eGrants - Im… · Web viewIntelligrants Electronic Grants Management System (eGrants) PROJECT...

INTELLIGRANTS ELECTRONIC GRANTS MANAGEMENT SYSTEM (EGRANTS)

PROJECT MANAGEMENT PLAN (PMP)

EXECUTIVE SPONSOR – TOM CHURCH, CABINET SECRETARY

PROJECT SPONSOR - ROBERT ARCHULETA, DIRECTOR

TRAFFIC SAFETY DIVISION, NMDOTPROJECT MANAGER – DAVE MARTINEZ, MANAGEMENT ANALYST, KIMBERLY

WILDHARBER, CHIEF

ALCOHOL ENFORCEMENT PROGRAMS, NMDOTIT PROJECT MANAGER – GENEVIEVE GRANT, INFORMATION TECHNOLOGY

ORIGINAL PLAN DATE: SEPTEMBER 8, 2014REVISION DATE: JUNE 3, 2015

REVISION: 1.6

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REVISION HISTORY.................................................................................................................................................4

1.0 PROJECT OVERVIEW........................................................................................................................................5

1.1EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT........................................................................................51.2 FUNDING AND SOURCES........................................................................................................................................51.3 CONSTRAINTS........................................................................................................................................................61.4 DEPENDENCIES......................................................................................................................................................61.5 ASSUMPTIONS..................................................................................................................................................71.6 INITIAL PROJECT RISKS IDENTIFIED.....................................................................................................................7

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE............................................................9

2.1 STAKEHOLDERS....................................................................................................................................................92.2 PROJECT GOVERNANCE STRUCTURE....................................................................................................................9

2.2.1 Describe the organizational structure – Org Chart.....................................................................................92.2.2 Describe the role and members of the project steering committee............................................................102.2.3 Organizational Boundaries, interfaces and responsibilities......................................................................10

2.3 EXECUTIVE REPORTING......................................................................................................................................10

3.0 SCOPE...................................................................................................................................................................11

3.1 PROJECT OBJECTIVES.........................................................................................................................................113.1.1 Business Objectives....................................................................................................................................113.1.2 Technical Objectives..................................................................................................................................11

3.2 PROJECT EXCLUSIONS.........................................................................................................................................113.3 CRITICAL SUCCESS FACTORS.............................................................................................................................12

4.0 PROJECT DELIVERABLES AND METHODOLOGY..................................................................................13

4.1 PROJECT MANAGEMENT LIFE CYCLE.................................................................................................................134.1.1 Project Management Deliverables.............................................................................................................164.1.2 Deliverable Approval Authority Designations...........................................................................................184.1.3 Deliverable Acceptance Procedure............................................................................................................20

4.2 PRODUCT LIFE CYCLE.................................................................................................................................204.2.1 Technical Strategy......................................................................................................................................204.2.2 Product and Product Development Deliverables.......................................................................................214.2.3 Deliverable Approval Authority Designations...........................................................................................214.2.4 Deliverable Acceptance Procedure............................................................................................................22

5.0 PROJECT WORK................................................................................................................................................23

5.1 WORK BREAKDOWN STRUCTURE (WBS)..........................................................................................................235.2 SCHEDULE ALLOCATION -PROJECT TIMELINE....................................................................................................315.3 PROJECT BUDGET...............................................................................................................................................325.4 PROJECT TEAM...................................................................................................................................................33

5.4.1 Project Team Organizational Structure.....................................................................................................335.4.2 Project Team Roles and Responsibilities...................................................................................................34

5.5 STAFF PLANNING AND RESOURCE ACQUISITION....................................................................................355.5.1 Project Staff................................................................................................................................................375.5.2 Non-Personnel resources...........................................................................................................................38

5.6 PROJECT LOGISTICS.....................................................................................................................................385.6.1 Project Team Training...............................................................................................................................38

6.0 PROJECT MANAGEMENT AND CONTROLS..............................................................................................40

6.1 RISK AND ISSUE MANAGEMENT.........................................................................................................................406.1.1 Risk Management Strategy.........................................................................................................................416.1.2 Project Risk Identification..........................................................................................................................41

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6.1.3 Project Risk Mitigation Approach..............................................................................................................416.1.4 Risk Reporting and Escalation Strategy.....................................................................................................416.1.5 Project Risk Tracking Approach................................................................................................................426.1.6 ISSUE MANAGEMENT.............................................................................................................................42

6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V.............................................................................436.3 SCOPE MANAGEMENT PLAN...............................................................................................................................43

6.3.1 Change Control..........................................................................................................................................446.4 PROJECT BUDGET MANAGEMENT......................................................................................................................44

6.4.1 Budget Tracking.........................................................................................................................................456.5 COMMUNICATION PLAN.....................................................................................................................................45

6.5.1 Communication Matrix..............................................................................................................................456.5.2 Status Meetings..........................................................................................................................................466.5.3 Project Status Reports................................................................................................................................46

6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)........................................................................476.7 QUALITY OBJECTIVES AND CONTROL....................................................................................................47

6.7.1 Quality Standards.......................................................................................................................................486.7.2 Project and Product Review AND ASSESSMENTS...................................................................................496.7.3 Agency/Customer Satisfaction....................................................................................................................496.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS...........................................................................49

6.8 CONFIGURATION MANAGEMENT.............................................................................................................516.8.1 Version Control..........................................................................................................................................516.8.2 Project Repository (Project Library).........................................................................................................51

7. 0 PROJECT CLOSE..............................................................................................................................................52

7.1 Administrative Close.....................................................................................................................................527.2 Contract Close...............................................................................................................................................52

ATTACHMENTS.......................................................................................................................................................52

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REVISION HISTORY

REVISION NUMBER DATE COMMENT

0.3 September 8, 2014 Original Draft Document

1.0 April16, 2015 Agate Software Revisions

1.1 April 24, 2015 Agate Software Revisions

1.5 June 1, 2015 NMDOT Revisions

1.6 June 3, 2015 NMDOT Final Edits

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1.0 PROJECT OVERVIEW The federal “Moving Ahead for Progress in the 21st Century” (MAP-21) act requires that NMDOT collect and analyze data to ensure Traffic Safety Funded activities are data-driven and performance based. NMDOT wishes to procure an electronic Grants Management System NMDOT titled IntelliGrants system which is a commercial-off-the-shelf (COTS) web-based grants management solution that can be configured to allow NMDOT and our grantees to automate our application, agreement, claim, and reporting processes and retain electronic records for complete, accurate and accessible files. The deliverables will include the following: perpetual, non-exclusive license governed by the terms of the IntelliGrants license agreement for use by NMDOT; unlimited number of users; document designer; report builder module and dashboard; one standard product manual; and, document electronic designer module manual.

1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT The New Mexico Department of Transportation (NMDOT) is committed to preventing injuries and saving lives by eliminating crashes on New Mexico public roadways. NMDOT manages federal and state funds for the following traffic safety related enforcement, education and prevention programs: alcohol-impaired and drugged driving; seat belts and child restraints; aggressive driving and speeding; distracted and drowsy driving; motorcycle safety; young drivers; older drivers; pedestrians; bicycles; and underage drinking.

NMDOT currently executes multiple grant agreements and our grantees submit paper applications, performance reports and claim reimbursements via the U.S. mail. With an estimated 400 Traffic Safety projects each year, the amount of paper processing is quite significant and accounts for a large percentage of staff time to manage. NMDOT currently contracts with an outside vendor to assist us to develop grants, review claims, obtain, and compile data and reports required by our federal oversight agency, the National Highway Traffic Safety Administration (NHTSA). NHTSA recommended that NMDOT procure an electronic grants management system to improve our management of federal funds following our last management review, which occurred in 2013. Several state highway safety offices, have implemented electronic reporting and electronic grants management systems.

The IntelliGrants system will increase efficiency, reduce our dependence on outside vendors, and reduce overhead expenses to include employee labor, paper, toner, office supplies and postage.

1.2 FUNDING AND SOURCES

SOURCE AMOUNT ASSOCIATED RESTRICTIONS

APPROVERS

NMDOT Federal 164 Alcohol

$368,624 NONE NHTSA AND TSD DIVISION DIRECTOR

NMDOT Federal 402 Planning and

$138,798 NONE NHTSA AND TSD DIVISION

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SOURCE AMOUNT ASSOCIATED RESTRICTIONS

APPROVERS

Administration DIRECTOR

State Road Fund $18,925 NONE TSD DIVISION DIRECTOR

1.3 CONSTRAINTSConstraints are factors that restrict the project by scope, resource, or schedule.

NUMBER DESCRIPTION

1 Ideally, the system should go live at the beginning of a fiscal year for consistency.

2 Due to schedule we do not anticipate a go live date before the 2016 fiscal year.

1.4 DEPENDENCIESTypes 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 VENDOR ON-GOING SOFTWARE SUPPORT M

2 NMDOT TRAFFIC SAFETY BUSINESS PROCESS M

3 SYSTEM SIZED TO SCALE TO MEET NMDOT DEMANDS

M

4 DEPARTMENT OF INFORMATION TECHNOLOGY PROJECT OVERSIGHT COMMITTEE APPROVAL OF PROJECT CERTIFICATION PHASES TO SUPPORT ON-GOING EFFORT

M

5 TRAFFIC SAFETY GRANT AVAILABILITY M

6 CONTRACT APPROVAL AND PURCHASE OF E

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NUMBER

DESCRIPTION TYPE M,D,E

SOFTWARE AND MAINTENANCE

7 FUNDING FOR SOFTWARE MAINTENANCE, IMPLEMENTATION AND ONGOING SUPPORT OF SYSTEM

M

1.5 ASSUMPTIONS

NUMBER DESCRIPTION

1 System will be configured to meet Traffic Safety grant management needs

2 Vendor will honor contractual obligations

3 Adequate budget will be available

4 Adequate staffing levels with proper skill sets necessary to ensure the system will perform at level expected.

5 Staff is trained properly on the operation of the system to ensure continued success of the program.

6 Vendor will continue to support software and release upgrades/patches on a regular basis.

7 Business requirements will have minimal change over the life cycle of the project.

8 System can be expanded at later date to meet changes needs of programs

1.6 INITIAL PROJECT RISKS IDENTIFIEDIn this section identify and describe how each risk will be managed. Include the steps that will be taken to maximize activity that will result in minimizing probability and impact of each risk.

Funding

Description - Funds will not be readily available to support the project

Probability Very Low Impact LOW

Mitigation Strategy: Allocate funding in excess of projected funding needs.Contingency Plan: While this is not foreseeable, NMDOT would have to locate an alternative funding source.

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Vendor Support

Description – Inadequate support from vendor

Probability very low Impact LOW

Mitigation Strategy: cross training of TSD staffContingency Plan: If this occurs, NMDOT staff will need to implement solution independently without vendor assistance or guidance.

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Project Sponsor Robert Archuleta

Project team member 5 program managers & Test Grantees TBD

TSD Bureau Chief Kimberly Wildharber

Technical Review DoIT / NMDOT Tech Staff

Project Manager

Dave Martinez / Genevieve Grant

Executive SponsorTom Church

Business Operations Review Team:Grantee’s agency coordinator StaffTSD Program Management StaffPlanning and TSD Finance Staff

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE

The Project Organization describes the roles and responsibilities of the project team. It also identifies the other organizational groups that are part of the project and graphically depicts the hierarchical configuration of those groups. It exists to clarify interaction with the project team.

2.1 STAKEHOLDERS

NAME STAKE IN PROJECT ORGANIZATION TITLE

Tom Church Executive Sponsor NMDOT Cabinet Secretary

Robert Archuleta Project Sponsor NMDOT Division Director

Kimberly Wildharber Project Manager NMDOT Bureau Chief

Dave Martinez Business Owner Project Manager

NMDOT Management Analyst

Genevieve Grant IT Project Manager NMDOT IT Project Manager

2.2 PROJECT GOVERNANCE STRUCTURE2.2.1 DESCRIBE THE ORGANIZATIONAL STRUCTURE – ORG CHART

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2.2.2 DESCRIBE THE ROLE AND MEMBERS OF THE PROJECT STEERING COMMITTEE

ROLE RESPONSIBILITY NAME FUNCTIONAL AREA

Project Sponsor Oversight of project Robert Archuleta TSD Division Director

CIO Project Certification Eric Roybal Information Technology

TSD Bureau Chief Oversight of project deliverables, system administration and training

Kimberly Wildharber

Traffic Safety Division

Business Owner Project Manager

Oversight of project deliverables, system administration and training

Dave Martinez Traffic Safety Division

IT Project Manager

Oversight of IT project deliverables

Genevieve Grant Information Technology

Testers Develop user acceptance testing

Program Managers and Test Grantees

Traffic Safety and Grantee

2.2.3 ORGANIZATIONAL BOUNDARIES, INTERFACES AND RESPONSIBILITIES

The IntelliGrant System will be used by NMDOT staff and grantees. The project team will be working with TSD’s five program managers and select finance staff and representatives from a couple of grantees in order to identify all of the elements required in the configuration and testing of the system. The NMDOT has made some organizational changes in order to streamline data collection, program management and performance reporting as a result of MAP-21 requirements.

