives............................................................................................................10

4.2 Project Exclusions.........................................................................................................................10

4.3 Critical Success Factors.................................................................................................................11

5.0 Project Deliverables and Methodology..........................................................................................11

5.1 Project Management Life Cycle....................................................................................................11

5.1.1 Project Management Deliverables.......................................................................................11

5.1.2 Deliverable Approval Authority Designations......................................................................13

5.2 Product Life Cycle.........................................................................................................................13

5.2.1 Technical Strategy................................................................................................................14

5.2.2 Product and Product Development Deliverables.................................................................14

6.0 Project Work..................................................................................................................................15

6.1 Work Breakdown Structure (WBS)...............................................................................................15

6.2 Schedule allocation -Project Timeline...........................................................................................15

6.3 Project Budget..............................................................................................................................15



6.4 Project Team.................................................................................................................................15

6.4.1 Project Team Organizational Structure................................................................................15

6.4.2 Project Team Roles and Responsibilities..............................................................................15

6.5 Staff Planning and Resource Acquisition.......................................................................................16

6.6 Project Logistics............................................................................................................................16

6.6.1 Project Team Training..........................................................................................................16

7.0 Project Management and Controls................................................................................................16

7.1 Risk Management Plan.................................................................................................................17

7.2 Issue Management Plan...............................................................................................................17

7.3 Independent Verification and Validation - IV&V...........................................................................17

7.4 Project Change Management Plan...............................................................................................17

7.5 Project Budget Management........................................................................................................17

7.6 Communications Plan...................................................................................................................17

7.6.1 Communication Matrix........................................................................................................18

7.6.2 Status Meetings...................................................................................................................18

7.6.3 Project Status Reports..........................................................................................................18

7.7 Performance Measurement (Project Metrics)..............................................................................18

7.7.1 Baselines..............................................................................................................................18

7.7.2 Metrics Library.....................................................................................................................18

7.8 Security and Privacy Management Plan.......................................................................................18

7.9 Quality Management Plan............................................................................................................18

7.9.1 Quality Standards.................................................................................................................19

7.9.2 Project and Product Review and Assessments.....................................................................19

7.9.3 Agency/Customer Satisfaction.............................................................................................19

7.9.4 Product Deliverable Acceptance Process.............................................................................19

7.10 Document Control and Maintenance Plan...............................................................................19

7.10.1 Version Control................................................................................................................19

7.10.2 Project Repository...........................................................................................................19

7.11 Schedule Maintenance Plan.....................................................................................................20

7.12 Resource Management Plan....................................................................................................20

7.12.1 Organizational Change Management Plan.......................................................................20

7.13 Requirements Management Plan.............................................................................................20

7.14 Governance Plan......................................................................................................................20



8.0 Project Close..................................................................................................................................20

8.1 Administrative Close.....................................................................................................................21

8.2 Contract Close..............................................................................................................................21

9.0 Appendices....................................................................................................................................22

9.1 Appendix A - Budget Estimate......................................................................................................22

9.1.1 Funding Source(s) Planning..................................................................................................22

9.1.2 Budget by Major Deliverable or Type of Expense................................................................22

9.1.3 Budget by State Fiscal Year (SFY15-17)................................................................................22

9.2 Appendix B - Project Planning Risks..............................................................................................24

9.3 Appendix C - Independent Verification and Validation - IV&V......................................................26

Table of TablesTable 1 - Acronyms and Definitions.............................................................................................................6

Table 2 - Constraints....................................................................................................................................7

Table 3- Dependencies................................................................................................................................8

Table 4- Assumptions..................................................................................................................................8

Table 5 - Critical Success Factors...............................................................................................................11

Table 6 - Project Management Life Cycle..................................................................................................11

Table 7 - Deliverable Approval Authorities................................................................................................13

Table 8 - Product Life Cycle.......................................................................................................................14

Table 9 - Funding Sources Planning...........................................................................................................22

Table 10 - Budget by Major Deliverable or Type of Expense.....................................................................22

Table 11 – PM Budget by SFY....................................................................................................................23

Table 12 - Initial Project Risks Identified....................................................................................................25

Table 13 - Independent Verification and Validation..................................................................................26



1.0 Acronyms and DefinitionsAcronyms and Definitions which are unique to this document are listed below

Term DescriptionDED Deliverable Expectation DocumentIEEE Institute of Electrical & Electronics EngineersPMBOK Project Management Book of KnowledgePMI Project Management InstituteAPD Advanced Planning Document

Table 1 - Acronyms and Definitions

2.0 Project OverviewAn automated child support system is required by the Federal Office of Child Support Enforcement (OCSE) to support the NM Child Support Enforcement Division (CSED) business and ensure compliance with federal and state law and regulations in support of New Mexico’s children by assisting parents with their child support responsibilities. In March 1998, the federal government certified New Mexico’s Child Support Enforcement System (CSES). Today, CSES maintains case records and account information on more than 64,000 active cases. More than $137.1 Million distributed in child support payments via CSES (including $14.6 Million for Navajo Nation) Payments provided assistance with child rearing expenses for over 105,000 New Mexico and Navajo Nation children. CSES allows the State to conduct automated matches with numerous data sources, and it automatically generates income withholding notices, driver’s licenses suspension notices, and numerous other notices to custodial parents, non-custodial parents, and employers without requiring caseworker intervention.

