Project Initiation Plan - Identity Management at CIT · CPMM Project Initiation Plan IT...

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Cornell Project Management Methodology (CPMM) CPMM Project Initiation Plan Appendix 2-1 Version: February 28, 2006 CPMM Project Initiation Plan IT Security/Identity Management Project Name: Alumni Provisioning Business Unit / Program Area (Customer): Alumni Affairs and Development Executive Sponsor: Polley McClure, Charles Phlegar Project Director (Sponsor): Rick Banks, Steve Schuster Organization: OIT/IT Security Project Manager: Andrea Beesing Proposed Project Start Date: 3/5/06 Proposed Project End Date: 3/31/07 Key Contact, Phone # Andrea Beesing, 254-7441 Date Submitted: September 27, 2006 Date Approved: Version: V 1.4 Last Updated: 9/26/06

Transcript of Project Initiation Plan - Identity Management at CIT · CPMM Project Initiation Plan IT...

Cornell Project Management Methodology (CPMM)

CPMM Project Initiation Plan Appendix 2-1 Version: February 28, 2006

CPMM Project Initiation Plan

IT Security/Identity Management Project Name: Alumni Provisioning Business Unit / Program Area (Customer): Alumni Affairs and Development Executive Sponsor: Polley McClure, Charles Phlegar Project Director (Sponsor): Rick Banks, Steve Schuster Organization: OIT/IT Security Project Manager: Andrea Beesing Proposed Project Start Date: 3/5/06 Proposed Project End Date: 3/31/07 Key Contact, Phone # Andrea Beesing, 254-7441 Date Submitted: September 27, 2006 Date Approved: Version: V 1.4 Last Updated: 9/26/06

Cornell Project Management Methodology (CPMM)

Contents Change Record ............................................................................. ii Executive Summary...................................................................... 1 Goals and Objectives.................................................................... 1 Project Scope ............................................................................... 2 High Level Schedule..................................................................... 8 Assumptions/Basic Requirements .............................................. 12 Stakeholder Roles and Responsibilities...................................... 13 Communication Plan................................................................... 15 Project Governance and Resourcing .......................................... 17 Management Approaches........................................................... 18 Risk Plan .................................................................................... 21 Signatures .................................................................................. 22

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Change Record Date Author Version Change Reference

5/19/06 Andrea Beesing 0.5 Initial draft for review by AAD and Identity Management

7/18/06 Andrea Beesing 1.0 Revised draft for PIP development team 8/3/06 Andrea Beesing 1.1 Revised based on meeting of PIP development team 9/12/06 Andrea Beesing 1.2 Revised based on additional discussions with AAD

and input from CIT staff in various divisions 9/26/06 Andrea Beesing 1.3 Draft for sponsor review incorporating PIP team

comments 1.4

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Executive Summary As Alumni Affairs and Development will be launching a major fundraising campaign in October 2006, they would like to provide alumni with improved self-service* options. Issuing IDs and passwords to mailable living alumni will be an important first step in this direction. The preferred approach is to issue NetIDs to all mailable living alumni who don’t have them already, and provide a means for activating the new NetIDs and reactivating existing alumni NetIDs. The trustee balloting cycle represents a good opportunity for mailing this information to the targeted group. Identity Management has completed an investigation of capacity issues associated with an increase in the NetID database by approximately 142,000. In addition to defining the process and mechanisms for issuing this number of NetIDs and passwords (activation codes), utilities will be required for assisting alumni who opt to take advantage of them. For example, a self-service mechanism for resetting a forgotten password is essential. Such a capability will also help the CIT Contact Center by reducing the time spent resetting passwords for customers. * The term self-service is used here in the broader sense to designate online services to which the customer authenticates and performs some function or process on his own behalf. Such services are usually web-based and may or may not be directly tied to PeopleSoft. Alternatives considered and rejected:

Option Issues

Allow alumni to quickly obtain an ID with the format of their choice using either a dedicated alumni authentication system or a centrally maintained "secondary" authentication system such as the Guest ID system.