2.3 EXECUTIVE REPORTINGMeetings will be conducted with NMDOT Management and project teams on a regularly scheduled basis. Whiteboard sessions outlining project task and resource assignment schedules and agendas are conducted throughout the process and transferred to Microsoft project. Project team meetings are scheduled to coincide with the Vendor Implementation/Design teams for on-site implementation sessions with frequency and length of those meetings to be defined. Project status updates reports will be verbally communicated to Business Owners conducted at weekly conference calls and staff meetings. NMDOT management will be kept informed on progress of the project periodically throughout the project life cycle. Special oral and written Project Management and IV&V reports will be given on project progress to the IntelliGrants Steering Committee.

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3.0 SCOPE

3.1 PROJECT OBJECTIVES3.1.1 BUSINESS OBJECTIVES

NUMBER DESCRIPTION

Business Objective 1 Increased efficiency and productivity through a well-managed data entry process

Business Objective 2 Optimize business process, decreasing number of steps, saving time

Business Objective 3 Lower the cost of government by having a more efficient work activity process tracking

Business Objective 4 Improve reporting capability to executive management

Business Objective 5 Substantial NMDOT business process improvements are achievable through an electronic grants management system that is paperless

Business Objective 6 Provide a documentation and reporting system, for real time reporting and long-term document management to ensure that current data is utilized in the decision making process in the traffic safety grant funding program

3.1.2 TECHNICAL OBJECTIVES

NUMBER DESCRIPTION

Tech. Objective 1 Web-based system will be designed to allow NMDOT and grantee staff remote access

Tech. Objective 2 Data will be assessable and stored electronically

3.2 PROJECT EXCLUSIONSIn particular, the following items are out of scope for this Project:

Direct Integration with SHARE

Network sizing, capacity analysis and performance considerations

Disaster Recovery and Daily Backups. Already in place

Installation of Windows Operating System service packs or patches. NMDOT will perform.

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3.3 CRITICAL SUCCESS FACTORS

NUMBER DESCRIPTION

Quality Metrics 1 Project does not exceed budget

Quality Metrics 2 The project schedule, assigned tasks and milestones are met within project plan

Quality Metrics 3 System can provide reports

Quality Metrics 4 Program management documentation is successfully stored in the system

Quality Metrics 5 System is secure and stable

Quality Metrics 6 Staff is trained to maintain and system is operable

Quality Metrics 7 Data integrity is maintained

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4.0 PROJECT DELIVERABLES AND METHODOLOGYNMDOT will use our vendor’s knowledge in implementing similar projects within other state traffic safety offices. The NMDOT will develop a schedule of deliverables with the vendor in order to determine milestone dates on completion of the customization of the IntelliGrants system. The project will be subdivided in smaller, manageable phases with completion of one phase before commencing the next.

Initiate

• Kickoff Meeting

• Project Plan• Communica-

tions Plan• Risk/Issues

Plan• Status

Reporting

Analyze/Design

• Software Reconciliation Session

• Initial Business Process Scoping Document

• Technical Architecture Definition

Build

• Install Infrastructure

• Configuration• Data Migration• Create

Validation Plan• Test/Validate/

User Acceptance

Train

• Train the Trainers or Users

• Hands-on Training

• Complete Training Documentation

• Admin Training

Deploy

• Roll-out Plan• Deploy

Solution Components

• Run Migration• Validate

System and Data

• Post Production Support (technical support, helpdesk, maintenance

4.1 PROJECT MANAGEMENT LIFE CYCLE

Phase Summary of Phase Key Deliverables

Initiate During initiate, the project manager of the delivery team will kick-off the project, validate the scope, facilitate the logistics and initiate the project plan.

Onsite Kick-off Project Meeting

Planning The delivery team will conduct the analysis of DOT’s requirements and define the architecture and design of the solution. The requirements

IntelliGrants Initial Implementation deliverables

IG Product Domain

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include business, technical, and functional requirements.

Branding Design

Project Management Plan

Communication Plan

Resource Plan

Project Schedule

System Requirement Specification (SRS)

System Design Document (SDD)

Implementation - Configuration

In Build, the delivery team will configure the proposed system. It includes the installation, development and configuration and testing of components and sub-systems comprising the proposed solution.

Operational Plan/Negotiation Forms/Grant Agreement/Amendment Configuration

Product Security Role Set Up

IG Design Document Workflow for the Operation Plan and Grant Agreement

IG Build Document Workflow for the Operational Plan and Grant Agreement

IG Form Design for the Operational Plan/Negotiation Forms/Grant Agreement

IG Form Build for the Operational Plan/Negotiation Forms/Grant Agreement

Claims/Activity Reports Configuration

IG Design Document

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Workflow for Claims/Activity Reports

IG Build Document Workflow for Claims/Activity Reports

IG Form Design for the Claims/Activity Reports

IG Form Build for the Claims/Activity Reports

IG Form Build for the Life Expectancy Tool

IG Product Management Query Report Software Configuration

IG Product Management Formatted Report Software Configuration

Implementation - Training In this phase, the delivery team will train the Project Managers and select TSD staff for the end user training. Project Managers will train grantees

Administrative Training Manual

Onsite Administrative Training

Agency Training Manual

Implementation - Deployment In this phase, the delivery team ports the system from a Test environment to Production environment and conduct the system roll out for successfully “Go-Live”

System Go-Live

Close In this phase, the delivery team ensures that every detail of the project has been

Project Closure

Project Review

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addressed and proper closure is attained.

Meeting

Project Archival Activities

Follow-up Activities

4.1.1 PROJECT MANAGEMENT DELIVERABLES

4.1.1.1 Project Management Plan

Description Defines the project

Deliverable Acceptance Criteria Agreed Project Management Plan in the meeting

Standards for Content and Format NM DoIT Template

Quality Review Reviewed in meeting between Agate Software and NMDOT project management

4.1.1.2 Communication Plan

Description Defines the messages, communication channels, frequency and target audience of project communications

Deliverable Acceptance Criteria Agreed Communication Plan in the meeting

Standards for Content and Format Agate Software Communication Plan Template or Meeting Minutes


4.1.1.3 Resource Plan

Description Method, procedure and process to follow should issues arise that requires escalation

Deliverable Acceptance Criteria Agreed Resource Plan in the meeting will be documented

Standards for Content and Format Meeting Minutes


4.1.1.4 Project Schedule

Description A Project Schedule with specific dates for each deliverable within a NMDOT provided

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template or as agreed upon between the Agate Software and NMDOT project managers.

Deliverable Acceptance Criteria Agreed Project Schedule in the meeting will be distributed

Standards for Content and Format Agate Software Project Plan template Mavenlink

Quality Review NMDOT staff reviewing the draft deliverable and providing comments and suggested revisions on the timeline. NMDOT comments will be synthesized and compiled into one document by the NM DOT and provided to Agate Software and will update the document and provide the updated draft.

4.1.1.5 System Requirement Specification (SRS) Document

Description A software joint application design (JAD) session to define the business, functional, and technical requirements as collected from business users within the scope of the project will be used for the configuration required of the IntelliGrants system

Deliverable Acceptance Criteria Signed off document

Standards for Content and Format NMDOT Template

Quality Review NMDOT staff reviewing the draft deliverable and providing comments and suggested revisions. Agate Software will update the document and provide the updated draft to NMDOT’s satisfaction.

4.1.1.6 System Design Document

Description System Design Document describes the specification and configuration of the system on infrastructure level

Deliverable Acceptance Criteria Signed off document

Standards for Content and Format NM DoIT SDD Template

4.1.1.7 User Acceptance Testing (UAT) Plan

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Description Provide support to NMDOT to execute the Test scripts for User Acceptance Testing

Deliverable Acceptance Criteria Signed off completion of UAT, reported in Status Report

Standards for Content and Format Agate Software Status Report

Quality Review Agate Software will provide support in running the test scripts. The test scripts will be reviewed before the execution of UAT.

4.1.1.8 Administrator and Grantee Training Manuals

Description Administrator and Grantee training materials provided to the end users for reference on how to run their common use cases in the new system and configure additional forms and adhoc reports

Deliverable Acceptance Criteria PDF or word version of Administrator and Grantee Training Manuals, reported in Status Report

Standards for Content and Format Agate Software Administrator and Grantee Training Manuals Template


Deliverable Acceptance Criteria Execution of Project Review Meeting

Standards for Content and Format Meetings between Agate Software and NMDOT project management and Status Reports

Quality Review Meetings between Agate Software and NMDOT project management

4.1.2 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS

DELIVERABLE NUMBER

DELIVERABLE APPROVERS (WHO CAN APPROVE)

DATE APPROVED

PRJ-DEL-001 IntelliGrants Product Software License

Business Owner and IT Project

4/28/2015

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DELIVERABLE NUMBER


DATE APPROVED

Managers

PRJ-DEL-002 Initial Business Analysis/JAD Session

Business Owner and IT Project Managers

4/28/2015

PRJ-DEL-003 Project Management – Resource, Communication & Project Plans


6/1/2015

PRJ-DEL-004 System Requirement Specification (SRS) & System Design Documentation


7/10/2015

PRJ-DEL-005 Security Roles Set Up Business Owner and IT Project Managers

4/22/2015

PRJ-DEL-006 Build Document Workflow – Operational Plan


6/1/2015

PRJ-DEL-007 Form Build – Operational Plan Business Owner and IT Project Managers

PRJ-DEL-008 Build Document Workflow - Claims/Activity Report


6/1/2015

PRJ-DEL-009 Form Build – Claims/Activity Report


PRJ-DEL-010 Configuration – Management Query & Report


PRJ-DEL-011 Product Domain Branding Design Business Owner and IT Project Managers

3/2/2015

PRJ-DEL-012 Test Environment Implementation Business Owner and IT Project Managers

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DELIVERABLE NUMBER


DATE APPROVED

PRJ-DEL-013 User Acceptance Testing Business Owner and IT Project Managers

PRJ-DEL-014 Training Business Owner and IT Project Managers

PRJ-DEL-015 Production Rollout Business Owner and IT Project Managers

PRJ-DEL-016 Service Enhancement Business Owner and IT Project Managers

PRJ-DEL-017 Annual Support FY16 & 17 Business Owner and IT Project Managers

4.1.3 DELIVERABLE ACCEPTANCE PROCEDURE

The NMDOT will use a project milestone document and the deliverables described in the executed contract. The NMDOT project manager will sign off on all completed deliverables in the contract.

4.2 PRODUCT LIFE CYCLE 4.2.1 TECHNICAL STRATEGY

Agate Software will define the needs and requirements of NMDOT by conducting a thorough business analysis to identify functionality needed in a system. Project documentation is produced as a result of the business analysis that is agreed upon by both parties. Upon completion of the analysis and documentation phase, the solution design phase begins. During development, the solution is rigorously tested, first internally then through the User Acceptance Testing performed by NMDOT. Once testing is complete, signoff on functionality by both parties is required. The solution is then rolled-out to the production environment with Agate Software responsible for supporting the program.

4.2.2 PRODUCT AND PRODUCT DEVELOPMENT DELIVERABLES

4.2.2.1 IntelliGrants SystemDescriptionThe product deliverable will be a

Deliverable Acceptance Criteria – Successful UAT will determine acceptance criteria

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IntelliGrants System that incorporates NMDOT work activities, claims, activity data and program management documentation and produces reports identified by NMDOT.

Following the onsite gathering sessions, an updated Project Plan will be created by Agate Software which includes a listing of all system requirements required to start building the program. Agate Software will incorporate “gated” milestones as a decision point for proceeding to subsequent phases or activities of the project plan which will not begin until approval has been given by NMDOT. Approval of the project plan will initiate Agate Software to begin work on form designs, workflows and security roles for the system implementation. As designs are completed and approval is provided, development and configuration of the IntelliGrants system will begin in a development environment.

Approval of the deliverables may include design documentation, user specifications or other requirement documentation however, acceptance of the deliverables by the client will occur at the gated sessions before moving forward to the next phase.

4.2.2.2 Performance Reports

Description – The Intelligrants System will contain a set of reports on performance indicators

Deliverable Acceptance Criteria – Report updates correctly for the time period specified

Standards for Content and Format – NMDOT will determine parameters for report

Quality Review – Audits will be conducted of data from reports.

4.2.3 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS

DELIVERABLE NUMBER


DATE APPROVED

1 IntelliGrants system Business Owner and IT Project Managers

2 Performance Business Owner and IT Project Managers

4.2.4 DELIVERABLE ACCEPTANCE PROCEDURE

Once functionality has been completed, tested, and approved by Agate Software resources on the DEV environment the corresponding changes will be transferred to a demonstration (DEMO) environment. The DEMO environment is designed to allow NMDOT to access a project. NMDOT will be given a URL that will allow for the review of functionality before it is released to the Production environment. UAT is performed and minor modifications and defect

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corrections are completed. Agate Software will work closely with NMDOT to document a detailed and thorough plan of the events and milestones involved in the testing of the new system.

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5.0 PROJECT WORK

5.1 WORK BREAKDOWN STRUCTURE (WBS)1. IntelliGrants Product Software License (AGT-IG13-LIC-PD)

Attributes of the deliverable include the following:

IntelliGrants License o Perpetual, non-exclusive license governed by the terms of the IntelliGrants

License Agreement for use by the New Mexico Department of Transportation

o Unlimited number of userso Document Designer o Report Builder module and Dashboard o One (1) Standard Product Manuals

Document Designer Module Manual (electronic copy)o Does not include professional services

IntelliGrants License Agreemento Agate Software will provide NMDOT with an IntelliGrants License

Agreement which must be signed before the Onsite Business Analysis can be scheduled.

Warrantyo Agate Software includes a one (1) year warranty after date of installation.

