Project Initiation and Planning
Request for Certification and Release of Funds Form
ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE
PROJECT GOVERNANCE
PROJECT NAME
NMDOT Forms Management Solution Project
DATE
01/22/2014
LEAD AGENCY
New Mexico Department of Transportation
OTHER AGENCIES
N/A
EXECUTIVE SPONSOR
Tom Church, Cabinet Secretary
AGENCY HEAD
Tom Church, Cabinet Secretary
AGENCY CIO/IT LEAD
Eric Roybal, NMDOT Acting CIO
PROJECT MANAGER
Bruce Oakeley, NMDOT ISM Manager
PROJECT ABSTRACT (PROVIDE A BRIEF DESCRIPTION AND PURPOSE FOR THIS PROJECT)
The New Mexico Department of Transportation (NMDOT) 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 is looking to modernize and replace its antiquated PDF form server environment and
manual routing system with and electronic workflow system for internal forms serving
NMDOT’s Office of the Inspector General (OIG). The Adobe LiveCycle workflow solution
will allow for a speedy electronic workflow and signature process, yielding significant savings
in process time, FTE resource labor, and paper costs. The intrinsic benefits include creating a
more productive and responsive agency thereby increasing customer satisfaction.
Revision: 6/18/13
Page 1
Project Initiation and Planning
Request for Certification and Release of Funds Form
ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE
06/20/2013
Start Date
Planned End Date
6/30/2014
Amount Requested this Certification
$ 357,800
Amount Previously Certified
$
Remaining Appropriation not Certified
$ 165,200
Total Appropriated Amount
$ 523,000
0
CERTIFICATION HISTORY (INCLUDE ANY PREVIOUS PROJECT OR PHASE CERTIFICATIONS)
Date
Amount
Funding Source(s) (use specific citations to laws, grants, etc.)
$357,800
1/22/2014
New Mexico State Road Fund
APPROPRIATION HISTORY (INCLUDE ALL FUNDING SOURCES,
Fiscal Year
Amount
2014
$523,000
E.G.
FEDERAL, STATE, COUNTY, MUNICIPAL LAWS OR GRANTS)
Funding Source and Appropriation language
New Mexico State Road Fund
MAJOR DELIVERABLE SCHEDULE AND PERFORMANCE MEASURES
Major Project Deliverable and Performance
Measure
Budget
Due Date
Project Phase
Adobe LiveCycle licenses purchased
273,000
06/30/2013
Not Certified
JAD session with vendor (Discovery)
18,500
11/16/2013
Initiation
Project Management
59,000
01/31/2014
Initiation
Resource Training
25,000
03/15/2014
Planning
100,000
04/01/2014
Implementation
20,000
06/30/2014
Closeout
Data migration and form creation contract
Closeout – Break-Fix/ Support
Revision: 6/18/13
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Project Initiation and Planning
Request for Certification and Release of Funds Form
ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE
BUDGET
Comments:
Description
Staff Internal
NMDOT IT
Staff
Consulting
Services
Professional
Services
Training
Adobe Live
Cycle Training
Use existing
Hardware
Software
TOTAL
FY13
FY14
FY15
FY16&After
Total
0
0
218,000
218,000
25,000
25,000
0
0
280,000
280,000
$ 523,000.00
$ 523,000.00
Adobe Live
Cycle
IT SYSTEM ANALYSIS (ON THIS DOCUMENT, OR AS AN ATTACHMENT, PROVIDE A SUMMARY
DESCRIPTION OF THE TECHNICAL ARCHITECTURE)
This project will aim to leverage existing architecture where feasible and follow best practices
in terms of development, migration, change control and production support.
The Technical Architecture has been evaluated and has been deemed adequate to satisfy the
current business requirements as identified during the project JAD sessions and as documented
in the SRS
The technologies and methodologies necessary to develop and support the system are
compatible and comply with the enterprise-wide standards and direction defined by NMDOT.
