New Mexico E-Citation Project

New Mexico E-Citation Project

Project Charter For Certification

Executive Sponsors:

Tom Church, Cabinet Secretary Designate

Kathryn Bender, Deputy Secretary, Programs and Infrastructure

Tamara P. Haas, Director, Office of Asset Management

Michael Sandoval, Director, Planning and Safety Division

Eric Roybal, Acting Chief Information Officer

Business Owner: Michael Sandoval, Director, Planning and Safety Division

Project Analyst: Anthony Apodaca, Planning and Safety Division

Original Plan Date: December 4, 2013

Revision Date: January 15 2014

Revision: 1.1

table of contents

table of contents

1.project background

1.1Executive Summary -rationale for the project

1.2Summary of the foundation planning and documentation for the project

1.3 Project Certification Requirements

2.0 Justification, Objectives and impacts

2.1 Agency Justification

2.2 Business Objectives

2.3 Technical Objectives

2.4 Impact on Organization

2.5 Transition to Operations

3.0 Project/Product Scope of Work

3.1 Deliverables

3.1.1 Project Deliverables

3.1.2 Product Deliverables

3.2 Success and Quality Metrics

4.0 Schedule Estimate

5.0 Budget Estimate

5.1 Funding Source(s)

5.2. Budget By Major Deliverable or Type of expense –

5.3 Budget By Project Phase or Certification Phase

6.0 Project Authority and Organizational Structure

6.1 STAKEHOLDERS

6.2 PROJECT GOVERNANCE PLAN

6.3 PROJECT MANAGER

6.3.1 PROJECT MANAGER CONTACT INFORMATION

12.3.2PROJECT MANAGER BACKGROUND

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES

6.5 Project management Methodology

7.0 Constraints

8.0 Dependencies

9.0 Assumptions

10.0 Significant Risks and Mitigation Strategy

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V

13.0 Project Charter Agency Approval Signatures

14.0 Project Charter Certification Approval Signature

Revision History

Revision Number / Date / Comment
1.0 / December 4, 2013 / Original Document
1.1 / January 15, 2014 / Revisions for PCC Certification

1

Project Charter DOT E-Citations Project1

1.project background

1.1Executive Summary -rationale for the project

The New Mexico E-Citation project is a multi-phase, multi-year program designed for the purpose of integrating the Traffic and Criminal Software (TraCS), utilized by Law Enforcement Agency (LEA) personnel for issuing electronic citations, with the Odyssey Court Case Management systems utilized by County Magistrate Courts in New Mexico. The proposed project will provide a seamless integration of the electronic citation data, issued from the TraCS software by law enforcement agencies, to the Odyssey Case Management system. The automation will eliminate redundant data entry, currently performed by court personnel, and reduce manual keystroke errors. The E-Citation project will improve the timeliness, completeness, uniformity, and integration of driver and vehicle information needed by the courts in New Mexico.

The E-Citation project supports New Mexico’s larger goal of collecting and sharing Traffic Safety Data with internal and external stakeholders, to identify priorities for National, State, Local, and Tribal highway safety programs.

The Statewide Traffic Records Executive Oversight Committee (STREOC) members and the Statewide Traffic Records Coordinating Committee (STRCC) members represent many New Mexico agencies that create, share, and report on traffic records data. Since 2002, STREOC has provided oversight and policy direction to the STRCC, and facilitated the establishment of a long-range strategic plan for traffic record system improvements. The STRCC Strategic Planwas developed and adopted by the STREOC and the STRCC in December 2002, with the latest update approved in December 2012. This STRCC Strategic plan includes the concept behind the E-Citation project.

1.2Summary of the foundation planning and documentation for the project

In 2003, at the direction of Governor Bill Richardson, astatewide,multi-agency, Strategic Planning Committee was formed to address the issues of Driving While Intoxicated (DWI. The resulting DWI Strategic Plan describes a comprehensive DWI Data System as its top priority. Major components of such a system include:

• Electronic data entry in the field of DWI-related paperwork by law enforcement agencies (e-citation).
• Electronic transfer of DWI-related paperwork among law enforcement agencies, courts (District, Metropolitan, Magistrate and Municipal), District Attorneys and the Motor Vehicle Division. Improved data transfer between law enforcement agencies and the Scientific Laboratory Division of the Department of Health (DOH).
• Sentence compliance tracking with electronic data transfer between the courts and the compliance tracking system, including probation and corrections and eventually evaluation and central data repository.