Modifying the existing Guest ID system or implementing a secondary authentication system would require more time and resources than can be committed to this project. Leveraging our existing infrastructure for generating and maintaining accounts will allow the project to be completed on time and at or under budget.

Use the PeopleSoft emplid (cuid) as the principle. Many alumni already know what their emplid is and use it for other services such as the alumni directory.

Infrastructure work required could be significant. We could expect people already using NetIDs to react negatively to switching to a seven-digit number. Problems authenticating due to mistyped emplid’s would probably be more frequent than with mistyped NetIDs. This approach would not automatically provide the alumnus with a friendly Cornell email address which would require additional work to address. The alternate email alias project would likely be impacted.

Goals and Objectives Overall Goal: Provide a means for alumni to authenticate to self-service applications with supporting systems and business processes.

CPMM Project Initiation Plan Appendix 2-1Specific Objectives

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Table 1: Project Objectives Objective Description Success Criteria 1. Create a NetID and

associated identity data for all mailable living alumni.

Develop the software and processes for selecting the appropriate PeopleSoft records, creating the NetID and other identity data (directory entry, permits), generating a data set for letter/envelope creation and mailing to the alumnus address of record.

Tasks are completed on time and within budget with no rework required for “missed” records, records selected in error, or missed processes.

2. Distribute a NetID and activation code to all mailable living alumni in a secure manner and in a manner which encourages alumni to activate and use them.

This objective concerns how we communicate the NetID and password only to the correct individual and the marketing of its value.

Uptake in use of NetIDs is at least 10 % of mailable living alumni

3. Provide secure and customer-friendly means for alumni to manage their electronic credentials

This objective includes the services and processes we provide for functions such as NetID activation, password changes, general profile management, and handling issues with NetID format.

Percentage of Helpdesk cases for NetID-related matters for alumni is not disproportionate with the rest of the community

4. Establish effective service model for supporting alumni use of online services

Establish roles and responsibilities necessary for positive customer experience. Examples include service owner, frontline support team and backline support team.

Sustained growth in use of self-service applications by alumni.

5. Provide accurate and synchronized identity repositories which support Alumni Affairs business processes

In addition to PeopleSoft, there are other identity repositories (Alias file, LDAP directory, Permit Server) which support business processes such as the adjustment of access privileges as the individual’s status changes, as the individual subscribes to or cancels services. Systems and process must be defined to support these operations

Number of cases requiring manual intervention is low (<2% per year)

Project Scope Complete the following aspects of scope that further define this project. Functional Scope The functional scope defines the business functions and processes that are to be defined or supported by this project. Table 3: Functional Scope

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In Scope Out of Scope Uncertain Distributing NetID and password to all mailable living alumni

Use of ID and password for services external to Cornell

Modifications to existing CU on the Net to allow self-service for setting email forwarding address. Profile application will handle this eventually but may not be delivered prior to NetID distribution.

Providing essential security and policy information regarding use of NetID and password

Cornell-maintained alumni directory to replace commercial offering

Documentation to help alumni take full advantage of the NetID and password

uPortal

Frontline and backline support for alumni who have problems and questions about the NetID and password

Ability to expedite password resets for people who don’t have shared secrets set up. Current established process will be used.

Procedures for handling of security and abuse cases involving alumni

Resolution of email address format for CU on the Net subscribers (alumni.cornell.edu vs. cornell.edu). This question may require analysis as the number of subscribers to the CU on the Net service grows and as discussions around staff and faculty email forwarding progress. The CIT Systems & Operations Messaging team will initiate those conversations with the appropriate stakeholders.

