Request for Certification and Release of Funds Form s7

Project Planning Request for Certification and Release of Funds Form

ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE

PROJECT NAME Right of Way Property Asset Management System (ROW-PAMS)

PROJECT NUMBER DATE 10/23/09

LEAD AGENCY NMDOT AGENCY CODE 805

OTHER AGENCIES none PROJECT PHASE Planning

EXECUTIVE SPONSOR Lawrence F. Barreras, NMDOT

PROJECT MANAGER Shelley Espinoza, NMDOT

AGENCY HEAD Gary Giron, Secretary New Mexico Department of Transportation

AGENCY CIO/IT LEAD Robert Ashmore, CIO

PROJECT DESCRIPTION (PROVIDE A BRIEF DESCRIPTION AND PURPOSE FOR THIS PROJECT) There are no automated collaboration tools for the units to share information, manage document workflow, or automated system for highway property and asset management. NMDOT seeks to implement a Right of Way Property Asset Management System (ROW- PAMS) to automate the business processes within the Transportation Oriented Property Asset Management Division, (TOPAMD) and to meet the requirement of the Federal Highway Administration (FHWA) to provide property and asset management. The required automation starts with the RFP for the procurement and implementation of a Commercial off the Shelf (COTS) applications system which will interface the agency’s Electronic Document Management and Geospatial Information System.

Planned Start Date 07/09 Planned End Date 12/10 Amount Requested this Certification $ 30,000 Amount Previously Certified $ 0 Remaining Appropriation not Certified $ 750,000 Total Appropriated Amount (include any new funds) $ 780,000 (Road Funds)

CERTIFICATION HISTORY (INCLUDE ANY PREVIOUS PROJECT OR PHASE CERTIFICATIONS)

Date Amount Funding Source(s) (use specific citations to laws, grants, etc.)

PROPOSED CERTIFICATION SCHEDULE FOR CURRENT FISCAL YEAR (AGENCY TO COMPLETE FOR ALL PHASES)

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Phases Amount Major Deliverable(s) / Performance Measure(s) Due Dates Requested Initiation: none Planning: $30,000 Contract IV&V 11/09 Implementation: $750,000 Contractor selected through RFP process. 12/09 Gap analysis, Software installation and License, thru Software Implementation, Acceptance Testing, 12/10 and IV&V. Closeout: None Completed project 01/11

APPROPRIATION HISTORY (INCLUDE ALL FUNDING SOURCES, E.G. FEDERAL, STATE, COUNTY, MUNICIPAL LAWS OR GRANTS)

Fiscal Year Amount Funding Source(s) FY10 $400,000 NM Road Funds FY11 $380,000 NM Road Funds

BUDGET Comments: Software Maintenance will start after warranty period at an estimated amount $250,000 for 48 months. Starting in FY12, budget $63,000 per year. Description FY07 & Prior FY08 FY09 FY10 FY11 Staff - Int er nal Consulting Contracted 300,000 280,000 Services implementation services and IVV Hardware 0 0

Software COTS software 100,000 100,000 & license

TOTAL $780,000 400,000 380,000

IT SYSTEM ANALYSIS  Describe or estimate this project’s impact on the Enterprise/DoIT infrastructure. o Hardware: No additional hardware is required. o Network: No additional network structure in required. o Software / Applications: Right of Way Property Asset Management System will be a COTS system provided by the RFP selected vendor. o Where is this system hosted? NMDOT