In addition, this project is aligned with the following strategic plans and assessments:

• Department of Transportation Highway Safety Performance Plan
• Department of Transportation Comprehensive Transportation Safety Plan
• NM Statewide Traffic Records Strategic Plan
• NM Traffic Records Assessment.

1.3 Project Certification Requirements

CRITERIA / YES/NO / EXPLANATION
Project is mission critical to the agencies / Yes / The E-Citation Project is a multi-agency project providing workflow automation, and data integration of electronic citation information from the DOT TraCS software module to the New Mexico Courts. Odyssey Case Management system.
Project cost is equal to or in excess of $100,000.00 / Yes / Total estimated cost for Federal Fiscal years 14 and 15 is $400,000
Project impacts customer on-line access / Yes / The E-Citation project will automate the process of generating court cases in the Odyssey Case Management system, with little or no data entry required by the court staff – thereby increasing productivity and efficiency.
Project is one deemed appropriate by the Secretary of the DoIT / Yes / Project meets the State’s Strategic objectives and is supported by DoIT.
Will an IT Architecture Review be required? / No / Phase 1 of this project is to install, configure, and connect the Albuquerque Police Department TraCS software with the Bernalillo Odyssey System to transfer electronic citations directly to the court’s case management system.
Activities include:

1. Hardware and Software Acquisition
2. Installation and configuration of hardware and software
3. Network and Security configuration, testing and implementation
4. Development of data mapping and data extraction facilities
5. Conducting User Acceptance Testing
6. Conducting Training for Users and IT Operational Staff Members.

2.0 Justification, Objectives and impacts

2.1 Agency Justification

Number / Description
1 / The goal of this project is to successfully integrate data between the New Mexico Law Enforcement Agencies TraCS systems and the Magistrate Courts’ Odyssey Case Management System.

2.2 Business Objectives

Number / Description
Business Objective 1 / Increase efficiency and productivity
Business Objective 2 / Optimize business processes, decreasing the number of steps, saving time
Business Objective 3 / Lower the cost of government, provide more effective Electronic Records Administration Management
Business Objective 4 / Improve service delivery to constituency
Business Objective 5 / Reduce manual, paper-based Court Case Management processes, which contribute to high costs and overhead expenses.

2.3 Technical Objectives

Number / Description
Technical Objective 1 / Extract electronic citation information from the New Mexico Law Enforcement Agencies,TraCS-centralized databases for import to corresponding Magistrate Court Odyssey Case Management System.
Technical Objective 2 / Develop, configure and install network architecture connectivity and security between Law Enforcement Agencies and Magistrate Courts.
Technical Objective 3 / Develop Reconciliation facilities in order to determine if all records were transmitted successfully, and to also create a process for retransmitting failed Transactions.

2.4 Impact on Organization

Area / Description
End user / Proposed automation as a result of the E-Citation project should realize improved efficiencies for court personnel because of the Citation data entry process is to be eliminated.
Business Processes / Automation of Data Entry Business Processes will provide staff efficiencies.
It Operations and staffing / Once network connectivity and security is configured, IT Operations Staff members will only be responsible for monitoring the transmittal process and reconciling the transmitted records.
Other / Constituents appearing before the magistrate courts can be assured that the infractions they are facing are free from any data entry errors that may have been introduced via a paper-process methodology.

2.5 Transition to Operations

Area / Description
Preliminary Operations location and staffing plans / Not Applicable
Data Security, Business Continuity / Data will be encrypted as it travels from the LEA central database server to the Odyssey Case Management Systems.
Maintenance Strategy / Software, network and security configuration settings will be documented for each deployment and stored in an Electronic project repository housed at DOT.
Interoperability / The proposed integration is already operational between the Dona Ana County Sheriff’s Department and the Don Ana Magistrate Court.
Record retention / Information is electronic based and records retention schedules for each LEA and Magistrate Jurisdiction will be addressed during the configuration process.
Consolidation strategy / In cases where consolidation is viable, LEAs and Courts will be asked to consolidate their computing infrastructures.

