NMDOT FORMS MANAGEMENT SOLUTION
PROJECT
PROJECT CHARTER FOR CERTIFICATION
EXECUTIVE SPONSORS
Tom Church, Cabinet Secretary, NMDOT
Eric Roybal, Acting Chief Information Officer, NMDOT
BUSINESS OWNERS
Bruce Oakeley, Information Systems Manager, NMDOT
Jeff Woodman, Web Supervisor, NMDOT ISM Bureau
PROJECT MANAGER
Sal Hernandez, Principal, Integratus Solutions
ORIGINAL PLAN DATE: JUNE 24, 2013
REVISION DATE: JANUARY 6, 2014
TABLE OF CONTENTS
TABLE OF CONTENTS ............................................................................................................................................ I
1. PROJECT BACKGROUND ..................................................................................................................................1
1.1 EXECUTIVE SUMMARY - RATIONALE FOR THE PROJECT ...................................................................................1
1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT .........................................1
1.3 PROJECT CERTIFICATION REQUIREMENTS ...........................................................................................................2
2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS ..........................................................................................3
2.1 AGENCY JUSTIFICATION ......................................................................................................................................3
2.2 BUSINESS OBJECTIVES .........................................................................................................................................4
2.3 TECHNICAL OBJECTIVES ......................................................................................................................................4
2.4 IMPACT ON ORGANIZATION .................................................................................................................................5
2.5 TRANSITION TO OPERATIONS ...............................................................................................................................5
3.0 PROJECT/PRODUCT SCOPE OF WORK .......................................................................................................6
3.1 DELIVERABLES ....................................................................................................................................................6
3.1.1 Project Deliverables....................................................................................................................................6
3.1.2 Product Deliverables ................................................................................................................................ 11
3.2 SUCCESS AND QUALITY METRICS ................................................................................................................ 12
4.0 SCHEDULE ESTIMATE ................................................................................................................................... 13
5.0 BUDGET ESTIMATE ........................................................................................................................................ 13
Description ...................................................................................................................................................................... 13
FY13 ................................................................................................................................................................... 13
Staff - Internal ................................................................................................................................................................. 13
5.1 FUNDING SOURCE(S).......................................................................................................................................... 14
5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE - ............................................................................... 14
5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE.................................................................................... 14
6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE ......................................................... 15
6.1 STAKEHOLDERS ........................................................................................................................................... 15
6.2 PROJECT GOVERNANCE PLAN .................................................................................................................. 16
THE DIAGRAM ABOVE ILLUSTRATES THE GENERAL REPORTING STRUCTURE FOR THE IMPLEMENTATION PROJECT.
OTHER KEY STAKEHOLDERS INCLUDE NMDOT HR AND INSPECTOR GENERAL. .................................................... 16
6.3 PROJECT MANAGER ..................................................................................................................................... 16
6.3.1 PROJECT MANAGER CONTACT INFORMATION ................................................................................ 16
6.3.2 PROJECT MANAGER BACKGROUND Sal Hernandez, with Integratus solutions has had past project
management experience in New Mexico State Government to include work with the Taxation and Revenue
Department. Bill Bigley from 4Point has managed implementations of Adobe LiveCycle for large
organizations such as Orange County, California. ............................................................................................ 17
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES ................................................................................... 17
6.5 PROJECT MANAGEMENT METHODOLOGY ........................................................................................................... 19
7.0 CONSTRAINTS .................................................................................................................................................. 19
8.0 DEPENDENCIES ................................................................................................................................................ 20
9.0 ASSUMPTIONS .................................................................................................................................................. 20
10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY ........................................................................... 21
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING .................................................................. 22
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V ............................................................... 22
13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES .................................................................. 24
i
14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE ..................................................... 24
ii
Revision History
REVISION NUMBER
DATE
COMMENT
1.0
June 24, 2013
Initial NMDOT Plan
1.1
December 18, 2013
Submitted to Project Certification Committee
iii
PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
1
1. PROJECT BACKGROUND
1.1 EXECUTIVE SUMMARY - RATIONALE FOR THE PROJECT
The New Mexico Department of Transportation relies thoroughly on the forms catalog within the
agency for the management and data collection of its business processes. The information management
practices around the usage of these documents are essential to the functioning of its business. There have
been over three hundred forms identified as used for different areas within the agency.
These forms are currently created using an older methodology, which makes the information
management practices cumbersome, manual-intensive and prone to human errors and delays. The
manual process calls for forms to be printed and then delivered (via mail or fax) to the agency. The form
submission process is decoupled from the process flow.