Sign-Off and Invoicing of the Deliverable is contingent upon the following:

100% of license fee invoiced upfront upon Agate’s receipt of Purchase Order - (Onetime Fee)

NMDOT signed version of the IntelliGrants License Agreement

2. IG Product Domain Branding Design (AGT-IG13-CON-BR)

Attributes of the deliverable include the following: IntelliGrants branding design, and client specific graphics updates

o Includes one mock-up of the IntelliGrants Home Pageo Mock-up will be designed based on NMDOT branding standards or current

external site designo No changes can be made to the overall IntelliGrants component structure

(change location of buttons, addition/subtraction of functional screen

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elements, etc.) or user experience unless currently supported through system configuration

o NMDOT will have two rounds of branding design reviewo Branding must be approved before being applied to the Agate

Demonstration environment

Sign-Off and Invoicing of the Deliverable is contingent upon the following: NMDOT IntelliGrants Branding applied to Agate Demonstration environment

3. Onsite Kick-off Project Meeting (AGT-IG13-PLAN-KSC)


Onsite Business Analysis which includes the following:o Project Kick-Off discussion o Existing client Product Demo intended to level set for team memberso Define project roles and responsibilities for Resource Plano Document Workflows via Microsoft Visioo Document security role definition for the Security Role Matrixo Pricing includes three (3) onsite days by two (2) Agate Software employees


Onsite Business Analysis is completed

4. Project Documentation Including Project Plan (AGT-IG13-PLAN-OPRD)


Project Plan Documentation includes the following:

o Agate first draft of Microsoft Project Plan with a complete listing of milestones, deliverables and resources

o Agate Software and NMDOT will review and mutually agree upon a detailed project schedule that will be signed by both parties

o The risk of NMDOT to complete project tasks or milestones could result in one or more of the following:

Reallocation of Agate project resources Timeline extensions Task Orders to add additional Agate Resources (Change Management

Process)


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Completed Resource Plan Signed-Off Project Plan

5. Operational Plan/Negotiation Forms/Grant Agreement/Amendments Configuration

This functionality would allow Agencies to complete and submit an Operational Plan in IntelliGrants.

All submitted Operational Plans can be reviewed by NM DOT staff and Safer Law Enforcement Liaisons (LELs) users.

LEL users can be assigned to Agencies Operational Plans via the IntelliGrants Add/Edit People interface.

After Operational Plans are submitted, the Negotiation Forms will become available for LELs to complete based on conversations with Agencies.

Program Budgets and Scope of Work will be tracked by Program Area. Once the Negotiation process is complete, the Grant Agreement review process

will begin. The IntelliGrants CORE workflow functionality will be used to track the review and signature process.

The signed Grant Agreements will be generated by the system as a PDF. Agencies and NMDOT will have the ability to sign a Grant Agreement based on a

Workflow process defined by NMDOT. Authorized signatories for Agencies and NM DOT will perform status changed in the system to generate a signed PDF that will be stored on the Production server. The signed Grant Agreement will be populated with the user’s first and last name (as input into the system) that performed the status change. The Grant Agreement will also be populated with the date that the status was changed.

NMDOT Program Managers (or appropriate staff) can enter a contract number into the system.

NMDOT Finance roles can use IntelliGrants Account Module to track encumbrances and expenditures by Program Area.

6. Product Security Roles Set Up (AGT-IG13-CON-SRS)


Product security role set-up for grantor and grantee organizationso Limit of ten (10) System Security Roleso Security Roles will be defined and documented in the Security Role Matrix

through the Business Analysis processo The Security Role Matrix must be approved by NMDOT before

configuration of system security roles can begin

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o Any changes to the Security Role Matrix after approval must be evaluated through the Change Management Process


NMDOT confirmation and sign off of Security Roles being set up in the system

7. IG Design Document Workflow for the Operational Plan and Grant Agreement (AGT-IG13-CON-WFD)

8. IG Build Document Workflow for the Operational Plan and Grant Agreement (AGT-IG13-CON-WFB)


Development of one (1) Workflow Document for the Operational Plan and Grant Agreemento Includes the following phases:

Operational Plan Development by Agencies Operational Plan Submission NMDOT/LEL Operational Plan Review LEL Negotiation Form Completion and Review Acknowledgement/Regret Letter Grant Agreement Review Grant Agreement Signatures Executed Grant Agreement Agency Amendment Request Agency Amendment NMDOT Request Approval Agency Amendment NMDOT Request Denial Amendment Grant Agreement Modifications Amended Grant Agreement

o Level 1 Workflow Design & Build


NMDOT must sign-off on when design and build of workflow is complete

9. IG Form Design for the Operational Plan/Negotiation Forms/Grant Agreement (AGT-IG13-CON-FD)

10. IG Form Build for the Operational Plan/Negotiation Forms/Grant Agreement (AGT-11-IG13-CON-FB)

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Attributes of the deliverables include the following:

Development of Design Document for the Operational Plan/Negotiation Forms/Grant Agreemento Includes the following:

Operational Plan/Negotiation Forms/Grant Agreement Document Template Properties

Operational Plan/Negotiation Forms/Grant Agreement Form Menu Structure

Detailed design of each data capture form Field Types and Names Business Rules (required fields, match error checks, etc.) Calculations

Form Permissions Matrix Access by role and Workflow status to form functions (Save, Add,

Delete, etc.)o Limit of twenty five (25) forms will be configured.

Twenty five (25) Level 1 Form Design & Buildo NMDOT must sign-off on the Design Document before configuration can

begino A print version of each form is included

Grant Agreement Documento PDF document generated by the system when users perform status changes

in the Workflowo Populated with the current data entered into the systemo The PDF document will be populated with user’s name as input into the

system as well as the date the status change occurred.o Once the document is generated, it can be accessed via a hyperlink present

on a form within the Operational Plan/Negotiation Forms/Grant Agreement template.

o The system will allow for the population of two unique Grant Agreement Types:

Consolidated Project Agreement Consolidated Tribal Project Agreement

User Acceptance Test Script (UAT) Developmento Script is designed to validate that the major functional areas of the

deliverable are operating as defined in the Design Document and Workflow Document

o The UAT will NOT test every error check, business rule, or calculation

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Sign-Off and Invoicing of the Deliverables is contingent upon the following:

Validation of UAT results by NMDOT

11. Claims/Activity Reports Configuration

Claims/Activity Reportso This functionality would allow an Agency to initiate and submit a

Claims/Activity Report in IntelliGrantso A Claims/Activity Report can be initiated and will be associated with each

Program Area within the Grant Agreemento Claims/Activity Report financial data will be tracked at the Budget

Category level of the Program Area within the Grant Agreemento NMDOT will be able to review, audit Budget Category amounts, approve

and reject Claims/Activity Report

12. IG Design Document Workflow for Claims/Activity Reports (AGT-IG13-CON-WFD)

13. IG Build Document Workflow for Claims/Activity Reports (AGT-IG13-CON-WFB)

Attributes of the deliverables include the following: Development of one (1) Workflow Document for Claims/Activity Reports

o Includes the following phases: Agency Claims/Activity Reports initiation Agency Claims/Activity Reports Reimbursement submission NMDOT Claims/Activity Reports Review NMDOT Claims/Activity Reports Approval NMDOT Claims/Activity Reports Rejection

o Level 1 Workflow Design & Build



14. IG Form Design for the Claims/Activity Reports (AGT-IG13-CON-FD)

15. IG Form Build for the Claims/Activity Reports (AGT-11-IG13-CON-FB)

Attributes of the deliverables include the following: Development of Design Document for the Claims/Activity Reports

o Includes the following: Claims/Activity Report Document Template Properties Claims/Activity Report Form Menu Structure

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Form Permissions Matrix Access by role and Workflow status to form functions

(Save, Add, Delete, etc.)o Limit of fifteen (15) forms will be configured.

Fifteen (15) Level 1 Form Design & Build o NMDOT must sign-off on the Design Document before configuration can

begino A print version of each form is included

Information currently contained in the Property Agreement and Inventory Record and Annual Inventory Certification Form documents will be input by the Agency when reimbursement is requested within the Claims/Activity Reports.



16. IG Form Build for the Life Expectancy Tool (AGT-11-IG13-CON-FB)

Attributes of the deliverables include the following: The Inventory Life Expectancy Tool will be developed to allow NMDOT to apply

a Disposition Date to items that have been purchased using TSB Funds. Three (3) Level 1 Form Design & Build



17. IG Product Management Query Report Software Configuration (AGT-IG13-CON-MQ)


Configuration of two (2) Query Reports ( The Query Reports are defined as follows:

o Agency Detail Report Includes the following data:

Agency Name, Project Number, Contract Number, Execution Date, Expiration Date, Grant Balance, Vendor Number, TSD Program Manager assigned to the grant

Data can be filtered on any of the values above

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Filtering will be done by allowing a user to type values into a single field for each data element listed above

o Equipment List Includes the following data:

Location, FA or Inventory Number, Date Purchased and Life Expectancy

Data can be filtered on any of the values above Filtering will be done by allowing a user to type values into a

single field for each data element listed aboveo Each Report can have up to two design iterations


NMDOT Sign-Off on each report working with no defects in the Agate Demonstration environment

18. IG Product Management Formatted Report Software Configuration (AGT-IG13-CON-FR )


Configuration of two (2) Management (Formatted) Reports o NMDOT is responsible for providing Agate a design and layout (Excel or

Word template) for each requested reporto Each Report can have up to two design iterations

Sign-Off and Invoicing of the Deliverable is contingent upon the following: NMDOT Sign-Off on each report working with no defects in the Agate Demonstration

environment

19. Administrative Training Manual (AGT-IG13-PDG-AM)


One (1) NMDOT Administrative training manual limited to 75 pages including screen shots (1 electronic copy)

Two content review cycles


NMDOT sign-off on the final version of the manual

20. Onsite Administrative Training (AGT-IG13-PT-OGT)


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One (1) day of onsite Administrative System Training, Two (2) sessions up to 4 hours each.

Train NMDOT Staff to use the administrative functions of the system Limited to NMDOT Staff NMDOT will be required to supply the meeting/training room, an internet

connection and a projector

Sign-Off and Invoicing of the Deliverable is contingent upon the following: Completion of the 1 day training course by Agate

21. Agency Training Manual (AGT-IG13-PDG-TM)


One (1) Agency training manual limited to 50 pages including screen shots (1 electronic copy)




5.2 SCHEDULE ALLOCATION -PROJECT TIMELINEProject Phase Due Date DeliverablePlanning 4 week Communication Plan, Timeline ScheduleRequirements - JAD

1 week Gather business, functional, and technical requirements

Requirements 4 week Document business, functional, and technical requirementsBuild/Design 37 weeks Requirements Documentation and ReviewBuild/Test 4 weeks Completion of System User Acceptance

Testing (UAT)Train 2.5 weeks Complete training, administrative and grantee training manualDeploy ½ week System go-liveClose 1 week Project Review meeting, project archival

activities, follow-up activities

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5.3 PROJECT BUDGETCosts estimates are the costs applied to an activity in a project by assigning resources with associated rates or fees. Resources can include equipment, material, technology, processing cycles, or people. The total cost is critical and should be consistent with the proposal; include breakdowns as needed. Match these cost estimates with the actual billed amounts. Use an appropriate format for the project size and customer requirements (e.g., by WBS, milestone, or deliverable).

Phase / Activity Associated Deliverables Estimated Budget

InitiationIndependent Validation & Verification

Initial Assessment ReportBi-Monthly Status ReportsProject Closure Report

$46,035

Planning Purchase IntelliGrants Product Software License

$140,000

PlanningInitial Business Analysis/JAD Session

Initial Project Management PlanProject ScheduleCommunication PlanResource Plan

$13,600

Planning Project Management Plan $20,400.00

Planning System Requirement Specification (SRS) Document

$58,400.00

Planning Product Security Roles Set Up $7,200

Implementation Build Document Workflow $2,000

Implementation Form Build $40,000

Implementation Build Workflow Claims/Activity Reports

$2,000

Implementation Form Build Claims/Activity Reports

$24,000

Implementation Product Management Query and Management Report Configuration

$8,320

Implementation IG Product Domain Branding Design

$4,080

Implementation Test Instance $4,800

Implementation User Acceptance Testing $0

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Project Sponsor Robert Archuleta

Project team member 5 program managers and test grantees

TSD Bureau ChiefKimberly Wildharber

Technical Review DoIT / NMDOT Tech Staff

Project ManagerDave Martinez / Genevieve Grant

Executive SponsorTom Church

Business Operations Review Team:Grantee’s agency coordinator StaffTSD Program Management StaffPlanning and TSD Finance Staff

Phase / Activity Associated Deliverables Estimated Budget

Implementation Training $16,160

Implementation Service Enhancements $60,500

Maintenance Annual Support FY2016 $39,426

Maintenance Annual Support FY2016 $39,426

TOTALS $526,347

5.4 PROJECT TEAM5.4.1 PROJECT TEAM ORGANIZATIONAL STRUCTURE

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5.4.2 PROJECT TEAM ROLES AND RESPONSIBILITIES

1. Account Manager (AM)The engagement manager role is responsible for contract performance and all commercial issues.

2. Project Manager/Team Lead (ATL)The project manager role is a leadership role that oversees all aspects of the project planning and tasks performed by the project lead. The project manager has both technical and functional experience as well as project management of full system implementations. This allows the project manager to make educated decisions to keep the project on track to a successful deliverable.