Business rules for change of status (e.g. alumnus to student, staff to alumnus, living to deceased) and other scenarios (e.g. NetID change requests)

Decisions regarding what data attributes are maintained for alumni in the directory, how they are updated, privacy rules

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Figure 1: Sample Process Flow

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System Scope Define the systems within scope of this project, either as components of any application(s) to be delivered, or as interfacing to this application. You may use either a table showing what is within and what is outside of scope, or a Context Diagram, which shows the relationship of the components & interfaces—input, output, or both (an example is shown below the table). Table 4: System Scope In Scope Out of Scope Uncertain Online forgotten password reset utility

New self-service applications Other services, systems which may not be able to accommodate longer NetID

Online NetID activation utility uPortal Who I Am depending on how Alumni Profile application accesses directory updates

NetID Administrator Formscape feed file; production work for mailing will be outsourced

FirstLogic, pending resolution of current issues with PS 8.9

Kerberos CU on the Net subscription site CUWebAuth AAD profile application SunOne LDAP directory PeopleSoft Alias file Web hosting environment HelpHero Resnet during reunion CPMM Project Initiation Plan Appendix 2-1 5

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Figure 2: Context Diagram

Activation

Selection

PeopleSoft database

EmplIDName?

Data selection(SQL)

PeopleSoft

Mailable alumni with no NetID

Data Extract

Data file(s) to Production

Control

Alias File

NetID Creation

NetID, EmplID, SID

NetID,SID

Notification mailing, etc.

Alumni Provisioning09/13/2006 wrt1

Manualmassagingof data?

Data file(s) from

Production Control

Directory

Permit Database

NetID, EmplID, Alumni type, Activation code, Name?

NetID, Alumni permit

EmplIDName?NetIDActivation Code

Alumnus receives mail

Kerberos database

NetID

NetID Activation Web application

Password

NetID, Activation Code

Shared secret(DOB?)

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Project Interdependencies The project boundaries are defined by the projects that are interdependent with this project. Also identify follow on projects that may be required. Table 5: Scope—Project Interdependencies Project Interdependency Type PeopleSoft Student Records AAD project will create, at minimum, a skeletal record in

the University directory for all former students. The need for a directory entry for former students has been identified as a requirement for PS Student Records to support self-service functionality (e.g. transcript requests)

PeopleSoft Self-service Current project forms foundation for alumni self-service and any former student self-service

PeopleSoft Roles Alumni roles may be required for PS self-service and replicated in central authorization service

Central Authorization Project Will support access management for alumni services Trustee Online Balloting Balloting mailing can be leverage to deliver the NetID and

activation code. Online voting could then be accomplished using the NetID.

Alumni Profile Planned project, will address self-service option for setting email forwarding address

Computing at Cornell New audience will require additional online documentation First Point of Public Contact New, large user group must be considered Organizational Scope Define all organizational units considered in any way to be involved in this project in the table below, or if appropriate, use an organization chart, like the one in Figure 3. Table 7: Scope—Organizational Scope In Scope Out of Scope Uncertain Alumni Affairs & Development HR Records OIT IT Security/Identity Management

OIT Policy Office University Registrar Audit Other CIT units in subcontract role: IS, ATS&US, S&O

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High Level Schedule Work Breakdown Structure (WBS) WBS: A deliverable - oriented grouping of project elements that organizes and defines the total work scope of the project. Each descending level represents an increasingly detailed definition of the project work.

1. Planning

1.1. Determine use cases and process flow

1.1.1. Forgot password flow 1.1.2. NetID activation flow

1.1.3. Upgrading password to meet complexity rules

1.2. Determine automatic entitlements to be given to alumni at time of provisioning (e.g. access to online transcript requests) 1.2.1. Kerberos principal - definitely