Furthermore, These forms reside on an aging system that requires it to be replaced before it begins to
degrade service within the agency.
NMDOT has chosen to modernize and substantially improve the form submission process.
Modernization Improvements will include digitizing the document submission process as well as
improving the form submission lifecycle, this will reduce process times and errors. The intrinsic
benefits include creating a more productive and responsive agency thereby increasing customer
satisfaction.
1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT
NMDOT performed an analysis of current agency forms processes, including a master list of forms
including form format and whether the form was for internal or external customers. We evaluated
several electronic workflow systems including Adobe LiveCycle, EMC XCP, and a custom in-house
workflow system.
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
2
1.3 PROJECT CERTIFICATION REQUIREMENTS
Does the project fit into the criteria for certification? Which and how?
CRITERIA
YES/NO
EXPLANATION
Project is mission critical to the agency
YES
Reduce the cost of
paper, ink/toner,
personnel services,
overtime, and equipment
charges
Project cost is equal to or in excess of
$100,000.00
YES
Cost is estimated to be
$523,000
Project impacts customer on-line access
YES
Project will provide
paperless, on-line access
to forms and signatures
for NMDOT’s Office of
the Inspector General
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 after the
site assessment and
project plans are
complete.
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS
2.1 AGENCY JUSTIFICATION
NUMBER
DESCRIPTION
NMDOT 1
Create a paperless, web-based environment that allow NMDOT users to
route administrative requests (travel, leave, new employee hiring packets
etc.) electronically across different sections of the agency without being
printed for manual signatures.
NMDOT 2
Find and retrieve electronic insurance document images quickly without
having to search manually through filing cabinets or boxes of paper.
NMDOT 3
Reduce the labor costs of moving content from one section of the agency to
another.
NMDOT 4
Reduce the number of redundant and obsolete data records.
NMDOT 5
Minimize the need for physical storage of boxes and paper.
NMDOT 6
Increase productivity and user satisfaction by quickly routing the right
information to the right person for approval and signature.
NMDOT 7
Improve the audit-readiness of NMDOT records with better-organized,
electronic records that can be located and searched much faster than paper
records.
NMDOT 8
Improve the agency’s ability to identify bottlenecks in the form approval
processes with reliable, electronic records of how long each form sits at
each approval point before being processed forward..
NMDOT 9
Improve the agency’s record-keeping of backup copies, archives, and
remote storage for disaster recovery.
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
2.2 BUSINESS OBJECTIVES
NUMBER
DESCRIPTION
BUSINESS
OBJECTIVE 1
Increase efficiency and productivity via the electronic workflow and
signature solution
BUSINESS
OBJECTIVE 2
Improve services to NMDOT staff and management and taxpayers
BUSINESS
OBJECTIVE 3
Reduce cost of paper, ink/toner, personnel services, overtime, and
equipment charges
BUSINESS
OBJECTIVE 4
Improve accountability with check-in/check-out, version control
security for business documents.
BUSINESS
OBJECTIVE 5
Optimize business process by decreasing the number of
administrative processing steps, and allowing staff labor to be
redirected to more valuable work
2.3 TECHNICAL OBJECTIVES
NUMBER
DESCRIPTION
TECHNICAL
OBJECTIVE 1
The new electronic workflow will be designed to interface with
NMDOT’s existing NMDOT Adobe CQ-5 Content Management
System, giving NMDOT internal staff access to navigate forms via the
existing internal web site “INTRANS”.
TECHNICAL
OBJECTIVE 2
System will have Indexing and archival functionality and abilities.
TECHNICAL
OBJECTIVE 3
System will have scalability for future anticipated growth.
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
TECHNICAL
OBJECTIVE 4
System will support Microsoft Active Directory for authentication.
TECHNICAL
OBJECTIVE 5
Transmission of data between NMDOT’s workstations and servers
will be Secure Socket Layer (SSL) transactions, in full compliance
with NM DoIT's Enterprise Architecture Requirements.
2.4 IMPACT ON ORGANIZATION
AREA
DESCRIPTION
END USER
Training will be defined and all end-users within NMDOT will be
thoroughly trained. Tests will be conducted with random end-users to
ensure performance and ease-of-use
BUSINESS
PROCESSES
General procedures for handling form data will change for many
business units with the implementation of electronic form routing.
Employees will begin using electronic signatures frequently.