3. Project Lead (APL)The project lead handles the day to day scheduling of the project and resources. All work required by a developer, configurator, testing specialist, documentation specialist and product manager is managed and overseen by the project lead. The project lead is the main contact for the client team for issue resolution and all project needs.

4. Product Designer (APD)The product manager is responsible for managing all aspects of the system design including the user interface and overall user experience. The product manager is available to present onsite demo sessions when necessary.

5. Lead Developer (ALD)The Agate lead developer is responsible for performing the development tasks in the project. The developer will provide updates to the project lead at the end of each major task or milestone throughout the life of the project. This individual will be the primary source for developing push packages. The lead developer will also be responsible for coordinating the work of all other developers on the project.

6. Business Analyst (ABA)The business analyst role has a very good working knowledge of IntelliGrants and what functionality is available. They discern the requirements and create solutions for those business needs. The business analyst is also in contact with the client team where necessary to flush out detailed requirements.

7. Configuration Specialist (ACS)The configuration specialist performs all configuration work in IntelliGrants. The Work Flow and Design Documents serve as the road maps for configuration specialists to perform configuration and setup.

8. Quality Assurance Resource (AQAR)The quality assurance resource develops plans and implements the Agate internal testing process as well as the User Acceptance Test cases based on client’s requirements, user input and

PAGE | 34

technical understanding. They also assist in reproducing and investigating software defects in coordination with the development team.

9. Documentation Specialist (ADS)Develops, writes and edits material for product documentation including all training material. Maintains and reviews published materials and recommends revisions or changes for clarity and usability.

Role NameMonthlyProject Time %

Est. Begin Date

Est. End Date

Account Manager Mark Watters, Agate 1 02/01/2014

02/01/2016

Project Manager/Team Lead

Brad Banning, Agate 30 03/04/2015

02/01/2016

Product Designer Ted Barringer, Agate 1 03/04/2015

02/01/2016

Project Lead Mike Zyla, Agate 100 03/04/2015

02/01/2016

Lead Developer Mike Zyla, Agate 100 03/04/2015

02/01/2016

Business Analyst Mike Zyla, Agate 100 03/04/2015

02/01/2016

Configuration Specialist Jennifer Sloan, Agate 80 03/04/2015

02/01/2016

Quality Assurance Resource

Jennifer Sloan, Agate 80 03/04/2015

02/01/2016

Documentation Specialist

Jennifer Sloan, Agate 80 03/04/2015

02/01/2016

Project Sponsor Robert Archuleta, NMDOT

10 02/01/2015

02/01/2016

Project Lead Kimberly Wildharber, NMDOT

30 02/01/2015

02/01/2016

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Project Manager/Project Lead

Dave Martinez, NMDOT

100 03/04/2015

02/01/2016

IT Project Manager/Project Lead

Genevieve Grant, NMDOT

100 03/04/2015

02/01/2016

Subject Matter Expert Kimberly Wildharber, NMDOT

30 03/04/2015

02/01/2016

Subject Matter Expert Dave Martinez, NMDOT

100 03/04/2015

02/01/2016

Subject Matter Expert Ken Pino, NMDOT 30 03/04/2015

02/01/2016

Independent Verification & Validation Contractor

Nick Behrmann, POD 100 03/04/2015

02/01/2016

5.5 STAFF PLANNING AND RESOURCE ACQUISITION

PAGE | 36

5.5.1 PROJECT STAFF

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Resource Work Product/DeliverableNM DoIT Provide project implementation oversight

Ensure proper project management and cost reporting Certify and approve funding prior to each phase of the project

IV&V Provide project implementation oversight Ensure proper project management


Report to IT on project status, issues, budget, and activities Address, review, and submit deliverables to vendor from the

NMDOT Project Team members Establish and maintain a coordinated project manual that includes

all IT and non-IT tasks and activities necessary to fully execute the project and to achieve project goals

Monitor and report the activities of the NMDOT Project Team, assuring adherence to the project plan, budget and schedule.

IT Project Manager Ensure involvement of participants in order to meet deadlines Ensure mitigation of project issues and risks Maintain a current copy of the project budget Prepare the contract for professional services from Vendor Procure hardware and software for NMDOT Comply with approved IT Infrastructure policies & procedures Lead Business Process Reengineering efforts Facilitate defining document metadata and setting up document

taxonomy Manage testing and validating Provide contract and Vendor oversight Assure Vendor deliverables meet the business & system

requirements Monitor the project and contract to ensure delivery of complete,

accepted deliverables on schedule Serve as a contact for the Vendor Team Manager, review and

accept weekly status reports, project milestones, deliverables, and issues logs

Advise the Vendor Team(s) on issues and risks Review and approve all Vendor documentation

IT Specialists (Programmers, NMDOT System Experts and Developers)

Provide IT subject matter expertise Work with Project Manager to determine hardware, software,

network and technical requirements. Work with Project Manager to define technical system interface

requirements. Provide IT perspective and guidance for technology issues

Vendor/Contractor Ensure compliance with the Contract and the approved work plan. Develop and submit all deliverables as required by the Contract Meet the Project schedule and milestones as defined in the Work

Plan and the Contract.

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5.5.2 NON-PERSONNEL RESOURCES

Resource Cost EstimateEstimated units/hours Availability Source Work Product/Deliverable

Agate Software $500,000 12 months

Vendor Software installation, system configuration, training

5.6 PROJECT LOGISTICS

Phase Deliverables

Initiate Project Management Plan Communication Plan Resource Plan Project Schedule

Planning Software Reconciliation Session System Requirement Specification Document System Design Document

Implementation Out-of-the-box IntelliGrants software Installed. Configured System Definition of User Acceptance Testing (UAT) cases Execution of User Acceptance Testing

Implementation Completed Training & Training Documents. Administrator and grantee Guide. System as-built documentation

Implementation System Go-Live

Close Project Review Meeting. Project Archival Activities. Follow-up Activities.

5.6.1 PROJECT TEAM TRAINING

ResourceCost Estimate

Estimated Hours

Availability Skill Set

Work Product/Deliverable

Agate Software 8 Technical experts

Training will be part of contract deliverables and cost is included.


40 NMDOT staff

Train the Trainer

Training for Grantees on how to enter data and use system

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6.0 PROJECT MANAGEMENT AND CONTROLS

6.1 RISK AND ISSUE MANAGEMENT

1) Risk: Failure by either party to maintain one (1) client Point of Contact.

Solution:

If one of the parties becomes difficult to contact and decisions are not being made, a meeting will be called to discuss and reappoint a decision maker or discuss alternatives

Agate and the Client Sponsor and Project Manager will stop to assess and determine a plan to reinstate a point of contact

Identify on weekly report If required decisions are not made according to the project

schedule, then identify any impact to cost or schedule

2) Risk: Lack of key client resources to attend design and status meetings during the project.

Solution:

Agate will request vacation and holiday schedule from the client

If availability becomes an issue, Agate will communicate this to Client Project Manager via email

If meetings are missed, Agate will work to reschedule meeting with staff through Client Project Manager

If required decisions are not made according to the project schedule, then identify any impact to cost and/or schedule

3) Risk: Lack of client resources availability and/or capability to complete needed tasks.

Solution:

Agate will help mitigate this risk by communicating through the status report and other communication devices to keep the client aware of upcoming action items (tasks)

If client resources are unavailable to complete scheduled tasks Agate will identify any impact to schedule

If client resources are continuously unable to complete scheduled tasks, Agate will stop the project to assess the impacts. Agate will request a meeting with Client Project Sponsor and Project Manager and determine a plan to alleviate the impacts

4) Risk: There is unforeseen turnover of Agate personnel critical to the success of the project.

Solution: Identify on status reports to client Identify any impact to schedule Agate will employ knowledge transfer sessions to educate

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the newly identified personnel. The knowledge transfer sessions will be conducted using the project documentation along with a secondary Agate key project resources

5) Risk: Failure to follow communication plan agreed to at the onset of the project by the client and Agate Software.

Solution: Agate will stop and assess. A meeting will be called to

determine the issue(s) The issue(s) will be reviewed and suggestions offered to

rectify the issue(s)

6) Risk: Failure of both parties to follow the process of entering and updating items in ProjectTrax in a timely manner.

Solution: A meeting will be called to determine the issue(s) The issue(s) will be reviewed and suggestions offered to

rectify the issue(s)

7) Risk: Decisions and approvals are not made in a timely manner by the client resulting on impacting to project timeline.

Solution: A meeting will be called between Agate and the Client

Project Manager to review and evaluate the problem Identify any impact to schedule

6.1.1 RISK MANAGEMENT STRATEGY

Risks will be identified, monitored and tracked on an ongoing basis for the project. Risks will be logged and scored based on the probability of occurrence and impact (severity) on the project if the risk occurs.

6.1.2 PROJECT RISK IDENTIFICATION

A risk evaluation tool has been provided by Agate Software. This is the primary tool to be used to list and categorize project risks. The sequence of activity is as follows; Risk Identification – The process of identifying potential risks and commenting the specific characteristics of each.

6.1.3 PROJECT RISK MITIGATION APPROACH

All identified risks will have appropriate mitigation strategies/plans. For those risks that are highly probable and have significant impact to the project will develop contingency plans.

6.1.4 RISK REPORTING AND ESCALATION STRATEGY

Risk monitoring and control will be part of every project status meeting. Risk identification will be the responsibility of all members of the project team. The Project Director and Project Managers will be responsible for tracking risks and for developing mitigation strategies and contingency plans that address the risks identified by the team.

This project will follow a continuous risk management strategy. Risk will be assessed routinely to ensure that identified risks are being dealt with appropriately and that new risks are identified and dealt with as early as possible.

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6.1.5 PROJECT RISK TRACKING APPROACH

Risk Level Mitigation Comment

Insufficient funding

Low Prioritize each agency’s funding request and develop contingency plans to allocate funds

Insufficient funding allocation means that either some agencies requesting funds will receive $0 or agencies will not have enough to purchase software, hardware and implementation services.

Agency Resource availability

Low Ensure stakeholders are involved and support the project team members

Lack of resources to complete project activities can lead to delays in project schedule.

Extended timeline caused by state approval process

Low No hindrance is expected

State requirements for oversight as well as the procurement process provide numerous opportunities for project delays.

6.1.6 ISSUE MANAGEMENT

6.1.6.1 Internal Issue Escalation and Resolution Process

NMDOT Project team will work together to address and provide a resolution to any issues that may come up during the project.

NMDOT Project team will work with vendor to address and provide a resolution to any issues that may come up during the project. With any project, no matter how comprehensive the planning process, issues arise that need to be addressed.

When the project team identifies an issue, it will be added to the project issues tracking document. An issue can also be identified by anyone affiliated with the project although the project team will be primarily responsible for tracking issues through to resolution. The project team will review the issues list twice a month. Issues, which could negatively affect the project, will be brought to the project ESC attention according to the change control process in section 7.4. The process of tracking an issue is outlined here:

1. An issue is identified.2. It is added to the issue document, assigned an issue number with a brief explanation of

the issue and date entered.3. The issue is assigned to someone and potential action to be taken.4. As action is taken, it is noted with the issue.5. If possible, an estimated completion date is entered.6. Upon completion of an issue, the actual completion date is noted with the resolution.

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Listed below are examples of how an issue can be resolved: An issue can become a task added to the project plan with proper approval, if new, or

within scope of the project. It could be resolved by an action taken. A document can be created which addresses the issue. A resolution could create new issues that need to be addressed. A new policy could be created which addresses the issue.

The project team is primarily responsible to resolve issues or follow-up to be sure action is being taken to resolve an issue.

6.1.6.2 External Issue Escalation and Resolution ProcessThe external process is provided for issues that involve project resources, processes, procedures, or methodology that cannot be resolved within the Division that is responsible for managing the project without affecting the overall project schedule, cost, or quality.

6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&VIndependent Verification and Validation (IV&V) means the process of evaluating a system 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 development organization. Describe the process that will be employed to meet IV&V requirements.

A Competitive Vendor Request (CVR) will be submitted to the NMDOT Information Technology Division for approval. Once approved, the project team will initiate contact with approved IV&V vendors. The IV&V vendor will develop a complete IV&V plan in conjunction with the project team.

6.3 SCOPE MANAGEMENT PLANDescribe the process that is going to be used to manage the scope of the project. Make sure to address managing stakeholder expectations.

6.3.1 CHANGE CONTROL

6.3.1.1 Change Control Process

Any significant changes in the project will likely cause changes to others tasks. Project control establishes the mechanism to routinely track and report on these parameters. If issues arise that result in significant variances in these parameters, the project team will prepare and submit a Project Change Request form through the Project Change Control process.

6.3.1.2 Change Control Board (CCB)

The CCB for this project will be the Project Sponsor who is responsible for project delivery within budget and is authorized to approve changes to the project plan.

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Change Management Process

The Change Management Process is in place to manage client requirements and/or change requests that are considered “Out of Scope” based on the terms of the current contract for the engagement. The Change Management Process is comprised of the steps outlined below.

There are a series of project documents that, once initially approved, may not be changed and republished without review and approval. These documents are considered “under change control” once initially approved. The goal of Change Management Process is to ensure that only approved changes are made within the project whether to scope, budget, schedule or quality.

