Executive Sponsors –Tom Clifford, DFA Secretary; Ron ... CAFR... · Web viewHyperion is a...

DFA CAFR REPORTING PROJECT

PROJECT CHARTER FOR CERTIFICATION

• EXECUTIVE SPONSORS –TOM CLIFFORD, DFA SECRETARY; RON SPILMAN, STATE CONTROLLER; DARRYL ACKLEY, DOIT SECRETARY;

BUSINESS OWNER –RENAE HERNDON, ACTING DFA STATEWIDE FINANCIAL ACCOUNTING AND REPORTING BUREAU CHIEF

PROJECT MANAGER – RENAE HERNDON, ACTING DFA STATEWIDE FINANCIAL ACCOUNTING AND REPORTING BUREAU CHIEF

ORIGINAL PLAN DATE: JULY 8, 2014

REVISION DATE: JUNE 15, 2015

REVISION: 3.0

ABOUT THIS PROJECT CHARTER DOCUMENT

PERMISSION TO PLAN THE PROJECT AND SETTING THE GOVERNANCE STRUCTURE

The Project Charter provides the project manager and project team with permission to proceed with the work of the project, within the scope delineated in this document. The Project Charter should be the outcome of a number of documents that went into the pre-planning for the project, and in many cases the agency IT Plan, Business Case for appropriations, Federal funding requests and the like.

Project sponsors sign the Project Charter signifying that they have agreed to the governance structure for guiding the direction for the further planning of the project, discovery and defining the requirements, acquiring necessary resources, and within that context the statement of work for any related contracts including a contract for the Independent Validation and Verification.

The Project Charter is also the foundation for the creation of the project management plan, and much of the thinking and writing for this charter will be immediately usable for that project management plan.

PROJECT CERTIFICATION INITIAL PHASE DOCUMENTATION

The Project Charter is also used within the State of New Mexico IT Project Certification process as evidence of the project’s worthiness for the Initial Phase certification. The Initial Phase certification is especially critical to many state and agency projects because of its related release of the initial funds required for the project.

Initiation Phase funding is requested by an agency for use in developing project phases, developing Independent Verification and Validation (“IV&V”) plan and contract; address project review issues and/or to develop an overall project management plan. Note: Waiver of the IV&V requirement requires specific written approval by the Secretary of the DoIT. DoIT “Project Certification” Memorandum July 2, 2007

The Project Charter and the Request for Certification Form are meant to provide a comprehensive picture of the project’s intention and initial planning, that includes the project’s place in the context of the State of New Mexico’s IT Strategic Plan, Enterprise Architecture, and DoIT project oversight process. See “IT Project Oversight Process” Memorandum July 5th 2007 on the OCIO-DoIT web site.

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TABLE OF CONTENTSABOUT THIS PROJECT CHARTER DOCUMENT........................................................................................................ I

TABLE OF CONTENTS........................................................................................................................................... II

1. PROJECT BACKGROUND.................................................................................................................................. 1

1.1 EXECUTIVE SUMMARY – RATIONALE FOR THE PROJECT..................................................................................................11.2 PROJECT CERTIFICATION REQUIREMENTS....................................................................................................................2

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS....................................................................................................3

2.1 AGENCY JUSTIFICATION...........................................................................................................................................32.2 BUSINESS OBJECTIVES.............................................................................................................................................32.3 TECHNICAL OBJECTIVES...........................................................................................................................................32.4 IMPACT ON ORGANIZATION......................................................................................................................................42.5 TRANSITION TO OPERATIONS....................................................................................................................................4

3.0 PROJECT/PRODUCT SCOPE OF WORK............................................................................................................ 6

3.1 DELIVERABLES.......................................................................................................................................................63.1.1 Project Deliverables...................................................................................................................................63.1.2 Product Deliverables..................................................................................................................................8

4.0 SCHEDULE ESTIMATE..................................................................................................................................... 9

5.0 BUDGET ESTIMATE...................................................................................................................................... 10

