AADULT PPROTECTIVE SSERVICES SSYSTEM
(APSS)(APSS)
PPROJECT CCHARTER FFOR CCERTIFICATION
EXECUTIVE SPONSOR – BILL BELZNER AND KATHLEEN HART
BUSINESS OWNER – KATHLEEN HART
PROJECT MANAGER – TO BE DETERMINED
ORIGINAL PLAN DATE: NOVEMBER 6, 2007 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.
I 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 1.3 PROJECT CERTIFICATION REQUIREMENTS...... 2 2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS...... 3
2.1 AGENCY JUSTIFICATION...... 3 2.2 BUSINESS OBJECTIVES...... 3 2.3 TECHNICAL 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...... 10 3.2 SUCCESS AND QUALITY METRICS...... 11 4.0 SCHEDULE ESTIMATE...... 11
5.0 BUDGET ESTIMATE...... 11
5.1 FUNDING SOURCE(S)...... 12 5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE -...... 12 5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE...... 12 6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE...... 12 6.1 STAKEHOLDERS...... 12 6.2 PROJECT GOVERNANCE PLAN...... 13 6.3 PROJECT MANAGER...... 13 6.3.1 PROJECT MANAGER CONTACT INFORMATION...... 13 6.3.2 PROJECT MANAGER BACKGROUND ...... 13 6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES...... 13 6.5 PROJECT MANAGEMENT METHODOLOGY ...... 14 7.0 CONSTRAINTS...... 15
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
II 13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES...... 18
14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE...... 18
III
Revision History
REVISION NUMBER DATE COMMENT 1.0 August 14, 2007 Original DoIT PMO Document 2.0 November 14, 2007 ALTSD changes for APSS project
IV PROJECT CHARTER ADULT PROTECTIVE SERVICES SYSTEM (APSS) 1
1. PROJECT BACKGROUND
The project background section is meant to provide the reviewer with a picture of the development of the project from inception to its being submitted for certification.
1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT In July 2005, the Adult Protective Services (APS) Program was transferred to the Aging and Long-Term Services Department (ALTSD) from the Children, Youth and Families Department (CYFD). The scope of this project is to implement a new Adult Protective Services application for ALTSD through an industry standard hosted solution. ALTSD is to assume operational support of the APS program from CYFD including APS related information technology infrastructure. Currently, APS is being managed through the use of the Family Automated Client Tracking System (FACTS) that supports Child Protective Services (CPS), a legacy system hosted by CYFD. A Joint Powers Agreement (JPA) was entered into between ALTSD and CYFD to coordinate all aspects of the transfer of APS. Within the JPA, it states that the APS will continue to use CYFD’s FACTS to track, assess and make a determination of abuse and neglect for adult cases, until ALTSD is able to acquire its own IT system. The JPA requires that ALTSD shall obtain and implement their own system that will be operational on or about July 1, 2008. The Adult Protective Services System (APSS) will be a comprehensive data tracking system. It will include accurate statistics reporting on the incidence of adult abuse, neglect and exploitation. These resources will allow the agency to identify and justify improved business management opportunities for our clients.
1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT The Aging and Long-Term Services Department faces many challenges with the current FACTS managed by CYFD. APS is being managed through the use of the FACTS that also supports Child Protective Services (CPS). The existing FACTS and process are overwhelmingly biased toward CYFD (specifically CPS) requirements. This results in the collection of information that is less relevant to APS. In some instances, useful information is not collected. ALTSD requires a new system to allow for the integration and reporting of information for APS. Integration within ALTSD current systems will enable the intake of client information process to enable the necessary service referral information that will be beneficial and will address several business needs. In FY06, ALTSD contracted with Optimos, Inc. for an assessment of the business and technical requirements for APS. We are now in the process of updating those documents due to business
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changes due to changes in APS management. The proposed application is a web solution that will be hosted with the vendor to enable integration with other ALTSD applications.