The three components of the Change Management Process are: Base-lining project documentation Requesting changes to base-lined documentation Requesting additional requirements or functionality not initially in scope

The documentation baseline is created as project deliverables are approved by the client. After this baseline has been defined, any requested changes must be through the Change Management Process. Scope change requests can be a result of changes or additions to the baseline requirements and/or new modifications to the deliverables, activities, or quality standards. For example:

New business requirements would be additions Deciding not to implement components already built would be a deletion A reversal of a prior design decision during build and test would be a change (rework)

The Change Management Process allows the project team to make changes to the original baseline. One of the goals of this process is to make definitive decisions so that projects can maintain their momentum. Changes must be actively controlled, as unmanaged changes commonly lead to unsuccessful projects.

Client Identifies Change Request The Client Project Sponsor or Client Project Manager will document the change request as a Task

in Mavenlink. As much detail about the requested should be entered into the Task Description. The Agate Team Lead or Project Lead may request that the client also upload a completed

Change Request form to the Task.

Agate Reviews Mavenlink Task The Agate Team Lead or Project Lead will review the Task. If additional information is requested, the Task can be sent back to the client via Mavenlink. The Agate resource may also request a meeting for further clarifications.

Agate Analysis and Recommendation Agate will respond the Mavenlink Task with analysis comments and recommendations for

implementation.

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The recommendation will include an hour estimate and completion date estimate.

Agate and Client Review and Negotiation Based on the information provided by Agate, the client will make a “Go” or “No Go” decision. That decision may be based on updates that need to be made to the request and negotiations on

the cost and time estimates.

Agate Develops Task Order The Task Order will be developed by either the Agate Team Lead or Account Manager The Task Order will document the following:

o Work to be Performedo Acceptance Criteriao Agate Resources Assigned to the Task Order o Agate Resources Estimated Hourso Agate Resources Estimated Costo Total Amount to be Paid for Task Ordero Task Order Acceptance

6.4 PROJECT BUDGET MANAGEMENT6.4.1 BUDGET TRACKING

The budget will be tracked by the Project Manager and updates provide to the Project Sponsor utilizing excel spreadsheets and the SHARE financial system.

6.5 COMMUNICATION PLAN6.5.1 COMMUNICATION MATRIX

Communication Type DescriptionConference Meetings This communication is accomplished using joint meeting voice

conference calls as well as the product ‘GoToMeeting’. GoToMeeting allows for desktop sharing to allow all meeting members to see the same screen.

Email This communication method is using email to schedule meetings and general information only.

Task Tracking & Document Sharing

This communication is accomplished using the product ‘Mavenlink’. Mavenlink is a task tracker and document repository accessible by both parties and will be used throughout the course of the project. Access to Mavenlink will be limited to the TSD Project Sponsor and the Agate team. Mavenlink allows a user to enter “activity feed” updates, whether for general project information, or for specific task. All communication, document uploads and status updates for a task will be tracked. Email notifications can also be sent each time a new message is added or each time a task status is updated.

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6.5.2 STATUS MEETINGS

Program Managers will participate in a thirty minute weekly (or as necessary) meeting with Agate Software project lead or team project manager and the following outcome of each meeting will be a documented; Key deliverable dates; project summary; scope; schedule; resources; deliverables; overall Project; meeting notes; recent activities; upcoming activities; current risks, schedules and key tasks/action items. The Status Report will be distributed by email to all participants and posted within Mavenlink. Mavenlink is a proprietary web-based software product developed by Agate to facilitate the tracking of tasks and as a document repository. Mavenlink is accessible by Agate and client resources and will be used throughout the course of the project.

6.5.3 PROJECT STATUS REPORTS

The NMDOT IT Project Manager is also required to report on the overall status of the project on a monthly basis, per standard DoIT procedures.

Audience Information Method Frequency Responsible Person

NMDOT Project Team / Agate Project Team

Planning, Status Information, and Issues/Risks

Mavenlink, Email, Meeting

Daily as needed

All Project Team members


Project Execution and Procedures

Mavenlink, Email

As needed All Project Team members


Status Information Mavenlink, Email, Meeting

Weekly NMDOT Project Team and Agate Project Team

NMDOT Stakeholders

Project Publicity Email As needed NMDOT Project Sponsor


Meeting Notes Mavenlink Weekly Agate Project Lead (Jennifer Sloan)

NMDOT Project Sponsor

Approval Information

Mavenlink As Needed NMDOT Project Manager and Agate Project Manager (Brad Banning)

6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)

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Number Description

Quality Metrics 1 Project does not exceed budget

Quality Metrics 2 The project schedule, assigned tasks and milestones are met within project plan

Quality Metrics 3 System can provide reports

Quality Metrics 4 System is secure and stable

Quality Metrics 5 Staff is trained to maintain and system is operable

Quality Metrics 6 Data integrity is maintained.

6.7 QUALITY OBJECTIVES AND CONTROLQuality Management is an important aspect of any project to ensure that the product delivered is accepted and works as designed. Each functional organization is responsible for the quality of its contribution to the project and will apply its internal quality standards to project products and services. The project team will assess the projects products and services based on the standards established by the functional organizations represented on the project.

There are number of ways that quality has been built into this project. The first is IV&V, which will make sure the project, meets its expected requirements through a third party evaluation of the project. The second is the integrated project control process and change control process, which assure that any changes that are made to the project are executed in a structured manner. The most important of these is the change control process to minimize the change of scope to the project and if scope does change, it is done knowing the impact to the project. The third process for quality management is the risk management plan, which measures, mitigates and includes contingency plans for each risk.

The project team will also create lessons learned at the end of each phase of the project. These lessons learned will be incorporated into the next phase of the project and be part of the project library that will be available for future projects to use. All of these processes combined will create a product that has quality that is built in not tested in after the fact. This will provide an environment that maximizes opportunities to control quality.

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6.7.1 QUALITY STANDARDS

No. Quality Standard Tracking Tool or Measure

1 Project phase is completed by the established finish date. Project ScheduleProject Status

2 Project is completed within budget. Project CharterProject Status

3 Quarterly project reviews show contractors deliver requirements specified in the contract by due dates or pay penalties.

Vendor ContractFinal Customer

Acceptance4 Project issues are resolved and documented within 10

calendar days of identification or extensions are justified.Issues Tracking

5 Project will be completed based on the original project scope and approved scope changes.

Project CharterProject PlanControl Change

Request

6.7.2 PROJECT AND PRODUCT REVIEW AND ASSESSMENTS

Review Type Quality Standard Tools Reviewer Reports

Requirements Project is completed within budget.

Contract deliverables

NMDOT Project Manager

Produce by vendor

Plans All plans must meet contract deliverables

Scope of work by vendor


Produce by vendor

Milestones Project phase is completed by the established finish date.

Contract Deliverables


Milestone checklist from vendor

Testing Execution of User Acceptance Testing (UAT).

System Test Scripts procedurefor User Acceptance Testing (UAT).


Produced by Vendor

6.7.3 AGENCY/CUSTOMER SATISFACTION

Areas of feedback When How Often

Agency awarenessBusiness Owner Meetings Weekly

Quality of communicationsBusiness Owner Meetings Weekly

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Manages project tasksBusiness Owner Meetings Weekly

6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESSThe NMDOT Chief Information Officer will take delivery of media; manuals; contracts; licenses; services agreements; configuration settings; status of patches to COTS products; in-house or vendor developed code; test cases, routines, and scripts; and other items required for the project. The NMDOT CIO will take delivery of such products only after the product deliverables have been accepted by the NMDOT TSD Project Sponsor.

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Deliverable Final Approval Process Customer Acceptance Criteria

Kickoff (3 Day Meeting)

Program Manager reviews procedures, resource plan, and business analysis and security role definition.

Project Manager notifies Agate Software of our approval

Initial System Setup

Agate Software performs environment set up for shared development and NMDOT environments


Branding / Look and Feel

Branding Mock Up will be reviewed by Program Managers


Requirement Completion - Operational Plan/Grant Agreement

Agate Software configures IG Documents to include Operational Plan, Agreement, Negotiation Forms, program specific requirements, claims, activity form design and query and management report requirements. Once functionality has been completed, tested, and approved by Agate Software resources on the DEV environment the corresponding changes will be transferred to a demonstration (DEMO) environment. The DEMO environment is designed to allow NMDOT to access a project. Program Managers will be given a URL that will allow for the review of functionality before it is released to the Production environment. This DEMO site will allow Program Managers to perform User Acceptance Testing (UAT) in parallel with Agate Software’s continued development efforts on the next approved design specification or requirement.


Implementation of Functionality

Agate Software implements functionality of IG Documents to include Operational Plan, Agreement, Negotiation Forms, program specific requirements, claims, activity form design and query and management report requirements for testing by program managers and grantee. Program Managers will inform Agate Software of needed fixes and retest system as needed.


Training Agate Software will develop Administrative Training Manual and Grantee Training Manual and perform a two day onsite administrative training session. Program Managers and NMDOT staff will attend training session and review manuals.


System Closeout Agate Software will provide Go-Live checklist and perform final push to production upon review by Program Managers


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6.8 CONFIGURATION MANAGEMENT6.8.1 VERSION CONTROL

Proper versioning is to read: ‘[DocumentName] YYYYMMDD vX’.

Version control will be maintained by Agate IntelliGrants Assistant Project Lead and NMDOT Project Manager.

6.8.2 PROJECT REPOSITORY (PROJECT LIBRARY)

A project repository, consisting of a shared server with multiple folders will be developed by NMDOT staff members as a means to provide a central repository for all project documentation and deliverables.

Both NMDOT and Agate staff will utilize file repository in Mavenlink.

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7. 0 PROJECT CLOSE7.1 ADMINISTRATIVE CLOSE

Administrative Close occurs at both the end of each phase and at the end of project. This closeout activity consists of verification that deliverables were met. Acceptance is formalized and phase activities are administratively closed out. The identification of closeout activities for the IntelliGrants System will be the final deployment and the transition to production. The final closeout will include the completion of IntelliGrants System documentation, the DoIT closeout report and a presentation to the DoIT Project Certification Committee for approval to formally close the project.

7.2 CONTRACT CLOSE

Contract close is similar to administrative close in that it involves product and process verification for contract close.

ATTACHMENTSAttachments are included for additional information, but are not formally considered part of the Project Plan for approvals and change management purposes.

Statement of Work

Resource Plan

Communication Plan

Letter of Acceptance Template

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Date: November 24, 2014,

Submitted to:

New Mexico Department of TransportationTraffic Safety Division

Attention:

Robert Archuleta

Kim Wildharber

Title:

IntelliGrants Statement of Work Phase #1

Submitted by: Agate Software, Inc.Contact: Mark Watters2214 University Park Dr. Suite 102Okemos, MI 48864Ph: (517) 336-2536Fax (517) 492-0452E-mail: [email protected]

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mailto:[email protected]

TABLE OF CONTENTS1. TABLE OF CONTENTS......................................................................................................................................................2

2. EXECUTIVE SUMMARY...................................................................................................................................................3

3. INITIAL IMPLEMENTATION..........................................................................................................................................4

4. IN SCOPE: INTELLIGRANTS INITIAL IMPLEMENTATION DELIVERABLES..................................................5

5. IN SCOPE: TIME AND MATERIALS............................................................................................................................14

6. PROJECT IMPLEMENTATION METHODOLOGY...................................................................................................15

7. RISKS AND UNKNOWNS................................................................................................................................................22

8. ANNUAL SUPPORT..........................................................................................................................................................26

9. INTELLIGRANTS PRICING GSA GS-35F-420AA.......................................................................................................27

10. OUT OF SCOPE.............................................................................................................................................................29

11. PROJECT DELIVERABLE DEFINITIONS..............................................................................................................30

12. ACCEPTANCE STATEMENT.....................................................................................................................................31

EXECUTIVE SUMMARYWorking with 16 State Highway Safety organizations over the last decade has allowed Agate Software to develop an intimate understanding of the unique needs and challenges faced by Highway Safety agencies when implementing a grants management solution. Agate Software has worked with numerous Transportation agencies to design and implement a grants system that is solution tailored and customized to meet their specific needs. Understanding the Highway Safety grants process allows Agate Software to work with clients, incorporating best practices and lessons learned into each new project. Our key to successful projects is based on being responsive to each client’s individual and unique needs. Understanding essential steps to undertake during each phase of the project mitigates the risk to the New Mexico Department of Transportation (NMDOT) Traffic Safety Division and ensures a well-organized, successful project.

The cornerstone of Agate Software’s proposed solution is our IntelliGrants software application. IntelliGrants is a commercial-off-the-shelf (COTS) web-based grants management solution that will allow NMDOT the ability to effectively plan, evaluate, and administer highway safety grants to improve programs and activities. IntelliGrants is a scalable and flexible COTS grants management solution that addresses the entire life cycle of a grant process. Business rules configured into the customizable workflow process can incorporate automatic system messages, error checks, and calculations for making the grant process as user-friendly as possible. IntelliGrants can integrate with the existing state accounting system SHARE eliminating the need to rely on multiple databases for information. IntelliGrants provides full audit traceability and transparency across multiple organizations, making the grant management process more efficient for all sub-grantee and program staff involved.

Using our standard project methodology, Agate Software will define the needs and requirements of NMDOT by conducting a thorough business analysis to identify functionality needed in a

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system. Project documentation is produced as a result of the business analysis that is agreed upon by both parties. Upon completion of the analysis and documentation phase, the solution design phase begins. During development, the solution is rigorously tested, first internally then through the User Acceptance Testing performed by the Department of Transportation staff. Once testing is complete, signoff on functionality by both parties is required. The solution is then rolled-out to the production environment with Agate Software responsible for supporting the program.