1.2.2. Directory entry

1.2.2.1. Hidden?

1.2.2.1.1. Almost certainly yes

1.2.2.1.2. Connect Ids required 1.2.2.2. Attributes to be included?

1.2.2.3. Status codes to be included?

1.2.2.4. Special security required for certain individuals?

1.2.2.5. Deprovisioning requirements?

1.2.3. Permit(s?) 1.2.4. Anything else?

1.3. Verify NetID name space stays as is

1.3.1. Document alternatives with pros and cons

1.3.2. Identify potential technical issues (e.g. length of NetID exceeds max length for critical service)

1.4. Determine communication plan for NetID letter

1.4.1.1. Determine scope of work for Cathedral vs. Cornell

1.4.1.2. Security implications require secure transmission and handling

1.4.1.3. Will any letters be handed out in person? 1.4.1.4. Who will deal with returned envelopes?

1.5. Determine Activation code policies

1.5.1. How long does the activation code live?

1.5.2. Under what circumstances would we create a new one?

1.6. Determine plan for responding to complaints about NetID

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1.6.1. Name changes

1.6.2. Unlucky numbers

1.7. Determine plan for help with password setting 1.7.1. HelpDesk as primary contact, or Alumni office?

1.7.2. Will Cornell take walk-ins?

1.8. Determine schedule

2. Development and Implementation 2.1. Design Activation program for Alumni

2.1.1. Design

2.1.2. Usability study of design

2.1.3. Policy description

2.1.4. Additional type 2.2. Design forgotten password utility

2.2.1. Data discussion with alumni to identify shared data to use

2.3. Design forgotten NetID utility

2.4. Determine selection criteria for alumni to be provisioned

2.4.1. SQL against PeopleSoft? 2.4.1.1. Is analysis needed, or does a suitable query exist?

2.4.1.2. IdMgt (Bill) can run SQL queries and provide control files

2.4.1.3. Would Alumni prefer to provide control files?

2.5. Determine who will run the actual batches 2.5.1. HelpDesk (Paula)?

2.5.2. Production Control?

2.5.2.1. Will require some software changes and a new role

2.5.2.2. Requires planning with S&O management

2.5.3. IdMgt? 2.6. Update software to implement the above

2.6.1. NetID Admin

2.6.1.1. Update control files for new types

2.6.1.2. Client changes as needed

2.6.1.2.1. Any special logic for new type 2.6.1.2.2. New simple client for Production Control?

2.6.1.2.3. User testing

2.6.2. Activation Code application

2.6.2.1. Add logic for new type 2.6.2.2. User testing

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2.6.3. Directory changes?

2.6.3.1. Schema changes?

2.6.3.2. ACLs? 2.6.3.3. Mechanism for updating alumni records

2.6.4. HelpHero changes for Helpdesk support

2.6.5. Anything else?

2.7. Implement forgotten password utility 2.8. Implement forgotten NetID utility

3. Execution

3.1. Generate control files

3.2. Run batches

3.3. Produce letters (to be outsourced to Cathedral) 3.4. Mail letters (to be outsourced to Cathedral)

3.5. Provide support

3.6. Deprovision any unused activation codes Milestone Schedule The below Chart should show the Milestones (a significant event, end of process or phase or usually a completion of a major deliverable) for your project. These milestones should include both the Project Management and Product Milestones. If your project does not have a large number of Key Deliverables, you may wish to include them in the table below and not list them separately. Table 8: Milestone Schedule Milestone Start Date Completion

Date Pre-project Discovery Identify potential scope and stakeholders for mass NetID solution 9/1/05 2/21/06 Complete architectural and sizing investigation for mass NetID solution

2/1/06 5/31/06

Hold Kick Off for Project Initiation Planning 7/25/06 Planning (High Level) Project Initiation Plan 5/16/06 9/26/06 Approve Project Initiation Plan 9/26/06 10/5/06 Planning (Detail) Dependencies on current projects identified 7/25/06 9/22/06 Requirements document completed 7/25/06 10/9/06 Use cases and process flow documents complete 9/6/06 9/22/06 Project Plan (Detailed) 8/10/06 10/9/06 Baseline Schedule 9/6/06 10/9/06 Approve Baseline Schedule 10/9/06 10/13/06 Hold Kick Off for Executing the Project Week of 10/9/06 Executing and Controlling Decision on general approach to provisioning alumni 5/22/06 7/12/06