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 If not hosted at DoIT Data Center what is your strategy to host at DoIT Data Center: (When, Why?) Agency Server Environment and Migration Plan As per the Executive Order, NMDOT is making plans to move the production servers to the DoIT Data Center. The plan that is being presented will include only the NMDOT General Office Production Database and Application servers. Remote servers at the district and design centers are not included, nor are the file servers, GIS servers, print servers, Media Servers, Domain Controllers, Document Imaging servers and an EMC SAN which houses the NMDOT Imaging system. Assumptions: o Only the production application servers from the General Office will be moved. o New blade servers will be purchased for implementation at DoIT o New SAN will be purchased and installed for storage to all the data located at DoIT o New Switch will be purchased to handle the connections for all the servers located at DoIT o Two to Three pairs of fiber will be taken for this project. o NMDOT Network will be extended to DoIT for connectivity. DoIT Migration Collaboration NMDOT will work closely with DoIT for migration by the end of the 2nd quarter 2010  Summarize your collaboration with DoIT on moving this project from initialization through close (full production). Identify points of contact, dates of discussions, and results The Chief Information Officer (CIO) and Project Management Office (PMO) are the points of contact between NMDOT and DoIT. The PMO will work in collaboration with DoIT for project oversight from initiation to close; including the Project Certification, Contract review, RFP review and required DoIT reporting.

 Provide Application Architecture Schematic: (see attached)

BUSINESS CONTINUITY STRATEGY On this document, or as an attachment, provide a summary response, including changes, of your business Continuity Strategy.  Emergency and Disaster Management: This application system will be added to the list of essential production systems.  Business Resumption: This application system will be restored after critical applications.  Operational Recovery Planning: Until this system is restored, the business area can revert to manual paper process. DOT will be responsible for backup and recovery that are specific to the application, Oracle, and ArcGIS; the backups will occur nightly to SAN devices at DoIT, which will in turn be backed up to offsite storage.

SECURITY STRATEGY (APPLICATION AND DATA SECURITY PROCESS, PLAN, OR STANDARD) All data transmitted between the database, application, and client workstations is secured and managed under the Agency network security. The Department’s web environment is secured with the database and GIS servers behind the firewall, the web server and map server will be in This is a controlled document, refer to the document control index for the latest revision Revision: 2/14/08 Page 3 Project Planning Request for Certification and Release of Funds Form

the DMZ, providing access outside the Department. DOT uses the Web SSL/TLS security approach. Security protections will insure that only identified and authorized personnel can modify data via roles, security groups, and individual security identifications.

INDEPENDENT VERIFICATION & VALIDATION (INCLUDE STATUS OF IV & V PROCESS) IVV & V will be provided via a contract with a State price agreement vendor after the Certification is approved.

SIGNIFICANT RISKS AND MITIGATION STRATEGY Risk 1- Availability of Funds Description – Funding will not Probability POSSIBLE Impact HIGH be available from the start to Mitigation Strategy – NMDOT executive management has reviewed the completion of the project and approved the cost of the project for funding. inclu. Contingency Plan - Develop the contract to be phased over multiple fiscal years as funding is available. Risk 2- Delay of Award Process Description – RFP contract Probability LIKELY Impact LOW award approval process Mitigation Strategy- Keep management and FHWA informed taking more time than Contingency Plan - Obtain management approval to extend the dates planned for the procurement and project completion.

RECORD RETENTION POLICY (DESCRIBE THE AGENCY’S RECORDS RETENTION REQUIREMENTS FOR THIS PROJECT) The system will interface with the NMDOT EDMSMP. Record Management is an integral part of the system functions both to retrieve documents for the workflow process and to store finalized documents.

MAINTENANCE STRATEGY (DESCRIBE HOW THE AGENCY PLANS TO MAINTAIN THIS PROJECT AFTER DEPLOYMENT) The application software maintenance will be provided by 48 month contract with the COTS system vendor selected as part of the RFP process. A copy of the maintenance agreement waswill be provided as part of the Offeror’s proposal.

INTEROPERABILITY (DESCRIBE HOW THIS PROJECT INTERFACES WITH EXISTING SYSTEMS/APPLICATIONS WITHIN THE AGENCY) The ROW-PAMS application system will interface with Agency’s GIS system, EDMS, Oracle database, and pass asset management information to the SHARE system. It will be accessible to the Agency’s six districts. Web access can be made available to FHWA and local governments on a case by case requirement and when additional Web security is in place.

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