3.0 Project/Product Scope of Work

3.1 Deliverables

3.1.1 Project Deliverables

• Project Charter
• Certification Form
• Project Management Plan
• IV&V Contract & Reports
• IT Service Contracts
• Risk Assessment and Management
• Project Schedule
• Monthly Project Status Reports to DoIT
• Project Closeout Report

3.1.2 Product Deliverables

Requirements Documents / The requirements will be defined and documented during the Planning Phase. This will define goals, business processes, critical factors, current environment, sizing requirements, current vendor environment, # of users, work processing requirements, other needs.
Design Documents / The Vendor will be required to deliver design documents for network configuration, security authentication, transmission reconciliation, and database mapping methodologies.
Systems Specifications / System specifications are in place for both the TraCS and Odyssey Case Management Software.
Systems Architecture / The E-Citation project will use the same technical architecture as the TraCS Statewide Rollout project which has been in production since 2009.
System and Acceptance Testing / The users will test system functionality, performance, reporting accuracy and response times.
IT Technical Support Staff will test system operational performance.
Operations requirements / The Vendor will be required to deliver Operations documentation for network configuration, security authentication, transmission reconciliation, and database mapping methodologies.

3.2 Success and Quality Metrics

Number / Description
Quality Metrics 1 / The project schedule, assigned tasks, resources and milestones are met.
Quality Metrics 2 / Project does not exceed budget.
Quality Metrics 3 / Electronic citation information is successfully transmitted from Law Enforcement Agency TraCS software to the corresponding Magistrate Court’s Odyssey Case Management system.
Quality Metrics 4 / System integration is secure, operable and stable
Quality Metrics 5 / Data integrity is maintained
Quality Metrics 5 / LEA IT Operational Staff is adequately trained on reconciling data transmission efforts

4.0 Schedule Estimate

Project Phase / Start Date / Completion
Date / Goals
Initiating / 12/1/2013 / 1/22/2014 / Determine budget availability, team members, analyze and determine infrastructure needed, Develop Project Management Plan, develop risk and mitigation plan.
Planning / 1/22/2014 / 5/31/2014 / Identify and document Albuquerque City and Bernalillo County motor vehicle enforcement ordinances.
Document TraCS database requirements for citation infractions.
Document Bernalillo County Odyssey Case Management Traffic Citation database requirements.
Document Albuquerque Police Department computing network, and security requirements.
Document Bernalillo County Magistrate Court computing network and security requirements.
Implementing / 6/01/2014 / 5/31/2015 / Phase 1 of this project is to install, configure, and connect the Albuquerque Police Department’s Office TraCS software with the Bernalillo Odyssey System to transfer electronic citations directly to the court’s case management system.
Activities include:

1. Hardware and Software Acquisition
2. Installation and configuration of hardware and software
   
3. Network and Security configuration, testing and implementation
4. Development of data mapping and data extraction facilities
5. Conducting User Acceptance Testing
6. Conducting Training for Users and IT Operational Staff Members

Closing / 6/1/2015 / 6/30/2015 / Phase 1- DoIT Closure Report, Follow-up Training, and Project Closure.

5.0 Budget Estimate

5.1 Funding Source(s)

Source / Amount / Associated restrictions
FFY14 Highway Safety Plan 14-HE-64-P03 TraCS Citation Adjudication Data Transfer / $200,000 / Federal oversight and reporting.

5.2. Budget By Major Deliverable or Type of expense –

Item / Estimate
Integration Strategy / $13,600
Data Mapping Configuration and Security Methodology Strategy / $13,600
User Acceptance Test Plan / $13,600
Configure TraCS Testing Environment / $27,000
Configure Network and Security Testing Environment / $27,000
User Acceptance Testing / $27,000
IT Operational Training / $27,000
Transition to Production / $13,600
Hardware and Software Purchase / $36,800
Total Budget / $200,000

5.3 Budget

Description / FY 14 & Prior / FY 15 / FY 16
Consulting / $68,000 / $95,200
Hardware / $26,800
Software / $10,000
TOTAL / $104,800 / $95,200

6.0 Project Authority and Organizational Structure

6.1 STAKEHOLDERS

name / Stake in Project / Organization / Title
Tom Church / OVERALL Program responsibility / NM DOT / Cabinet Secretary Designate
Kathryn Bender / program administration responsibility / NM DOT / Deputy Secretary
Tama P. Hass / program Financial responsibility / NM DOT / Director Office of Asset Management
Michael Sandoval / Program administration / NM DOT / Director Planning and Safety Division
Eric Roybal / Quality Assurance Management and IT system administration / NM DOT / Acting Chief Information Officer
Anthony Apodaca / Project Analyst / NM DOT / Management Analyst
Dave Martinez / Co-Project Analyst / NM DOT / Management Analyst
CSW Enterprises / Project Management / CSW Enterprises / Vendor