5.1 FUNDING SOURCE(S)............................................................................................................................................105.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE -............................................................................................10

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE...........................................................................11

6.1 STAKEHOLDERS...............................................................................................................................................116.2 PROJECT GOVERNANCE PLAN.........................................................................................................................126.3 PROJECT MANAGER.........................................................................................................................................12

6.3.1 PROJECT MANAGER CONTACT INFORMATION........................................................................................126.4 PROJECT TEAM ROLES AND RESPONSIBILITIES................................................................................................13

7.0 CONSTRAINTS............................................................................................................................................. 14

8.0 DEPENDENCIES............................................................................................................................................ 15

9.0 ASSUMPTIONS............................................................................................................................................ 16

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY........................................................................................17

11.0 COMMUNICATION PLAN............................................................................................................................ 19

11.1 Communication Purpose & Objectives......................................................................................................1911.2 Communication Approach........................................................................................................................1911.3 Communication Success Factors...............................................................................................................2011.4 Communication Roles & Responsibilities..................................................................................................2011.5 Communication Process...........................................................................................................................2111.6 Target Audiences......................................................................................................................................22

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11.7 Topics for Communication........................................................................................................................2211.8 Status Meetings........................................................................................................................................23

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V..............................................................................24

13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES.................................................................................25

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE........................................................................25

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Revision History

REVISION NUMBER DATE COMMENT

1.0 July 8, 2014 Original Document

2.0 July 15, 2014 DoIT revisions

3.0 June 16, 2015 DFA revisions

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PROJECT CHARTER – DFA CAFR REPORTING PROJECT

1. PROJECT BACKGROUND

The project background section is meant to provide the reviewer with a picture of the development of the project from inception to its being submitted for certification.

1.1 EXECUTIVE SUMMARY – RATIONALE FOR THE PROJECT

NMSA 1978, Section 6-5-4.1 requires the Financial Control Division (FCD) of the Department of Finance and Administration (DFA) to compile a comprehensive annual financial report (CAFR) on behalf of the State of New Mexico. FCD currently prepares the CAFR utilizing an extraordinarily manual and archaic process. FCD manually compiles financial data from 143 business units and 1,200 funds to prepare the annual CAFR. The current process is inefficient, error-propone and untimely. During the 2014 Legislative Session, FCD requested and received funding for an automated financial reporting software package. The financial reporting software will integrate existing data sources residing in SHARE (FIN and HCM) into a single, secure financial reporting platform. Once the data has been collected, the CAFR team can prepare various financial statements and narrative disclosures utilizing the automated financial reporting software which will enhance data integrity, transparency, timeliness, security, oversight, controls and audit trails over the CAFR compilation process.

The current manual process used in compiling the CAFR is archaic, extraordinarily cumbersome and manual. The overall process increases the risk of uncontrolled, multiple versions of spreadsheets and unsecured text documents, which in turn lead to data integrity issues, audit concerns and inefficiency. Numerous individuals are involved in the compilation of the CAFR and the data is derived from numerous multiple sources; complex procedures are required to reconcile numbers with little or no controls in place and limited audit trails.

The existing process makes it difficult for management to review the status of the CAFR. Furthermore, it is difficult or impossible for auditors to confirm that proper controls were in place, and that the appropriate levels of approvals were given during the CAFR compilation process. The process also relies on Agencies audit reports to prepare the CAFR. The State of New Mexico spends approximately $5 to $7 million dollars annually on individual agency audits. The use of financial reporting technology will aid in eliminating the need for individual agency audits and potentially save the state millions of dollars annually by automating the CAFR compilation process.

Hyperion is a web-based financial consolidation and reporting application and is part of the Oracle product family. It has delivered integration with PeopleSoft FSCM (SHARE Financials). Hyperion provides finance organizations the ability to consolidate and report financial results in order to meet regulatory and management reporting requirements. The State of New Mexico

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purchased Hyperion as the selected application for CAFR preparation. DoIT will host and support the Hyperion application.

