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EELLEECCTTRROONNIICC GGRRAANNTT MMAANNAAGGEEMMEENNTT AANNDD
PPEERRFFOORRMMAANNCCEE SSYYSSTTEEMM ((EEGGMMPPSS))
PPRROOJJEECCTT CCHHAARRTTEERR FFOORR CCEERRTTIIFFIICCAATTIIOONN
EXECUTIVE SPONSOR – [FRANK SHARPLESS, TRANSIT AND RAIL DIVISION
DIRECTOR]
BUSINESS OWNER - [DAVE HARRIS, TRANSIT AND RAIL DIVISION, TRANSIT
MANAGER]
PROJECT MANAGER – [DELILAH GARCIA, TRANSIT AND RAIL DIVISION AND JO
GIRARD, INFORMATION TECHNOLOGY]
ORIGINAL PLAN DATE: [JULY 6, 2016]
REVISION DATE: [N/A]
REVISION: [1.1]
i
AABBOOUUTT TTHHIISS PPRROOJJEECCTT CCHHAARRTTEERR DDOOCCUUMMEENNTT
PPEERRMMIISSSSIIOONN TTOO PPLLAANN TTHHEE PPRROOJJEECC TT AANNDD SSEETTTTIINNGG TTHHEE GGOOVVEERRNNAANNCCEE SSTTRRUUCCTTUURREE
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.
PPRROOJJEECCTT CCEERRTTIIFFIICCAATTIIOONN IINNIITTIIAALL PPHHAASSEE DDOOCCUUMMEENNTTAATTIIOONN
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.
ii
TTAABBLLEE OOFF CCOONNTTEENNTTSS
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 1.3 PROJECT CERTIFICATION REQUIREMENTS ...................................................................................................................... 2
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 ........................................................................................................................................ 8
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 6.3 PROJECT MANAGER ........................................................................................................................................... 12
6.3.1 PROJECT MANAGER CONTACT INFORMATION .......................................................................................... 12 6.3.2 PROJECT MANAGER BACKGROUND .......................................................................................................... 13
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES .................................................................................................. 13 6.5 PROJECT MANAGEMENT METHODOLOGY .................................................................................................................... 14
7.0 CONSTRAINTS ................................................................................................................................................ 14
8.0 DEPENDENCIES ............................................................................................................................................... 15
9.0 ASSUMPTIONS ............................................................................................................................................... 15
10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY ......................................................................................... 15
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING .................................................................................. 16
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V ................................................................................ 16
iii
13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES ................................................................................... 18
14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE .......................................................................... 18
iv
Revision History
RREEVVIISSIIOONN NNUUMMBBEERR DDAATTEE CCOOMMMMEENNTT
1.0 March 4, 2016 Baseline version
1.1 July 6, 2016 Updates from Planning
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 1
PAGE 1
11.. PPRROOJJEECCTT BBAACCKKGGRROOUUNNDD
11..11 EEXXEECCUUTTIIVVEE SSUUMMMMAARRYY --RRAATTIIOONNAALLEE FFOORR TTHHEE PPRROOJJEECCTT
The New Mexico Department of Transportation’s (NMDOT) Transit and Rail Division administers over
$30 million annually in transit grants from the Federal Transit Administration (FTA) throughout the
State. The NMDOT provides federal and state regulatory oversight and compliance of rural transit
systems. Federal transit grants are provided for capital, operations, and administration of rural transit
systems, and performance measures are monitored. Under Moving Ahead for Progress in the 21st
Century (MAP-21) and Fixing America's Surface Transportation (FAST) Act the federal transportation
funding legislation, a federal requirement for receiving these funds is to collect and analyze performance
data as per the National Transit Database, as well as await further federal guidance on additional
reporting requirements related to safety and asset management to ensure activities are data-driven and
performance based.
The Electronic Grant Management and Performance System (eGMPS) will replace a prior, non-active,
on-line reporting and invoicing system, and shall include the applications and services required to
support the Transit and Rail Division’s statewide federal transit grant programs and activities. eGMPS
shall develop reports that are consistent with Federal Transit Administration (FTA) reporting systems
and programs, and must have a capacity of 150 concurrent users including sub-grantees and the NMDOT
Transit and Rail Division’s staff. Information on the existing transit systems is available at:
http://dot.state.nm.us/content/dam/nmdot/Transit_Rail/TransitandRailDivision2014FactSheetPacket1206
13.pdf
eGMPS will satisfy a new requirement for transit asset management by FTA, as well as a new reporting
requirement to promote accountability. FTA’s goal of improved transit asset management is to
implement a strategic approach for assessing needs and prioritizing investments for bringing the nation’s
public transit systems into a state of good repair under 49 U.S.C. Section 5326 / MAP-21 Section 20019.