1.3 PROJECT CERTIFICATION REQUIREMENTS Does the project fit into the criteria for certification? Which and how? CRITERIA YES/NO EXPLANATION Project is mission critical to the agency Yes Adult Protective Services (APS) needs a database and application solution that is specific to meet APS client needs. Project cost is equal to or in excess of Yes First year licensing and $100,000.00 training will be in excess of $300,000 for all APS employees. Project impacts customer on-line access No Project is one deemed appropriate by the Yes An IT assessment was Secretary of the DoIT conducted by the OCIO’s office in December 2005 with a recommendation to use Synergy Software, Inc. for continued integration of all ALTSD databases. “Attached is a copy of the IT assessment prepared by the OCIO. Will an IT Architecture Review be required? TBD TBD
2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS
The justification and objectives section relates the project to the purpose of the lead agency and describes the high level business and technical objectives for the project. The section also includes a high level review of the impact to the organization, and of the concerns for transition to operations.
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2.1 AGENCY JUSTIFICATION IDENTIFY AGENCY MISSION, PERFORMANCE MEASURE OR STRATEGIC GOALS TO BE ADDRESSED THROUGH THIS PROJECT NUMBER DESCRIPTION ALTSD Mission: Establish a continuum of social supports and health services to meet the needs of individuals and maximize their independence, enabling them to live successfully on their own terms in their own communities. Objective: Design an application that will support program practices.
Goals:
Integration and reporting of information for APS. Integration within ALTSD will enable the intake process to capture referrals that do not meet APS eligibility guidelines and will direct the referrals to other ALTSD programs such as Aging Network services.
Increased worker productivity with decreased operating costs, compliance with programmatic reporting and Federal audit requirements, an improved user interface to enhance training and minimize transition for new staff.
2.2 BUSINESS OBJECTIVES USE THE FOLLOWING TABLE TO LIST MEASURABLE BUSINESS OBJECTIVES NUMBER DESCRIPTION BUSINESS APS case and data management: Coordinate intake and OBJECTIVE 1 assessments to ease transition throughout the consumers’ involvement with the Department including managing, closing and reporting. Improve reporting of key information to internal, federal, state and local stakeholders. Rationale: The current system was not intended for Adult Protective Services but rather Child Protective Services specific. Collecting data is non-existent within the current system and is completed manually. BUSINESS Meet the needs of all APS stakeholders including internal and OBJECTIVE 2 external consumers: Coordinate intake of client information, investigations, case management, payments and legal casework activities to meet client needs and to communicate with community
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NUMBER DESCRIPTION providers. Rationale: Establish a broader continuum of protective services to meet the needs of individuals and maximize their independence, enabling them to live successfully on their own terms in their own communities. BUSINESS Protect client privacy: Define security permissions and roles to OBJECTIVE 3 determine appropriate role-based access to information by job responsibilities to protect client information. Dissemination of information is governed by job responsibilities and information is shared per state regulations and joint protocol. HIPPA guidelines are closely adhered to. Clients are always to be aware of their rights regarding privacy and the project team’s commitment to protect it. Rationale: Information about clients is a key component to assessing effectiveness and sharing information under current guidelines is key to providing effective services. At the same time, protecting our clients’ privacy must be among the project’s highest priorities. Balancing those two needs requires constant monitoring and attention. BUSINESS Minimize duplication of effort: Integration of all applications from OBJECTIVE 4 intake to closure will eliminate redundancy and current process inefficiencies. Rationale: Current applications are not integrated and they require duplication of entry. BUSINESS Quality Assurance: Enhance supervisory oversight by allowing OBJECTIVE 5 managers and administrators real-time access to parameter driven service reports. Rationale: Current system does not allow on demand report accumulation and managers and administrators have to wait for quarterly run reports. Reports are not flexible to evaluate alternative scenarios
2.3 TECHNICAL OBJECTIVES
NUMBER DESCRIPTION BUSINESS APS case and data management solution OBJECTIVE 1
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NUMBER DESCRIPTION TECHNICAL Provide a web based application that will support business program OBJECTIVE 1 operating and decision making needs. BUSINESS Meet the needs of all APS stakeholders including internal and OBJECTIVE 2 external consumers TECHNICAL Consolidate IT applications to support a single point of entry for data OBJECTIVE 2 that becomes common to other department programs. Existing clients and/or providers would not be re-entered by unrelated processes BUSINESS Protect client privacy, OBJECTIVE 3 TECHNICAL Provide an application that is HIPAA compliant OBJECTIVE 3 BUSINESS Reduce business processing redundancy and inefficiencies. OBJECTIVE 4 TECHNICAL Integrated a referral process to redirect clients to other ALTSD OBJECTIVE 4 programs BUSINESS Quality Assurance OBJECTIVE 5 TECHNICAL Provide a comprehensive data tracking system that provides accurate OBJECTIVE 5 statistics and granular reporting to help identify adult abuse, neglect and exploitation incidence.