6.2 PROJECT GOVERNANCE PLAN

6.3 PROJECT MANAGER

6.3.1 PROJECT MANAGER CONTACT INFORMATION

name / Organization / Phone #(s) / Email
Nick Salazar / CSW Enterprises, LLC / (505) 310-3184
john Salazar / CSW Enterprises, LLC / (505) 699-8503

12.3.2PROJECT MANAGER BACKGROUND

John Salazar has extensive experience in implementing successful IT projects. He is very familiar with the State of New Mexico project certification policies and procedures. John has over 28 years’ experience in information technology. Mr. Salazar has served as CIO for the City of Santa Fe, as well as the NM Taxation and Revenue Department (TRD) and the NM Department of Workforce Solutions (DWS).

Nick Salazar is a CompTIA Project+ certified professional who has experience managing project life cycles associated with the rollout of software and hardware products. Nick worked for the New Mexico Taxation and Revenue Department where he was responsible for maintaining the hardware and software utilized by the Motor Vehicle Division to operate their more than 90 field offices. Nick has extensive experience with workstation hardware, software and peripheral equipment installation and configuration.

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES

Role / Responsibility
Executive Project Sponsor / The point person for the project within the highest level of the General Services Department.
Responsibilities include:

• Champion the project.
• Consider potential changes facing the organization and assess the organizational impact
• Decide which changes will be instituted, communicate priorities and provide resources to ensure success
• Responsible for creating an environment that enables changes to be made on time and within budget.
• Participate in planning sessions
• Member of Steering Committee
• Ultimate project responsibility

Steering Committee Member / Is chartered to provide governance over the direction and support of the project.
Responsibilities include:

• Attend and participate in meetings
• Review and accept deliverables
• Review and provide comment on presented documentation
• Balance larger picture versus details of the project
• Review project funding and expenditures
• Champion the project
• Contributes to lessons learned.

Business Owner / The person within each of the participating Divisions who is responsible for all operations and management of any and all activities occurring within the division.
Responsibilities include:

• Maintain overall project direction and implementation
• Ensure staff availability
• Approve expenditure of funds
• Issue Resolution
• Empower Project Manager.
  

Project Manager / The persons within each of the participating divisions who must make all decisions related to the operation of the system, staffing assignments.
Responsibilities include:

• Ultimate project success.
• Diagnose potential problems
• Participate as “change” agents
• Develop realistic plans to deal with critical issues and execute changes effectively
• Decision authority regarding system module set-up
• Reviews work of Consultant
• Project Team Support Member Assignments
• Determine System Administration roles
• Problem Solving
• Project Planning
• Project Budgeting
• Project Schedule
• Contract Management
• Training Plans
• Communicate with Project Team Support Members, Business Owners and Steering Committee
• Contributes to lessons learned.

Project Team Support Members / Staff assigned to the project on an as needed basis.
Responsibilities include:

• Define Business Requirements
• Module set-up input
• Functional Testing
• Scheduling of meetings and space
• Completion of assigned tasks
• Budget Tracking
• Purchasing and Processing
• Data Gathering
• Data Input
• System Administration
• Provide Resources as needed.
  

6.5 Project management Methodology

The project strategy is based on the strategic direction established by the DOT Executive Steering Committee and the participating agencies utilizing the TraCS, E-Citations and Odyssey Case Management Software products.

The integration of the software products will utilize a successful methodology recently developed between the Dona Ana Sheriff’s Office and the Dona Ana Magistrate Court. This integration project effort includes: configuration of data variables in both the TraCS and Odyssey software systems; establishing network connectivity between systems; implementing data transfer encryption services; documentation of configurations; conducting user acceptance testing; training for IT operational staff; and transition to production services.

7.0 Constraints

Number / Description
1. / Well Documented Dona Ana Methodologies and Strategies
2. / Similar Business Rules between Dona Ana and Bernalillo Counties
3. / “Buy-In”of Project Strategies and Objectives from all participants.

8.0 Dependencies