2.1 Executive Summary - Rationale for the Project

The purpose of the Child Support Enforcement System Replacement (CSESR) Project is to fully enhance or replace the current Child Support Enforcement System (CSES) in order to support CSED and ensure compliance with federal and state laws and regulations.

The current child support system has been in operation since 1998 and is based on technology over 20 years old (it was a transfer system) and is maintained internally by HSD ITD staff. CSES uses older technologies (COBOL, VSAM, DB2 and CICS) with several older interconnected subsystems including but not limited to the eCSES, eEmployer and eReporting Web Portals, forms processing (batch and user generated), and a document management system. The CSES application currently operates on a mainframe environment hosted by the Department of Information Technology (DoIT).

The Department manages the project through a Shared Project Management Office (PMO). This PMO will manage two system integrators to replace the CSES and MMIS. The project is expected to take up to six (6) years due to the complexity of federal requirements and the extensive nature of the implementation requirements.

HSD expects to leverage the new Master Client Index developed for ASPEN, the new HSD Eligibility System, as an essential function for the new Child Support enforcement System Replacement (CSESR). A single Web Portal for both clients and providers may be incorporated into the ASPEN architecture rather



than developing a new portal for Child Support. Where possible, business and technology components may be leveraged from ASPEN in support of this replacement project.

The purpose of this Project Management Plan (PMP) is to describe the processes and activities which will be performed throughout the life of the CSESR Project. The PMP tailors industry-standard processes to the CSESR context to support a successful implementation. The PMP defines how the project will function and serves as the process discipline adhered to by the Replacement Projects teams.

2.2 Funding SourcesRefer to Appendix A for funding information.

2.3 Constraints

The following constraints limit the CSESR Project:

Number Description1 Funding requests approved from the State and Federal partners2 Completion of the project within the funding appropriation periods3 Availability of General fund to pay for the State share of the costs4 Availability of resources to develop shared functionality5 Availability of SME resources to ensure that there is no degrading of existing operational activities6 Federal approval of funds for expenditure

Table 2 - Constraints

2.4 Dependencies

Types include the following and should be associated with each dependency listed.

Mandatory dependencies are dependencies that are inherent to the work being done. D- Discretionary dependencies are dependencies defined by the project management team. This

may also encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle.

E-External dependencies are dependencies that involve a relationship between project activities and non-project activities such as purchasing/procurement

Number DescriptionType

(M,D,E)1 State and Federal gate and funding approvals throughout the project M

2 An appropriate solution will be evaluated and recommended during the planning phase of the project.

M

3 A qualified and experienced systems integrator will be selected through a RFP process (create an RFP, receive proposals, evaluate proposals, select PMO and complete contracting)

M

4 A qualified and experienced IV&V vendor will be selected through an approved procurement

M

5 CSED program and IT staff will be required to work with contract PMO and integrator staff throughout the project

M

6 Federal certification of the Child Support Enforcement Replacement System M



Number DescriptionType

(M,D,E)7 Timely release and award of all RFPs issued to develop and implement the CSESR M8 Timely negotiation and execution of all contracts to develop and implement the CSESR M9 Timely development of interfaces between internal HSD systems and external business

partners’ systemsM

Table 3- Dependencies

2.5 Assumptions

The following assumptions apply:

Number Description1 State and Federal funding will be available to support the project

2 Decisions will be made in a timely manner to support the project schedule3 Individuals with different perspectives will work together to define requirements for business and

technical solutions that support and improve the Child Support System and Subsystems required by our state and federal partners.

4 Project team members will possess the appropriate and necessary subject matter expertise.5 Contractors will have the required knowledge and skillsets necessary to successfully manage,

design, build, test, and implement the technical solution. 6 Federal (OCSE) and State (DoIT) will approve the project7 Any changes in the cost, scope or schedules of the Replacement Projects will be communicated to

the Project Stakeholders in a timely manner8 HSD will receive responsive bids from qualified companies to all RFPs issued on behalf of the CSESR

Project

Table 4- AssumptionsAdditional project assumptions as well as applicable State decisions and any constraints will be incorporated into this plan as part of the ongoing update process.

2.6 Project Risks

Initial CSESR project risks are identified in Appendix B.

3.0 Project Authority and Organizational StructureThe 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.

3.1 StakeholdersStakeholders 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.



CSESR individual Stakeholders are identified in the CSESR Project Charter which can be found in the Project Notebook of the Document Library with the name “CSESR Signed Project Charter.”