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 Ability to track client information on one system eliminates tracking clients manually. Efficiencies would be realized through one consolidated industry standard application. BUSINESS Business rules will be defined and incorporated into the development PROCESSES of the system to achieve consistency throughout the State. IT OPERATIONS AND IT staffing needs for system maintenance are anticipated to be STAFFING
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AREA DESCRIPTION minimal because of hosting of application with the COTS solution provider. OTHER ALTSD will work with SHARE about possible interface for payments.
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 Preliminary operations will be to host the application with Harmony OPERATIONS to maximize expertise, maintenance, and upgrade capabilities LOCATION AND through a solution that meets industry standards. ALTSD will have STAFFING PLANS at a minimum one database administrator dedicated to troubleshooting, training and user setup.
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AREA DESCRIPTION
DATA SECURITY, BUSINESS Data security for the APSS project will include documentation CONTINUITY of the project’s installation validation tests and include a stripped down operational version for verifying proper restoration of processes from backups. Testing and knowledge transfer will include:
Application walkthrough – The goal will be to identify omissions and difficult-to-understand processes. Verification of data integrity, data transference from Harmony and testing of a secure infrastructure will be analyzed during the application walkthrough.
Tabletop exercises – The plan will involve both the IT support team and the Adult Protective Services. An operational scenario will be observed to ensure requirements are met. The IT team and the Adult Protective Services will simulate full operations before going live. Data will be validated and analyzed for accuracy in computations, data retrieval, and data intake. BC/DR: Backups to the application and its associated database will be conducted according to ALTSD’s and Harmony’s existing procedures, guidelines, and policies. ALTSD’s Disaster Recovery and Business Continuity Plan will be updated to include the APSS project.
MAINTENANCE ALTSD will maintain the project after deployment through Service STRATEGY Level Agreements (SLA) and through the existing Change Management Process. A request to change the scope or requirements, of the project can be made at any time; by the vendor, the adult protective services project team or by the project manager. Since a project change request (PCR) can affect the price, schedule or other terms of work, both the project manager, as well as the adult protective services director, must approve the request. At this approval level, the proposed change will be investigated by the vendor for work, price and/or schedule changes. Once that investigation is complete, the project manager and the adult protective services director must approve the work. The following change control process will be used: 1. A PCR request form is submitted to the project manager requesting a change to project requirements or scope. 2. The project manager and the adult protective services director meet in person or by email. 3. A consensus is reached as to whether to go forward with the PCR or reject it. The vendor shall keep a change control log
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AREA DESCRIPTION and track all PCR’s, whether approved or rejected. 4. If the PCR is approved by both the project manager and adult protective services director, then the vendor will commence an investigation of the schedule, cost or work changes. 5. The vendor will update the PCR request form with the required information. 6. The project manager and adult protective services director will then approve/reject the change. If the change is over 100 hours, step 7 will be followed 7. Should the change be approved, it will be submitted to the APSS project team. If the APSS project team cannot come to a resolution, then the ALTSD Executive Management team will review and decide on the request. INTEROPERABILITY TBD RECORD RETENTION ALTSD is in compliance with State Records and Archives records retention and disposition schedules. ALTSD is fully compliant with 1.15 NMAC, General Records Retention and Disposition Schedules (GRRDS) and 1.18 NMAC, Executive Retention and Disposition Schedules (ERRDS). ALTSD’s Executive Retention and Disposition Schedule as filed with State Records and Archives is 1.18.624, NMAC, ERRDS, Aging and Long-Term Care Department (http://www.nmcpr.state.nm.us/nmac/parts/title01/01.018.0624.htm). CONSOLIDATION Until there is a period of stabilization, it is in the best interest for the STRATEGY Department to host with vendor.