IT OPERATIONS AND
STAFFING
Training will be defined and all end-users within NMDOT will be
thoroughly trained. Tests will be conducted with random end-users to
ensure performance and ease-of-use
2.5 TRANSITION TO OPERATIONS
AREA
DESCRIPTION
PRELIMINARY
OPERATIONS
LOCATION AND
STAFFING PLANS
Staffing and Administration will be facilitated at the NMDOT
General Office located at 1120 Cerrillos road, Santa Fe, NM 87504.
The NMDOT IT Web-Unit will administer and support the system.
They will be trained on the new system and follow and Procedures
Manual provided by the Vendor who helps with Migration of data.
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
AREA
DESCRIPTION
DATA SECURITY,
BUSINESS
CONTINUITY
The Transmission of data between NMDOT staff workstations and
the Adobe LiveCycle Server are web-based and in compliance with
NM DoIT Enterprise Architecture Requirements. System will also
meet disaster recovery and business continuity requirements.
MAINTENANCE
STRATEGY
The infrastructure and related software will be maintained by the
agency web team, including installation of updates, hot fixes, and
service packs. NMDOT will procure Technical Support from Adobe
annually.
INTEROPERABILITY
The LiveCycle System will interoperate with the agency document
repository as well as the agency web content management system.
3.0 PROJECT/PRODUCT SCOPE OF WORK
3.1 DELIVERABLES
3.1.1 PROJECT DELIVERABLES
DELIVERABLE
NUMBER
DELIVERABLE
PRJ-DEL-001
Initiation - Project Initiation and
Scope Focus Meetings
PRJ-DEL-002
Initiation - Initiation Phase
Certification Form
PRJ-DEL-003
Initiation - Project Charter
PRJ-DEL-004
Initiation - Initiation Phase
Certification
PRJ-DEL-005
Initiation - Form Evaluation and
Enumeration
PRJ-DEL-006
Initiation - Identification of forms
for electronic workflow &
signature
PRJ-DEL-007
Initiation - Change Management
process for implementation phase
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
DELIVERABLE
NUMBER
DELIVERABLE
PRJ-DEL-008
Initiation - Identification of
workflow end points for top 30
priority forms.
PRJ-DEL-009
Initiation - Identification of
workflow participant categories
PRJ-DEL-010
Initiation - Project JAD Session
PRJ-DEL-011
Initiation - System Requirement
Specification (SRS)
PRJ-DEL-012
Initiation - System Requirement
Specification (SRS) Evaluation and
Review - Round 1
PRJ-DEL-013
Initiation - Project Status Reports
(Internal)
PRJ-DEL-014
Initiation - Initial Risk Assessment
Report
PRJ-DEL-015
Initiation - Initial Business
Continuity Plan
PRJ-DEL-016
Initiation - Initial Project
Communication Plan
PRJ-DEL-017
Initiation - Initial Project
Operations and Support Plan
PRJ-DEL-018
Initiation - Initial Project Test Plan
and Strategy
PRJ-DEL-019
Initiation - Initial Project
Management Plan
PRJ-DEL-020
Initiation - Initial Active Directory
Update Plan
PRJ-DEL-021
Planning - Planning Phase
Certification Form
PRJ-DEL-022
Planning - Revise Project
Management Plan
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
DELIVERABLE
NUMBER
DELIVERABLE
PRJ-DEL-023
Planning - IV&V Selected and
Contract Negotiated
PRJ-DEL-024
Planning - Project Status Reports
(Internal)
PRJ-DEL-025
Planning - System Requirement
Specification (SRS) Evaluation and
Review - Round 2
PRJ-DEL-026
Planning - Technical Architecture
Document
PRJ-DEL-027
Planning - Revise Risk Assessment
Report
PRJ-DEL-028
Planning - Revise Business
Continuity Plan
PRJ-DEL-029
Planning - Revise Project
Communication Plan
PRJ-DEL-030
Planning - Revise Project
Operations and Support Plan
PRJ-DEL-031
Planning - Revise Project Test Plan
and Strategy
PRJ-DEL-032
Planning - Revise Active Directory
Update Plan
PRJ-DEL-033
Planning - Initial Cutover Plan
PRJ-DEL-034
Planning - Evaluate Electronic or
Digital Signature Solution
PRJ-DEL-035
Planning - ELECTRONIC SIGNATURE
- Signature Collection Plan Strategy
PRJ-DEL-036
Planning - DIGITAL SIGNATURE operations and support plan for
digital sig. services.