3.2 Project Governance Structure

3.2.1 Describe the organizational structure – Org ChartThe project’s governance structure and related organizational charts are described in the Governance Plan. The Governance Plan can be found in the Project Notebook of the Document Library with the name “Governance Management Plan.”

3.2.2 Describe the role and members of the project steering committeeThe role of the Executive Steering Committee will be to assure that HSD priorities are defined and that standard processes are in place for high-level decisions and resolutions for HSD priority projects. The Executive Steering Committee structure and composition is incorporated in the Governance Plan. The Governance Plan can be found in the Project Notebook of the Document Library with the name “Governance Management Plan.”

3.2.3 Organizational Boundaries, interfaces and responsibilitiesThe CSESR Project will be planned and implemented in coordinated effort with the Medicaid Management Information System Replacement (MMISR) Project. This coordinated effort is planned to reduce costs and increase efficiencies by leveraging technologies and infrastructures

3.3 Executive Reporting

Executive reporting will include Monthly reports to the Executive Steering Committee, to our Federal partner (OCSE), and to the DoIT Project Oversight and Compliance Bureau in addition to other reports as required.

4.0 Project Scope

4.1 Project Objectives

4.1.1 Business ObjectivesNumber Description

Business Objective 1 Establish a technologically current child support system: The CSES system currently in use is based on 20+ year old mainframe technology. As a result, versatile and robust databases and applications for managing the complexities of current information technology systems are not flexible. The CSESR project provides the New Mexico Child Support Enforcement Division an opportunity to implement a supporting system with standard architecture, a logically-structured relational database, up-to-date security requirements (including IRS Safeguards), more easily managed forms processing, and an electronic document management system. In addition, the Federal Administration for Children and Families (ACF) National Human Services Interoperability Architecture (NHSIA) standards will be used as a framework to support integrated eligibility determination and information sharing will be implemented.



Number DescriptionBusiness Objective 2 Improve customer service: The intent of the Child Support program is to facilitate and

ensure the transfer of income and support between the noncustodial parent (NCP) and custodial parent (CP) to benefit their children. The CSED staff and their state and federal partners are working toward this mission, but with automated system support that is both limited and outdated, the system lacks the flexibility to support clients in this age of web-based access, data standards and efficiencies. This initiative will exhaust the possibilities to provide access to accurate data & architecture standards, and services to both internal and external clients.

Number DescriptionBusiness Objective 3 Maximize integration with other state and federal systems: The New Mexico Child

Support Enforcement Division is tightly bound to processing by other Human Services Department divisions and judicial authorities. One key to increased child support program efficiency will be the preparation for additional integration with the other HSD Divisions (IV-A (TANF) and Medicaid Programs) and new integrations with the Children, Youth & Family Department Foster Care Division (IV-E), the Administrative Office of the Courts (AOC) system and other state and federal systems.

Number DescriptionBusiness Objective 4 Maximize automation of routine processing: In the past 25 years, automated system

capabilities have expanded to provide more comprehensive support to automate workflow events, generate documents, monitor changing case management and financial management conditions, handle complex logical processes, anticipate next actions, and provide clear instructions to staff. Incorporating these features into a new system will lead to significant productivity gains.

4.1.2 Technical ObjectivesNumber Description

Technical Objective 1 Replace the aging CSES mainframe with a modern event-driven web-based system to reduce manual intervention and increase automation.

Number DescriptionTechnical Objective 2 Repurpose shared HSD architecture, technology and standards.

Number DescriptionTechnical Objective 3 Leverage support resources across HSD to effectively maintain the system and

supporting architecture.

Number DescriptionTechnical Objective 4 Increase integration and interface ease and efficiencies with other partner systems.

Number DescriptionTechnical Objective 5 Enhance existing services for HSD clients through applications and secure web

portals and through the use of a common master client index (individual unique ID).



Number DescriptionTechnical Objective 6 Comply with all privacy & security requirements and safeguards (including IRS).

4.2 Project ExclusionsNone

4.3 Critical Success FactorsNumber Description

Quality Metric 1 Schedule adherence to prevent impact on Project and State and Federal requirementsQuality Metric 2 Data conversion from existing CSES system and other data sources successfully validated Quality Metric 3 Interfaces (State, Federal and Private Partner) work as required and electronic data

transmission is accurate and uninterrupted.Quality Metric 4 PMO, Integrator and HSD end user testing completed prior to rollout using test plans, test

scripts and validated results.Quality Metric 5 Timely transition with no critical technical issues outstanding at end of project.

Table 5 - Critical Success Factors

5.0 Project Deliverables and Methodology

5.1 Project Management Life CyclePhase Summary of Phase Key Deliverables

Initiation Obtain State and Federal Funding Approvals; Procure services for project PMO.

