executive sponsor – tom church, cabinet secretary e... · web viewintelligrants electronic grants...

IINTELLINTELLIGGRANTSRANTS E ELECTRONICLECTRONIC G GRANTSRANTS MMANAGEMENTANAGEMENT S SYSTEMYSTEM ( (EEGGRANTSRANTS))

PPROJECTROJECT C CHARTERHARTER F FOROR C CERTIFICATIONERTIFICATION

EXECUTIVE SPONSOR – TOM CHURCH, CABINET SECRETARY

BUSINESS OWNER – ROBERT ARCHULETA, TRAFFIC SAFETY DIVISION

PROJECT MANAGER – DAVE MARTINEZ AND KIMBERLY WILDHARBER, TRAFFIC SAFETY / GENEVIEVE GRANT, INFORMATION TECHNOLOGY

ORIGINAL PLAN DATE: SEPTEMBER 17, 2014

REVISION DATE: SEPTEMBER 17, 2014

REVISION: 0.0

TABLE OF CONTENTSTABLE OF CONTENTSTABLE OF CONTENTS............................................................................................................................................ I

REVISION HISTORY............................................................................................................................................. III

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

1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT.................................................................................................11.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT......................................................11.3 PROJECT CERTIFICATION REQUIREMENTS....................................................................................................................1

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS....................................................................................................2

2.1 AGENCY JUSTIFICATION...........................................................................................................................................22.2 BUSINESS OBJECTIVES.............................................................................................................................................32.3 TECHNICAL OBJECTIVES...........................................................................................................................................32.4 IMPACT ON ORGANIZATION......................................................................................................................................42.5 TRANSITION TO OPERATIONS....................................................................................................................................4

3.0 PROJECT/PRODUCT SCOPE OF WORK............................................................................................................ 5

3.1 DELIVERABLES.......................................................................................................................................................53.1.1 Project Deliverables...................................................................................................................................53.1.2 Product Deliverables..................................................................................................................................7

3.2 SUCCESS AND QUALITY METRICS..........................................................................................................................7

4.0 SCHEDULE ESTIMATE..................................................................................................................................... 8

5.0 BUDGET ESTIMATE........................................................................................................................................ 9

5.1 FUNDING SOURCE(S)..............................................................................................................................................95.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE -..............................................................................................9

Major Project Deliverable and Performance Measure........................................................................................9Budget................................................................................................................................................................9Due Date.............................................................................................................................................................9Project Phase......................................................................................................................................................9

5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE..................................................................................................9

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE...........................................................................10

6.1 STAKEHOLDERS...............................................................................................................................................106.2 PROJECT GOVERNANCE PLAN.........................................................................................................................116.3 PROJECT MANAGER.........................................................................................................................................11

6.3.1 PROJECT MANAGER CONTACT INFORMATION........................................................................................116.3.2 PROJECT MANAGER BACKGROUND.........................................................................................................12

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES................................................................................................126.5 PROJECT MANAGEMENT METHODOLOGY..................................................................................................................13

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

8.0 DEPENDENCIES............................................................................................................................................ 14

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9.0 ASSUMPTIONS............................................................................................................................................ 15

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY........................................................................................15

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING................................................................................15

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V..............................................................................16

13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES.................................................................................17

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE........................................................................17

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REVISION HISTORYREVISION HISTORY

REVISION NUMBER DATE COMMENT

v1.0 September 8, 2014 Initial version

v1.2 September 11, 2014 DoIT eReview

v1.3 September 12, 2014 DoIT eReview Accepted Changes

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PROJECT CHARTER INTELLIGRANTS SYSTEM 1

1. PROJECT BACKGROUND

The New Mexico Department of Transportation (NMDOT) funds an estimated 400 projects each year with the purpose of preventing injuries and saving lives by eliminating crashes on New Mexico public roadways. NMDOT administers federal and state funding and issues grant agreements to local Law Enforcement, Municipalities and Counties, contractors and non-profit entities across the state. With an estimated 400 projects each year, the amount of paper processing to meet our federal requirements is quite significant and accounts for a large percentage of staff time to manage. We have identified an electronic grant management system (IntelliGrants) which is a commercial-off-the-shelf (COTS), web-based, grants management solution that can be configured to allow NMDOT and our grantees to automate our application, agreement, claim, and reporting processes and retain electronic records for complete, accurate and accessible files.