Agate Software is confident our solution will not only meet, but exceed the requirements needed from the NMDOT Traffic Safety Division. By delivering a comprehensive grant management and program administration system, the NMDOT State Safety Office will improve their business processes, increasing efficiency and effectiveness into their day-to-day operations. Less time will be spent “managing the grants process” and more time and resources can be devoted to carrying out the NMDOT mission to develop, implement, and manage a data-driven comprehensive traffic safety program aimed at saving lives, preventing injuries, and reducing traffic crashes on New Mexico’s roadways.

INITIAL IMPLEMENTATIONThe following document contains project scope assumptions that apply to the NMDOT Traffic Safety Division IntelliGrants implementation. This document is intended to define the initial implementation of IntelliGrants for the Traffic Safety Division. To ensure a timely and successful project, Agate Software will only configure process flows and form sets that are specified in the In Scope: Deliverables section of this document. Agate Software considers the following grant programs in scope for this engagement:

1. Alcohol

2. Buckle Up

3. Step

4. 100 days program

5. Distracted Driving

IN SCOPE: INTELLIGRANTS INITIAL IMPLEMENTATION DELIVERABLES

10. (A.) IntelliGrants Product Software License (AGT-IG13-LIC-PD)


IntelliGrants License o Perpetual, non-exclusive license governed by the terms of the IntelliGrants

License Agreement for use by the New Mexico Department of Transportation

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o Unlimited number of userso Document Designer o Report Builder module and Dashboard o One (1) Standard Product Manuals

Document Designer Module Manual (electronic copy)o Does not include professional services

IntelliGrants License Agreemento Agate Software will provide NMDOT with an IntelliGrants License

Agreement which must be signed before the Onsite Business Analysis can be scheduled.

Warrantyo Agate Software includes a one (1) year warranty after date of installation.


100% of license fee invoiced upfront upon Agate’s receipt of Purchase Order - (Onetime Fee)

NMDOT signed version of the IntelliGrants License Agreement

11. (K.) IG Product Domain Branding Design (AGT-IG13-CON-BR)

Attributes of the deliverable include the following: IntelliGrants branding design, and client specific graphics updates

o Includes one mock-up of the IntelliGrants Home Pageo Mock-up will be designed based on NMDOT branding standards or current

external site designo No changes can be made to the overall IntelliGrants component structure

(change location of buttons, addition/subtraction of functional screen elements, etc.) or user experience unless currently supported through system configuration

o NMDOT will have two rounds of branding design reviewo Branding must be approved before being applied to the Agate

Demonstration environment

Sign-Off and Invoicing of the Deliverable is contingent upon the following: NMDOT IntelliGrants Branding applied to Agate Demonstration environment

12. (B.) Onsite Kick-off Project Meeting (AGT-IG13-PLAN-KSC)

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Onsite Business Analysis which includes the following:o Project Kick-Off discussion o Existing client Product Demo intended to level set for team memberso Define project roles and responsibilities for Resource Plano Document Workflows via Microsoft Visioo Document security role definition for the Security Role Matrixo Pricing includes three (3) onsite days by two (2) Agate Software employees


Onsite Business Analysis is completed

13. (C.) Project Documentation Including Project Plan (AGT-IG13-PLAN-OPRD)


Project Plan Documentation includes the following:

o Agate first draft of Microsoft Project Plan with a complete listing of milestones, deliverables and resources

o Agate Software and NMDOT will review and mutually agree upon a detailed project schedule that will be signed by both parties

o The risk of NMDOT to complete project tasks or milestones could result in one or more of the following:

Reallocation of Agate project resources Timeline extensions Task Orders to add additional Agate Resources (Change Management

Process)


Completed Resource Plan Signed-Off Project Plan

Operational Plan/Negotiation Forms/Grant Agreement/Amendments Configuration

This functionality would allow Agencies to complete and submit an Operational Plan in IntelliGrants.

All submitted Operational Plans can be reviewed by NM DOT staff and Safer Law Enforcement Liaisons (LELs) users.

LEL users can be assigned to Agencies Operational Plans via the IntelliGrants Add/Edit People interface.

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After Operational Plans are submitted, the Negotiation Forms will become available for LELs to complete based on conversations with Agencies.

Program Budgets and Scope of Work will be tracked by Program Area. Once the Negotiation process is complete, the Grant Agreement review process

will begin. The IntelliGrants CORE workflow functionality will be used to track the review and signature process.

The signed Grant Agreements will be generated by the system as a PDF. Agencies and NMDOT will have the ability to sign a Grant Agreement based on a

Workflow process defined by NMDOT. Authorized signatories for Agencies and NM DOT will perform status changed in the system to generate a signed PDF that will be stored on the Production server. The signed Grant Agreement will be populated with the user’s first and last name (as input into the system) that performed the status change. The Grant Agreement will also be populated with the date that the status was changed.

NMDOT Program Managers (or appropriate staff) can enter a contract number into the system.

NMDOT Finance roles can use IntelliGrants Account Module to track encumbrances and expenditures by Program Area.

14. (E.) Product Security Roles Set Up (AGT-IG13-CON-SRS)


Product security role set-up for grantor and grantee organizationso Limit of ten (10) System Security Roleso Security Roles will be defined and documented in the Security Role Matrix

through the Business Analysis processo The Security Role Matrix must be approved by NMDOT before

configuration of system security roles can begino Any changes to the Security Role Matrix after approval must be evaluated

through the Change Management Process


NMDOT confirmation and sign off of Security Roles being set up in the system

15. (D1.) IG Design Document Workflow for the Operational Plan and Grant Agreement (AGT-IG13-CON-WFD)

16. (F.) IG Build Document Workflow for the Operational Plan and Grant Agreement (AGT-IG13-CON-WFB)


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Development of one (1) Workflow Document for the Operational Plan and Grant Agreemento Includes the following phases:

Operational Plan Development by Agencies Operational Plan Submission NMDOT/LEL Operational Plan Review LEL Negotiation Form Completion and Review Acknowledgement/Regret Letter Grant Agreement Review Grant Agreement Signatures Executed Grant Agreement Agency Amendment Request Agency Amendment NMDOT Request Approval Agency Amendment NMDOT Request Denial Amendment Grant Agreement Modifications Amended Grant Agreement

o Level 1 Workflow Design & Build (see the Project Deliverable Descriptions section of this document for definition)



17. (D2.) IG Form Design for the Operational Plan/Negotiation Forms/Grant Agreement (AGT-IG13-CON-FD)

18. (G.) IG Form Build for the Operational Plan/Negotiation Forms/Grant Agreement (AGT-11-IG13-CON-FB)

Attributes of the deliverables include the following:

Development of Design Document for the Operational Plan/Negotiation Forms/Grant Agreemento Includes the following:

Operational Plan/Negotiation Forms/Grant Agreement Document Template Properties

Operational Plan/Negotiation Forms/Grant Agreement Form Menu Structure


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Form Permissions Matrix Access by role and Workflow status to form functions (Save, Add,

Delete, etc.)o Limit of twenty five (25) forms will be configured.

Twenty five (25) Level 1 Form Design & Build (see the Project Deliverable Descriptions section of this document for definition)

o NMDOT must sign-off on the Design Document before configuration can begin

o A print version of each form is included Grant Agreement Document

o PDF document generated by the system when users perform status changes in the Workflow

o Populated with the current data entered into the systemo The PDF document will be populated with user’s name as input into the

system as well as the date the status change occurred.o Once the document is generated, it can be accessed via a hyperlink present

on a form within the Operational Plan/Negotiation Forms/Grant Agreement template.

o The system will allow for the population of two unique Grant Agreement Types:

Consolidated Project Agreement Consolidated Tribal Project Agreement

User Acceptance Test Script (UAT) Developmento Script is designed to validate that the major functional areas of the

deliverable are operating as defined in the Design Document and Workflow Document

o The UAT will NOT test every error check, business rule, or calculation



Claims/Activity Reports Configuration

Claims/Activity Reportso This functionality would allow an Agency to initiate and submit a

Claims/Activity Report in IntelliGrantso A Claims/Activity Report can be initiated and will be associated with each

Program Area within the Grant Agreement

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o Claims/Activity Report financial data will be tracked at the Budget Category level of the Program Area within the Grant Agreement

o NMDOT will be able to review, audit Budget Category amounts, approve and reject Claims/Activity Report

19. (D3.) IG Design Document Workflow for Claims/Activity Reports (AGT-IG13-CON-WFD)

20. (H.) IG Build Document Workflow for Claims/Activity Reports (AGT-IG13-CON-WFB)

Attributes of the deliverables include the following: Development of one (1) Workflow Document for Claims/Activity Reports

o Includes the following phases: Agency Claims/Activity Reports initiation Agency Claims/Activity Reports Reimbursement submission NMDOT Claims/Activity Reports Review NMDOT Claims/Activity Reports Approval NMDOT Claims/Activity Reports Rejection

o Level 1 Workflow Design & Build (see the Project Deliverable Descriptions section of this document for definition)



21. (D.) IG Form Design for the Claims/Activity Reports (AGT-IG13-CON-FD)

22. (I.) IG Form Build for the Claims/Activity Reports (AGT-11-IG13-CON-FB)

Attributes of the deliverables include the following: Development of Design Document for the Claims/Activity Reports

o Includes the following: Claims/Activity Report Document Template Properties Claims/Activity Report Form Menu Structure Detailed design of each data capture form

Field Types and Names Business Rules (required fields, match error checks, etc.) Calculations

Form Permissions Matrix Access by role and Workflow status to form functions

(Save, Add, Delete, etc.)o Limit of fifteen (15) forms will be configured.

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Fifteen (15) Level 1 Form Design & Build (see the Project Deliverable Descriptions section of this document for definition)

o NMDOT must sign-off on the Design Document before configuration can begin

o A print version of each form is included Information currently contained in the Property Agreement and Inventory Record

and Annual Inventory Certification Form documents will be input by the Agency when reimbursement is requested within the Claims/Activity Reports.



23. (L.) IG Form Build for the Life Expectancy Tool (AGT-11-IG13-CON-FB)

Attributes of the deliverables include the following: The Inventory Life Expectancy Tool will be developed to allow NMDOT to

apply a Disposition Date to items that have been purchased using TSB Funds. Three (3) Level 1 Form Design & Build (see the Project Deliverable Descriptions

section of this document for definition)



Query & Management Report Software Configuration 24. (J1.) IG Product Management Query Report Software Configuration (AGT-IG13-

CON-MQ)


Configuration of two (2) Query Reports (see the Project Deliverable Descriptions section of this document for definition)

The Query Reports are defined as follows:o Agency Detail Report

Includes the following data: Agency Name, Project Number, Contract Number,

Execution Date, Expiration Date, Grant Balance, Vendor Number, TSD Program Manager assigned to the grant


single field for each data element listed aboveo Equipment List

Includes the following data:

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Location, FA or Inventory Number, Date Purchased and Life Expectancy


single field for each data element listed aboveo Each Report can have up to two design iterations


NMDOT Sign-Off on each report working with no defects in the Agate Demonstration environment

25. (J2.) IG Product Management Formatted Report Software Configuration (AGT-IG13-CON-FR )


Configuration of two (2) Management (Formatted) Reports (see the Project Deliverable

Descriptions section of this document for definition) o NMDOT is responsible for providing Agate a design and layout (Excel or

Word template) for each requested reporto Each Report can have up to two design iterations

Sign-Off and Invoicing of the Deliverable is contingent upon the following: NMDOT Sign-Off on each report working with no defects in the Agate Demonstration

environment

26. (N1.) Administrative Training Manual (AGT-IG13-PDG-AM)


One (1) NMDOT Administrative training manual limited to 75 pages including screen shots (1 electronic copy)




27. (N2.) Onsite Administrative Training (AGT-IG13-PT-OGT)


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One (1) day of onsite Administrative System Training, Two (2) sessions up to 4 hours each.

Train NMDOT Staff to use the administrative functions of the system Limited to NMDOT Staff NMDOT will be required to supply the meeting/training room, an internet

connection and a projector

Sign-Off and Invoicing of the Deliverable is contingent upon the following: Completion of the 1 day training course by Agate

28. (N3.) Agency Training Manual (AGT-IG13-PDG-TM)


One (1) Agency training manual limited to 50 pages including screen shots (1 electronic copy)




IN SCOPE: TIME AND MATERIALS 29. Service Enhancement Configuration (AGT-IG13-PS-CS)

Agate Software will provide additional design, configuration, development, and other services for items beyond the scope of what is listed above. Additional work will be time and materials based and invoicing will be sent on the 1st and 16th of each month as service configuration work is performed. This section includes up to 550 hours for configuration outside of the deliverable section of this Statement of Work or Annual Support. Agate Software will provide NMDOT a detailed Service Enhancement Hour Tracking report upon request. The following list is an example of what changes would be covered under service enhancements.

Changes to Forms Changes to Business Rules Changes to Security Roles Changes to the Workflow Additional Grant Programs Additional Management Reports

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Rollover services are defined as making a copy of the existing grant program and changing the dates for the next grant cycle year (e.g changing or rolling over the dates from 2014 to 2015) and testing of said program, including, but not limited to the following components; forms, pdf’s, page calculations and business rules.

Please Note: NMDOT Ongoing service enhancements over the allotted 550 hours are available through mutually agreed upon separate statements of work. In addition, anything that is completed using the Time and Materials budget will require a Change Request, which will document the work being requested.