Project Charter, Initial Risk Assessment, High-level schedule

PMO Contract Special appropriation of funds

Planning Assess business and technology needs as well as state and federal requirements to analyze alternative options, costs, and benefits to determine the most advantageous solution for the CSES replacement.

Project Management Plan (PMP) and all other required project plans

Master Project Schedule and WBS Approved Technical Architecture Special appropriation of funds

Implementation Develop, implement, deploy and train on system(s) to support New Mexico’s Child Support Enforcement Division (CSED). Decommission legacy systems.

Updated PMP and Schedule IV&V Reports Testing and Training Documentation Transfer to Operations

DocumentationCloseout Ensure that all activities of the project have

been addressed and proper closure is attained

Project Closure Documentation Lessons Learned

Table 6 - Project Management Life Cycle

5.1.1 Project Management DeliverablesProject 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.



5.1.1.1 Project CharterDescription –

The initial Project Charter was completed in the Initiation phase but may be updated during other phases.

Deliverable Acceptance Criteria - Verify Project Charter prepared in accordance with required DoIT elements.

Standards for Content and Format – Verify document includes required elements as defined in DoIT Project Charter Template.

Quality Review – Key project team members and DoIT will review and evaluate.

5.1.1.2 PMO Contract for CSESR and MMISRDescription –

To assure project success and reduce risk, the PMO Contract will require that an experienced and qualified vendor lead and support management activities of the project throughout the life cycle.

Deliverable Acceptance Criteria - Verify contract is prepared in accordance with required contract standards.

Standards for Content and Format – Verify document includes required language as required for a project of this scope.

Quality Review –Executive Sponsors, Executive Business Owners, key project team members, HSD General Counsel, and DoIT will review and evaluate.

5.1.1.3 Project Management Plan (PMP)Description –

The Project Management Plan will be the guide used throughout the Project. This plan will contain the following plans: Scope Management, Schedule Management, Budget, Risk Management, Communications, Change Management, Lessons Learned and Roles/Responsibilities of team members. This plan is an evolving document as new information will be added and existing information will be revised during all project phases.

Deliverable Acceptance Criteria - Verify all PMP components are captured and documents are prepared in accordance with required standards.

Standards for Content and Format – Verify document includes required elements as defined in DoIT Project PMP Template.

Quality Review –Executive Sponsor, Executive Business Owners, and key project team members.

5.1.1.4 Master Project ScheduleDescription –

The PMO will develop a Master Project Schedule for both CSESR and MMISR projects to define and track all activities and resources. The Master Project Schedule will be reviewed and

Deliverable Acceptance Criteria - Verify all project schedule components are captured and documents are prepared in accordance with required standards.

Standards for Content and Format – Verify document is developed in MS Project and is fully resource loaded with all required elements as defined by HSD.



updated throughout the life cycle of the project. Quality Review – Executive Sponsors, Business Owners, key

project team members, PMO staff will review.

5.1.1.5 CSESR Technical ArchitectureDescription –

The PMO will develop the TARC documents to define the system design and technical architecture for CSESR. The TARC documents will consider current HSD architecture as well as planned MMISR architecture and infrastructure to best support an enterprise plan.

Deliverable Acceptance Criteria - Verify all TARC components are captured and documents are prepared in accordance with required TARC elements.

Standards for Content and Format – Verify document includes required elements as defined in DoIT templates.

Quality Review – Executive Sponsor, PMO technical staff and key project team members and will review.

5.1.2 Deliverable Approval Authority DesignationsThe process and authorities for reviewing and approving contract deliverables is documented in the “Review and Approval Process for Deliverable Expectation Documents and Contract Deliverables” Supplemental Document which can be found in the Project Notebook of the Document Library with the name “DED/Sub-Task Deliverable/Milestone For Payment Review Process.”

Deliverable Number Deliverable Approvers (Who can approve)CSESR-DEL-001 Project Charter, Initial Risk

Assessment, High –level scheduleExecutive Sponsor, Business Owners, and Key Project Team Members

CSESR-DEL-002 PMO Contract HSD CIO, CFO, General Counsel, HSD & DoIT Cabinet Secretaries, NM TRD and HSD Contracts Bureau.

CSESR-DEL-003 Project Management Plan Executive Sponsors , Business Owners, Key Project Team Members and Project Certification Committee

CSESR-Del-004 Master Project Schedule Executive Sponsors , Business Owners, Key Project Team Members

CSESR-DEL-005 CSESR Technical Architecture (TARC)

Executive Sponsors, Key Project Team Members and TARC Committee

Table 7 - Deliverable Approval Authorities

5.2 Product Life Cycle

“During the project management lifecycle, agencies shall select and implement a phase product development lifecycle methodology approved by the Department.” PROJECT OVERSIGHT PROCESS Memorandum



Phase Summary of Phase Key DeliverablesPlanning Assess business and technology

needs as well as state and federal requirements to analyze alternative options, costs, and benefits to determine the most advantageous solution for the CSES replacement.