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
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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.
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Risk Assessment and The DoIT Initial PROJECT RISK ASSESSMENT template management 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 Project status reports. For all projects that require Department Reports to DoIT 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 Documentation Requirements Description – Allows program staff to complete case documentation in a more efficient and timely manner. Security Description – Provide secure access for authorized users in order to protect client data, privacy and confidentiality.
Caseload activity and Description – Implement a simplified caseload activity and reporting process reporting process for APS workers to improve user productivity/efficiency. System Administration and Description – Provided by ALTSD IT staff and Harmony. Maintenance Hosted by Harmony on their servers.
Demographics collection Description – Collect APS relevant demographics.
User acceptance testing Description – Selected program staff will complete user acceptance testing of the system.
System training Description – Harmony and ALTSD IT staff will provide training to program staff in the operation and maintenance of the system.
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System design Description – The system will include Intake, Assessments, Investigation, Case Management, Legal, Payments, Case Closure and Reporting functionality. Requirements Documents Description – Review and validate current business and technical requirements.
User and Acceptance Testing Description – Users and management are included in project team. Roll out of system will be a phased approach by APS region. Operations requirements Description – Must require all APS service tasks or roadmap including enhancements to systems.
3.2 SUCCESS AND QUALITY METRICS 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.
NUMBER DESCRIPTION
QUALITY METRICS 1 Statistical, program and performance measure reporting.
4.0 SCHEDULE ESTIMATE
The schedule estimate is requested to provide the reviewers with a sense of the magnitude of the project and an order of magnitude of the time required to complete the project. In developing the schedule estimate, certification timelines and state purchasing contracts and procurement lead times are as critical as vendor lead times for staffing and equipment delivery. Project metrics include comparisons of actual vs. target date. At the Project Charter initial phase, these times can only be estimated. Initiation phase completed by 11/30/07 Planning phase completed by 12/30/07 Implementation phase completed by 06/30/08
5.0 BUDGET ESTIMATE
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
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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.
5.1 FUNDING SOURCE(S) SOURCE AMOUNT ASSOCIATED RESTRICTIONS Laws 2007, Section 7, $400,000.00 Item 17
5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE - ITEM COST ESTIMATE . Staff – Internal $20,000.00 Consulting Services $380,000.00
5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE PHASES AMOUNT MAJOR DUE DATES REQUESTED DELIVERABLES Initiation $50,000.00 Contract with 11/30/07 project manager and travel expenses Planning $10,000.00 Contract for IV&V 12/30/07 Implementation 340,000.00 Licensing of product 06/30/08 and travel expenses
6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE
6.1 STAKEHOLDERS Stakeholders should be a mix of agency management and end users who are impacted positively or negatively by the project. NAME STAKE IN PROJECT ORGANIZATION TITLE APS employees Efficient System ALTSD
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NAME STAKE IN PROJECT ORGANIZATION TITLE Executive Management Reporting ALTSD New Mexico citizens Better Access to services offered by APS CYFD IT staff No longer required to CYFD support APS
6.2 PROJECT GOVERNANCE PLAN A diagram of the organization structure including steering committee members, project manager and technical/business teams would be helpful.