1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT

NMDOT currently collects grant applications, executes grant agreements, claims for reimbursement, and issues monitoring reports utilizing a manual paper based system. The federal “Moving Ahead for Progress in the 21st Century” (MAP-21) act requires that we collect and analyze data to ensure activities are data-driven and performance based. Due to the large amount of paper collected, multiple files and binders are needed for each project. NMDOT currently pays a contractor to assist us in the development of agreements, review of claims, collection of data and the development of reports.

The National Highway Traffic Safety Administration (NHTSA) who is the federal oversight agency for traffic safety funding recommended NMDOT procure an electronic grants management system in our management review conducted in 2013.

1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT

NMDOT researched vendors and spoke with Traffic Safety Offices in other states who had implemented an e-grant system to identify a contractor with the knowledge and understanding of traffic safety related activities. The company we have selected has worked with 16 State Highway Safety Organizations over the last decade to implement grant management systems. The vendor provided a demo of the system to traffic safety staff and we feel the grants management solution will meet NMDOT’s needs.

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1.3 PROJECT CERTIFICATION REQUIREMENTS

CRITERIA YES/NO EXPLANATION

Project is mission critical to the agency Yes Vital records and information

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

Yes Estimated cost of ownership is $500,000

Project impacts customer on-line access Yes Web based system will be used by NMDOT and grantees

Project is one deemed appropriate by the Secretary of the DoIT

Yes Meets NM IT Strategic Plan objectives sponsored by DoIT

Will an IT Architecture Review be required? Yes Architecture review will be conducted prior to implementation.

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS

2.1 AGENCY JUSTIFICATION

The project will implement a new solution for project management and data collection to include type of law enforcement activity conducted, location of activity, dates worked, start time, end time, total hours worked, names of officers, overtime rate, number of officers participating, total amount paid, public information and education activities, type of citation issued. This will enable NMDOT to achieve the following strategic goals:

NUMBER DESCRIPTION

NMDOT 1 Streamline the grant application and operational planning process to collect data to ensure selected projects are data-driven and performance based to meet federal MAP-21 requirements.

NMDOT 2 Initiate and obtain electronic signature on grant agreements that will be stored electronically in the system eliminating the need for hard

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NUMBER DESCRIPTION

copy files, postage, paper, copying, toner and reducing staff time to prepare agreement packages. The system will also track status at each phase in the signature process.

NMDOT 3 Streamline the claim process to collect data, provide audit function to ensure claims are calculated correctly, reduce postage, paper, copying, toner and staff time to file documents.

NMDOT 4 Eliminate the need for our contractor to duplicate data entry to collect data on enforcement activities and provide real time reporting.

NMDOT 5 Provide document storage to ensure complete and accessible files.

NMDOT 6 Improve the NMDOT reporting of performance to NHTSA, LFC and DFA related to performance measures.

2.2 BUSINESS OBJECTIVES

NUMBER DESCRIPTION

BUSINESS OBJECTIVE 1

Increased efficiency and productivity through a well-managed data entry process


Optimize business process, decreasing number of steps, saving time


Lower the cost of government by having a more efficient work activity process tracking


Improve reporting capability to executive management


Substantial NMDOT business process improvements are achievable through an electronic grants management system that is paperless


Provide a documentation and reporting system, for real time reporting and long-term document management to ensure that current data is utilized in the decision making process in the traffic safety

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NUMBER DESCRIPTION

grant funding program

2.3 TECHNICAL OBJECTIVES

NUMBER DESCRIPTION

TECHNICAL OBJECTIVE 1

Web-based system will be designed to allow NMDOT and grantee staff remote access

TEHCNICAL OBJECTIVE 2

Data will be assessable and stored electronically


Security/user roles – system will support a secure front end user system log in and security role level authentication


Extensibility – ensure system is designed to easily allow the addition of new features later, using an application programming interface or plug-ins.


Redundancy – system will be configured to support system fail over


System will integrate with a centralized Linear Referencing System (LRS)


System will integrate with automated data collection database if needed.

2.4 IMPACT ON ORGANIZATION

AREA DESCRIPTION

END USER Training will be defined and system administrators will receive training and will train all end-users. Tests will be conducted with random end-users to ensure performance and ease of use.

BUSINESS PROCESSES

General procedures for entering and handling documents and data will change with the implementation of the forms, duplicate data entry for developing reports will be eliminated

IT OPERATIONS AND Training will be defined and all grantee and TSD staff will be

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AREA DESCRIPTION

STAFFING thoroughly trained. Tests will be conducted with each key staff member to ensure performance and ease of use.