PRJ-DEL-037
Planning - Determine Active
Directory fields needed for Live
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
DELIVERABLE
NUMBER
DELIVERABLE
Cycle function
PRJ-DEL-038
Planning - Determine which
support staff will update non-GO
portions of Active Directory
PRJ-DEL-039
Planning - Technical Team Training
PRJ-DEL-040
Implementation - Implementation
Phase Certification Form
PRJ-DEL-041
Implementation - Updated Project
Management Plan
PRJ-DEL-042
Implementation - IV&V Reports
Submitted
PRJ-DEL-043
Implementation - Technical
Architecture Approved
PRJ-DEL-044
Implementation - Project Status
Reports (Internal)
PRJ-DEL-045
Implementation - LiveCycle ES4
Server Installation and
Configuration
PRJ-DEL-046
Implementation - Active Directory
Updates - Mass Update
PRJ-DEL-047
Implementation - Active Directory
Updates - District Level Updates
PRJ-DEL-048
Implementation - ELECTRONIC
SIGNATURE - Design / Develop web
service interface for existing
signature server
PRJ-DEL-049
Implementation - Design / develop
scripting to extract and rename
guid-named forms from OIG form
server
PRJ-DEL-050
Implementation - Existing Form
Migration
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
DELIVERABLE
NUMBER
DELIVERABLE
PRJ-DEL-051
Implementation - New Form
Development
PRJ-DEL-052
Implementation - Workflow
Development
PRJ-DEL-053
Implementation - Implement
Electronic or Digital Signature
Solution
PRJ-DEL-054
Implementation - Web Interface
for Active Directory Organizational
Maintenance
PRJ-DEL-055
Implementation - End User
Training for AD Web Interface
PRJ-DEL-056
Close - Closeout Phase Certification
Form
PRJ-DEL-057
Close - Final IV&V Reports
Submitted
PRJ-DEL-058
Close - Project Closeout Report
PRJ-DEL-059
Close - Lessons Learned
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
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3.1.2 PRODUCT DELIVERABLES
Requirements Documents
The requirements will be defined and documented during
the Planning phase. This will define NMDOT goals,
business processes, critical factors, current environment,
sizing requirements, # of users, work process requirements
etc..
Design Documents
Contractor will be required to deliver design documents for
authentication
Systems Specifications
The Adobe LiveCycle software is a canned package web
application that will integrate with our Adobe CQ-5 Web
Content Management System and will not require
additional desktop software to run.
Systems Architecture
Contractor will produce a System Requirements
Specification outlining the general architecture of the
LiveCycle solution.
System and Acceptance
Testing
IT Web-IT staff and end-users will test system
functionality, performance, reporting accuracy and response
times.
Operations requirements
Contractor will include general operations requirements
with the system requirements specification, to include
administrative topics.
Form Conversion
Contractor will perform conversion of a percentage of
NMDOT forms to include workflow implementation;
Remainder of forms will be converted by NMDOT staff
after knowledge transfer.
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
3.2 SUCCESS AND QUALITY METRICS
NUMBER
DESCRIPTION
QUALITY METRICS 1
Project does not exceed budget
QUALITY METRICS 2
The project schedule, assigned tasks and milestones are met within
project plan.
QUALITY METRICS 3
System can provide reports.
QUALITY METRICS 4
All NMDOT Form Server Data is successfully converted and
migrated into the Adobe LiveCycle platform.
QUALITY METRICS 5
System is Secure and stable.
QUALITY METRICS 6
Staff is Trained to maintain is operability.
QUALITY METRICS 7
Data Integrity is maintained.