11..22 SSUUMMMMAARRYY OOFF TTHHEE FFOOUUNNDDAATTIIOONN PPLLAANNNNIINNGG AANNDD DDOOCCUUMMEENNTTAATTIIOONN FFOORR TTHHEE PPRROOJJEECCTT
A grants management system specifically designed for subrecipients of FTA grant programs will allow
users to leverage current and historical data, as well as improve processes related to grant making,
project management, performance measures, financial tracking, and data analysis.
The Transit and Rail Division currently utilizes a spreadsheet to collect critical data and invoice all
subrecipients in lieu of a grants management system since the deactivation of the prior web-based system
in June of 2012.
The Transit and Rail Division has reviewed their options of what a “grants management system” should
look like and is taking a pro-active approach to implement a system that is able to accommodate
NMDOT, federal and sub-grantee requirements, reduce the risk of errors and increase the effectiveness
of state and federal requirements.
Panther International, the selected vendor, has successfully implemented grant management systems to
11 state transit offices across the country, which has allowed them to develop a detailed understanding
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 2
PAGE 2
of the unique needs and challenges faced by state transit offices, as well as both current and emerging
FTA requirements.
11..33 PPRROOJJEECCTT CCEERRTTIIFFIICCAATTIIOONN RREEQQUUIIRREEMMEENNTTSS
CRITERIA YES/NO EXPLANATION
Project is mission critical to the agency Yes Critical to agency and
subrecipients of federal
transit funds
Project cost is equal to or in excess of
$100,000.00
Yes First year cost $186,000
Project impacts customer on-line access Yes Customers are
subrecipients of federal
transit funds
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, March, 2015.)
22..00 JJUUSSTTIIFFIICCAATTIIOONN,, OOBBJJEECCTTIIVVEESS AANNDD IIMMPPAACCTTSS
22..11 AAGGEENNCCYY JJUUSSTTIIFFIICCAATTIIOONN
The project will focus on implementing a new grants management system for reporting and invoicing
and shall include the applications and services required to support the Transit and Rail Division’s
statewide federal transit grant programs and activities, using Panther International’s BlackCat Grant
Management System. This will enable NMDOT to achieve the following strategic goals:
NNUUMMBBEERR DDEESSCCRRIIPPTTIIOONN
NMDOT 1 Provide a web-based application and database customizable to meet current
and emerging state-wide requirements.
NMDOT 2 Provide 24/7 access and have a capacity of 150 concurrent users including
sub-grantees and the NMDOT’s Transit and Rail Division staff.
NMDOT 3 Provide a web-based application and database which shall include all
aspects of grant awards, reporting, and invoicing for FTA, Sections 5303,
5305, 5309, 5310, 5311, 5339 and other funded programs.
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 3
PAGE 3
NNUUMMBBEERR DDEESSCCRRIIPPTTIIOONN
NMDOT 4 Provide a web-based application and database which shall allow data entry
and reporting on operations profiles to include Disadvantaged Business
Enterprises compliance, Drug and Alcohol Policy compliance, Title VI
requirements, and other reports and processes as required.
NMDOT 5 Provide a web-based application and database which shall include
functions for National Transit Data Base (NTD) reporting.
NMDOT 6 Develop and implement a transit asset management system that is able to
plan and prioritize capital investment in order to measure safety and state
of good repair.
22..22 BBUUSSIINNEESSSS OOBBJJEECCTTIIVVEESS
USE THE FOLLOWING TABLE TO LIST MEASURABLE BUSINESS OBJECTIVES
NNUUMMBBEERR DDEESSCCRRIIPPTTIIOONN
BUSINESS
OBJECTIVE 1 Increased efficiency and productivity through a well-managed
invoicing 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 FTA
BUSINESS
OBJECTIVE 5 Substantial NMDOT business process improvements are achievable
through a new grants management system that is available to
subrecipients of FTA grant funds
BUSINESS
OBJECTIVE 6 Provide a grants management system for tracking of asset condition
to ensure that current data is utilized in the decision-making process
to ensure a State of Good Repair.
