Project Charter for Certification s1

AAUTODESK SOFTWARE UPGRADE

PPROJECT CCHARTER FFOR CCERTIFICATION

EXECUTIVE SPONSOR – K. BENDER, DEPUTY SECRETARY

BUSINESS OWNER – MAX VALERIO, CHIEF ENGINEER

PROJECT MANAGER – SILAS SALAZAR

ORIGINAL PLAN DATE: FEBRUARY 14, 2012

REVISION DATE: FEBRUARY 14, 2012

REVISION: ORIGINAL 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...... 1 2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS...... 1

2.1 AGENCY JUSTIFICATION...... 1 2.2 BUSINESS OBJECTIVES...... 2 2.3 TECHNICAL OBJECTIVES...... 2 2.4 IMPACT ON ORGANIZATION...... 2 2.5 TRANSITION TO OPERATIONS...... 2 3.0 PROJECT/PRODUCT SCOPE OF WORK...... 3

3.1 DELIVERABLES...... 3 3.1.1 Project Deliverables...... 3 3.1.2 Product Deliverables...... 5 3.2 SUCCESS AND QUALITY METRICS...... 6 4.0 SCHEDULE ESTIMATE...... 6

5.0 BUDGET ESTIMATE...... 6

5.1 FUNDING SOURCE(S)...... 6 5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE -...... 7 5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE...... 7 6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE...... 7 6.1 STAKEHOLDERS...... 7 6.2 PROJECT GOVERNANCE PLAN...... 7 6.3 PROJECT MANAGER...... 7 6.3.1 PROJECT MANAGER CONTACT INFORMATION...... 7 6.3.2 PROJECT MANAGER BACKGROUND ...... 7 6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES...... 7 6.5 PROJECT MANAGEMENT METHODOLOGY ...... 8 7.0 CONSTRAINTS...... 8

8.0 DEPENDENCIES...... 8

9.0 ASSUMPTIONS...... 9

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY...... 9

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING...... 9

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V...... 9

II 13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES...... 11

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE...... 11

Revision History

REVISION NUMBER DATE COMMENT 1.0 August 14, 2007 Original DoIT PMO Document

IV PROJECT CHARTER - NMDOT CADD SOFTWARE UPGRADE 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 NMDOT has embarked on a desktop (hardware & software) upgrade. The intent is to upgrade and consolidate surveying and transportation engineering software/tools and associated equipment. This effort also involves bringing application systems up to supported levels. This project will upgrade and standardize on one standard Computer Aided Design and Drafting (CADD) system and standardize on a set of tools. All CADD projects created in Bentley will remain on Bentley. There is no plan to convert data or projects that are in the project development process. All current and on-going projects will be completed using Bentley. New projects will be created in Autodesk. 1.2 Summary of the foundation planning and documentation for the project

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 NMDOT is in the midst of a Windows 7 rollout. The Autodesk product Yes versions currently in use do not support Windows 7 OS. Project cost is equal to or in excess of Yes $100,000.00 Project impacts customer on-line access NMDOT posts cadd drafting and design Yes documents on-line for its consultant community. Project is one deemed appropriate by the Yes Secretary of the DoIT Will an IT Architecture Review be required? Software Upgrade, no No change to architecture.

PROJECT CHARTER - NMDOT CADD SOFTWARE UPGRADE 2

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.

2.1 AGENCY JUSTIFICATION IDENTIFY AGENCY MISSION, PERFORMANCE MEASURE OR STRATEGIC GOALS TO BE ADDRESSED THROUGH THIS PROJECT NUMBER DESCRIPTION AGENCY STREAMLINE PROCESSES / REDUCE PROJECT CYCLE TIME

2.2 BUSINESS OBJECTIVES USE THE FOLLOWING TABLE TO LIST MEASURABLE BUSINESS OBJECTIVES NUMBER DESCRIPTION BUSINESS REDUCE COMPLEXITY AND DELIVERY TIME OBJECTIVE 1

2.3 TECHNICAL OBJECTIVES

NUMBER DESCRIPTION TECHNICAL STANDARDIZATION OF CADD PLATFORM. OBJECTIVE 1 NOTE: TARC WAIVER WILL BE REQUESTED.

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 ALL PROJECT DEVELOPMENT PERSONNEL WILL BE REQUIRED TO ATTEND 16-40 HOURS OF TRAINING. BUSINESS ENHANCEMENTS TO SOFTWARE WILL REQUIRE AN PROCESSES ANALYSIS OF EXISTING WORKFLOWS. BUSINESS PROCESSESS MAY NEED TO BE ADAPTED TO SOFTWARE FUNCTIONALITY. IT OPERATIONS AND ONE (1) CADD SOFTWARE PLATFORM TO SUPPORT. STAFFING ON-GOING PROJECTS ALL CURRENT PROJECTS WILL COMPLETE THEIR DEVLOPMENT CYCLE. NEW PROJECTS WILL BEGIN WITH UPDATED SOFTWARE.

