Project Charter For Certification
Executive Sponsors –
Justin Najaka, Director
Nivia Thames, Deputy Director
Stuart R. Hamilton, Chief Financial Officer
Project Manager,Rand Tilton, CSW Enterprises, LLC
Original Plan Date:June 09, 2014
Revision Date: August 10, 2015
Revision: 1.5
table of contents
table of contents
1. project background
1.1 Executive Summary
1.2 Project Outline
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
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 / 6/09/2014 / Original Plan
1.1 / 6/10/2014 / Edits based on input from SPO management
1.2 / 6/11/2014 / Edit Project Goals
1.3 / 8/5/2015 / Edits for changes in PM, stakeholders, project goals/objectives, budget, project timing, project phases.
1.4 / 8/6/2015 / Edit with the SPO recommendations
1.5 / 8/10/2015 / Edits to budget, timeline, objectives, stakeholders
1
SPO Digitization Project Charter
1. project background
1.1 Executive Summary
The State Personnel Office (SPO) is responsible for the administration and oversight of the classified service personnel system which consists of approximately 18,000 state employees from approximately 68 executive state agencies, boards and commissions. A comprehensive system of human resource management is achieved through the integration of seven functional areas which are administered by the State Personnel Director with oversight by a five-member State Personnel Board.
–Agency HR Services
–Career Services
–Shared HR Service
–Compensation and Classification
–Training and Development
–Labor Relations
–Adjudication
Business Problem
•SPO must ensure personnel files are maintained for a period of fifty-five years.
•Personnel files are at risk of being misplaced, destroyed or both before the disposition date because often the files do not follow employee’s transfer or are not properly retained after an employee separates.
•High volume: In FY14 for example…
–Over 18,000 classified employees
–Average of 200 pages in each employees personnel record
–Approximately 3,000 new hires/separations annually.
–5,728 job postings
•Need to replace current manual processes which are costly and timely with automated processes.
Goals
•The goals are to digitize the personnel recordsacross State of New Mexico executive branch agencies,to modernize the business processes within the State Personnel Office (SPO); and to provide oversight and uniformity in business practices with HR bureaus doing business with SPO.
This Project is aligned with State IT Strategies:
- GOAL 1: INFORMATION TECHNOLOGY MUST DRIVE EFFICIENT DELIVERY OF HIGH QUALITY GOVERNMENT SERVICES THAT WILL BENEFIT CONSTITUENTS AND SUPPORT ECONOMIC DEVELOPMENT.
- GOAL 4: REDUCE THE COST OF GOVERNMENT OPERATIONS THROUGH EFFECTIVE DEVELOPMENT, IMPLEMENTATION AND MANAGEMENT OF IT TECHNICAL AND APPLICATION ARCHITECTURES, PROGRAMS AND SERVICES.
- GOAL 5: IMPROVE THE VALUE OF THE IT INVESTMENT THROUGH ENTERPRISE MODELS THAT IMPROVE AND STREAMLINE THE EXECUTIVE BRANCH’S INFORMATION TECHNOLOGY SYSTEMS
- GOAL 6: EFFECTIVELY MANAGE IT RESOURCES AND EFFICIENTLY CONTROL IT ASSETS, UTILIZATION AND COSTS.
- GOAL 7: EFFECTIVELY SECURE IT ASSETS, DATA, AND SYSTEMS AND MITIGATE SYSTEMIC INFRASTRUCTURE RISKS.
- GOAL 8: CONTINUOUS IMPROVEMENT IN INFORMATION TECHNOLOGY AND RESOURCE OPTIMIZATION
- GOAL 9: IDENTIFY AND PROVIDE ADDITIONAL INFORMATION TECHNOLOGY SERVICES AND FUNCTIONALITY TO SUPPORT STATE OF NEW MEXICO PUBLIC ENTITIES.
1.2 Project Outline
The goals for this project areto implement an Enterprise Content Management (ECM) system to digitize the personnel records across State of New Mexico executive branch agencies, to modernize the business processes within the State Personnel Office (SPO); and to provide oversight and uniformity in business practices with HR bureaus doing business with SPO.
–ECM is a formalized process of organizing and storing organizations’ documents and other content.
–Digitization is the process of converting information into a digital format.
–Modernization is the practice of implementing best practices in business processes, while strategically aligning business and information systems.
Business and Technical Objectives include:
•Implement an Electronic Content Management (ECM) to improve business workflow by digitizing personnel records.