CAFR Reporting: The requisite financial reporting information for the CAFR will be loaded into Hyperion and the CAFR preparation will be performed in Hyperion.

Benefits of using Hyperion include: Automated and streamlined CAFR compilation processes: this provides security,

period-to-period information rollover, audit trails and workflows, which drive an efficient, effective and timely CAFR preparation process.

Direct integration of SHARE data sources: the financial data reported in the CAFR matches the source data.

Improved transparency and oversight: this provides a clear and comprehensive assessment of the State of New Mexico's financial condition in a timely manner.

Enhanced Internal controls and audit processes: this provides a comprehensive set of embedded internal controls to verify and validate that proper steps are being followed and that the financial data is credible and reliable. Specific disclosures can be linked directly to supporting documentation for easy reference. Edit checks, used-based security and continuous controls monitoring eliminate the risk of material weaknesses and help achieve a clean audit opinion.

Business rules and validation: this creates business rules and schedules tests against those rules to prevent errors during the aggregation of financial data In the CAFR.

Reduced work load for CAFR personnel through more efficient processes: Reduction in overtime hours and reduced CAFR preparation time.

The project will focus on the following business processes:

PROCESS DESCRIPTION

Annual CAFR Preparation The creation of the State’s CAFR through the consolidation of financial information from SHARE, BANNER, and Excel Spreadsheets.

1.2 PROJECT CERTIFICATION REQUIREMENTS

CRITERIA YES/NO EXPLANATION

Project is mission critical to the agency

YES Enhancement of controls and quality of the CAFR will provide additional assurances to the citizens that the financial health of the state as presented is accurate.

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CRITERIA YES/NO EXPLANATION

Project cost is equal to or in excess of $100,000.00

YES The budget is $1,724,200

Project impacts customer on-line access

NO

Project is one deemed appropriate by the Secretary of the DoIT

YES

Will an IT Architecture Review be required?

YES

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2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS

The justification and objectives section relates the project to the purpose of the lead agency and describes the high level business and technical objectives for the project. The section also includes a high level review of the impact to the organization, and of the concerns for transition to operations.

2.1 AGENCY JUSTIFICATION

NUMBER DESCRIPTION

AGENCY JUSTIFICATION 1

DFA is responsible for the financial controls and reporting of all state agencies. There have been significant control and business process issues identified by DFA. This project will address a significant number of the identified issues associated with the CAFR.

2.2 BUSINESS OBJECTIVES

USE THE FOLLOWING TABLE TO LIST MEASURABLE BUSINESS OBJECTIVES

NUMBER DESCRIPTION

BUSINESS OBJECTIVE 1

Streamline the consolidation of SHARE and Non-SHARE financial information associated with the preparation of the CAFR.

2.3 TECHNICAL OBJECTIVES

NUMBER DESCRIPTION

TECHNICAL OBJECTIVE 1

Utilize Hyperion Reporting to consolidate all of the statewide financial information from multiple sources into the CAFR.

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2.4 IMPACT ON ORGANIZATION

The impacts on the organization are areas that need to be addressed by the project through its planning process. They may not be internal project risks, but they can impact the success of the project’s implementation.

AREA DESCRIPTION

END USER There will be a limited number of end users and it will be restricted to DFA Statewide Financial Accounting and Reporting Bureau.

BUSINESS PROCESSES

The following business processes will be impacted: Annual CAFR preparation

IT OPERATIONS AND STAFFING

The impact to the DoIT operations will include new support of infrastructure housing Hyperion.

The DFA technical staff will provide all the security and functional support associated with the new software and business processes.

OTHER There will also be an elimination of a significant amount of manual work being performed in DFA.

2.5 TRANSITION TO OPERATIONS

The transition to operations areas include items that are asked in the certification form to assure that the project has accounted or will account for these matters in its planning and requirements specifications.

