Department of Workforce Solutions
SHARE
GRANTS / PROJECTS
Project Charter For Certification
Executive Sponsor
Neil Meoni, Deputy Cabinet Secretary
Business Owners
Neil Meoni, NMDWS Deputy Cabinet Secretary
John Prihoda, SHARE Development NMDFA
Steve Yore, DoIT PeopleSoft System Manager
John Salazar, DWS CIO
Lloyd garley, DWS ASD Director
Project Manager
Ken Hudzik, WTD Financial Application Bureau Chief
Revision Date: December 10, 2009
Revision: 0001
DWS SHARE GRANTS / PROJECTS
table of contents
table of contents 1
1. project background 3
1.1 Executive Summary 3
Goals of the Project 3
1.2 Summary of the foundation planning and documentation for the project 4
1.3 Project Certification Requirements 4
2.0 Justification, Objectives and impacts 4
2.1 Agency Justification 4
2.2 Business Objectives 5
2.4 Impact on Organization 6
2.5 Transition to Operations 6
3.0 Project/Product Scope of Work 8
3.1 Deliverables 8
3.1.1 Project Deliverables 8
3.1.2 Product Deliverables 9
3.2 Success and QUALITY METRICS 10
4.0 Schedule Estimate 11
5.0 Budget Estimate 12
5.1 Funding Source(s) 12
5.3 Budget By Project Phase or Certification Phase 14
6.1 STAKEHOLDERS 14
6.2 PROJECT GOVERNANCE PLAN 15
6.3 PROJECT MANAGER 16
6.3.1 PROJECT MANAGER CONTACT INFORMATION 16
6.3.2 PROJECT MANAGER BACKGROUND 16
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES 16
6.5 Project Management Methodology 18
7.0 Constraints 18
8.0 Dependencies 19
9.0 Assumptions 19
10.0 Significant Risks and Mitigation Strategy 21
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING 22
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V 23
14.0 Project Charter Certification Approval Signature 24
Revision History
0001 / 12/10/09
1. project background
1.1 Executive Summary
The Department of Workforce Solutions (DWS) has not been able to satisfactorily capture and manage financial information for Grants related projects using the SHARE financial application. SHARE is the state designated financial management system.
The purpose of this project is to identify and resolve system limitations relating to the Grants and Projects module. This will be integrated through technical and functional deliverables and specific solutions to best use the SHARE Grants and Projects Modules features. Two important goals:
1.) Improve system functionality allowing DWS users to efficiently use the Grants system including: Grants, Project Costing, Contracts, Commitment Control, Accounts Receivable, Billing, and General Ledger.
2.) Establish the capability to enter data at the category level, report, reconcile and invoice.
This project will build upon the existing infrastructure and knowledge base of the State of New Mexico SHARE system by fully implementing the State owned PeopleSoft Grants and Projects Modules. It will enhance and automate the Grants and Projects Funds Distribution Management and Reporting process.
The project will leverage existing work done to align business processes from the SHARE implementation and the internal business, functional and project management knowledge and skills to complete this implementation. We plan to use contract support staff for expertise in needs assessment, gap analysis, and system configuration changes.
Existing DFA/FCD, DoIT and DWS staff have significant functional experience in the Grants and Projects Module that will compliment and complete the required business and functional skills required to complete this project successfully.
Goals of the Project
· Achieve accurate Federal and State Program Funding Control, new and improved Grant and Project accounting methods, Time and Labor allocations to Projects and certified Federal and State Reports.
· NMDWS Program Managers will be able to determine the financial status of their Program Budget according to Grant and Project Income, Activity, and Expenditures.
· Set up Project, Activity, and Combo codes with the long-term perspective of the Project / Program, to span multiple Federal or State fiscal years, calendar years, or special budget request periods.
· Create and amend contracts in the Contracts Module for federal and state funding, competitive funding, and other contracts associated with our Agency (Joint powers agreements, intergovernmental agreements, memorandums of understanding, data sharing agreements and resource sharing agreements.)