22..33 TTEECCHHNNIICCAALL OOBBJJEECCTTIIVVEESS
NNUUMMBBEERR DDEESSCCRRIIPPTTIIOONN
TECHNICAL
OBJECTIVE 1 Provide an externally hosted, web-based application and database
which provides the capacity for 24/7 access for up to 150 concurrent
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 4
PAGE 4
NNUUMMBBEERR DDEESSCCRRIIPPTTIIOONN
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.
22..44 IIMMPPAACCTT OONN OORRGGAANNIIZZAATTIIOONN
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.
AARREEAA DDEESSCCRRIIPPTTIIOONN
END USER Internal users will be required to learn and adopt the new system for
use in daily workflow management of grants, payments, reporting
and research.
In addition, external users (sub-grantees) will be required to learn and
use the new system for use in applying for yearly grant applications.
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
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 5
PAGE 5
22..55 TTRRAANNSSIITTIIOONN TTOO OOPPEERRAATTIIOONNSS
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.
AARREEAA DDEESSCCRRIIPPTTIIOONN
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 not interface directly to
other NMDOT systems and applications. The system shall interface
with the FTA’s Transportation Electronic Award and Management
(TEAM) program and the planned replacement system: Transit Award
Management System (TrAMS), 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 monthly invoices into an electronic grant
management system and will and replace manual processes for
completing management of grants and federal reporting.
33..00 PPRROOJJEECCTT//PPRROODDUUCCTT SSCCOOPPEE OOFF WWOORRKK
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
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 6
PAGE 6
33..11 DDEELLIIVVEERRAABBLLEESS
33..11..11 PPRROOJJEECCTT DDEELLIIVVEERRAABBLLEESS
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 project
Certification 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.
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 7
PAGE 7
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
33..11..22 PPRROODDUUCCTT DDEELLIIVVEERRAABBLLEESS
The product deliverable documents listed here are only used for illustration purposes
Scoping Document The contractor shall deliver a Scoping Document, based on
the business analysis meeting which will include roles and
responsibilities, and identify workflow processes and
security requirements.
Project Management Plan The contractor shall deliver a PMP per DoIT format.
Additional on-going project deliverables include weekly
status reports, monthly Executive Steering Committee
reports, meeting minutes and other project artifacts.
Systems Requirement
Specifications
The contractor shall deliver an SRS which fully describes
all NMDOT-specific requirements.
JAD Session The contractor shall conduct a JAD session to finalize
NMDOT-specific requirements and design elements and
provide an output summary of the session
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 8
PAGE 8
Systems Design
Documentation
The contractor shall deliver design documentation which
includes design elements as identified in the SRS and JAD
session
Data Migration The contractor shall migrate existing agency data and
provide all data mapping scripts and procedures.
System, Beta and Acceptance
Testing
The contractor will provide the use cases to test the system.
The use cases are drawn from the SRS requirements. The
users will test system functionality, performance, reporting
accuracy and response times.
Training The contractor will provide a training plan to address
training needs for all users as well as the training materials,
including the training presentations, system guides, user
manuals and standard operation procedures.
33..22 SSUUCCCCEESSSS AANNDD QQUUAALLIITTYY MMEETTRRIICCSS
Metric are key to understanding the ability of the project to meet the end goals of the Executive
Sponsor and the Business Owner, as well as the ability of the project team to stay within
schedule and budget.
NNUUMMBBEERR DDEESSCCRRIIPPTTIIOONN
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 System is secure and stable
QUALITY METRICS 5 Staff is trained to maintain and system is operable
QUALITY METRICS 6 Data integrity is maintained.
44..00 SSCCHHEEDDUULLEE EESSTTIIMMAATTEE
A schedule will be developed with Panther International when the detailed project scope is
finalized. The anticipated date to complete all deliverables in the contract and move to
production is October, 2016. An estimated schedule is listed below:
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 9
PAGE 9
PPHHAASSEESS EESSTTIIMMAATTEEDD SSCCHHEEDDUULLEE DDAATTEE
Initiation April, 2016
Planning July - August 2016
Implementation September 2016 - January 2017
Closing January/February 2017
55..00 BBUUDDGGEETT EESSTTIIMMAATTEE
Within the Project Charter budgets for the project can only be estimated. Original budgets
requested in appropriations or within agency budgets are probably not the numbers being worked
with at project time. Funding sources are asked for to help evaluate the realism of project
objectives against funding, and the allocation of budget estimates against project deliverables.
Please remember to include agency staff time including project managers as costs.