AREA DESCRIPTION

PRELIMINARY OPERATIONS LOCATION AND STAFFING PLANS

Staffing at DoIT for installation of software and connectivity and SHARE extract, DFA and agency financial and technical staff maintain their current locations and staffing plans. There will be adjustments to the responsibilities of the areas.

DATA SECURITY, BUSINESS CONTINUITY

The data security protocols will need to be created.

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AREA DESCRIPTION

MAINTENANCE STRATEGY

The maintenance strategy will need to be created.

INTEROPERABILITY The following will have new interoperability designs: SHARE Extract for CAFR preparation Non-SHARE financial reporting systems extract for CAFR

preparation

RECORD RETENTION The existing records retention requirements will need to be implemented.

CONSOLIDATION STRATEGY

All source systems will be required to use the same file format for importing into Hyperion.

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3.0 PROJECT/PRODUCT SCOPE OF WORK

In its efforts to move from high level business objectives to the desired end product/service the project team will need to deliver specific documents or work products. The State of New Mexico Project Management Methodology distinguishes between the project and the product.

Project Deliverables relate to how we conduct the business of the project. Product Deliverables relate to how we define what the end result or product will be, and trace our stakeholder requirements through to product acceptance, and trace our end product features and attributes back to our initial requirements

3.1 DELIVERABLES

3.1.1 PROJECT DELIVERABLES

This initial list of project deliverables are those called for by the IT Certification Process and Project Oversight memorandum, but does not exhaust the project deliverable documents

DELIVERABLE DESCRIPTION

Project Charter The Project Charter for Certification sets the overall scope for the project, the governance structure, and when signed is considered permission to proceed with the project. The Project Charter for Certification is used to provide the Project Certification Committee with adequate knowledge of the project and its planning to certify the initiation phase of the project

Certification Form The Request for Certification and Release of Funds form is submitted when a project goes for any of the certification phases. It deals with the financial aspects of the project, as well as other topics that indicate the level of planning that has gone into the project. Many of the questions have been incorporated into the preparation of the project charter

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Project Management Plan The “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.

IV&V Contract & Reports “Independent verification and validation (IV&V)” means the process of evaluating a project to determine compliance with specified requirements and the process of determining whether the products of a given development phase fulfill the requirements established during the previous stage, both of which are performed by an organization independent of the lead agency. Independent verification and validation assessment reporting. The Department requires all projects subject to oversight to engage an independent verification and validation contractor unless waived by the Department.

IT Service Contracts The Department of Information Technology and the State Purchasing Division of General Services have established a template for all IT related contracts.

Risk Assessment and management

The DoIT Initial PROJECT RISK ASSESSMENT template which is meant to fulfill the following requirement:“Prepare a written risk assessment report at the inception of a project and at end of each product development lifecycle phase or more frequently for large high-risk projects. Each risk assessment shall be included as a project activity in project schedule.” Project Oversight Process memorandum.

Project Schedule A tool used to indicate the planned dates, dependencies, and assigned resources for performing activities and for meeting milestones. The defacto standard is Microsoft Project.

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Monthly Project Status Reports to DoIT

Project status reports. For all projects that require Department oversight, the lead agency project manager shall submit an agency approved project status report on a monthly basis to the Department.

Project Closeout Report This is the Template used to request that the project be officially closed. Note that project closure is the last phase of the certification process.

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3.1.2 PRODUCT DELIVERABLES

The product deliverable documents listed here are anticipated to be included in the project where applicable:


Project Organization and Planning

Project Plan and schedule Resource Requirements Bi-weekly and Monthly Reports

Design and Build Configuration, Reports and Workflow

Requirements Document Fit / Gap Document- Not Applicable Configuration Design Conversion Design Reports and Workflow Design-Workflow Design

not applicable Process Flow Documentation-Not Applicable Configure and Build

System and Acceptance Testing

Test Plan Defect Tracking Logs Test Scripts for Testing Cycles Unit Testing System and Integration Testing User Acceptance Testing Regression Testing