1.2 Summary of the foundation planning and documentation for the project
Customize the needs of SHARE Grants and Projects module to meet the financial data requirements of DWS. Provide a successful implementation of this module as a stakeholder participant with DFA and DOIT to use as a prototype to other enterprise agencies seeking to implement the same module improvements.
1.3 Project Certification Requirements
The project meets the DoIT certification requirements in dollar size and impact to multiple agencies. Included in this is the requirement to provide monthly project reporting to the DoIT, IV&V risk assessment reporting, and project management guidance and leadership to the project.
2.0 Justification, Objectives and impacts
2.1 Agency Justification
Number / Description /Justification 1
Justification 2
justification 3 / The SHARE Grants and Projects project will enhance and meet critical need through the implementation of comprehensive Grants and Projects automated solutions.
It will identify the procedural changes, system configuration changes, and data cleanup necessary to achieve two important goals: a.) Improve system functionality allowing State of New Mexico users to expertly use, maintain and support the Grants system including: Grants, Project Costing, Contracts, Commitment Control, Accounts Receivable, Billing, and General Ledger. b.) Establish the capability across the SoNM enterprise to enter data at the category level, report, reconcile and invoice.
SHARE is part of the DoIT statewide strategy to reduce the cost and complexity of information technology operations through an Enterprise model. NMDWS will serve as the Pilot Agency for the state-wide Enterprise Approach.
This project supports the DFA Fiscal Year 2009 Strategic Plan
· Implement the processes to effectively and efficiently operate SHARE
· Provide reliable tools to the end-users of SHARE and well engineered and linked processes that produce desirable, predictable results
· Ensure financial employees have the capabilities to effectively and efficiently use the system.
2.2 Business Objectives
Number / Description /Business Objective 1 / NMDWS will use the PeopleSoft SHARE Grants and Projects Modules to accurately track and account for Federal dollars for Programs like Workforce Investment and Wagner-Peyser.
Business Objective 2 / NMDWS Contracts, Projects and Funding Commitment Control will be defined under our Business Unit (63100) in the system according to the terms of the Federal and State Funding and Procurement rules. We will be able to verify association of Project to Contract — track the type, phase and/or status of projects (e.g., Open, Closed, Initiated, etc.) — and use the system to break down transactions to a very detailed level of Activities, Sub-projects, Phases, and Sub-categories.
Business objective 3 / NMDWS will be able to determine Project costs and percentage completed. We will monitor funds distribution by Project and Activity in the system with cost share and allocation percentages. We can increase or decrease limit amounts of the Project Budget in the system if programs gain or lose funds, and we can set alerts to notify when a Project goes “Over the Limit.”
2.3 Technical Objectives
Technical Objective 1 / Configuration improvements will be within the existing system functionality within NMDW. Configurations will not affect other state agencies.
Technical Objective 2 / No system modifications to core PeopleSoft system. No “Development Requests” will be required to DFA.
2.4 Impact on Organization
Area / Description /DWS / The implementation of a comprehensive Grants and Projects solution will provide an effective, efficient operation resulting in reengineered business processes and procedures. As a result, our agency will be in compliance with USDOL and DFA requirements.
End user / Deliver training and understanding of system functionality and features to business users.
Business Processes / Provide consistent system solutions to financial management needs.
2.5 Transition to Operations
Area / Description /Preliminary Operations location / Operations
Software is currently installed on the SHARE hardware which is located at the Simms Data Center/Santa Fe, New Mexico
Business Processing
This project will develop new business processes, replace current customizations, and implement delivered functionality not previously configured.
IT Staff
This project will use contractors for expertise in system configuration changes and the data cleanup. Existing NMDWS, DFA/FCD staff have functional experience in the PeopleSoft module that will complement, and complete the required business and functional skills required to complete this project successfully.