•Ensure controlled security access to records from authenticated sources.
•Centralize storage of Employee personnel files and ensure consistent organization/mapping of stored data within and across agencies.
•Establish a disaster recovery plan.
The benefits of implementing the Digitization and Modernization Project for SPO include:
•Reduced number of paper-passes for routine actions.
•Uniformity of centralized personnel records.
•Uniformity of business practices with HR bureaus across state agencies.
•Improved traceability and visibility for HR actions and decisions.
•Ensure federal and state statutory requirements.
•Modernized business practices with training.
•Increase ability to evolving future business practices.
•Increased ability to centrally manage personnel data and employee records.
•Increased allowance for expansion.
Proposed Digitization Project Objectives/Performance Metrics
•Actions being taken now to ensure SPO compliance with the New Mexico Public Records Act;
•Initiate re-engineering for SPO business processes to include the creation of business process maps and descriptions, and business requirements;
•Identify and report on best practices utilized by personnel offices from other states and digitization projects successfully implemented in other industries;
•Recommendations to improve workflow management;
•Define success factors for SPO Digitization Project;
•Prepare staff in the implementation of electronic document management methodologies into SPO business processes as aligned with the IT Enterprise Architecture;
•Support management of electronic records, per statutory requirements, codified as rules in records retention and disposition schedules administered by State Records Center and Archives (SCRA). Support management of electronic records in accordance with state and federal requirements;
•Adhere to metadata standards established by SCRA; and
•Adhere to State of New Mexico Application Architecture Standards that support executive management, IT functions and legal requirements.
The expected project timeline is:
•June toOctober 2014:Initiation Phase - Ensure compliance with the New Mexico Public Records Act. Complete survey of SPO Executive Records Retention and Disposition Schedule (ERRDS) and submit for approval to the Quarterly Commission of Public Records meeting in October 2014. Map Business Processes and Gather Requirements.
•June 2014 to January 2015: Initiation Phase - Re-engineering for SPO business processes to include the creation of business process maps and descriptions, and gathering business requirements. Recommend improvements to workflow management.
•January 2015: Initiation Phase - RFI issued
•February to August 2015: Initiation Phase – Documented SPO Shared HR Services “as-is” process flow, RFI submissions received and reviewed, define project strategy, identify possible image, repository, and workflow solutions, prepare for vendor demonstrations, prepare for PCC request for planning certification phase and release of certified monies.
•August 2015 to October 2015: Planning Phase – Procure IV&V, User evaluation of vendor demonstrations and select integration vendor. Complete Integration vendor contract/SOW; Prepare for PCC request for implementation phase and release of certified monies.
•October 2015 – March 2016: Implementation Phase 1 –Proof of Concept, Digitization of active classified personnel records at SPO Shared HR Services; implementation of document repository; implementation of workflow to access and process digitized records.
•March 2016 toJune 2016: Implementation Phase 2 –Proof of Concept, Modernization and implementation of workflow at SPO Shared HR Services to create new classified personnel records.
•July 2016 to June 2017: Implementation Phase 3 – Pilot implementation of the Digitization and Modernization Solutions with 10-15 Executive Agencies.
•July 2017 to June 2018: Implementation Phase 4: Implementation of the Digitization and Modernization Solutions to the remaining Executive Agencies.
•July 2018 to December 2018:Finish all remaining project deliverables and objectives. Project Closure
1.3 Project Certification Requirements
CRITERIA / YES/NO / EXPLANATIONProject is mission critical to the agency, as well as Executive Agency personnel records / YES / Personnel files are at risk of being misplaced, destroyed or both before the disposition date because often the files do not follow employee’s transfer or are not properly retained after an employee transfer, separation, or retirement.
Project cost is equal to or in excess of $100,000.00 / YES / Cost is in excess of $100K. $1250K has been appropriated. The SPO will continue / complete the project in FY18.
Project impacts customer on-line access / YES / Substantial SPO business process improvements are achievable through implementing document scanning, electronic document management and electronic records management. The system will save many labor hours and paper costs for a greener footprint.
Project is one deemed appropriate by the Secretary of the DoIT / YES / Project meets the State’s Strategic objectives and is sponsored by DoIT.
Will an IT Architecture Review be required? / YES / The system will follow the approved Architecture plan for this Enterprise project.
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 / DescriptionSPO Strategic Goal 2:
SPO Strategic Goal 3:
SPO Strategic Goal 4: / Sound HR Foundation: Establish a sound human resource foundation that supports changing business needs for the State of New Mexico.