2.5 TRANSITION TO OPERATIONS

AREA DESCRIPTION

PRELIMINARY OPERATIONS LOCATION AND STAFFING PLANS

Project management, scope of work adjustments and testing will ensure the new system is ready to go live. Status reports will be delivered bi-weekly.

DATA SECURITY, BUSINESS CONTINUITY

Security parameters for data will be built into system to include any information that is deemed confidential by law.

MAINTENANCE STRATEGY

Annual software/hardware maintenance agreement from vendor. Specific deliverables will be in a binding contract agreement.

INTEROPERABILITY All hardware/software components are industry standard and compatible with NMDOT’s platform and security requirements.

RECORD RETENTION Retention policies will be built into new system.

CONSOLIDATION STRATEGY

The system will consolidate paper filing system into an electronic grant management system and will and replace manual processes for completing federal reporting.

3.0 PROJECT/PRODUCT SCOPE OF WORK

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3.1 DELIVERABLES

3.1.1 PROJECT DELIVERABLES

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

Project Management Plan “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.

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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

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

Monthly Project Status Reports to DoIT

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 document used to request that the project be officially closed. Note that project closure is the last phase of the certification process

3.1.2 PRODUCT DELIVERABLES

Process Scoping Document An initial Business Process Scoping documents will be developed that defines the Traffic Safety Division (TSD) Business Processes. A baseline for processing capabilities as compared to business requirements in the current environment is in draft and will be delivered by September 30, 2014.

System Requirement Specification (SRS)

The SRS defines the business, functional, and technical requirements and design of the system. It includes screen mockups, system security level, and network architecture requirements.

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System and Acceptance Testing

The Test Plan defines the use cases to test the system. The use cases are drawn from the SRS requirements. The Grants Management Program users will test system functionality, performance, reporting accuracy and responses times. NMDOT IT Technical Support Staff will test system operational performance.

Operations and Support Plan The Operation and Support Plan defines the tier level support of the system.

3.2 SUCCESS AND QUALITY METRICS

NUMBER DESCRIPTION

QUALITY METRIC 1 Project does not exceed budget

QUALITY METRIC 2 The project schedule, assigned tasks and milestones are met within project plan

QUALITY METRIC 3 System can provide reports

QUALITY METRIC 4 System is secure and stable

QUALITY METRIC 5 Staff is trained to maintain and system is operable

QUALITY METRIC 6 Data integrity is maintained.

4.0 SCHEDULE ESTIMATE

A schedule will be developed with Agate Software when the project scope is negotiated. The anticipated date to complete all deliverables in the contract and move to production is October 30, 2015. A proposed schedule is listed below:

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PHASES ESTIMATED SCHEDULE DATE

Initiation September 2014

Planning September - November 2014

Technical Architecture Review (TARC) December 2014

Implementation January 2015 – October 2015

Closing October 2015

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5.0 BUDGET ESTIMATE

5.1 FUNDING SOURCE(S)

SOURCE AMOUNT ASSOCIATED RESTRICTIONS

NMDOT FEDERAL 164 ALCOHOL FUNDS

$172,530

NMDOT FEDERAL 402 PLANNING AND ADMINISTRATION FUNDS

$65,442

STATE ROAD FUNDS $8,923

5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE -

MAJOR PROJECT DELIVERABLE AND PERFORMANCE MEASURE

BUDGET DUE DATE PROJECT PHASE

Independent Validation & Verification $10,000 10/30/2014 Initiation

Initial Business Analysis/JAD Session $18,094 10/30/2014 Initiation

Finalize Project Management Plan $20,400 11/28/2014 Planning

System Requirement Specification (SRS) Document $58,400 11/28/2014 Planning

IntelliGrants Product Software License $140,000 11/28/2014 Planning

5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE

PHASES PLANNED CERTIFICATION

Initiation September 2014

Planning October 2014

Implementation January 2015

Closing October 2015

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6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE

6.1 STAKEHOLDERS

NAME STAKE IN PROJECT ORGANIZATION TITLE

Tom Church Overall Program NMDOT Secretary

Robert Archuleta Program Administrative Responsibility

NMDOT Director, Traffic Safety Division

Dave Martinez & Kimberly Wildharber

Project Manager NMDOT Traffic Safety Division

Genevieve Grant It Project Manager NMDOT Information Technology

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Project Director Robert Archuleta

