Recycled Metals Management System (RMMS)
Project Charter For Certification
Executive Sponsor – J. Dee Dennis, Superintendent
Business Owner –Andrea Pitts
Project Manager – John Oliver
Original Plan Date: August 13, 2012
Revision Date: August 13, 2012
Revision: 3
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.
table of contents
About This Project Charter DOCUMENT
table of contents
1. project background
1.1 Executive Summary -rationale for the project
1.2 Summary of the foundation planning and documentation for the project
1.3 Project Certification Requirements
2.0 Justification, Objectives and impacts
2.1 Agency Justification
2.2 Business Objectives
2.3 Technical Objectives
2.4 Impact on Organization
2.5 Transition to Operations
3.0 Project/Product Scope of Work
3.1 Deliverables
3.1.1 Project Deliverables
3.1.2 Product Deliverables
3.2 Success and QUALITY METRICS
4.0 Schedule Estimate
5.0 Budget Estimate
5.1 Funding Source(s)
5.2. Budget By Major Deliverable or Type of expense -
5.3 Budget By Project Phase or Certification Phase
6.0 Project Authority and Organizational Structure
6.1 STAKEHOLDERS
6.2 PROJECT GOVERNANCE PLAN
6.3 PROJECT MANAGER
6.3.1 PROJECT MANAGER CONTACT INFORMATION
6.3.2 PROJECT MANAGER BACKGROUND
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES
6.5 Project management Methodology
7.0 Constraints
8.0 Dependencies
9.0 Assumptions
10.0 Significant Risks and Mitigation Strategy
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
13.0 Project Charter Agency Approval Signatures
14.0 Project Charter Certification Approval Signature
Revision History
Revision Number / Date / Comment1.0 / August 14, 2007 / Original DoIT PMO Document
2.0 / August 8, 2012 / Initial RMMS Project version
3.0 / August 13,2012 / Final version for Project Initiation Certification
1
Project Charter [Project name]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.
1.1Executive Summary -rationale for the project
The current Regulation and Licensing Department(RLD) process for tracking recycled metal transactions involves dealers either faxing reports or submitting reports to RLD’s FTP site. There areapproximately 2,300 recycled metal dealers statewide. Although only about 50 are currently providing us with the forms we require detailing each transaction on a daily basis, those reporting send in about 500-800 transaction documents per day to be entered into the system. The information contained in the reporting forms reflects for each transaction, the description and quantity of the metal being sold as well as the name of the dealer and his/her ID, the name of the seller, and the year, make and model of the vehicle bringing in the metal. This information is shared regularly with state and federal law enforcement. By collecting information on the amounts of metal that are being sold and the vehicles in which they are transported, RLD can assist law enforcement in tracking thefts and potentially apprehending criminals involved in metal theft. Under the current process, so much paper is currently generated that RLD cannot foresee catching up, much less being able to adequately regulate all of the rest of dealers and bring them into compliance.
1.2 Summary of the foundation planning and documentation for the project
The New Mexico Regulation and Licensing Department was tasked in 2008 (Sales of Recycled Metals Act, Sections 57-30-1 through 57-30-17 NMSA 1978) with registration of recycled metal dealers. In addition, RLD is required to “maintain an electronic database” which must be “accessible to the public. Records received by the department . . . shall be made available in the database by the end of the second business day following receipt by the department.” The records we receive are “record[s] of purchase” of “secondhand metal dealer” metal purchases bought or sold in the state.We have had to operate this program out of budget balances for several years. The paperwork submitted to the department has increased to a point that it is no longer feasible to maintain the current manual process. Recycled metal dealer tracking is currently several months behind. Moreover, the ability of Law Enforcement Agencies (LEAs) to query is extremely limited. As well, there is no validation of reported information currently in place.
As part of a FY13 appropriation, RLD is preparing to deploy a recycled metals management system, to include the design and development of a centralized database as well as to develop a software application wherein dealers could electronically submit their transactions directly to this centralized database on a daily basis. Query access to this database would be restricted to law enforcement officials only for the first phase. The web-based application will provide the following functionality in the first phase:
- Design, development and deployment of a database to serve as the statewide repository of select recycled metal transactions.
- Web interface to allow dealers to electronically transmit sales transaction data to the database.
- Batch interface to allow dealers to submit bulk transactions via a standard file format such as Excel, XML, or CSV for import into the database.
- Limited LEA query capability.
- A pre-defined set of standard reports.
- Expand network storage to meet demand for Recycled Metals Management System.
RLD is requesting FY14 additional funding to add phases that would provide the following functionality:
- Interface to Motor Vehicle Department (MVD) to validate seller’s driver license identification and vehicle information.
- Interface to Department of Public Safety’s New Mexico Law Enforcement Telecommunications System (NMLETS) for law enforcement agency (LEA) queries.
- Web interface to allow the general public to query and view records in the department’s database.
