Electronic Statewide Transportation Improvement Program (eSTIP)
Project Charter For Certification
Executive Sponsor – [Marcos Trujillo, Acting Project Oversight Division Director]
Business Owner - [Rebecca Maes, Project Oversight Division, Staff Manager]
Project Manager – [Rebecca Maes, Melissa Herrera and Roseann Rice (Project Oversight Division) and Jo Girard (Information Technology)]
Original Plan Date: [March 3, 2017]
Revision Date: [June 13, 2017]
Revision: [1.1]
About This Project Charter DOCUMENT
Permission to plan the projec t and setting the governance structure
The Project Charter provides the project manager and project team with permission to proceed with the work of the project, within the scope delineated in this document. The Project Charter should be the outcome of a number of documents that went into the pre-planning for the project, and in many cases the agency IT Plan, Business Case for appropriations, Federal funding requests and the like.
Project sponsors sign the Project Charter signifying that they have agreed to the governance structure for guiding the direction for the further planning of the project, discovery and defining the requirements, acquiring necessary resources, and within that context the statement of work for any related contracts including a contract for the Independent Validation and Verification.
The Project Charter is also the foundation for the creation of the project management plan, and much of the thinking and writing for this charter will be immediately usable for that project management plan.
Project certification Initial phase documentation
The Project Charter is also used within the State of New Mexico IT Project Certification process as evidence of the project’s worthiness for the Initial Phase certification. The Initial Phase certification is especially critical to many state and agency projects because of its related release of the initial funds required for the project.
Initiation Phase funding is requested by an agency for use in developing project phases, developing Independent Verification and Validation (“IV&V”) plan and contract; address project review issues and/or to develop an overall project management plan. Note: Waiver of the IV&V requirement requires specific written approval by the Secretary of the DoIT.
DoIT “Project Certification” Memorandum July 2, 2007
The Project Charter and the Request for Certification Form are meant to provide a comprehensive picture of the project’s intention and initial planning, that includes the project’s place in the context of the State of New Mexico’s IT Strategic Plan, Enterprise Architecture, and DoIT project oversight process. See “IT Project Oversight Process” Memorandum July 5th 2007 on the OCIO-DoIT web site.
table of contents
About This Project Charter DOCUMENT i
table of contents ii
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
an Electronic Statewide Transportation Improvement Program (eSTIP) for the NMDOT Project Oversight Division (POD). The eSTIP, which will replace a prior, on-line programming, (Oracle Forms Application and Database) and reporting system, shall include the applications and services required to support the Statewide Transportation Improvement Programs and activities. The eSTIP shall be interoperable with Federal Highway Administration (FHWA) reporting systems and programs. This project is funded by FHWA.1.3 Project Certification Requirements 1
2.0 Justification, Objectives and impacts 2
2.1 Agency Justification 2
2.2 Business Objectives 3
2.3 Technical Objectives 3
2.4 Impact on Organization 4
2.5 Transition to Operations 5
3.0 Project/Product Scope of Work 5
3.1 Deliverables 6
3.1.1 Project Deliverables 6
3.1.2 Product Deliverables 7
3.2 Success and QUALITY METRICS 8
4.0 Schedule Estimate 9
5.0 Budget Estimate 9
5.1 Funding Source(s) 9
5.2. Budget By Major Deliverable or Type of expense - 10
5.3 Budget By Project Phase or Certification Phase 10
6.0 Project Authority and Organizational Structure 11
6.1 STAKEHOLDERS 11
6.2 PROJECT GOVERNANCE PLAN 12
13
6.3 PROJECT MANAGER 14
6.3.1 PROJECT MANAGER CONTACT INFORMATION 14
6.3.2 PROJECT MANAGER BACKGROUND 19
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES 19
6.5 Project management Methodology 62
7.0 Constraints 64
8.0 Dependencies 70
9.0 Assumptions 79
10.0 Significant Risks and Mitigation Strategy 86
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING 93
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V 96
13.0 Project Charter Agency Approval Signatures 108
14.0 Project Charter Certification Approval Signature 113
Revision History
Revision Number / Date / Comment1.0 / March 3, 2017 / Original plan.
1.1 / June 13, 2017 / Minor changes to reflect project planning.
v
Project Charter [Project name] 19
1. project background
1.1 Executive Summary -rationale for the project
This project will create a system that will enable the NMDOT to accurately compile, and electronically submit, the Statewide Transportation Improvement Program (STIP) report to the Federal Highway Administration (FHWA). The system will replace the current Statewide Transportation Improvement Program Oracle database and the associated STIP/Work Program application, which is obsolete, and does not allow access by external agencies who utilize and review the STIP, or by the general public, to view the current year STIP. This limitation requires a number of manual spreadsheet-based processes to exchange information with partner agencies and the FHWA, reducing efficiency. The new eSTIP system will enable more timely and accurate collection and processing of planning and project data. The system will be web-based and will include both a public-facing website and a secured user interface for use by the NMDOT and external planning partners, collectively referred to as MPO(s) or RTPO(s).
The new system will provide for the development of the electronic Statewide Transportation System Program reports for electronic submittal to Federal agencies so that they can more effectively allocate federal funds for statewide transportation projects. The new system will also provide a GIS mapping component that will allow users to easily view Project locations on a map. Both internal and external users will be able to enter, sort, and filter data in custom views to analyze information as desired.