HR Tools, Services and Information: The State has the human resource tools, services and information to support workforce management.
High Performing State Personnel Office: SPO is a high performing organization.
2.2 Business Objectives
Number / DescriptionBusiness Objective 1 / Increased efficiency and productivity through a well managed records environment
Business Objective 2 / Optimize business processes, decreasing number of steps, saving time
Business Objective 3 / Lower the cost of government, more effective Electronic Records Administration Management
Business Objective 4 / Improved service delivery to constituency
Business Objective 5 / Substantial SPO business process improvements are achievable through implementing document scanning, electronic document management and electronic records management.
Business Objective 6 / Eliminate number of manual paper-passes and errors for routine hiring, retention, transfers, training, and termination actions.
Business Objective 7 / Provide records management for long-term archiving and the automation of retention and compliance policies, and to ensure legal or regulatory record compliance.
Business objective 8 / Develop an imaging system plan approved by SRCA.
Business objective 9 / Ensure controlled security access to records from authenticated sources.
Business objective 10 / Centralize storage of Employee personnel files and ensure consistent organization/mapping of stored data within and across agencies.
Business objective 12 / Establish a disaster recovery plan.
Business objective 13 / Participation and buy-in form other Executive Agencies and Stake Holders
2.3 Technical Objectives
Number / DescriptionTechnical Objective 1 / Possible Web-Based System– designed on a network with a web based platform front-end to allow SPO staff and constituent secure access to their personnel records.
Technical Objective 2 / Metadata will be taggedfor indexing and search capabilities and follow standards
Technical Objective 3 / System will have indexing and archiving functionality
Technical Objective 4 / System Interface - Provide an architecture that will easily interfacewith SHARE systems
Technical Objective 5 / Open Architecture - Provide an open architecture infrastructure and scalable to allow for growth
technical objective 6 / IT Architecture –ensure system aligns with enterprise-wide IT architecture
technical objective 7 / Authentication - System will support Microsoft Active Directory
technical objective 8 / Security/User Roles - System will support a secure front end user system log in and security role level authentication
technical objective 9 / Extensibility - ensure system is designed to easily allow the addition of new-features later, using hooks, an application programming interface or plug-ins.
Technical Objective 10 / System must support up to 100 concurrent users
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 / Training will be defined and all end user organizations will be thoroughly trained. Tests will be conducted with random end-users to ensure system performance and ease-of-use.
Business Processes / System will mirror current functionality and run in parallel until full customer acceptance.
It Operations and staffing / Software and license maintenance will be provided by vendor. SPO and/or DoITstaff will be trained to support system.
Other / Require exception reports during data consolidation/integration. Ensure data mapping is well documented prior to beginning data integration.
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 / Staffing and Administrative Operations will continue to be supported by DoIT.
Data Security / The transmission of data between NM SPO systems and external web-based user applications are web-based Secure Socket Layer (SSL) transactions, in compliance with NM DoIT Enterprise Architecture Requirements.
Business Continuity / System will include redundant system to meet disaster recovery and business continuity requirements.
Maintenance Strategy / Following a documented operations transition plan,Vendor will provide software and licensemaintenance and will provide remote training with SPO staff. DoIT staff will also receive formal training to support system.
Interoperability / Workflow system will autofill interface with SHARE.
Record retention / Will follow NMAC 1.18.378
Consolidation strategy / Centralized storage of Employee personnel files and ensure consistent organization/mapping of stored data within and across agencies.
3.0 Project/ProductScope of Work
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 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 managementplan.”
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 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 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 / The requirements will be defined and documented during the Planning Phase. This will define goals, business processes, critical factors, current environment, sizing requirements, current vendor environment, # of users, work processing requirements, other needs.Design Documents / The Vendor will be required to deliver design documents for authentication, reporting, and the database feeds.
Systems Specifications / The Vendor will be required to deliver system specification documents for hardware, servers and equipment.
Systems Architecture / The system will be open architecture and be certified on standard operating platforms. Architecture will be scalable to allow for growth, provide interoperability with other systems, have a secure web front end, be security rules based and provide multiple security layers for user authentication.
System and Acceptance Testing / The program users will test system functionality, performance, reporting accuracy and response times.
DoIT Technical Support Staff will test system operational performance.
Operations Requirements / The Vendor will be required to deliver design documents for authentication, Reporting, and the Database feeds.
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.