55..11 FFUUNNDDIINNGG SSOOUURRCCEE((SS))
SSOOUURRCCEE AAMMOOUUNNTT AASSSSOOCCIIAATTEEDD
RREESSTTRRIICCTTIIOONNSS
NMDOT/Federal Transit
Administration Section
5309 funds
$35,000
NMDOT State Road
Fund $8,750
NMDOT/Federal Transit
Administration Section
5311 administration
funds
$92,250
TBD from above sources $50,000 Option 1: $40,000
NMDOT/Federal Transit
Administration Section
5309 funds and $10,000
NMDOT State Road
Fund
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 10
PAGE 10
SSOOUURRCCEE AAMMOOUUNNTT AASSSSOOCCIIAATTEEDD
RREESSTTRRIICCTTIIOONNSS
Option 2: $50,000
NMDOT/Federal Transit
Administration Section
5311 administration
funds
55..22.. BBUUDDGGEETT BBYY MMAAJJOORR DDEELLIIVVEERRAABBLLEE OORR TTYYPPEE OOFF EEXXPPEENNSSEE --
IITTEEMM CCOOSSTT EESSTTIIMMAATTEE DDUUEE DDAATTEE PPRROOJJEECCTT PPHHAASSEE
IV&V $30,000 March 2016 –
November 2016
Initiation - Close
Initial business
analysis
$15,000 April, 2016 Initiation
Project Management $0 May, 2016 Planning
System Requirements
and Design
Documentation
$0 June, 2016 Planning
System development
and Configuration
$0 September, 2016 Implementation
System Deployment
Staging
$0 August, 2016 Implementation
System Testing and
Acceptance
$0 September, 2016 Implementation
Training $0 October, 2016 Implementation
FY17 Maintenance
and Support
$141,000 (includes
all project planning &
implementation)
October, 2016 Closeout
55..33 BBUUDDGGEETT BBYY PPRROOJJEECCTT PPHHAASSEE OORR CCEERRTTIIFFIICCAATTIIOONN PPHHAASSEE
PPHHAASSEESS PPLLAANNNNEEDD CCEERRTTIIFFIICCAATTIIOONN
Initiation March 2016
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 11
PAGE 11
PPHHAASSEESS PPLLAANNNNEEDD CCEERRTTIIFFIICCAATTIIOONN
Initiation March 2016
Planning July 2016
Implementation July 2016
Closing February 2017
66..00 PPRROOJJEECCTT AAUUTTHHOORRIITTYY AANNDD OORRGGAANNIIZZAATTIIOONNAALL
SSTTRRUUCCTTUURREE
66..11 SSTTAAKKEEHHOOLLDDEERRSS
Stakeholders should be a mix of agency management and end users who are impacted positively
or negatively by the project.
NNAAMMEE SSTTAAKKEE IINN PPRROOJJEECCTT OORRGGAANNIIZZAATTIIOONN TTIITTLLEE
Frank Sharpless Overall program NMDOT Division Director
Dave Harris, Program administrative
responsibility
NMDOT Transit and Rail
Division, Transit
Manager
Delilah Garcia Project management NMDOT Transit and Rail
Division, Project
Manager
Joann Girard IT project management NMDOT IT Project Manager
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 12
PAGE 12
66..22 PPRROOJJEECCTT GGOOVVEERRNNAANNCCEE PPLLAANN
66..33 PPRROOJJEECCTT MMAANNAAGGEERR
66..33..11 PPRROOJJEECCTT MMAANNAAGGEERR CCOONNTTAACCTT IINNFFOORRMMAATTIIOONN
NNAAMMEE OORRGGAANNIIZZAATTIIOONN PPHHOONNEE ##((SS)) EEMMAAIILL
Delilah Garcia NMDOT Transit &
Rail Division
505-490-7856 [email protected]
Joann Girard NMDOT IT 505-827-5340 [email protected]
Project Director
Dave Harris
Project team member
5 program managers
and test grantees
Technical Review
DoIT / NMDOT Tech
Staff
Project Manager
Delilah
Garcia/Joann Girard
Executive Sponsor
Frank Sharpless
Business Operations Review
Team:
Grantee’s agency coordinator Staff
TSD Program Management Staff
Planning and TSD Finance Staff
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 13
PAGE 13
66..33..22 PPRROOJJEECCTT MMAANNAAGGEERR BBAACCKKGGRROOUUNNDD
66..44 PPRROOJJEECCTT TTEEAAMM RROOLLEESS AANNDD RREESSPPOONNSSIIBBIILLIITTIIEESS
RROOLLEE RREESSPPOONNSSIIBBIILLIITTYY
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 provide comment on documentation provided by
project team.