Data Security, Business Continuity / Security - The project will follow the current SHARE State Security standards with front end web and network security authentication. System level access is determined by pre-defined security roles currently within the PeopleSoft software. System will be supported by anti-virus software managed by DoIT.
Business Continuity –DFA/FCD is currently in the process of developing a business continuity plan for SHARE. DoIT is responsible for the Disaster Recovery Plan for SHARE.
Maintenance Strategy / Systems Maintenance will follow SHARE’s operations maintenance plan. All changes that change the functionality of the modules will be in accordance with the SHARE Change Management Policy.
Interoperability / N/A
Record retention / SHARE Record Retention policy will apply. State Records and Archive Center (SRCA) Record Retention policy will apply.
Consolidation strategy / The Grants and Projects modules are currently implemented on the State’s SHARE ERP system. This is in direct support of the Governor’s Executive Order 2004-014 -CONSOLIDATING AGENCY INFORMATION TECHNOLOGY OPERATIONS AND GOVERNANCE.
3.0 Project/Product Scope of Work
The purpose of this project is to resolve issues and functional limitations related to Grants and Projects with technical and functional help and specific solutions to best utilize the SHARE Grants and Projects Modules features with two important goals: 1.) Improve system functionality allowing DWS users to expertly use, maintain and support the Grants system including: Grants, Project Costing, Contracts, Commitment Control, Accounts Receivable, Billing, and General Ledger. 2.) Establish the capability at DWS and across the SoNM enterprise to enter data at the category level, report, reconcile and invoice.
The scope of this project will include:
· A review of the PeopleSoft (SHARE) Grants and Projects Financials configuration and implementation
· Perform troubleshooting of the system as defined during a Planning Phase and Fit-Gap analysis
· Using Best Practices, develop the strategy to resolve issues with the configuration of the PeopleSoft system across the SoNM and meet NMDWS Federal and State reporting needs.
· Re-engineer and configure the Grants and Projects Modules Installation, Integration and Interface Options
3.1 Deliverables
3.1.1 Project Deliverables
Project Charter / The Project Charter sets the overall scope for the project, the governance structure, and when signed is considered authority to proceed with the project. The Project Charter is used to provide the Project Certification Committee with adequate knowledge of the project and its planning to certify the initiation phase of the projectCertification Form / The Request for Certification and Release of Funds form is submitted when a project goes for any of the DoIT certification phases.
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.
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.
IT Service Contracts / The Department of Information Technology and the State Purchasing Division of General Services have established a template and process for all IT related contracts.
Risk Assessment and management / The DoIT Initial PROJECT RISK ASSESSMENT template which is meant to fulfill the following requirement:
“Prepare a written risk assessment report at the inception of a project and at end of each product development lifecycle phase or more frequently for large high-risk projects. Each risk assessment shall be included as a project activity in project schedule.” Project Oversight Process memorandum
Project Schedule / A tool used to indicate the planned dates, dependencies, and assigned resources for performing activities and for meeting milestones. The de-facto standard is Microsoft Project
Monthly Project Status Reports to DoIT / Project status reports. For all projects that require Department oversight, the lead agency project manager shall submit an agency approved project status report on a monthly basis to the Department.
Project Closeout Report / This is the Template used to request that the project be officially closed. Note that project closure is the last phase of the certification process
3.1.2 Product Deliverables
Requirements Documents / A Requirements Document has been developed that defines the Grants and Projects scope of work. Meetings were held with the subject matter experts from NMDWS and Oracle to define business processing requirements. Additional Fit/Gap Analysis meetings will be held during the Planning Stage.Design Documents / Design documents for the business process development and the re-configuration of the Grants and Projects module will be developed as part of the Planning and Implementation phases of the project.
Systems Specifications / All re-configuration and enhancements will be implemented within the existing SHARE application platform.