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CPMM Project Initiation Plan Appendix 2-1

Milestone Start Date Completion Date

Technical design for self-service utilities (NetID activation, forgotten password reset, forgotten NetID lookup) complete and approved

6/21/06 10/16/06

Self-service provisioning utilities in test 10/16/06 11/13/06 Letter content finalized/go –no go decision – Beth Hamilton to provide

Alumni service entitlement decisions made 10/2/06 12/18/06 Initial end to end testing of self-service process complete 11/13/06 12/18/06 Service ownership and support roles and responsibilities defined 12/4/06 12/18/06 Usability recommendations for self-service process available 11/13/06 12/22/06 Final testing of self-service utilities incorporating usability recommendations and customer sign-off

1/2/07 1/15/07

NetID batch process changes fully tested 1/2/07 1/15/07 NetID batch process changes moved to production 1/16/07 1/16/07 Self-service utilities moved to production 1/19/07 1/19/07 Online documentation in production 12/18/06 1/31/07 Mail letters – Beth Hamilton to provide Closing Transition to Steady State-Project Close Out Report 3/1/07 3/15/07 End of Project Review Report (Lessons Learned) 3/15/07 3/31/07

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Assumptions/Basic Requirements State all base assumptions used to produce this plan. In particular state the assumptions about scope, time frame, deliverables, policies, schedules, technologies, resources, and costs, etc.

1. Alumni Affairs is seeking a provisioning solution which best leverages the University’s infrastructure investment while providing a positive experience which will attract participation.

2. The solution should comply with University policy and meet minimum security standards established by the IT Security Council.

3. The set of self-service applications available to alumni will grow over time and some may provide access to sensitive or confidential data.

4. Future projects will address the needs of more casual users (for example, a non-Cornellian company exec signing up for an event sponsored by Corporate Relations

5. Providing a self-service forgotten password reset option is required 6. Alumni Affairs is an active partner with CIT in the implementation and support of alumni

identity provisioning services. 7. Alumni Affairs plans to develop the Alumni Profile application which will allow alumni, among

other tasks, to set the email forwarding address after authenticating. If this project is not scheduled to complete before NetIDs are issued, an interim approach to setting email address forwarding will be required

8. A Functional Project Lead will be identified to coordinate all Alumni Affairs deliverables and act as liaison to the CIT project manager for keeping work on schedule.

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Stakeholder Roles and Responsibilities Stakeholders are all those groups, units, individuals or organizations, internal or external to our organization, which are impacted by, or can impact, the outcomes of this project. Table 9: Stakeholder Roles and Responsibilities Executive Sponsor Who University Role % Time Required Polley McClure VP, Information Technology Project Responsibilities

• Secure spending authority for project • Act as a vocal and visible champion for the project • Keep abreast of all major project activities • Be the final decision-maker on key issues • Provide support for all Sponsors, Project Directors, and Project Manager • Provide final approval for all major scope changes • Provide signoff to approve project to move forward to succeeding phases

Project Sponsors Who University Role % Time Required Rick Banks Director, Alumni Affairs and Development Services 2% Steve Schuster Director, IT Security 2% Project Responsibilities

• Help to secure spending authority for project • Act as a vocal and visible champion for the project • Keep abreast of all major project activities • Facilitate decision-making on key issues • Make decision on escalation of issues to the Executive Sponsor • Provide support for Project Manager and Project Team • Provide approval for all major scope changes • Provide signoff to approve project to move forward to succeeding phases

Project Manager Who University Role % Time Required Andrea Beesing Asst Dir, Identity Management 25% Project Responsibilities