Project team member 5 program managers and test grantees

Project ManagerKimberly Wildharber

Technical Review DoIT / NMDOT Tech Staff

Project ManagerDave Martinez / Genevieve Grant

Executive SponsorTom Church

Business Operations Review Team:Grantee’s agency coordinator StaffTSD Program Management StaffPlanning and TSD Finance Staff


6.2 PROJECT GOVERNANCE PLAN

6.3 PROJECT MANAGER

6.3.1 PROJECT MANAGER CONTACT INFORMATION

NAME ORGANIZATION PHONE #(S) EMAIL

Dave Martinez NMDOT 505-629-3499 [email protected]

Kimberly Wildharber NMDOT 505-490-1121 [email protected]

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NAME ORGANIZATION PHONE #(S) EMAIL

Genevieve Grant NMDOT, IT 505-629-2778 [email protected]

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES

ROLE RESPONSIBILITY

Executive Project Sponsor

The point person will be at the highest level of NMDOT. Responsibilities include:

Champion Project Consider changes facing the organization and its impacts Responsible for finding budget to complete project Participate in planning sessions Ultimate project responsibility

Steering Committee Tasked with overall direction and support of the project Participate in meetings Review and accept deliverables Review and provide comment on documentation provided by

project team. Review project funding and its sources

Business Owners Person responsible to the participating entities, and who will make decisions related to the operation of the project.

Problem Solving Reviews work of Consultants Participate in changes to project Diagnose potential problems on project Determine roles of IT personnel Ultimate project success Budget Planning Project Schedule Training Plans Contract Management Ensure communications between vendor and project owner.

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ROLE RESPONSIBILITY

Project Team Members

Staff assigned to Project. Define Business needs Scheduling of meetings System Administration Testing Purchasing and processing Data integrity Data input

Technical Staff Staff assigned to defining infrastructure requirements and providing ongoing project support.Duties Include:

System infrastructure Specifications Integration of other NMDOT systems Data backups Storage requirements Security Systems install and updates Network connectivity Provide test/development environments System maintenance System reporting Database tools (reporting) Disaster recovery Anti-virus protection

6.5 PROJECT MANAGEMENT METHODOLOGY

The Project will be structured using a mixture of process-based and agile approaches. In addition, project reporting structures will be adjusted to meet timelines and phase gates defined by the PCC.

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7.0 CONSTRAINTS

NUMBER DESCRIPTION

1. Adequate resources

2. State requirements for oversight and project delays

3. Delays in processing contracts and purchasing.

8.0 DEPENDENCIES

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

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

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

NUMBER

DESCRIPTION TYPE M,D,E

1. Project Certification Committee approval M

2. Contract approvals and purchases E

3. Funding for software maintenance M

4. Design and infrastructure dependencies M

5. Application and server installs M

6. Software management. M

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9.0 ASSUMPTIONS

NUMBER DESCRIPTION

1. Adequate budget will be available

2. Adequate staffing levels

3. Staff will be trained on the use of software

4. Vendor will provide updates

5. Data will be easily converted

6. Software will integrate with other system software.

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY

Risk 1

Description – Funds will not be readily available to support the project

Probability VERY LOW Impact LOW

Mitigation Strategy: Allocate funding in excess of projected funding needs. TSD has already included funding in our highway safety Plan for 2015.Contingency Plan: If this occurs, NMDOT staff will need to implement solution independently without vendor assistance or guidance

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING

The Project Manager will be responsible for creating periodic internal reports for NMDOT stakeholders and will assist in preparing materials for presentation to DoIT and the PCC. The Project Manager will work in conjunction with the Technical Lead and the vendor to gather data for these reports.

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12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V

The following check list provides 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 Configuration Yes

System and Acceptance Testing Yes

Data Management Yes

Operations Oversight Yes

Business Process Impact Yes

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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES

SIGNATURESIGNATURE DATEDATE

EXECUTIVE SPONSOREXECUTIVE SPONSOR

BUSINESS OWNER BUSINESS OWNER PROJECT MANGERPROJECT MANGER

PROJECT MANAGERPROJECT MANAGER

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE

SIGNATURESIGNATURE DATEDATE

DOIT / PCC APPROVALDOIT / PCC APPROVAL

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executive sponsor – tom church, cabinet secretary e... · web viewintelligrants electronic grants...

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