Project Knowledge Transfer and Training

Job Aids- Not Applicable Training Materials Training Delivery Knowledge Transfer

Go-Live Implementation Implementation Plan and Schedule Implementation Issues Tracking Log Production cut-over

Support and Project Close-out On-site Support Off-site Support Transition Plan Close-out Report

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4.0 SCHEDULE ESTIMATE

The schedule estimate is requested to provide the reviewers with a sense of the magnitude of the project and an order of magnitude of the time required to complete the project. In developing the schedule estimate, certification timelines and state purchasing contracts and procurement lead times are as critical as vendor lead times for staffing and equipment delivery. Project metrics include comparisons of actual vs. target date. At the Project Charter initial phase, these times can only be estimated.

Project Phase Start Date Completion

Date

Goals

Initiating July 9, 2014 July 31, 2014

Define Business Requirements. Determine project goals and deliverables, Begin development of Project Management Plan. Procure systems integrator.

Vision and Planning June 22, 2015

July 15, 2015

Define scope and business requirements. Completion of Project Management Plan and Project Schedule.

Design July 15, 2015

August 14, 2015

Develop/reengineer business processes, perform initial functional and technical design, develop RICEW list, and perform Fit/Gap evaluation.

Implementing August 3, 2015

October 16, 2015

Configure based upon functional and technical design, build, end-user training, test and deploy solution

Close-out January15,

2016

February19,

2016

Support and project close-out

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5.0 BUDGET ESTIMATE

Within the Project Charter budgets for the project can only be estimated. Original budgets requested in appropriations or within agency budgets are used as estimates which are later refined. Funding sources are identified and allocated as estimates against project deliverables.

5.1 FUNDING SOURCE(S)

SOURCE AMOUNT ASSOCIATED RESTRICTIONS

FY 2014-16 – L14 2S C63 S007 I005 - DFA SPECIAL APPROPRIATION

$500,000.00 NONE

FY 2015 – SECTION 5, #11 – DFA SPECIAL APPROPRIATION

$1,224,200.00 NONE

5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE -

ITEM COST ESTIMATE

Hyperion Software and 13 months support and pre-work

$500,000.00

Consulting Services $1,206,999.00

IV&V TBD

TOTAL BUDGET $1,706,999.00

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6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE

6.1 STAKEHOLDERS

Stakeholders should be a mix of agency management and end users who are impacted positively or negatively by the project.

NAME STAKE IN PROJECT AGENCY TITLE

DARRYL ACKLEY OVERALL RESPONSIBILITY FOR STATE SYSTEMS

DOIT CABINET SECRETARY

RON SPILMAN OVERALL RESPONSIBILITY FOR FINANCIAL REPORTING AND CONTROLS (FINANCIAL ACCOUNTING, CASH, AND AP CONTROLS)

DFA STATE CONTROLLER

TOM CLIFFORD OVERALL RESPONSIBILITY FOR CONTROL AGENCY

DFA CABINET SECRETARY

RENAE HERNDON OVERALL RESPONSIBILITY FOR FINANCIAL ACCOUNTING AND REPORTING

DFA ACTING DFA STATEWIDE FINANCIAL ACCOUNTING AND REPORTING BUREAU CHIEF

TBD STATE AGENCIES REPRESENTATIVES

VARIOUS AGENCIES

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6.2 PROJECT GOVERNANCE PLAN

The following is a high-level organization chart for the project:

6.3 PROJECT MANAGER

6.3.1 PROJECT MANAGER CONTACT INFORMATION

NAME ORGANIZATION

PHONE #(S) EMAIL

RENAE HERNDON DFA 505 476-8527 RENAE.HERNDON@ STATE.NM.US

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6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES

PARTICIPANTS ROLE

Executive Leadership Team The SHARE Executive Leadership Team provides policy guidance as needed, monitors progress and tracks that project goals are achieved. The Leadership team will provide strategic direction for the project. The team approves and supports the overall upgrade program governance structure