Revision: 6/18/13
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Project Initiation and Planning
Request for Certification and Release of Funds Form
ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE
Technical Architecture
Hardware .......... Virtualized servers running on a VMWare Host cluster, Windows 2008 R2 Std.
Software ............ Java Runtime Environment with Oracle WebLogic / JRockit backbone, running
the LiveCycle ES4 form server. Form design / development using LiveCycle ES4.
Interfaces .......... Web-based portal to access forms; the product integrates with other aspects of
our computing environment using Web services (REST and SOAP based
integration).
Databases .......... One core database (SQL Server) for LiveCycle to track workflow states and
transitions. Additional, in-house databases may be created for aggregation of data
for specific forms.
Network ............ This is a multi-tiered system involving at least two servers: The core application
server and a separate database server.
Authentication .. LiveCycle will utilize our existing Active Directory for secure user authentication
and single sign-on.
Security ............. The application will sit on the NMDOT’s internal network, between our internal
and external firewalls.
Revision: 6/18/13
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Project Initiation and Planning
Request for Certification and Release of Funds Form
ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE
INTEROPERABILITY (DESCRIBE IF/HOW THIS PROJECT INTERFACES WITH EXISTING SYSTEMS/APPLICATIONS)
The specified system will not interface to any existing systems or applications.
INDEPENDENT VERIFICATION & VALIDATION (INCLUDE SUMMARY OF THE LATEST IV & V REPORT)
NMDOT is currently negotiating the IV&V contract and will execute it with DoIT’s approval.
SIGNIFICANT RISKS AND MITIGATION STRATEGY
RISK 1:
Active Directory entries are incorrect thus effecting forms with workflow
MITIGATION 1:
Two-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 a resource to update the Active Directory.
RISK 2:
Features and capabilities of the product may be wrong, incomplete, or too complex and that
may not satisfy the requirement.
MITIGATION 2:
1. Complex scenarios were given to Vendor during Proof of Concept initiative
2. Additionally, ensure that all functionality is defined before development begins.
Revision: 6/18/13
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Project Initiation and Planning
Request for Certification and Release of Funds Form
ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE
RISK 3:
Resource training on software is inadequate or has not taken place
MITIGATION 3:
1. Training Plan to be developed for technical developers and support staff
2. Engage PoC vendor for development as needed
RISK 4:
End users are slow to adopt forms development
MITIGATION 4:
Continuously involve end users at the appropriate level of detail.
TRANSITION TO OPERATIONS: (DESCRIBE AGENCY PLAN TO MIGRATE PROJECT SOLUTION TO PRODUCTION.
INCLUDE AGENCY
PLANS TO FUND AND MAINTAIN THIS PROJECT AFTER DEPLOYMENT. )
Transition to Operations: Cutover Plan
Project Management will work with the Business Owners, Functional Team and Technical
Team to develop a plan to transition from the Agency’s old Forms System to the New Forms
System. As of the date of this document, it is recommended that a “Flash Cutover” be planned
for the transition. Through the course of the planning phase, the following details for the
“Flash Cutover” will be addressed:






Cutover Plan Defined along with go-live date
Change Control Mechanism Defined
Hardware and Software Reediness Assessed
Establishing a fallback plan
Post-Cutover Testing of the new system
Education and Training.
Revision: 6/18/13
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Project Initiation and Planning
Request for Certification and Release of Funds Form
ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE
Transition to Operations: Post Production Support
The agency plans to maintain a support plan from the software vendor, Adobe. This will allow
the agency to receive periodic upgrades, service packs and hot fixes. The Office of Inspector
General, in conjunction with technical staff from the web support unit, will continue in the role
of approving forms, as well as creating new forms and editing existing forms. The OIG will be
responsible for general form layout and basic validation logic, while the web unit staff will be
responsible for developing workflow logic. The Network Support and or Help Desk units will
be responsible for ensuring our digital or electronic signature infrastructure.
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