Review project funding and its sources
Business
Owners/Project
Managers
Person responsible to the participating entities that make decisions
related to the operation of the project.
Problem Solving
Reviews work of Consultants
Participate in changes to project
Diagnose potential problems on project
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.
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 14
PAGE 14
RROOLLEE RREESSPPOONNSSIIBBIILLIITTYY
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
Data backups
Storage requirements
Security
Network connectivity
System reporting
Disaster recovery
66..55 PPRROOJJEECCTT MMAANNAAGGEEMMEENNTT MMEETTHHOODDOOLLOOGGYY
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.
77..00 CCOONNSSTTRRAAIINNTTSS
NNUUMMBBEERR DDEESSCCRRIIPPTTIIOONN
1 Adequate resources
2 State requirements for oversight and project delays
3 Timing to process contracts
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 15
PAGE 15
88..00 DDEEPPEENNDDEENNCCIIEESS
Mandatory dependencies are dependencies that are inherent to the work being done.
D- Discretionary dependencies are dependencies defined by the project management team. This may also
encompass particular approaches because a specific sequence of activities is preferred, but not mandatory
in the project life cycle.
E-External dependencies are dependencies that involve a relationship between project activities and non-
project activities such as purchasing/procurement
NNUUMMBBEERR DDEESSCCRRIIPPTTIIOONN TTYYPPEE MM,,DD,,EE
1. Project Certification Committee approval M
2. Contract approvals and purchases E
3. Funding for software maintenance M
4. Design and infrastructure dependencies M
5. Application environment creation E
6. Software management E
99..00 AASSSSUUMMPPTTIIOONNSS
NNUUMMBBEERR DDEESSCCRRIIPPTTIIOONN
1. Adequate budget will be available
2. Adequate staffing levels
3. Staff will be trained on the use of software
4. Vendor will provide updates
5. Data will be easily converted
6. Software will integrate with federal reporting systems, if allowed
1100..00 SSIIGGNNIIFFIICCAANNTT RRIISSKKSS AANNDD MMIITTIIGGAATTIIOONN SSTTRRAATTEEGGYY
Risk 1
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 16
PAGE 16
Description -
Delay in implementing a
new grant management and
transit asset management
system will impact
NMDOT’s ability to
manage federal transit
grants accurately and
efficiently
Probability Medium Impact HHIIGGHH
Mitigation Strategy
Communicate project plan, deadlines and key deliverables clearly
during kickoff meeting with contractor
Contingency Plan
Ensure existing processes can be used through anticipated project
timeline.
1111..00 CCOOMMMMUUNNIICCAATTIIOONN PPLLAANN FFOORR EEXXEECCUUTTIIVVEE RREEPPOORRTTIINNGG
The Project Managers will be responsible for creating periodic internal reports for NMDOT
stakeholders and will assist in preparing materials for presentation to DoIT and the PCC. The
Project Managers will work in conjunction with the Business Owner, Technical Lead and the
vendor to gather data for these reports.
1122..00 IINNDDEEPPEENNDDEENNTT VVEERRIIFFIICCAATTIIOONN AANNDD VVAALLIIDDAATTIIOONN -- IIVV&&VV
IV&V focus depends upon the type of project, with various emphases on project and product
deliverables.
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 Yes
Quality Management Yes
Training Yes
Requirements Management Yes
Operating Environment Yes
Development Environment Yes
Software Development Yes
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 17
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System and Acceptance Testing Yes
Data Management Yes
Operations Oversight Yes
Business Process Impact Yes
PROJECT CHARTER ELECTRONIC GRANT MANAGEMENT AND PERFORMANCE SYSTEM 18
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1133..00 PPRROOJJEECCTT CCHHAARRTTEERR AAGGEENNCCYY AAPPPPRROOVVAALL SSIIGGNNAATTUURREESS
SSIIGGNNAATTUURREE DDAATTEE
EEXXEECCUUTTIIVVEE SSPPOONNSSOORR
BBUUSSIINNEESSSS OOWWNNEERR
PPRROOJJEECCTT MMAANNAAGGEERR
1144..00 PPRROOJJEECCTT CCHHAARRTTEERR CCEERRTTIIFFIICCAATTIIOONN AAPPPPRROOVVAALL
SSIIGGNNAATTUURREE
SSIIGGNNAATTUURREE DDAATTEE
DDOOIITT // PPCCCC AAPPPPRROOVVAALL