Systems Architecture / The project will not make any changes or modifications to the existing SHARE PeopleSoft operating platforms. Architecture will be scalable to allow for growth, provide interoperability with other systems, have a secure web front end, be security rules based and provide multiple security layers for user authentication.
System and Acceptance Testing / The Grants and Projects Module users will test changes to system functionality, reporting accuracy and accuracy of new business processes.
SHARE IT Technical Support Staff will test system operational performance.
Operations requirements / Current SHARE operations methodology will be followed.
3.2 Success and QUALITY METRICS
Number / DescriptionQuality Metrics 1 / Integrate Grants with Projects, Contracts, Receivables, Billing, and General Ledger Provide data for integration with a wide range of complementary PeopleSoft applications and third-party project management systems (nVision), (XML) applications for Federal Reporting Online.
Quality Metrics 2 / Track transactions from the beginning of the procurement cycle, through budget check to billing.
Quality Metrics 3 / The ability to create a centralized repository for financials and distribution of information related to individual projects used for reporting and further processing.
Quality Metrics 4 / Ability to customize, calculate, and submit Grant Draw-down (invoices). Automatic generation of entries for revenue recognition; Manage bill cycles and streamline processes to create a customized billing system
4.0 Schedule Estimate
Project Phase / Start Date / CompletionDate / Goals
Initiating / May 2009 / Determine project goals and deliverables, Begin development of Project Management Plan, draft IV & V contract and plan. Keeping to the Department of Information Technology guidelines, our Workforce Technology SHARE staff completed the required DoIT Initiation Phase, including creating the SHARE “TIPS” project plan, phases and assessments, establishing an internal committee, developing a communication strategy, and evaluating procurement options.
Planning / January 2010 / Perform software functionality assessment; develop list of procedural and configuration changes; Conduct “Practicality of Use” Workshop; Assess SoNM Business Needs; Conduct a Fit-Gap; Conduct a Best Practices and Practicality of Use Workshop
Create functional design documentation with any proposed modifications defined during the fit-gap; Create Implementation environments; Review a grant setup: pre-award, post-award, budgets; Layout, Adopt, Plan Best Practices; Plan for changes
Development of Risk Assessment & Mitigation Plan, completion of Project Management Plan, Project Schedule, Scope definition and cost estimates for configuration changes and data cleanup, resource planning. Finalize IV&V contract and hire IV&V consultant. Draft Scope of Work and contract for design of procedural and system changes. Hire contractors.
Implementing / January 2010 / June 2010 / Set-up Base Tables and Installation Options; Design Security Requirements; Design Testing Plans; Finalize Baseline Project Plan; Conduct Pilots; Build and Test Modifications; Perform Configuration Validation; Document New Processes and Procedures
Closing / July 2010 / DoIT Closure Report, IV &V Close out report, Lessons Learned Post Mortem.
5.0 Budget Estimate
ITEM ESTIMATEConsulting Services / For Functionality Assessment / $400,000.00
IV&V / $50,000.00
Project Manager / 150,000.00
Hardware / $ 0.00
Software / $ 0.00
Support / Annual Software and Hardware Maintenance paid by DoIT / $0.00
Contingency / $0.00
TOTAL BUDGET / Initiation and Planning / $600,000.00
5.1 Funding Source(s)
Source / Amount / Associated restrictionsJob Creation and Worker Assistance Act of 2002 and Section 903 of the Social Security Act, as amended, also known as the federal Reed Act; made available in Subsection 21 of Section 7 of Chapter 33 of Laws 2005 as extended by Subsection 18 of Section 7 of Chapter 109 of Laws 2007 as extended by Subsection 23 of Section 7 of Chapter 28 of Laws 2007 as extended by Subsection 28 of Section 7 of Chapter 3 of Laws 2008. / $1, 700,000.00 / 1.7 remaining of appropriated $3.5 million. This funding expires June 30, 2010.
TOTAL FUNDS / $1,700, 000.00
5.2 Budget by Major Deliverable or Type of expense -