Business Requirements Document (BRD) Federally approved feasibility study, alternatives

analysis, cost benefit analysis, and Implementation Advanced Planning Document (IAPD)

Integrator(s) Statement of Work (SOW) Integrator RFP(s)

Implementation Develop and implement infrastructure and system(s) to support New Mexico’s Child Support Enforcement Division (CSED).

System Requirements Document Detailed System Design (DSD) Document Test Deliverables Data Conversion, Implementation and Training

Execution Deliverables Decommissioning Deliverables Federal Certification

Closeout Ensure that all activities of the project have been addressed and proper closure is attained.

Project Closure Required Documentation

Table 8 - Product Life Cycle

5.2.1 Technical StrategyThe complete technical strategy for this project will be defined during the Planning Phase of the CSESR project after alternative solutions have been analyzed and a technical solution is recommended.

5.2.2 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.

5.2.2.1 CSESR Business Requirements Document (BRD)Description –

Business Requirement Document (BRD)

Deliverable Acceptance Criteria - Verify all business, state and federal requirements are captured.

Standards for Content and Format - Define and utilize standard tools to create and track.

Quality Review – Executive Sponsor, Executive Owners, PMO expert staff, and project team members will review the BRD.

5.2.2.2 CSESR IAPD and Supporting DocumentsDescription –

IAPD and Supporting Documents (Feasibility study, alternatives

Deliverable Acceptance Criteria - Verify alternatives identified are most advantageous to evaluate for feasibility and cost benefit analysis.



analysis, cost benefit analysis, and Implementation Advanced Planning Document (IAPD))

Standards for Content and Format – Validate that standard OCSE requirements and format are followed.

Quality Review – Executive Sponsor, Business Owners, PMO and key project team members will review DRAFT documents prior to OCSE review of DRAFT. Key PMO and project team members will review FINAL version prior to OCSE’s review for approval.

5.2.2.3 CSESR Integrator Statement of Work (SOW)Description –CSESR Integrator Statement of Work (SOW) to be used for Request for Proposal (RFP) and Procurement

Deliverable Acceptance Criteria - Verify all business, state and federal requirements are captured for the Integrator SOW.Standards for Content and Format - Define and utilize standard MS Office tools to create documents.

Quality Review – Executive Sponsor, Executive Owner, PMO expert staff, key project team members, DoIT, and OCSE will review and evaluate Integrator’s SOW.

6.0 Project Work

6.1 Work Breakdown Structure (WBS)The WBS, including a WBS Dictionary, will be a maintained as part of the Project Master Schedule and can be found in the Project Notebook of the Document Library with the name “WBSDictionary.”

6.2 Schedule allocation - Project Timeline

A Project Schedule has been completed and can be found in the Project Notebook of the Document Library with the name “Master Project Schedule.” Below is a high-level estimated timeline.

October 2015 - March 2016IV&V RFP and Procurement

Project Planning and IAPDOctober 2014 - January 2016

October 2014PMO Start

September 2016 - June 2019Design, Development, and Implementation

October 2014 - June 2015NHSIA Assessment

November 2019Implementation Complete

October 2015 - August 2016Integrator (DDI) RFP and Procurement

April 2016IV&V Contractor Starts

6.3 Project Budget

The CSESR project budget tables are in Appendix A.



6.4 Project Team

6.4.1 Project Team Organizational Structure

The organization structure of the project team including the PMO has been defined for this Project and is included in the Governance Plan for this Project which can be found in the Project Notebook of the Document Library with the name “Governance Management Plan.”

6.4.2 Project Team Roles and Responsibilities

The Project Team members along with their roles and responsibilities are maintained in the “Resource Mgmt – Resource Roles Register” in the Document Library. All personnel working on the planning phase are State employees and are experienced in their respective disciplines. Additional support personnel will be supplied by CSED, ITD, and other departments as necessary.

6.5 Staff Planning and Resource Acquisition

Staff acquisition and resource management is documented in the Resource Management Plan which can be found in the Document Library in the “01 - Project Notebook” folder.

6.6 Project Logistics

Logistics describes how the project manager, project team, the business owner/customer and any vendor resources will physically work together.

6.6.1 Project Team TrainingThe PMO will create and maintain an Organizational Change Management (OCM) Plan. The Plan will define how the Contractor will lead the organizational change activities with HSD, to understand the amount of support needed to adequately address organizational change management.

The OCM will include:

The amount of change that will be caused by the replacement systems and the readiness by users to accept change.

Leadership roles and responsibilities within the change management team and local managers. Training needs for staff migrating to the new business model. The impact on Human Resources such as changes in job descriptions and required skill sets. Short-term change vs. long-term change: assessing those changes that can be implemented

immediately and those that must wait for automated support implementation. Establishment of a communications network for appropriately communicating the change to the

different user audiences at different phases of the project, as well as sharing the new business model and processes to staff and stakeholders.