• Ensures the project team completes the project • Develops the CPMM Project Documentation with the team and others as needed • Manages the team’s performance of project tasks • Manages the project scope, schedule, and budget • Communicate status/issues as identified in the Communication Plans • Quickly works to address project issues, or escalate project issues to appropriate people • Develop all necessary CPMM project documentation • Manage issues, risks, actions, and change • Provide performance feedback to team members • Gain Project Acceptance • Archive Project Information

Project Team Who University Role % Time Required Susan Luckhurst Functional Project Liaison 10% Greg Kimbell Director, Contributor Relations and Reporting 5% Tilly Garnett Consultant/Advisor, Alumni Affairs and Development 5%

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Beth Hamilton Exec Staff Asst. 1% Bill Turner Programmer/Analyst, Identity Management 25% Chris Brown Application Developer, CIT Information Systems 15% TBD Production Controller, Systems & Operations 10% TBD (Candace Dias?) Training and Documentation Specialist, CIT User

Services 5%

TBD Technical Writer, CIT User Services 4% TBD (JP Brannan?) Consultant or Manager, CIT Contact Center 5% Project Responsibilities

• Execute tasks and produce deliverables as outline in the Project Plan or as directed by the project Manager

• Provide input on planning activities as requested • Identify and quickly communicate or escalate issues and risks to the Project Manager • Stay up to date on the project status • Provide input on change requests as required • Provide feedback on project performance

Customers / Subject Matter Experts Who % Time Required Greg Kimbell, Alumni Affairs and Development 5% Tilly Garnett, Alumni Affairs and Development 5% Susan Luckhurst, Alumni Affairs and Development 10% Jim Howell, Systems & Operations Messaging Manager 1% Project Responsibilities

• Provide Subject Matter Expertise • Represent their business units needs to the project team • Validate deliverables that describe the product or service that the project

will produce • Bring information about the project back to the Customer community • Test the product or service and provide feedback

Other Project Role Who University

Role Project Responsibilities % Time

Communications and Marketing Mgr

Joe Zappala Communication Mgr, Alumni Affairs

Determines letter content and coordinates its production and mailing

3%

Consultant Butch Labrecque

Data Administrator, Information Systems

Review and provide input for data decisions

1%

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Communication Plan The following methods will be used to keep stakeholders and outside parties informed and involved in the project. You must edit the text to reflect the communication needs of your project. Note: Key Stakeholders are a subset of Stakeholders who, if their support were to be withdrawn, would cause the project to fail. What Who/Target Purpose When/Frequency Type/Method(s) Initiation Meeting

Planning team

Gather information for Project Initiation Plan

July 2006 with additional as needed

Meeting

Project Kick Off

All stakeholders

Communicate plans and stakeholder roles/responsibilities.Encourage communication among stakeholders.

Once, October Meeting

Project Status Reports

All stakeholders

Update stakeholders on progress of the project.

Monthly Distribute electronically

Team Meetings

Entire project team.

To review detailed plans (tasks, assignments, issues, and action items).

Weekly Meeting Minutes

Post Project Review

Project manager, key stakeholders, and sponsor(s).

Identify improvement plans, lessons learned, what worked and what could have gone better. Review accomplishments.

March Post-project Review Document

Project repository

ALL project team members and others as designated by the Project Sponsor and Project Manager

Location to house status reports, meeting minutes, project description, and Project Initiation Plan.

Update monthly with status reports; otherwise, as necessary.

http://identity.cit.cornell.edu/projects/index.html

Presentations to campus stakeholder groups

FABIT, ITMC, Identity Management Developers Group, CCD’s, PS Directors, COG

Inform, gather information about impacts

As scheduled with each chair

PowerPoint presentation with question & answer at end

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CPMM Project Initiation Plan Appendix 2-1

What Who/Target Purpose When/Frequency Type/Method(s) Announcement to campus service owners, developers

net-admin-l, web developers list, directory developers list, it security (?)