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
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4.0 SCHEDULE ESTIMATE
Identifier
Task/Activity Name
Resource
Name
Milestone
(Y/N)
SA-001
Active Directory
Configuration
Conce Fresquez /
District IT Staff
SA-002
Web Interface for
AD organizational
relationship
maintenance
Jeff Woodman
SA-003
Installation and
configuration of
LiveCycle ES
Server
SA-004
Form
Development
Effort/
Duration
Start
Finish
Y
TBD
TBD
Y
TBD
TBD
Alfred Lopez
TBD
TBD
Vendor /
Implementation Team
TBD
TBD
Dependent
Task
5.0 BUDGET ESTIMATE
BUDGET
Comments:
DESCRIPTION
STAFF INTERNAL
NMDOT IT
Staff
Consulting
Services
Professional
Services
Training
FY13
FY14
FY15
FY16&After
Total
0
0
$218,000
$218,000
Adobe Live
Cycle Training
$25,000
$25,000
Hardware
Use of existing
0
0
Software
Adobe Live
Cycle
TOTAL
$280,000
$523,000.00
PAGE 13
$280,000
$523,000.00
PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
14
5.1 FUNDING SOURCE(S)
SOURCE
AMOUNT
ASSOCIATED
RESTRICTIONS
$523,000 NONE
STATE ROAD FUND
5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE ITEM
COST ESTIMATE
ADOBE LIVECYCLE PURCHASE
$273,000
PROJECT INITIATION DISCOVERY
$18,500
PROJECT COORDINATION, PLANNING
PHASE
$59,000
RESOURCE TRAINING
$25,000
PROJECT MIGRATION VENDOR
$120,000
5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE
PHASES
PLANNED CERTIFICATION
INITIATION
JUNE 2013
PLANNING/PROJECT JANUARY 2014
MANAGEMENT
$303,300
$54,500
IMPLEMENTATION
APRIL 2014
$108,850
CLOSING
JUNE 2014
$28,850
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
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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
Eric Roybal
Program Admin
Responsibility
NMDOT
CIO
Bruce Oakeley
Overall Program
NMDOT
ISM Manager
Jeff Woodman
Quality Assurance IT
System Admin
NMDOT
WEB
Supervisor
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
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6.2 PROJECT GOVERNANCE PLAN
The diagram above illustrates the general reporting structure for the Implementation Project. Other key
stakeholders include NMDOT HR and Inspector General.
6.3 PROJECT MANAGER
6.3.1 PROJECT MANAGER CONTACT INFORMATION
NAME
ORGANIZATION
PHONE #(S)
SAL HERNANDEZ
INTEGRATUS
SOLUTIONS
817-583-3738
BILL BIGLEY
4POINT
916-967-2002
PAGE 16
EMAIL
PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
17
6.3.2 PROJECT MANAGER BACKGROUND
Sal Hernandez, with Integratus solutions has had past project management experience in New Mexico
State Government to include work with the Taxation and Revenue Department. Bill Bigley from 4Point
has managed implementations of Adobe LiveCycle for large organizations such as Orange County,
California.
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES
ROLE
RESPONSIBILITY
Executive Project
Sponsor
The point person will be 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
Persons within the OIG and IT that are responsible for all operations
and management of all activities of the LiveCycle project.
 Maintain responsibility for project direction/implementation
 Ensure staff availability
 Empower Project Manager and IT Staff
Project Manager
Person responsible to the participating entities who make decisions
related to the operation of the project.
 Problem Solving
 Reviews of work of Consultants
 Participate in Changes to project
 Diagnose potential problems on project
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
ROLE
RESPONSIBILITY







Determine roles of IT personnel
Ultimate project success
Budget planning
Project Schedule
Training plans
Contract Management
Ensure Communications between vendor and project owner
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
support to project indefinitely
Duties Include:
 System infrastructure Specifications
 Integration of other NMDOT systems
 Data backups
 Storage requirements
 Security
 Data Migration
 Systems install and updates
 Network connectivity
 Provide test/development environments
 System Maintenance
 System Reporting
 Database tools (reporting)
 Disaster recovery
 Anti-Virus Protection
 Provide OEM
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
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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.
7.0 CONSTRAINTS
NUMBER
1
2
DESCRIPTION
Time – Project will need to be closed out by June 30th 2014
Budget – Project not to exceed 500K
3
Scope – Project scope need not exceed existing project estimates and increased scope be
addressed/approved or denied by project steering committee
4
Software – Project technical deliverables need to be developed with Adobe LiveCycle
software and related tools
5
Resources - Project will need to be completed with a mix of NMDOT and Contractor
resources
6
Budget – Project need not cause a dramatic shift in operational cost causing financial
constraint.
7
8
Process – Project to adhere to applicable NM DOIT methodology
Agency – Project to adhere to applicable NM State and NMDOT policies and regulations.
9
Agency – Project technical deliverables to meet existing service agreements and response
times.
10
Infrastructure – Software to configured and operate alongside existing NMDOT
infrastructure
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
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8.0 DEPENDENCIES



M- Mandatory dependencies inherent to the work being done.
D- Discretionary dependencies are sequences defined by the project management team that are
not mandatory in the project life cycle.
E- External dependencies involving activities outside the project such as
purchasing/procurement.