In addition to the OCM Plan the Communication and Training Plans will identify other orientation and training required for project teams.



7.0 Project Management and ControlsThe CSESR Project and the MMISR Project share a suite of common processes to manage the projects. These processes are documented in a set of plans collectively referred to as the PMO Shared Project Management Plans. These plans are located in the Document Library and include:

Risk Management Plan Issues Management Plan Independent Verification and Validation – IV&V Project Change Management Plan Project Budget Management Communication Plan Security & Privacy Management Plan Schedule Management Plan Requirements Management Plan Quality Management Plan Document Control and Maintenance Plan Resource Management Plan Organizational Change Management Plan Governance Plan

7.1 Risk Management Plan

The Risk Management Plan describes the process for identifying and managing risks of all types to the CSESR Project. The detailed Risk Management Plan can be found in the Project Notebook of the Document Library with the name “Risk Management Plan.” Project planning risks are found in Appendix B.

7.2 Issue Management Plan

The Issue Management Plan describes the process for identifying and managing issues arising during the planning and execution of the CSESR Project. The detailed Issue Management Plan can be found in the Project Notebook of the Document Library with the name “Issue Management Plan.”

7.3 Independent Verification and Validation - IV&V

HSD will identify and contract a qualified IV&V contractor for the project during the planning phase of the Project, prior to Implementation and the System Integrator being contracted. See Appendix C for information regarding use of IV&V.

7.4 Project Change Management Plan

The Project Change Management Plan describes the process for effectively managing changes to the CSESR Project, including scope, schedule, cost and other Control Item elements. Changes will be managed by change control boards (CCBs) at each of the three levels of governance, consistent with the change authority for that governance level as defined in the Governance Plan. The detailed Project



Change Management Plan can be found in the Project Notebook of the Document Library with the name “Project Change Management Plan.”

7.5 Project Budget Management

The CSESR project cost plans and financial transactions are captured in and reported from the financial management system supplied and operated by the PMO, and the Master Project Budget Plan and Financial System Documentation.

7.6 Communications Plan

The Communications Plan describes the communication vehicles, media, and audiences for the formal communication published to internal and external stakeholders during the life of the CSESR Project. This information is summarized in the Communications Matrix of the Communications Plan. The detailed Communications Plan can be found in the Project Notebook of the Document Library with the name “Communications Plan.”

7.6.1 Communication MatrixThe Communication Matrix is included in the Communications Plan.

7.6.2 Status MeetingsStatus meeting agendas, including action items, decisions made, issues raised and resolved, are covered in the Communications Plan.

7.6.3 Project Status ReportsThe definition of the format and content of weekly and monthly status reports has been completed and regular status reporting has begun. Distribution of weekly and monthly status reports is documented in the Communications Plan.

7.7 Performance Measurement (Project Metrics)

All performance measures will be identified in the Quality Management Plan and the associated Quality Register.

7.7.1 BaselinesA baseline budget and schedule have been constructed for the CSESR Project and can be found in the Document Library at:

Baseline Schedule: can be found in the Project Notebook of the Document Library with the name “Baseline Schedule.”

Baseline Budget: can be found in the Project Notebook of the Document Library with the name “Baseline Budget.”



7.7.2 Metrics Library

Project metrics will be reported monthly. All project documents, including metrics, will be located in the Document Library.

7.8 Security and Privacy Management Plan

The Security and Privacy Management Plan describes the approach the PMO will take to manage Systems Integration activities to assure appropriate and necessary provisions are incorporated in the solution elements to achieve the necessary level of privacy as articulated in state and federal requirements and policies. The detailed Security and Privacy Management Plan can be found in the Project Notebook of the Document Library with the name “Security and Privacy Management Plan.”

7.9 Quality Management Plan

The Quality Management Plan describes the processes and controls to assure compliance with client requirements and includes Quality Assurance and Quality Control standards, methods and practices that will be employed over the life of the CSESR Project. The detailed Quality Management Plan can be found in the Project Notebook of the Document Library with the name “Quality Management Plan.”

7.9.1 Quality StandardsThe Quality Management Plan defines Quality Management metrics. The Plan will define quality controls and processes to track, review, approve and process payments for all project deliverables or work products.

7.9.2 Project and Product Review and AssessmentsThe Project reviews will follow State PCC and Federal OCSE gate review processes.

The Product (deliverables) review processes are found in the DED and Deliverable Review Process Supplemental Document which can be found in the Project Notebook of the Document Library with the name “DED/Sub-Task Deliverable/Milestone For Payment Review Process”

7.9.3 Agency/Customer SatisfactionThe Child Support Enforcement Division (CSED) is a full partner in this project from Initiation and continues to be involved through Closeout. Weekly meetings are being held with project team to review progress and status of project activities. Communication and Organizational Change Management Plans will define communications and activities to assure that if any concerns or issues arise, they are immediately addressed.