ALTSD Executive Sponsor (Bill Belzner and Kathleen Hart)
Project Manager APSS Project Team Vendor Team
6.3 PROJECT MANAGER 6.3.1 PROJECT MANAGER CONTACT INFORMATION NAME ORGANIZATION PHONE #(S) EMAIL TBD 6.3.2 PROJECT MANAGER BACKGROUND TBD
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6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES
ROLE RESPONSIBILITY Adult Protective Provide strategic direction Services Director Promote the vision for APSS Advise project on policy issues Resolve all inter-departmental issues Ensure involvement of participants in order to meet deadlines Project Manager Report to APSS Team on a monthly basis on project status, issues, and activities Address, review, and submit deliverables to the APSS Team Prepare APSS Team meeting agenda and meeting materials Monitor and report the activities of the APSS Team, assuring adherence to the project plan and schedule Ensure mitigation of project issues and risks Facilitate Change Management Assure Vendor deliverables meet the business & system requirements APSS Team Meet on a monthly basis Facilitate APSS change management issues Guide overall project Escalate issues to the ALTSD Executive Management Team for resolution Provide input into a comprehensive user acceptance testing plan Identify policy and implementation issues Develop protocol for bringing policy issues or differences to the ALTSD Executive Management Team Act as subject matter expert for the participating agencies under your domain Coordinate risks and issues with the project manager Carry out requests from project manager Act as the agency lead during User Acceptance Testing
6.5 PROJECT MANAGEMENT METHODOLOGY The Department of Information Technology certification process is built around a series of certification gates: Initiation, Planning, Implementation and Closeout. Each of these phases/gates has a set of expected documents associated with it. The gates and the associated documents make up the certification methodology. For some projects such a framework might be sufficient, where for some projects the solution development life cycle (SDLC) with plan, define, design, build, close might be more appropriate.
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Put most simply how is the project to be structured into a methodology or framework and where do the project and product deliverables fit into this roadmap? 7.0 CONSTRAINTS
NUMBER DESCRIPTION TBD
8.0 DEPENDENCIES
Types include the following and should be associated with each dependency listed. 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
NUMBER DESCRIPTION TYPE M,D,E TBD
9.0 ASSUMPTIONS
NUMBER DESCRIPTION TBD
10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY
Risk 1 Probability: Possible Impact: High Description – Project Team Inexperience Mitigation Strategy: Provide appropriate training and use the expertise of contractors Contingency Plan: Procure training and consulting services Risk 2
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Probability: Expected Impact : Medium Description – Lack of Project Management Staff Mitigation Strategy: Contract with an experience Project Manager dedicated to the APS project Contingency Plan: Procure the services of a qualified Project Manager Risk 3 Probability: Expected Impact : Medium Description – Software vendor merger Mitigation Strategy: Request and receive assurances that existing agreements, commitments, and software quotes for APSS are still binding and valid. Contingency Plan: Remain with original Synergy Product. Extend deadline. Risk 4 Probability: Likely Impact : Low Description –Technical requirements Mitigation Strategy: ALTSD is in possession of a technical specification and infrastructure analysis. These requirements and documents need to be taken to the next level of completeness and acceptance of the governance board. Contingency Plan: ALTSD will modify documents if required with approval of project team. Risk 5 Probability: Likely Impact : High Description – Unrealistic Implementation Dates Mitigation Strategy: The changes in vendor status, the merger of a new software company and an unknown contractual arrangement need to be considered. Contingency Plan: Request a project extension based in part on these circumstances.
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING
Project status report presented to executive management monthly. At a minimum, these reports will identify: . Completed deliverables . Unresolved major project issues . Relevant project statistics
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
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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:
TBD
Project/Product Area Include – Yes/No Project Management Quality Management Training Requirements Management Operating Environment Development Environment Software Development System and Acceptance Testing Data Management Operations Oversight Business Process Impact
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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES
SIGNATURE DATE
EXECUTIVE SPONSOR
BUSINESS OWNER
PROJECT MANAGER
14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE
SIGNATURE DATE
DOIT / PCC APPROVAL
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