The eSTIP will meet the federal requirements pursuant to: 23 CFR 450
1.2 Summary of the foundation planning and documentation for the project
The New Mexico Department of Transportation (NMDOT) is requesting
an Electronic Statewide Transportation Improvement Program (eSTIP) for the NMDOT Project Oversight Division (POD). The eSTIP, which will replace a prior, on-line programming, (Oracle Forms Application and Database) and reporting system, shall include the applications and services required to support the Statewide Transportation Improvement Programs and activities. The eSTIP shall be interoperable with Federal Highway Administration (FHWA) reporting systems and programs. This project is funded by FHWA.1.3 Project Certification Requirements
Does the project fit into the criteria for certification? Which and how?
CRITERIA / YES/NO / EXPLANATIONProject is mission critical to the agency / Yes / Manages all federally funded and regionally significant projects for the agency
Project cost is equal to or in excess of $100,000.00 / Yes / First year cost: $200,000
Total cost (4-year): $736,136.48
Project impacts customer on-line access / Yes / MPO customers will use system to manage TIP and general public will be able to access current year plan
Project is one deemed appropriate by the Secretary of the DoIT / Yes / DoIT approved
Will an IT Architecture Review be required? / No / Solution will be externally hosted. (Hosting exception approved by DoIT, April 18, 2016.)
2.0 Justification, Objectives and impacts
2.1 Agency Justification
The new system will provide for the development of the electronic Statewide Transportation System Program reports for electronic submittal to Federal agencies so that they can more effectively allocate federal funds for statewide transportation projects. The new system will provide a GIS mapping component that will allow users to view Project locations on a map. Both internal and external users will be able to enter, sort, and filter data in custom views to analyze information as desired. This will enable NMDOT to achieve the following strategic goals:
Number / Description /NMDOT 1 / Provide a web-based application and database customizable to meet current and emerging state-wide and federal requirements.
NMDOT 2 / Provide 24/7 access and have a capacity of 200 concurrent users including all internal and external users.
NMDOT 3 / Provide a web-based application and database which shall include all aspects of project information, reporting and obligations for Federal Highway Administration (FHWA) and other funded programs
NMDOT 4 / Provide a web-based application and database which shall be interoperable to the extent allowable with FHWA’s Financial Management Information System (FMIS 5)
NMDOT 5 / Provide a web-based application and database which supports Linear Referencing System (LRS) capability as well as interfaces to other required systems
NMDOT 6 / Provide a web-based view of project data approved for general public review and comment
2.2 Business Objectives
Number / Description /Business Objective 1 / Increased efficiency and productivity through a well-managed planning, programming and tracking system
Business Objective 2 / Optimize business process, decreasing number of steps, saving time
Business Objective 3 / Lower the cost of government by having a more efficient work activity process tracking
Business Objective 4 / Improve reporting capability to executive management and to FHWA/FTA
Business Objective 5 / Substantial NMDOT business process improvements are achievable through a new planning and programming system available to sub-recipients of FHWA funds and FHWA approvers
Business Objective 6 / Provide a planning and programming system for tracking of projects to ensure that current data is utilized in the decision-making process for the Agency’s Long-Term Plan to ensure a State of Good Repair.
2.3 Technical Objectives
Number / Description /Technical Objective 1 / Provide an externally hosted, web-based application and database which provides the capacity for 24/7 access for up to 200 concurrent users
Technical Objective 2 / Provide capability to meet business, functional and technical requirements via configurability of the base product offering, and minimize need for custom development to minimize implementation and maintenance cost and risk.
Technical Objective 3 / Provide capability for role-based secure access to application workflows and data, and meet current NMDOT standards for password security.
Technical Objective 4 / Meet current NMDOT standards for data security, including access, transfer, backup and retention.
2.4 Impact on Organization
The impacts on the organization are areas that need to be addressed by the project through its planning process. They may not be internal project risks, but they can impact the success of the project’s implementation.
Area / Description /End user / Internal users will be required to learn and adopt the new system for use in daily planning and programming of federal and regionally significant projects, in order to meet federal eligibility guidelines.
Business Processes / The new system will have a substantial impact on existing paper and spreadsheet based business processes, allowing for automating and streamlining many process steps.
New business processes will be developed to allow external users to interact with the system.
It Operations and staffing / There will be minimal impact to this area as the solution will be hosted externally. A process to receive and archive regular data exports for use with other business units may be required to be developed.
Other / n/a
2.5 Transition to Operations
The transition to operations areas include items that are asked in the certification form to assure that the project has accounted or will account for these matters in its planning and requirements specifications.
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. The system will be externally hosted.
Data Security, Business Continuity / Security parameters for data will be built into system to include any information that is deemed confidential by law or is required to be viewed only by users with specific role-based permissions.
Maintenance Strategy / Annual maintenance agreement from vendor. Specific deliverables will be in a binding contract agreement.
Interoperability / The system will be externally hosted and will interface to other NMDOT systems and applications, including P6 (Primavera) and others, as required. The system shall interface with the FHWA’s FMIS system, where allowed.
Record retention / Retention policies will be built into new system.
Consolidation strategy / The system will consolidate the existing paper and spreadsheet method of submitting quarterly amendments to FHWA and FTA, and replace the manual processes for generating and submitting the fed form requesting authorization on federal aid projects.
3.0 Project/Product Scope of Work
In its efforts to move from the high level business objectives to the desired end product/service the project team will need to deliver specific documents or work products. The State of New Mexico Project Management Methodology distinguishes between the project and the product.
Project Deliverables relate to how we conduct the business of the project. Product Deliverables relate to how we define what the end result or product will be, and trace our stakeholder requirements through to product acceptance, and trace our end product features and attributes back to our initial requirements
3.1 Deliverables
3.1.1 Project Deliverables
This initial list of project deliverables are those called for by the IT Certification Process and Project Oversight memorandum, but does not exhaust the project deliverable documents
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 projectCertification 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. plan.”
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.
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 / 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 defacto 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
The product deliverable documents listed here are only used for illustration purposes