7.9.4 Product Deliverable Acceptance ProcessThe process and authorities for reviewing and approving contract deliverables is documented in the “DED/Sub-Task Deliverable/Milestone For Payment Review Process “Supplemental Document which can be found in the Project Notebook of the Document Library with the name “DED/Sub-Task Deliverable/Milestone For Payment Review Process.”



7.10 Document Control and Maintenance Plan

The Document Control and Maintenance Plan describes the authorities, controls, standards, conventions, methods and practices that will be employed to assure integrity of the documents , including contractual deliverables, Supplemental Documents, and other document-type work products produced during the life of the CSESR Project. The detailed Document Control and Maintenance Plan can be found in the Project Notebook of the Document Library with the name “Document Control and Maintenance Plan.”

7.10.1 Version Control

Versioning conventions and access and update controls to documents in the Document Library have been defined and can be found in the Document Control and Maintenance Plan in the Document Library.

7.10.2 Project Repository

A project repository has been implemented using SharePoint technology and is used to store all document-type work products. Access and use procedures, permissions, and controls are documented in the Document Control and Maintenance Plan.

7.11 Schedule Maintenance PlanThe detailed processes for maintaining and publishing the project schedule are provided in the Schedule Maintenance Plan which can be found in the Project Notebook of the Document Library with the name “Schedule Maintenance Plan”

7.12 Resource Management Plan

The process(es) for managing availability of resources, including business and program subject matter experts, IT subject matter experts, and other staff resources as required during the life of the CSESR Project is documented in the Resource Management Plan can be found in the Project Notebook of the Document Library with the name “Resource (Staff) Management Plan.”

7.12.1 Organizational Change Management Plan

The approach for managing the organizational and business process change management activities is described in the Organizational Change Plan can be found in the Project Notebook of the Document Library with the name “Organizational Change Management Plan.”

7.13 Requirements Management Plan

A detailed process for managing business and technical requirements from identification through disposition is provided in the Requirements Management Plan can be found in the Project Notebook of the Document Library with the name “Requirements Management Plan.”



7.14 Governance Plan

Project governance is the process for assuring conformance with project standards, policies, and practices and for decision-making and direction. A detailed description of the CSESR project governance is provided in the Governance Plan can be found in the Project Notebook of the Document Library with the name “Governance Management Plan.”

8.0 Project CloseClosing the projects will be detailed toward the end of the CSESR Project and will be articulated in a Project Close Plan. Activities in the plan will include but not be limited to:

Execution of final lessons learned activities Identification and storage of documents to be retained past the end of the projects Transitioning of staff from the projects Closeout of project financials including a Final Budget Report Final Open Issues Report Operational turnover has been completed Ensuring all deliverables have been completed and approved All contracts have been closed or transitioned to operating contract status

8.1 Administrative CloseAdministrative Close occurs at both 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. PMO and HSD project managers will work with the designated representatives of all the contracts awarded and performed in support of the CSESR Project to tailor Project Close procedures to the specifics of the individual contract(s).

8.2 Contract CloseContract close is similar to administrative close in that it involves product and process verification for contract close.



9.0 Appendices

9.1 Appendix A - Budget Estimate

The current Funding Source for the CSESR project is a Planning Advanced Planning Document (PADP) The Project estimates below include actual appropriation for SFY15 and estimates for SFY16.

9.1.1 Funding Source(s) Planning Phase

Planning Costs (non-recurring)

State General Funds (GF)

Other State Funds

Federal Funds (FF)

Totals

SFY15 Appropriation

$ 527,300 $1,023,700 $1,551,000

SFY16 (Current Request)

$3,400,000 $ 0 $3,400,000

Totals $ 527,300 $3,400,000 $1,023,700 $4,951,000

Table 9 - Funding Sources Planning

9.1.2 Budget by Major Deliverable or Type of ExpenseThe estimated planning deliverables and expenses are below.

Estimated Planning Deliverables and Expenses Current Estimated Dates Budget

State Fiscal Year 15 Deliverable Number 1: SFY15 Operational Readiness (PMO Setup) 10/31/2014 $223,153

Deliverable Number 2: SFY15 Complete Project Plans 6/30/2015 $223,153 Deliverable Number 3: SFY15 Ongoing Project Management (9 months - $30,107.91 per month)

Payments Monthly - Oct 2014 - June 2015 $270,971

Deliverable Number 4: SFY15 NHSIA State Self-Assessment, Data Cleanup and Conversion Plan and Interface Plans

6/30/2015 $714,089

Total SFY15 $1,431,366



Estimated Planning Budget continued.