NUMBER DESCRIPTION
TYPE M,D,E
1
ACTIVE DIRECTORY - ENSURE A PROPER MANAGEMENT INTERFACE EXISTS
FOR THE ACTIVE DIRECTORY MANAGEMENT AS WELL AS ENSURE CONTENT
IS UP TO DATE
M, E
2
TRAINING - DELIVER PROPER DEVELOPMENT TRAINING FOR FORMS AND
PORTAL DEVELOPERS
M
3
INSTALLATION AND CONFIGURATION - ENSURE THE PROPER HARDWARE,
SOFTWARE AND INFRASTRUCTURE IS MADE AVAILABLE
M, E
4
ORGANIZATIONAL BUY-IN - ENSURE EXECUTIVE AND SME BUY-IN FOR NEW
TECHNOLOGY AND PROCESS
M
5
TECHNOLOGICAL - ENSURE PROPER IMPLEMENTATION OF TBD APPROACH
(ELECTRONIC V DIGITAL SIGNITURES)
M
6
ORGANIZATIONAL - ENSURE SUBJECT MATTER EXPERTS ARE EXCESSIBLE –
BOTH FUNCTIONAL AND TECHNICAL SME’S ARE REQUIRED
M
9.0 ASSUMPTIONS
NUMBER
DESCRIPTION
1
All system users exist in NMDOT’s Active Directory. All system users are internal to the
agency.
2
3
Business rules for form data and routing relating to existing forms are known and fixed.
Servers and client workstations meet or exceed the minimum requirements of the
technology stack.
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
21
NUMBER
DESCRIPTION
4
The form templates will be developed using a proper common format. If such a format is
not possible, then the form will be provided in an alternative format and will be served as
fill and print forms.
5
Project team will have access to functional and technical SMEs
10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY
1.6 INITIAL PROJECT RISKS IDENTIFIED
[Risk 1 Active Directory]
Probability EXPECTED
Description – Active
Directory entries are
incorrect thus effecting
forms with workflow
Impact HIGH
Mitigation Strategy – 2 fold strategy Initial and On-going
1. Initial – There is an initial effort to clean up Active Directory
entries in bulk, especially for those Users/Groups identified as
prospects for forms with workflow.
2. On-going – An interface will be developed for the Human
Resources department to actively monitor and update Active
Directory entries. Major Events (Hire to Fire) will trigger an
resource to update the Active Directory.
Contingency Plan
1. Continuous efforts to clean up the Active Directory entries on
a regular interval
[Risk 2 – Software Features]
Description - Features and Probability LOW
capabilities of the product
may be wrong, incomplete,
or too complex and that
may not satisfy the
requirement.
Impact MEDIUM
Mitigation Strategy
1. Complex scenarios were given to vendor during Proof of
Concept initiative.
2. Additionally, ensure that all functionality is defined before
development begins.
Contingency Plan
1. Co-Develop more difficult scenarios with PoC vendor or
engage them for support as needed
2. Extend product as needed with custom integration layers.
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
[Risk 3 – Software Training]
Probability LOW
Description – Resource
training on software is
inadequate or has not taken
place
Impact MEDIUM
Mitigation Strategy
1. Training Plan to be developed for technical developers and
support staff
2. Engage PoC vendor for development as needed
Contingency Plan
1. Engage PoC vendor for development or support as needed and
engage in over-the-shoulder development until adequate
training plan can be established.
[Risk 4 – End User Adoption]
Description – End users are Probability LOW
slow to adopt forms
development
22
Impact HIGH
Mitigation Strategy
1. Continuously involve end users at the appropriate level of
detail.
Contingency Plan
1. Executive mandate of solution set
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING
The Project Manager will be responsible for creating periodic internal reports for NMDOT stakeholders,
and will also assist in preparing materials for presentation to DoIT and the PPC. The Project Manager
will work in conjunction with the Technical Lead to gather data for these reports.
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
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
Y
Quality Management
Y
Training
N
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PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
Requirements Management
N
Operating Environment
Y
Development Environment
N
Software Development
Y
System and Acceptance Testing
N
Data Management
Y
Operations Oversight
N
Business Process Impact
N
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23
PROJECT CHARTER - NMDOT FORMS MANAGEMENT SOLUTION PROJECT
24
13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES
SIGNATURE
DATE
EXECUTIVE SPONSOR
BUSINESS OWNER
PROJECT MANAGER
14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE
SIGNATURE
DOIT / PCC APPROVAL
PAGE 24
DATE