PROJECT IMPLEMENTATION METHODOLOGY1. Establishment of an Empowered Point of Contact

Agate Software requires at least one designated client resource (typically the Client Project Manager) to manage client resources and decisions (e.g. requirements and deliverable sign-offs). This resource should expect to commit up to 50% of their time toward the IntelliGrants project during the implementation phase. The empowered Point of Contact must also meet the following criteria:

Must read and understand the contractual requirements for the project Must attend all business analysis and project management meetings Must have working knowledge of project management processes Must understand the change management process and budget pertaining to the

project Must have authority to make final decisions regarding IntelliGrants software

configuration

2. Scheduling Meetings

Agate Software will coordinate with the assigned Client Project Manager for any onsite meetings or conference calls requiring key client resources to be in attendance. Key client resources availability will be confirmed and approved a minimum of one (1) week prior to the respective meeting. Any unreasonable onsite meeting cancellations, consistent unavailability, and/or delays by assigned client resources that adversely affects scheduled meetings and/or travel arrangements could affect the overall implementation timeline and may result in additional cost for professional services. Such occurrences will be documented by the Agate Team Lead and brought to the Client Project Manager’s attention for resolution and impact analysis.

3. Status Meetings and Reports

Status reporting will include a thirty minute weekly (or as necessary) meeting. The outcome of each meeting will be a document containing the following:

Key Deliverable Dates

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Project Summaryo Scopeo Scheduleo Resourceso Deliverableso Overall Project

Meeting Notes Recent Activities Upcoming Activities Current Project Risks Key Tasks/Action Items

The weekly (or as necessary) status meeting will include, at a minimum, the Agate Project Lead or Agate Team Lead, Client Project Manager and additional client resources when deemed necessary. If the key client resources are not able to attend, the meeting may need to be rescheduled. The primary medium for this meeting will be by teleconference. Included in the meeting will be the following agenda items:

Progress made against timeline including any deliverables achieved/milestones reached Open/outstanding issues, the assignment of tasks against the issues and expected completion

dates New issues Schedule over the next 30 days including any potential timing issues

The Status Report will be distributed by email to all participants and posted within Mavenlink.

4. Travel and Onsite Services

Travel costs are included for the following deliverables only: AGT-IG13-PLAN-KSC AGT-IG13-PT-OGT

Additional travel requested by NMDOT must be scoped via the Change Management Process.

5. MavenLink

Mavenlink is accessible by Agate and client resources and will be used throughout the course of the project. Client access to MavenLink will be limited to key client resources.

Mavenlink allows a user to enter a task, and provide a description and requested due date. All description text and status updates for a task will be tracked within Mavenlink. Email notifications can also be sent each time a new message is added or each time a task status is updated. The default status is the status that every task starts with. Tasks with completed statuses do not show on the active task list.

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During the implementation phase, Mavenlink will be used to inform key client resources which functional elements of the system are ready for client verification. The client’s verification results will be recorded in Mavenlink by changing the task status. A sample list of statuses that could appear in Mavenlink appears below. This list can be added to at any time throughout the project.

Status Status Pushes Completed Status Default Status

New Task Agate/ Client X

Agate In Progress Agate

Completed on Dev (Awaiting Push) Agate

Client Verification on Demo Agate

Accepted: Client Verification Complete Client

Defects Identified Client

On Hold Client

Cancelled Agate/ Client X

More Info Required From Agate Agate/ Client

More Info Required From Client Agate/ Client

Closed Agate X

6. Change Management Process

The Change Management Process is in place to manage client requirements and/or change requests that are considered “Out of Scope” based on the terms of the current contract for the engagement. The Change Management Process is comprised of the steps outlined below.

There are a series of project documents that, once initially approved, may not be changed and republished without review and approval. These documents are considered “under change control” once initially approved. The goal of Change Management Process is to ensure that only approved changes are made within the project whether to scope, budget, schedule or quality.

The three components of the Change Management Process are: Base-lining project documentation Requesting changes to base-lined documentation Requesting additional requirements or functionality not initially in scope

The documentation baseline is created as project deliverables are approved by the client. After this baseline has been defined, any requested changes must be through the Change Management

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Process. Scope change requests can be a result of changes or additions to the baseline requirements and/or new modifications to the deliverables, activities, or quality standards. For example:

New business requirements would be additions Deciding not to implement components already built would be a deletion A reversal of a prior design decision during build and test would be a change (rework)

The Change Management Process allows the project team to make changes to the original baseline. One of the goals of this process is to make definitive decisions so that projects can maintain their momentum. Changes must be actively controlled, as unmanaged changes commonly lead to unsuccessful projects.

Client Identifies Change Request The Client Project Sponsor or Client Project Manager will document the change request as a Task

in Mavenlink. As much detail about the requested should be entered into the Task Description. The Agate Team Lead or Project Lead may request that the client also upload a completed

Change Request form to the Task.

Agate Reviews Mavenlink Task The Agate Team Lead or Project Lead will review the Task. If additional information is requested, the Task can be sent back to the client via Mavenlink. The Agate resource may also request a meeting for further clarifications.

Agate Analysis and Recommendation Agate will respond the Mavenlink Task with analysis comments and recommendations for

implementation. The recommendation will include an hour estimate and completion date estimate.

Agate and Client Review and Negotiation Based on the information provided by Agate, the client will make a “Go” or “No Go” decision. That decision may be based on updates that need to be made to the request and negotiations on

the cost and time estimates.

Agate Develops Task Order The Task Order will be developed by either the Agate Team Lead or Account Manager The Task Order will document the following:

o Work to be Performedo Acceptance Criteriao Agate Resources Assigned to the Task Order o Agate Resources Estimated Hourso Agate Resources Estimated Costo Total Amount to be Paid for Task Ordero Task Order Acceptance

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7. Implementation Process

Agate Software will use a phased approach for designing an IntelliGrants implementation for the client. Although the implementation process can be slightly altered based on the needs of each individual project, the principles used to derive each Project Implementation Methodology are consistent.

Agate Software integrates industry best practices for application development, tracking and review. This process was developed and refined using numerous years of project management expertise as a foundation and by using the Project Management Institute (PMI) Project Management Body of Knowledge (PMBOK) and Software Engineering Institute (SEI) Capability Maturity Model (SEI-CMM) as the baseline sources for project management and systems review. Below are seven (7) Project Phases commonly used in the Project Implementation Methodology:

Planning Phase (Project Plan/Resource Plan Development) Analysis Phase (Requirements Gathering) Design Phase (Requirements Documentation and Review) Construction Phase (Configuration/Development/Testing) Implementation Phase (Client Validation) Post-Implementation Phase (Training Phase) Annual Support Phase

Although sequential in concept, many of these phases occur repeatedly for each major system functional area. Some system functional areas may be on a different cycle depending on the needs of the project or on stakeholder decisions. There are also conditions under which execution of a phase can be interrupted in order to recycle through a preceding phase (or phases) in order to update some aspect of that predecessor phase's deliverables. This iterative process should only occur for the Analysis and Design Phase within the Project Plan.

Each of the phases consists of one or more tasks and/or activities. The tasks describe what actions and deliverables are necessary to accomplish the phase's objectives. The tasks are composed of sub-tasks and/or activities required to support the output deliverable for each phase. Each of the basic phases has a specific objective or purpose. Each phase assumes particular input(s) and in turn produces specified output(s) or deliverable(s).

The project management cycle is structured so that each phase can be executed independently. Throughout all phases, consistent and effective project management and control is essential.

Planning, Analysis and Design

Agate Software will start the both the Planning and Analysis Phases with an onsite meeting to gather information required for the project. The focus of the onsite sessions, directed by Agate Software, is to clarify system requirements typically with the focus on driving the client from the current “As Is” process to an electronic workflow process.

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Following the onsite gathering sessions, an updated Project Plan will be created by Agate Software which includes a listing of all system requirements required to start building the program. Agate Software will incorporate “gated” milestones as a decision point for proceeding to subsequent phases or activities of the project plan which will not begin until approval has been given by the client. Approval of the deliverables may include design documentation, user specifications or other requirement documentation however, acceptance of the deliverables by the client will occur at the gated sessions before moving forward to the next phase. Approval of the project plan will initiate Agate Software to begin work on form designs, workflows and security roles for the system implementation. As designs are completed and approval is provided, development and configuration of the IntelliGrants system will begin in a development environment. All software configuration/development and testing work will be directed by the Agate Project Manager/Lead and will take place at Agate Software.

Configuration/Development and Testing

All configuration or custom development required for this project follows a strict software configuration methodology adopted by Agate Software to ensure the tasks necessary for this project are completed on time and work properly. This is especially worthwhile to note due to the impact this methodology has on accelerating a project timeline to the benefit of the client.

Agate Software resources begin the construction of a project in a development (DEV) environment hosted by Agate Software. This DEV environment is where Agate Software resources will do all of the development work for the project, it will be configured to closely reflect the production environment on which the system will ultimately reside. All work done on this system will be versioned which will allow the Agate Software team to retrace their collective development steps if the situation is ever required. Versioning also permits the ability for Agate Software resources to make a detailed comparison between files or groups of files throughout the development phase.

Once functionality has been completed, tested, and approved by Agate Software resources on the DEV environment the corresponding changes will be transferred to a demonstration (DEMO) environment. The DEMO environment is designed to allow client resources to access a project. Client resources will be given a URL that will allow for the review of functionality before it is released to the Production environment. This DEMO site will allow client resources to perform User Acceptance Testing (UAT) in parallel with Agate Software’s continued development efforts on the next approved design specification or requirement.

UAT is performed and minor modifications and defect corrections are completed. Agate Software will work closely with the client to document a detailed and thorough plan of the events and milestones involved in the testing of the new system.

Documentation and Training

All related documentation such as Grantor and Grantee User Manuals can be made available in a chosen format (PDF or MS Word) and accessed within the IntelliGrants system. Grantor and Grantee User manuals are technical in nature; they will explain navigation and basic IntelliGrants functionality. Specific business rules are typically not included. Instead, help text within the system may be determined and added by client resources during the development and

PAGE | 71

configuration of the IntelliGrants system. This help text within the system could be updated if modified to address user needs in the system.

Training resources are essential to the effective and efficient operation of any system. Providing resources with the tools they need to do their activities, and giving them training opportunities which allow them to use the system at full potential are critical elements of success. Our goal is to provide a well-constructed training plan that educates and instructs during implementation and provides effective on-going training after system deployment. Training sessions will be designed to focus on specific concepts that will ultimately ensure that the client and their end-users fully understand how to perform their functions within the system. Agate Software will work with the client to confirm the final training plan during the Post-Implementation Phase of the project.

RISKS AND UNKNOWNSThe following identifies risks and unknowns that potentially could impact the meeting of project timelines and/or the ultimate success of the project. Solutions to minimize and resolve these risks have been identified in the following table:

IDENTIFIED RISKS AND SOLUTIONS

8) Risk: Failure by either party to maintain one (1) client Point of Contact.

Solution:

If one of the parties becomes difficult to contact and decisions are not being made, a meeting will be called to discuss and reappoint a decision maker or discuss alternatives

Agate and the Client Sponsor and Project Manager will stop to assess and determine a plan to reinstate a point of contact

Identify on weekly report If required decisions are not made according to the project schedule, then

identify any impact to cost or schedule

9) Risk: Lack of key client resources to attend design and status meetings during the project.

Solution:

Agate will request vacation and holiday schedule from the client If availability becomes an issue, Agate will communicate this to Client Project

Manager via email If meetings are missed, Agate will work to reschedule meeting with staff through

Client Project Manager If required decisions are not made according to the project schedule, then

identify any impact to cost and/or schedule

10) Risk: Lack of client resources availability and/or capability to complete needed tasks.

Solution:

Agate will help mitigate this risk by communicating through the status report and other communication devices to keep the client aware of upcoming action items (tasks)

If client resources are unavailable to complete scheduled tasks Agate will identify any impact to schedule

If client resources are continuously unable to complete scheduled tasks, Agate will stop the project to assess the impacts. Agate will request a meeting with Client Project Sponsor and Project Manager and determine a plan to alleviate the impacts

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11) Risk: There is unforeseen turnover of Agate personnel critical to the success of the project.

Solution:

Identify on status reports to client Identify any impact to schedule Agate will employ knowledge transfer sessions to educate the newly identified

personnel. The knowledge transfer sessions will be conducted using the project documentation along with a secondary Agate key project resources

12) Risk: Failure to follow communication plan agreed to at the onset of the project by the client and Agate Software.

Solution: Agate will stop and assess. A meeting will be called to determine the issue(s) The issue(s) will be reviewed and suggestions offered to rectify the issue(s)

13) Risk: Failure of both parties to follow the process of entering and updating items in ProjectTrax in a timely manner.

Solution: A meeting will be called to determine the issue(s) The issue(s) will be reviewed and suggestions offered to rectify the issue(s)

14) Risk: Decisions and approvals are not made in a timely manner by the client resulting on impacting to project timeline.

Solution: A meeting will be called between Agate and the Client Project Manager to

review and evaluate the problem Identify any impact to schedule

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UNCONTROLLABLE RISKS AND IMPACT

1) Risk: Client requests additional functionality that was not included in the original Scope of Work and requires additional costs beyond the original project budget and schedule.

Impact: Project may be delayed or put on hold while additional functionality is considered.