State Fiscal Years 16-17

Deliverable Number 3: Ongoing Project Management Payments Monthly - July 2015-September 2016) $451,619

Deliverable Number 6: CSESR Project Planning and IAPD Activities 1/31/2016 $1,071,133

Deliverable Number 8: CSESR RFP Development and Procurement Support 8/31/2016 $1,071,133

Deliverable Number 4: Retainage NHSIA State Self-Assessment, Data Cleanup and Conversion Plan and Interface Plans

4/30/2016 $178,521

Deliverable Number 6: Retainage CSESR Project Planning and IAPD Activities 1/31/2017 $267,783

Deliverable Number 8: Retainage CSESR RFP Development and Procurement Support 6/30/2017 $267,783

IV&V (6 months starting 4/1/2016) Payments Monthly starting 4/1/2016 $210,000

Total SFY16-17 $3,517,972 Total Estimated Planning Deliverables and Expenses (SFY15-17) $4,949,338

Table 10 – Planning Budget by Major Deliverable or Type of Expense

9.1.3 Budget by State Fiscal Year (SFY15-17)Planning Cost Estimates

Description SFY15 & Prior SFY16 SFY17 TotalsConsulting Services - PMO Vendor $1,431,365 $1,878,733 $1,429,239 $4,739,338Consulting Services - IV&V Vendor $ 105,000 $ 105,000 $ 210,000HardwareSoftwareTotal $1,431,365 $1,983,733 $1,534,239 $4,949,337

Table 11 – PM Budget by SFY



9.2 Appendix B - Project Planning RisksID Category Title Risk Description Status Probability Impact Level

of Control

Exposure

Priority Opened By

Opened Date

Owner Risk Response

22 Financial Project Funding

There is a risk the project will be impacted by a reduction in state or federal funding. CSESR Project is a multi-year project that requires extensive resources and funding. Initial project planning phase is funded and will be used to complete needs assessment, requirements, feasibility study, IAPD and RFP. Additional funding will be requested and required for the Implementation Phase. This risk is for both State and OCSE Federal Funding.

Open 3 4 4 3 High Tom Wallace

1/7/2015

Sean Pearson

Accept

23 Project Management

Resources There is a risk that limitations in state resources impact the project. System replacement projects are long-term efforts that require the necessary quantity and quality of resources. Resources must be skilled and prepared to handle complexities of the processes. Resource challenges for quantity include transfers, retirement, job changes or replacement. Resource challenges for quality include necessary skills, proper training and clear direction in tasks. This risk is for State staff.


1/7/2015

Betina McCracken

Accept

24 Technical CSES Operational Impacts

There is an operational risk if state or federal law changes require legacy system


1/7/2015

Cat Thomas

Accept



ID Category Title Risk Description Status Probability Impact Level of

Control

Exposure

Priority Opened By

Opened Date

Owner Risk Response

development. The CSES system is stable and impacts to basic operations are minimal, however, if state or federal legislative mandates are required during the planning or implementation phase, the CSESR project could be impacted by both resources shortages and impacts to current operations capabilities.

25 Technical Enterprise Challenge

There is a risk that HHS enterprise technical visions impacts the project. New Mexico's strategic Enterprise vision includes leveraging components and data across the HHS environment. This includes CSESR, MMISR and Aspen; Analysis and realization of these enterprise benefits could have project impacts. First, the time required to adequately scope and plan could impact the current project schedule; Second, the ability to share data and components across the enterprise may have data governance and ownership considerations; third, will the vendor community be responsive to these efforts.


1/7/2015

Sean Pearson

Accept

27 Project Management

CSESR IAPD Deliverable Due Date

The IAPD approval is the final milestone for completion of Deliverable 6. The date is at risk due to the potential for the largest item, the feasibility study to exceed planned date. This risk is tied to Risk 22 funding and the

Open 4 4 3 5.3 High Tom Wallace

5/30/2015

Tom Wallace

Accept



ID Category Title Risk Description Status Probability Impact Level of

Control

Exposure

Priority Opened By

Opened Date

Owner Risk Response

extended time may be required to refine the CSESR Replacement cost. Replacement costs are also tied to the enterprise approach and framework solution that is in progress.

Table 12 - Initial Project Risks IdentifiedA Risk Register will be maintained on the project SharePoint site throughout the project.



9.3 Appendix C - Independent Verification and Validation - IV&VIV&V will be included on the CSESR project consistent with Federal OCSE requirements.

Consistent with the project charter, the table below is introduced to clarify the use of IV&V on both required and optional system changes:

Project/Product AreaTransition+

EnhancementInclude –Yes/No

EnhancementsOnly

Include –Yes/NoProject Management Yes YesQuality Management Yes YesTraining Yes NoRequirements Management Yes YesOperating Environment Yes NoDevelopment Environment Yes NoSoftware Development Yes YesSystem and Acceptance Testing Yes YesData Management Yes NoOperations Oversight Yes NoBusiness Process Impact Yes Yes

Table 13 - Independent Verification and Validation