Instruct application developers and service owners to make sure applications are properly configured to prevent unintended access (no allow valid user without internal authorization)

As soon as schedule is known and confirmed, one month prior to mailing and again when alumni begin activating NetIDs

Email

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Project Governance and Resourcing Project Governance Define the management organization for this project, A sample is provided below. Include Actual Names

Figure 5: Governance Model

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Project Resourcing Define the make-up of the project resources as currently understood. Include those specific individuals that have been identified and also show those that need ‘To Be Determined’ (TBD). Table 2: Resources

Project Role # Req’d

Who (if known) or TBD

% Time Dates Needed (Date Range)

Name of Manager

Project Manager 1 Andrea Beesing 25% 7/25/06 – 3/31/07

Steve Schuster

Identity Management Developer

1 Bill Turner

25% 7/25/06 – 3/31/07

Andrea Beesing

Data Administrator 1 Butch Labrecque

1% 10/2/06 – 3/31/07

Dave Koehler

Functional Project Liaison

1 Tillie Garnett 10% 7/25/06 – 3/31/07

Functional Project Liaison

1 Susan Luckhurst

10% 7/25/06 – 3/31/07

Greg Kimbell

Customer Expert 2 Greg Kimbell Tilly Garnett

5% 5%

7/25/06 – 3/31/07

Rick Banks

IS Developer – Java and/or Coldfusion

1 Chris Brown 15% 8/1/06 – 1/19/07

Steve Lutter

Production Controller

1 TBD 10% 1/2/07 – 3/31/07

Mariann Carpenter

Training and Documentation Specialist

1 Candice Dias 5% 9/20/06 - 12/15/06

Sebastian Carello

Technical Writer 1 TBD 4% 12/18/06 – 1/31/07

Sebastian Carello

Contact Center Consultant

1 JP Brannan 5% 10/9/06 – 3/31/07

Michael Swenson

Resourcing Comments, Constraints, and/or Issues: The Identity Management team continues to experience difficulty filling an open position. An extended vacancy may require re-prioritization of projects. To that end, we should reassess project priorities based on the work being done by the senior management team in CIT.

Management Approaches The Cornell Project Management Methodology (CPMM) will be applied as the project management approach to implementing this project, specifically, planning, tracking, reporting, and closing out the project. The following sections define the standard approaches. Please describe any exceptions, and explain the reasons for them. Issues Management Critical to the success of a project is to manage issues that surface from the very beginning of a project. It is important that all key stakeholders participate in resolution of issues that might affect the Triple Constraints (Scope, Schedule, and Budget) and resulting quality.

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The following issues management procedures will be used: An issue is registered in the CPMM Issues Log. When the issue has been registered, the issue owner initiates a planning process to develop an action plan to resolve the issue. The action plan identifies the expected resolution date. The project manager and the project team will review issues at project meetings to ensure that action is being taken. Other key stakeholders will review open issues as needed. When an issue is resolved, merged with another issue, or withdrawn, the issue log is updated. When an issue is closed the resolution is logged and it is moved to a closed status. Change Management Change is expected to occur during the life of any project, but that change must be managed if the project is to succeed. The following change management procedures will be used when a change occurs: Complete a Change Order (Internal) [Template: CPMM Change Order (Internal)] and log the change requests in the [Template: CPMM Change Log]. Complete the Impact Analysis Statement of the change. Submit the CPMM Change Order (Internal) to the appropriate people for authorization The Project Manager will track the CPMM Change Order (Internal) and log the status in the CPMM Request for Change Log: Proposed, Authorized, Denied, Deferred The project manager reports on the status of the Change Orders in the CPMM Project Status Report. The above change management process covers managing changes that are internal to Cornell. If the project you are managing will involve changes to Purchase Orders or contracts with outside Vendors, the please follow standard University Policy. Risk Management Risk planning is the process of deciding how to approach and plan the risk management activities for a project. Risks will be managed as follows: During Initiation, stakeholders will be informed of the risk management process and its benefits. Broad risk areas will be defined in the Project Initiation plan. During Project Planning (Detail Level), a more detailed risk plan will be developed, including the identification and assessment of risks and the planning of strategies to minimize or avoid the risks. [Template: CPMM Risk Management Plan] Throughout the remaining phases of the project, the risk plan will be monitored on a regular basis, reported on at regular intervals in the CPMM Status Report, and updated as required. When the project is complete, the risks and strategies will be analyzed to evaluate the success of the risk management plan. Gathering Customer Requirements Approach A key component to delivering projects on-time and on-budget is doing a great job of defining the requirements and understanding the approach. Requirements can be gathered in many ways. Some projects cannot start before all requirements are known, while other projects will have a more iterative approach to gathering requirements.