Steering Committee The Steering committee will provide guidance on policy, processes, functional and technical issues

Project Manager The Project Manager works closely with Project Sponsors and Project Team to complete the project schedule as well as coordinate the overall project delivery and management

Project Team The Project Teams Leads and the Subject Matter Expert's (SME’s) will interact regularly. The Project Team Leads will develop recommendations for business processes and will communicate their decisions to the Project Manager

General Stakeholders The State has several other stakeholder groups including the Governor’s Office, Legislature, State Agencies, Component Units, and employees as well as the public. These stakeholders are expected to have been kept abreast of the project as appropriate. How and when communications will be sent will be part of the Communication Plan.

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7.0 CONSTRAINTS

Constraints are boundaries within which the project must operate.

NUMBER DESCRIPTION

C-001 AVAILABILITY OF THE APPROPRIATE TEAM MEMBERS FROM DOIT, DFA, AND OTHER AGENCIES TO PARTICIPATE ON PROJECT

C-002 COMPLETION OF THE PROJECT WITHIN THE FUNDING APPROPRIATIONS PERIOD

C-003 TECHNICAL DEVELOPMENT REQUIRED FROM AGENCIES AND SHARE

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8.0 DEPENDENCIES

Types include the following and should be associated with each dependency listed. Mandatory dependencies are dependencies that are inherent to the work being done. D- Discretionary dependencies are dependencies defined by the project management team. This may also

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

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

NUMBER DESCRIPTION TYPE M,D,E

D-001 ONE NON-PRODUCTION HYPERION ENVIRONMENT, DEDICATED TO THE PROJECT, NEEDS TO BE MADE AVAILABLE FOR THE PROJECT

M

D-002 AGENCY AND COMPONENT UNITS WILL REQUIRE MODIFICATION TO THEIR PROCESSES AND INTERFACES

M

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9.0 ASSUMPTIONS

The following outlines high-level assumptions regarding the project:

NUMBER DESCRIPTION

A-001 AGENCIES AND COMPONENT UNITS WILL BE ABLE TO MEET DEADLINES ASSOCIATED WITH THE PROJECT

A-002 DOCUMENTATION AND TRAINING REQUIRED WILL BE COMPLETED BY THE PROJECT TEAM

A-003 HYPERION DELIVERED PROCESSES AND FUNCTIONALITY WILL BE USED WHENEVER POSSIBLE

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10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY

Risk 1

Reliance on outsourced resources to accomplish project goals

Probability: Expected Impact: Outside consultants bring industry expertise and best practices. Costs are increased.

Mitigation Strategy All critical tasks assigned to state personnel. Closely monitor and manage outside contractor teams. Monitor costs closely.Contingency Plan: Monitor situation closely and utilize all functionality available. Hire contractors for only short term needs.

Risk 2

Staff resource availability and capability

Probability: Expected Impact: Schedule will be delayed, costs may increase and project may not receive the thought and testing required for smooth transition into production/implementation.

Mitigation Strategy: Hiring of additional support staff when neededProbability: Possible Contingency Plan: Monitor closely the workload and personnel assignments. Utilize outside resources if budget will accommodate.

Risk 3

Maintaining project focus as a priority

Probability: Possible Impact: MediumNeed to limit focus to AR only and avoid temptation to expand functionality.

Mitigation Strategy: Limit configuration of expanded functionality to only those enhancements needed to replace customizations previously created Contingency Plan: Obtain additional funding to expand scope to include additional functionality.

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Risk 4

A delay in funding, procuring, or contracting could push delivery dates

Probability: Possible Impact: High

Mitigation Strategy: Fund, procure, and contract in a timely manner. Contingency Plan: Revise planned delivery dates in order to accommodate procurement delays.

Risk 5

Organizational readiness and staff flexibility


Mitigation Strategy: Communicate early and often. Include staff in the project and provide adequate training.Contingency Plan: Back-fill key State resources in order to allow staff to participate in the project.