2.5 TRANSITION TO OPERATIONS The transition to operations areas include items that are asked in the certification form to assure that the project has accounted or will account for these matters in its planning and requirements specifications. AREA DESCRIPTION PRELIMINARY OPERATIONS SITES REMAIN THE SAME. OPERATIONS LOCATION AND STAFFING PLANS WILL NOT CHANGE. STAFFING PLANS DATA SECURITY, ALL CURRENT DATA SECURITY AND BUSINESS BUSINESS CONTINUITY MEASURE WILL CONTINUE. CONTINUITY MAINTENANCE VENDOR SUPPORTED, VIA YEARLY MAINTENANCE STRATEGY CONTRACT INTEROPERABILITY WORKFLOWS FOR INFORM ATION EXCHANGE BETWEEN CADD PLATFORMS ARE CURRENTLY EMPLOYED. MOVING TOWARDS ONE (1) CADD PLATFORM WILL DECREASE THOSE INTERFACES. RECORD RETENTION DOCUMENTS IN NMDOT’S RECORDS & ARCHIVES SYSTEM. CONSOLIDATION CLIENT BASED SOFTWARE. STRATEGY

3.0 PROJECT/PRODUCT SCOPE OF WORK

In its efforts to move from the high level business objectives to the desired end product/service the project team will need to deliver specific documents or work products. The State of New Mexico Project Management Methodology distinguishes between the project and the product. Project Deliverables relate to how we conduct the business of the project. Product Deliverables relate to how we define what the end result or product will be, and trace our stakeholder requirements through to product acceptance, and trace our end product features and attributes back to our initial requirements

3.1 DELIVERABLES

3.1.1 PROJECT DELIVERABLES This initial list of project deliverables are those called for by the IT Certification Process and Project Oversight memorandum, but does not exhaust the project deliverable documents Project Charter The Project Charter for Certification sets the overall scope for the project, the governance structure, and when signed is considered permission to proceed with the project. The Project Charter for Certification is used to provide the Project Certification Committee with adequate knowledge of the project and its planning to certify the initiation phase of the 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.”

“ Independent verification and validation (IV&V)” means the IV&V Contract & Reports process of evaluating a project to determine compliance with specified requirements and the process of determining whether the products of a given development phase fulfill the requirements established during the previous stage, both of which are performed by an organization independent of the lead agency. Independent verification and validation assessment reporting. The Department requires all projects subject to oversight to engage an independent verification and validation contractor unless waived by the Department.

IT Service Contracts The Department of Information Technology and the State Purchasing Division of General Services have established a template for all IT related contracts. Risk Assessment and 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 Design Documents Drafting Standards Manual Update Design Standards Manual Update Consultant Deliverable Manual Update

Systems Specifications Document detailing the finding of Project Assessment Phase. Document specifying the configuration of the NMDOT State Kit. Systems Architecture Document describing configuration of server license manager, user configuration and corporate workspace.

System and Acceptance Document outlining the testing and acceptance Testing parameters for software.

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 STAYING ON PROJECT SCHEDULE 1

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.

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 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 NM ROAD FUND $990,000.00 NONE

5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE - ITEM COST ESTIMATE SOFTWARE $515,000.00 NONE PROCURED ASSESSMENT $ 68,000.00 NONE CONFIGURATION / $310,000.00 NONE CUSTOMIZATION TRAINING AND HISTORICAL DEPLOYMENT LEGAL ISSUES PLANNING BETWEEN INTEGRATION CONTRACTOR AND THE $66,000.00 PREVIOUS TRAINING SUBCONTRACTOR MAY MAKE FUTURE CONTRACT DIFFICULT

5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE Same as 5.2 above.

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 ALVIN DOMINGUEZ CHAMPION NMDOT SECRETARY

CADD SYSTEM END ENGINEERS NMDOT ENGINEERING NMDOT DESIGNERS DIVISION USERS TECHNICIANS PROJECT SILAS A. SALAZAR PROJECT DELIVERY NMDOT MANAGER KATHY BENDER OWNS THE PROJECT. EX. IS RESPONSIBLE FOR NMDOT SPONSOR THE BENEFITS. MONITORS PROJECT BUSINESS MAX VALERIO NMDOT PROGRESS OWNER

6.2 PROJECT GOVERNANCE PLAN A diagram of the organization structure including steering committee members, project manager and technical/business teams would be helpful.