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CIT staff will meet with stakeholders to gather requirements and document in standard format now being used within the Identity Management team. Reporting Each team determines who should receive their status reports and attend status review meetings, based on the stakeholder table. Status reports will be distributed monthly [Template: CPMM Project Status Report]

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Risk Plan The following table should include the broad risk areas that have been identified, and the accompanying strategies that will be put in place to control them. The rating should include a probability of the risk occurring and the severity of the impact of the risk to the project should it occur. This will provide an overall Risk rating. (You can use H=High, M=Medium, L=Low or a numerical rating if you prefer). A sample Risk is included below (please delete the sample row before starting). Table 15: High Level Risk Plan Risk Factor Impact on Project Prob

HMLSev HML

Risk RatingHML

Risk Plan (Strategy) Resp. In Place By

A key technical resource may not be available for various reasons (illness, departure for another job, unexpected production issues or higher priority assignments)

Inability to maintain schedule

M H MH Identify alternate resource for tasks in the critical path in advance where possible. Carefully prioritize production issues based on severity of customer impact. Build extra time into plan for completion of tasks where possible, set date for go-no go decision.

Project Manager

10/11/06

Mishandling of mailing and/or communication could result in loss of good will among alumni, unmanageable volume of calls

Success of project will be in jeopardy

L M LM Quality checkpoints should be established throughout the project; work with Contact Center and/or Alumni Affairs on contingency plan for additional staff to answer queries should problems result in unexpectedly high volume of calls

Project Manager

12/22/06

Proposed solution sets a precedent for using NetIDs for more "external" groups of individuals. The length of the NetID increases and it becomes less user friendly

No impact on current project but the current project provides strong motivation for

L L LL Decide on a governance structure to be used in the future to help decide when to issue NetIDs to groups of users who don't currently qualify for them.

Project Manager

12/1/06

CPMM Project Initiation Plan Appendix 2-1 21

Cornell Project Management Methodology (CPMM)

Signatures The Sponsor should indicate approval or rejection of the CPMM Project Initiation Plan by checking the Approve or Reject box. If the Sponsor is rejecting the Project Initiation Plan, he/she must indicate the reason in the comments field. The Sponsor indicates final acceptance of the CPMM Project Initiation Plan (including securing individual resources) by providing his/her signature in the Project Sponsor Signature box and the approval date in the Date box. Executive Sponsors Name Action Comments Signature Date

Polley McClure

Approve: Reject:

Charles Phlegar

Approve: Reject:

Project Directors and/or Sponsors Name Action Comments Signature Date

Rick Banks Approve: Reject:

Steve Schuster

Approve: Reject:

Approvers Agreement to Secure Required Resources The Approver is the person(s) or group that has the authority to commit resources for this project. He/she indicates his/her agreement to provide required resources for the Project by providing his/her Approver Signature and the approval Date.

Name Action Comments Signature Date

David Yeh Approve: Reject:

Lyman Flahive

Approve: Reject:

David Koehler

Approve: Reject:

Jim Lombardi Approve: Reject:

CPMM Project Initiation Plan Appendix 2-1 22

Cornell Project Management Methodology (CPMM)

Rick MacDonald

Approve: Reject:

Mark Mara Approve: Reject:

CPMM Project Initiation Plan Appendix 2-1 23