Risk 6

Agencies and Component Units are unable to meet technical development deadlines


Mitigation Strategy: Communicate early and often. Include staff in the project and provide adequate training. Provide information to technical staff as early in the project as possible.Contingency Plan: Obtain additional technical resources.

Risk 7

Availability of Hyperion environments and infrastructure at the onset of the project.


Mitigation Strategy: The contract with the selected systems integrator includes two months of hosted environments.Contingency Plan: Revise planned delivery dates in order to accommodate contract delays.

Risk 8

Scope changes may impact the timely completion of project task or cause rework.


Mitigation Strategy: Identify and monitor scope changes, and follow the change control process. Closely monitor and manage scope changes that may impact the schedule and/or budget.Contingency Plan: Monitor situation closely to limit scope change. Revise planned delivery dates in order accommodate scope changes approved by the appropriate parties.

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11.0 COMMUNICATION PLAN

The Communication plan addresses project communication methods, media and frequency. This plan is augmented as part of the Project Management Plan.

11.1 COMMUNICATION PURPOSE & OBJECTIVES

The purpose of the Communication Plan is to inform the leaders and staff - as well as vendors, citizens and other stakeholders- about the project in the right way, in the right time, using the most effective media. This plan defines the goals, methods, timelines, roles, and responsibilities for communicating information about the Upgrade project to the entire communityThe objectives of the communication plan are to:

Manage employees’ expectations Coordinate the Projects activities with all communication activities Communicate events, status, process changes and the like to stakeholder groups

11.2 COMMUNICATION APPROACH

Enterprise-wide communication depends heavily on the contributions of Functional Team Leads and project leadership. Communications begin with Key Messages which are generated by the leadership, with facilitation by the change management team. Key Messages are designed to convey that Leadership has a plan for, and commitment to, project success and all the changes in processes and duties that come along with the project implementation.

Functional leads and Subject Matter Experts (SMEs) will be the primary change and communication agents with end users in their respective departments. The change management team will provide them with standardized communications.

Because of the differences of the individual target audiences, each will require a different type and frequency of communication. Each target audience has mechanism for providing feedback and records of these communications are maintained to verify action items have been addressed.

Continual assessment (formal and informal), structured customer feedback, and user forums help to confirm that stakeholders are getting the information they need. These needs will change and evolve during the course of the project. The Change Management Team will proactively assess these needs and recommend communication activity to the Project Management and Steering Committee.

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11.3 COMMUNICATION SUCCESS FACTORS

The following conditions are critical to the successful execution of this Communication Plan:

The Project Sponsor and Steering Committee understand the importance of communication and play an active role in key communication events (visible, consistent, and communicative project sponsorship)

Financial support (budget) and resources are provided to design, develop, and deliver effective communication materials and events

Feedback is kept confidential and used constructively to improve communication effectiveness

Creativity is recognized and innovation through technology (which is the cornerstone of this project) is encouraged

11.4 COMMUNICATION ROLES & RESPONSIBILITIES

The following chart outlines communications roles and responsibilities:

ROLE RESPONSIBILITY

Leadership The execution of the project will generate changes to documents, processes and procedures, due to both new system tools and transaction steps. Successfully implementing these changes will require visible buy-in and support from the Executive Sponsor, members of the Steering Committee, and business process owner directors.

Participate in team meetings, key communication events, and training sessions, as appropriate.

Contribute to newsletters and other internal communications.

Communicate the goals and benefits of the project within their spheres of influence.

Change Management Team Change management leads share responsibility for planning and delivery of the communication effort. The will produce the following deliverables:

Creation and dissemination of project media treatments for use at promotional events, presentations, and special meetings.

Planning and coordination of meetings to share the project vision and goals.

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ROLE RESPONSIBILITY

Project Team The Change Management Team has completed the foundational work with the project Advisory Team to identify stakeholder audiences and where they are in the change management process.

Refine information needs for each audience.

Identify communication vehicles, meetings, events, and other communication opportunities.

Create and disseminate messages.