- Web interface to allow RLD department information technology staff to administer security and to make configuration changes to the application.
- Reports module to allow department staff to generate reports that identify patterns and generate statistics.
- Extended warranty on vendor provided software.
1.3 Project Certification Requirements
Does the project fit into the criteria for certification? Which and how?
CRITERIA / YES/NO / EXPLANATIONProject is mission critical to the agency / Yes / Statutory requirement
Project cost is equal to or in excess of $100,000.00 / Yes / $100,000 currently appropriated, $160,000 additional C2 request.
Project impacts customer on-line access / Yes / Recycled metals dealers, LEAs, and public on-line access will all be affected.
Project is one deemed appropriate by the Secretary of the DoIT / Unknown
Will an IT Architecture Review be required? / Yes
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 / Description1 / LAWS 2012 HB2, Chapter 19, Section 5, Item 13:
To build a database and carrry out the provisions of the Recycled Metals Act.
2.2 Business Objectives
Use the following table to list measurable business objectives
Number / DescriptionBusiness Objective 1 / Build/procure a solution with current technologies that can meet the recycled metals act requirements (Phase 1 & 2).
Business Objective 2 / Manage the risks of implementing a new system, while providing regulation of recycled metals (Phase 1 & 2).
Business Objective 3 / Automate the registration of recycled metal dealers (Phase 1).
Business Objective 4 / Automate and validate the electronic submission of recycled metals sales transaction reports for defined regulated material (Phase 1).
Business Objective 5 / Provide a query interface to law enforcement agenciesfor enforcement purposes (Phase 1 with expansion in Phase 2).
Business Objective 6 / Provide a query interface to the general public (Phase 2).
2.3 Technical Objectives
Number / DescriptionTechnical Objective 1 / Provide open-systems-based architecture that is reliable, flexible, and maintainable (Phase 1 & 2).
Technical Objective 2 / Adhere to national standards for data exchange, security, and interfaces (Phase 1 & 2).
Technical Objective 3 / Provide the necessary level of system security to protect users and information from unauthorized access (Phase 1 & 2).
Technical Objective 4 / Leverage best-of-breed components and commercial off-the-shelf (cots) solutions when available to improve system supportability and cost (Phase 2).
Technical Objective 5 / Create database repository of recycled metals sales transaction information (Phase 1).
Technical Objective 6 / Create web interface to provide electronic submission capability for transaction data (Phase 1).
Technical Objective 7 / Create batch transfer capability to standardizetransmission of transaction data files for upload to database (Phase 1).
Technical Objective 8 / Create query interfaces to provide data based on multiple search criteria (Phase 1 with limitations; Phase 2 full implementation).
Technical Objective 9 / Provide reporting for administration, law enforcement, and public information purposes (Phase 2).
Technical Objective 10 / Provide validation of entered information (Phase 1 & 2).
Technical Objective 11 / Provide registration process to authorized recycled metals dealers in New Mexico (Phase 1).
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 / DescriptionEnd user / Metal recyclers:
Registration requirements, reporting requirements. Must have internet access to meet reporting requirements. Must pay fee to register. Must comply with recycled metals act specifications. Must be trained on new system by RLD resources
Law enforcement:
Need query access to gather information for enforcement. Will require minimal training.
Public:
Access to query transactions made by registered dealers.
Business Processes / New business process being added. New business owner assigned. Training required for business owner.
It Operations and staffing / Introduction of an additional system to be administered, supported, installed, and maintained. Maintenance costs beyond project unknown.
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 / DescriptionPreliminary Operations location and staffing plans / RLD has limited IT staff and no means to increase staffing, so the management of this system will have to be absorbed utilizing current resources. Application and database software will reside on RLD servers housed in the SIMMS data center.
Data Security, Business Continuity / Secure data transmission via SSL. Application will have defined security roles, usernames and passwords for access control. Database will be replicated to RLD’s DR servers.
Maintenance Strategy / Purchase of extended warranty as part of this project, giving time for RLD to identify a funding source for future years.
Interoperability / This project is being proposed with interfaces to motor vehicle department (MVD) and department of public safety (DPS) applications.
Record retention / 1.18.420 NMAC
Consolidation strategy / This system is planned to be housed in the DoIT data center.
3.0 Project/ProductScope 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 projectCertification 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.
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
3.1.2 Product Deliverables
The product deliverable documents listed here are only used for illustration purposes
Requirements Documents / Description –Current environment analysis, future environment analysis, needs assessment, and requirements traceability matrix (RTM).Design Documents / Description – Workflow diagram(s), Database Schema, Data Dictionary.
Systems Specifications / Description – System Requirements Specification, Query Interface Specification, Registration database Interface Specification
Systems Architecture / Description –Technical Specifications and Network topology
System and Acceptance Testing / Description –Test Plan, finalized RTM, Test Procedures
Operations requirements / Description –Training manual, User manual, Configuration/Setup manual, installation manual
3.2Success 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.