Executive Sponsor

Kathy Bender Deputy Secretary

Business Owner Project Manager

Max Valerio Silas A. Salazar Chief Engineer Cadd Manager

Workflow Product Assessment User Acceptance Software Assessment Configuration Planning and T eam Deployment T eam Development T eam Development T eam T raining T eam

6.3 PROJECT MANAGER 6.3.1 PROJECT MANAGER CONTACT INFORMATION NAME ORGANIZATION PHONE #(S) EMAIL NMDOT-ENGINEERING 505-827-9682 SILAS.SALAZAR@STATE. SILAS A. SALAZAR NM.US AUTOMATION 505-231-4358 BUREAU 6.3.2 PROJECT MANAGER BACKGROUND Project Manager has 19 years of transportation engineering experience. Fifteen (15) years have been spent in a direct role of developing and running an enterprise level computer aided drafting and design (cadd) system. Cadd Manager duties have included managing technical projects of varying complexity and budget.

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES

ROLE RESPONSIBILITY Executive Sponsor Ensure project funding. Approve any changes to project plan or scope. Communicate with Project Champion the status of project. Business Owner Co-chairs steering committee with project manager. Monitors project progress and works with the project manager to keep project on track. Works with the project manager and executive sponsor to resolve issues quickly. Reports to executive sponsor on the status of the project. Project Manager Manage the development of project deliverables and project plan. Ensure monthly project reporting and meeting IT project certification timelines and gates. Assemble project steering committee and ensure everyone is aware and agrees to roles and responsibilities. Co-chairs steering committee with business owner. Communicate project status to all interested parties. Keep project on schedule relative to milestones, timelines, deliverables, and resources. Steering Committee Provide direction for configuration of software. Review and provide a consolidated set of document markups. Act as User Acceptance team (UAT) for formal acceptance of project deliverables. Contractor Assist project manager in developing and providing a Project Management and Implementation Plan. Assist in establishing reporting, change management, and risk mitigation strategies. Conduct periodic project meetings and issue monthly status reports. Maintain a project schedule for contractor tasks, milestones, and invoicing.

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. 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 CONTRACTS- ASSESSMENT AND CONFIGURATION PHASES 1. REQUIRE CONSULTANT ASSISTANCE. PROCUREMENT PROCESS WILL NEED TO BE UTILIZED. 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 1. PURCHASE OF SOFTWARE AND MAINTNENACE M 2. THE ORGANIZATION IS IN AGREEMENT THAT CO- EXISTING CADD TECHNOLOGIES WILL COMBINED M INTO A SINGLE STANDARD PLATFORM.

9.0 ASSUMPTIONS

NUMBER DESCRIPTION 1. PROJECT WILL COMPLETED WITHIN DEFINED TIMELINE 2. PROJECT SCOPE WILL NOT CHANGE PROJECT STAFFING RESOURCES WILL BE AVAILABLE AS THEY 3. ARE NEEDED. 4. PROPOSED BUDGED IS SUFFICIENT TO COMPLETE PROJECT DEDICATED PROJECT TEAM MEMBERS REMAIN IN THEIR 5. CURRENT ROLES.

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY

Risk 1: HISTORICAL LEGAL ISSUES BETWEEN INTEGRATION CONTRACTOR AND THE PREVIOUS TRAINING SUBCONTRACTOR MAY MAKE FUTURE CONTRACT DIFFICULT Probability Unlikely Impact VERY HIGH Description – DLT Solutions is the SWPA holder and Mitigation Strategy: Communicate project plan and status to contract Autodesk is the sub-contractor. holder to include language on status of sub-contractors on a regular Legal issues may arise. basis. DOT will plan additional lead time for negotiating the contract. Contingency Plan Exercise options within contract. Risk 2: EXPIRATION OF DLT SOLUTION STATE WIDE PRICE AGREEMENT IN OCTOBER 2012 Probability Unlikely Impact MEDIUM Description – DLT Solution SWPA due to Mitigation Strategy: Coordinate with DLT Solutions and state expire in October 2012. purchasing to ensure agreement renewal is in place and completed prior to expiration of the current state wide price agreement. Contingency Plan Find another vendor with SWPA.

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING

The Executive Sponsor will receive communications from the Business Owner on the overall status of the project. This will include major milestones that have been completed and any major issues that may prevent the project from achieving its goals. The Business Owner will receive communications from the Project Manager on the overall project plan and status. This will include communication when resource scheduling is to occur and when assignments are complete. The Project Steering Committee will receive its communications from the Project Manager on the status of their work and related tasks. This will include detailed status about completed work and work that is scheduled for them in the future. The Project Manager for the contractor will issue a written status report monthly. This status report will be reviewed by the NMDOT PM and the NMDOT PM will be responsible for communicating status up through the NMDOT project organization. All project reporting, including monthly DoIT project status reporting, will be shared electronically with Executive sponsors and project teams.

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V

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 Quality Management Training Requirements Management Operating Environment Development Environment

Software Development System and Acceptance Testing Data Management Operations Oversight Business Process Impact

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