Solicit feedback and monitor effectiveness of communication.

11.5 COMMUNICATION PROCESS

The Communication Plan is executed through a Communication Matrix, which segments the organization’s audience into specific targeted audiences with specific information needs. The Communication Matrix will also determine the form and media through which these audiences should receive the information they need, when, how often, and from whom. Finally, feedback loops will be identified for each target audience to monitor the effectiveness of our communications. Although the matrix is designed to cover the life of the project, it will be updated throughout the project as required. This will facilitate the incorporation of lessons learned from feedback and realign change and communication activities to better support future stages of the project.The following are a few techniques to best position communication efforts and sustain desired behavior:

Develop a plan that is dynamic and interactive Integrate communication initiatives with key project events Develop a clear, expeditious approval process Deliver messages in a style that underscores the new direction, behaviors and results Focus on change “stories” and on behaviors needed for business results Utilize the power of leadership by communicating a unified message from the top Confirm organizational acceptance through delivery of all messages by internal staff as

opposed to consultants Address concerns about the impact of the project on the user community Include consistently-worded key messages in all communication efforts that explain:

- What the project is about;- Why the organization is implementing the change and cannot continue with the status quo;

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- Benefits of the new process;- When key events will occur;- Whom to contact with questions and- How the change will happen and be implemented

11.6 TARGET AUDIENCES Target audiences for this plan include all stakeholders who will be impacted by the project. The following target audiences have been identified:

Steering Committee Project Team Business Process Owners End Users Partner Organizations External Stakeholders Vendors Third Party Interface Organizations

The logistics of communicating with each of these target audiences will be addressed in the Communication Matrix. This is one of the first responsibilities of the Change Management Team. The matrix will identify what information is to be communicated, when, how often, how, and by whom for each of the target audiences listed above.

In addition, the Change Management Team must work with the project team and business process owner managers to develop contact information and identify distribution vehicles for all members of each target audience.

11.7 TOPICS FOR COMMUNICATION The following topics will be included in communications:

Project essentials: project name, goals and expectations, case for change Executive commitment and expectations Management commitment and expectations Key metrics to measure success Implementation milestones and timelines Project status and progress Project team Impact of implementation effort on operations Software functionality (what will the software do, overall and area specific) Glossary of new terms Preview of business process changes – area specific

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Policy and procedure changes / implications Training strategy and plans Testing results

The Communication Matrix, which will provide a framework for specific planning, development, and distribution of communications on the topics listed above, and others as they arise.

11.8 STATUS MEETINGS

There are several meetings that will be held on a regular basis throughout the duration of the project.

All meetings are guided by an agenda prepared before the meeting. Notes will be kept during the meeting and documented as minutes which will be reviewed by attendees and corrected as needed. Typically the minute taker is assigned at each meeting and the responsibility is shared by all.

Throughout the course of the project various meetings will be held. Some of the meetings may include, but are not limited to, the following:

PROJECT TEAM MEETINGS

TYPE/NAME FREQUENC

Y

DAY/TIME DURATION

Project Status Meeting Bi-Weekly TBD 1 Hour

Project Team Meeting Weekly TBD 1 Hour

Leaders Meeting Monthly TBD 1 Hour

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12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V

IV&V focus depends upon the type of project, with various emphases on project and product deliverables.

The following check list is based on Exhibit A of the OCIO IV&V Contract Template, and the Information technology template. . It is included here to provide a high level of the type of IV&V accountability the project envisions:

Project/Product Area Include –Yes/No

Project Management Yes

Quality Management Yes

Training Yes

Requirements Management Yes

Operating Environment Yes

Development Environment Yes

Software Development No

System and Acceptance Testing Yes

Data Management No

Operations Oversight No

Business Process Impact Yes

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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES

SIGNATURE DATE

EXECUTIVE SPONSOR

BUSINESS OWNER

PROJECT MANAGER

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE

SIGNATURE DATE

DOIT / PCC APPROVAL

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