Responsible Party: Client

Solution/Strategy:

In order to mitigate the risk, Agate suggests key client resources are involved during the design phase and design meetings. Use of the tools such as the Design Document template is important to help staff to think through key functionality

If the risk still occurs, Agate will stop the project to assess the risk. Agate will request a meeting with the client and determine a plan to alleviate the risk

Identify and document new requirements Agate will give recommendations on whether the request should be considered;

recommendations will be given based on validity of the request and whether the client should consider existing IntelliGrants functionality which provides better efficiencies.

If new requirement still required, Agate will begin the Change Management Process

2) Risk: Additional Management Reports, outside those identified in the design phase, are needed.

Impact: May impact budget or delivery of other requested management reports


Solution: In order to mitigate the risk, Agate suggests key client resources are involved

during the design phase and design meetings If the risk still occurs, Agate will stop the project to assess the risk. Agate will

request a meeting with the client and determine a plan to alleviate the risk Identify and document new requirements Agate will give recommendations on whether the request should be considered;



3) Risk: Changes requested to Management Reports after Agate’s development completed

Impact:

Project may be put on hold while the additional functionality is considered. It is important that the client properly review the management reports before they are created, changes to the reports after code is written will extend the hours needed to complete the project and could increase the cost of the project


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Solution: In order to mitigate the risk, Agate suggests key client resources are involved

during the design phase and design meetings If the risk still occurs, Agate will stop the project to assess the risk. Agate will

request a meeting with the client and determine a plan to alleviate the risk Identify and document new requirements Agate will give recommendations on whether the request should be considered;



4) Risk: Additional security roles outside of those that have been identified in the design phase are needed.

Impact: Project may be delayed or put on hold while the client evaluates additional

functionality need


Solution:

The client will notify Agate of new requirements and all pertinent details Agate will identify any or all necessary changes to the scope of the project and

impacts to timelines In order to mitigate the risk, Agate suggests key client resources are present and

involved during the design phase and design meetings If new requirement still required, Agate will begin the Change Management

Process

5) Risk: There is unforeseen turnover of client personnel critical to the success of the project.

Impact: Project may be delayed or put on hold while the client identifies replacement(s)


Solution/Strategy:

A meeting will be called between Agate and the Client Project Manager to review and evaluate the impact

Agate will work with the client to setup knowledge transfer sessions to newly appointed personnel

ANNUAL SUPPORT Agate shall provide to NMDOT the following IntelliGrants Annual Support services:

1. Live help desk support (8:00 am - 8:00 pm Eastern Standard Time, Mon. – Fri.). Agate’s call center is housed and staffed at Agate’s Okemos, MI headquarters and NMDOT shall be able to contact Agate’s live help desk directly to discuss product related questions. The helpdesk can be reached toll free at 800-820-1890 or by email at [email protected].

2. Access to Agate’s proprietary, online web-based issue resolution tool “Mavenlink” which is available 24 hours a day, 7 days a week and 365 days a year for problem reporting and project tracking.

3. Agate shall deliver to NMDOT weekly pushes (if needed) for patches, and bug fixes. Agate will also deliver to NMDOT accelerated pushes for emergency fixes that may be time critical to keep the system operating at an optimum level.

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4. Agate shall deliver to NMDOT support service packs/patches provided by third-party vendors in upgrading the web server or database server hardware/software on which the system is installed.

5. Agate shall deliver to NMDOT quarterly global updates to the IntelliGrants product which affect all clients on the IntelliGrants .net platform. These updates are outlined in Agate’s corresponding quarterly newsletter and Product release notes are available upon request.

6. For an additional charge Agate shall provide optional major functionality upgrades that offer additional product features not included in Annual Support. NMDOT shall have the option to purchase the product features and associated implementation services or continuing with the current system.

Annual Support begins the day the IntelliGrants product is installed in a production environment. Assuming the size and scope of the system does not increase year over year, Agate Software will not increase the annual support fee by more than 5% annually.

INTELLIGRANTS PRICING GSA GS-35F-420AA

INITIAL IMPLEMENTATION COST

PAGE | 76

Line Part # Qty Unit Cost Extended Cost1 AGT-IG13-LIC-PD 1 $ 140,000.00 $ 140,000.00

2 AGT-IG13-CON-BR 1 $ 4,080.00 $ 4,080.00

3 AGT-IG13-PLAN-KSC 1 $ 13,600.00 $ 13,600.00

4 AGT-IG13-PLAN-OPRD 1 $ 20,400.00 $ 20,400.00

5 AGT-IG13-CON-SRS 1 $ 7,200.00 $ 7,200.00

6 AGT-IG13-CON-WFD 1 $ 1,600.00 $ 1,600.00

7 AGT-IG13-CON-WFB 1 $ 2,000.00 $ 2,000.00

8 AGT-IG13-CON-FD 25 $ 1,200.00 $ 30,000.00

9 AGT-11-IG13-CON-FB 25 $ 1,600.00 $ 40,000.00

10 AGT-IG13-CON-WFD 1 $ 1,600.00 $ 1,600.00

11 AGT-IG13-CON-WFB 1 $ 2,000.00 $ 2,000.00

12 AGT-IG13-CON-FD 15 $ 1,200.00 $ 18,000.00

13 AGT-11-IG13-CON-FB 15 $ 1,600.00 $ 24,000.00

14 AGT-11-IG13-CON-FB 3 $ 1,600.00 $ 4,800.00

15 AGT-IG13-CON-MQ 2 $ 1,760.00 $ 3,520.00

16 AGT-IG13-CON-FR 2 $ 2,400.00 $ 4,800.00

17 AGT-IG13-PDG-AM 1 $ 7,200.00 $ 7,200.00

18 AGT-IG13-PT-OGT 2 $ 1,480.00 $ 2,960.00

19 AGT-IG13-PDG-TM 1 $ 6,000.00 $ 6,000.00

20 AGT-IG13-PS-CS 550 $ 110.00 $ 60,500.00

21 Sales Tax Sales Tax Total $ 828.00

Total 395,088.00$

IG Build Document Workflow for the Operational Plan and Grant Agreement

IG Product Management Query Report Software Configuration

IntelliGrants Initial Implementation DeliverablesIntelliGrants Product Software License

IG Product Domain Branding Design

Onsite Kick-off Project Meeting

Grantee Traning Manual

Professional Services- Time and Materials

IG Form Design for the Claims/Activity Reports

IG Form Build for the Claims/Activity Reports

IG Form Build for the Life Expectancy Tool

IG Product Management Formatted Report Software Configuration

5% Tax for Line Item #3 and #18 for Onsite services.

Project Documentation Including Project Plan

Product Security Roles Set up

IG Form Build for the Operational Plan/Negotiation Forms/Grant Agreement

IG Design Document Workflow for the Operational Plan and Grant Agreement

IG Form Design for the Operational Plan/Negotiation Forms/Grant Agreement

IG Design Document Workflow for Claims/Activity Reports

IG Build Document Workflow for Claims/Activity Reports

Configuration Specialist- Service Enhancements Configuration

Administrative Training Manual

Onsite Administrative Training, one full day

ONGOING ANNUAL SUPPORT COSTLine Part # Qty Unit Cost Extended Cost

1 AGT-IG13-AS-PD 1 $ 39,426.00 39,426.00$

Total 39,426.00$

* Annual Support will be due once the IntelliGrants product is live in production

Annual Support IntelliGrants Annual Support Package

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PROFESSIONAL SERVICE RATES

OUT OF SCOPEAny requirement or work requested that is not contained in this proposal or subsequent contract will be considered out of scope for this engagement. Pricing for out of scope work requests are available upon request. Out of Scope items include the following:

DATA CONVERSIONConversion of mutually agreed upon legacy data into the IntelliGrants program

INTEGRATION Integration with the Crash Data system

Integration with SHARE

ON SITE MONITORING

PROJECT DELIVERABLE DEFINITIONS

1. Workflow and Form Design Levels

Level 1 Workflow Designo Up to ten (10) documented workflow statuses with up to fifteen (15)

workflow status connections. Five (5) notifications. No custom SQL. Two (2) iterative reviews with client.

Level 1 Workflow Buildo Configuration of up to ten (10) workflow statuses with up to fifteen (15)

workflow status connections. Five (5) configured notifications. No custom

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SQL. Any changes to design must go through the Change Management Process.

2. Form Design and Build Levels

Level 1 Form Designo Includes up to twenty (20) data fields, ten (10) business rules (error

checks, calculations and/or warnings) and PDF version (Dynamic PDF) of the form. Includes no data-driven fields, or custom SQL. Two (2) iterative reviews with client.

Level 1 Form Buildo Configuration of up to twenty (20) data fields, ten (10) business rules

(error checks, calculations and/or warnings) and PDF version (Dynamic PDF) of the form. Includes no data-driven fields, or custom SQL. Any changes to design must go through the Change Management Process.

3. Reports

Query Reporto Report that returns data from the system onscreen or can be exported to an

XLS, RTF, CVS or TXT file. These reports do not perform calculations or logic at the time of execution. Client must supply a design mock-up of the report output (typically in an Excel format).

Management Reporto Report that returns data from the system into a PDF formatted template.

These reports typically contain calculations or logic that are performed at the time of report execution in the system. These reports can also be exported to an XLS, RTF, CVS or TXT file. However, those formats will not keep the PDF formatting. Client must supply a design mock-up of the report output (typically in an Excel or Word format).

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Resource Plan

New Mexico Department of Transportation

Prepared By

Document Owner(s) Project/Organization Role

Bradley Banning NMDOT Agate Project Manager

Resource Plan Version Control

Version Date Author Change Description

2 02/23/2015 Jennifer Sloan Resource Risks and Mitigations Update

Contents

RESOURCE PLAN................................................................................................................................................. 1

PAGE | 80

NEW MEXICO DEPARTMENT OF TRANSPORTATION.............................................................................................1

1 OBJECTIVE.................................................................................................................................................. 3

2 REQUIRED ROLES....................................................................................................................................... 3

2.1 AGATE ROLES.................................................................................................................................................32.1.1 Engagement Manager (AEM).............................................................................................................32.1.2 Project Manager/Team Lead (ATL)....................................................................................................32.1.3 Project Lead (APL)..............................................................................................................................32.1.4 Product Designer (APD)......................................................................................................................32.1.5 Lead Developer (ALD).........................................................................................................................42.1.6 Business Analyst (ABA).......................................................................................................................42.1.7 Configuration Specialist (ACS)............................................................................................................42.1.8 Quality Assurance Resource (AQAR)...................................................................................................42.1.9 Documentation Specialist (ADS).........................................................................................................4

2.2 TSD ROLES....................................................................................................................................................52.2.1 Project Sponsor (CPS).........................................................................................................................52.2.2 Project Lead (CPL)..............................................................................................................................52.2.3 Project Manager (CLM)......................................................................................................................52.2.4 Subject Matter Expert (CSME)............................................................................................................5

3 PROJECT RESOURCE PROFILE...................................................................................................................... 6

3.1 AGATE RESOURCES..........................................................................................................................................63.2 TSD RESOURCES.............................................................................................................................................6

4 AGATE ORGANIZATIONAL CHART............................................................................................................... 7

5 TSD ORGANIZATIONAL CHART.................................................................................................................... 7

6 PROJECT RESPONSIBILITY ASSIGNMENT MATRIX (RACI CHART)..................................................................8

7 RESOURCE ASSUMPTIONS OR ISSUES......................................................................................................... 9

8 RESOURCE RISKS AND MITIGATIONS.......................................................................................................... 9

9 SIGNATURES............................................................................................................................................ 10

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OBJECTIVEThis resource plan describes the necessary roles required for implementing the NMDOT grants management system and the types of tasks associated with those roles. This includes information on the project requirements for both Agate Software and the New Mexico Department of Transportation – Traffic Safety Division (NMDOT-TSD).

REQUIRED ROLESThe roles described here are for both Agate and TSD. A resource can perform duties for multiple roles where necessary. The role is determined by the type of work required.

AGATE ROLESENGAGEMENT MANAGER (AEM)

The engagement manager role is responsible for contract performance and all commercial issues.

PROJECT MANAGER/TEAM LEAD (ATL)

The project manager role is a leadership role that oversees all aspects of the project planning and tasks performed by the project lead. The project manager has both technical and functional experience as well as project management of full system implementations. This allows the project manager to make educated decisions to keep the project on track to a successful deliverable.

PROJECT LEAD (APL)

The project lead handles the day to day scheduling of the project and resources. All work required by a developer, configurator, testing specialist, documentation specialist and product manager is managed and overseen by the project lead. The project lead is the main contact for the client team for issue resolution and all project needs.

PRODUCT DESIGNER (APD)

The product manager is responsible for managing all aspects of the system design including the user interface and overall user experience. The product manager is available to present onsite demo sessions when necessary.

LEAD DEVELOPER (ALD)

The Agate lead developer is responsible for performing the development tasks in the project. The developer will provide updates to the project lead at the end of each major task or milestone throughout the life of the project. This individual will be the primary source for developing push packages. The lead developer will also be responsible for coordinating the work of all other developers on the project.

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BUSINESS ANALYST (ABA)

The business analyst role has a very good working knowledge of IntelliGrants and what functionality is available. They discern the requirements and create solutions for those business needs. The business analyst is also in contact with the client team where necessary to flush out detailed requirements.

CONFIGURATION SPECIALIST (ACS)

The configuration specialist performs all configuration work in IntelliGrants. The Work Flow and Design Documents serve as the road maps for configuration specialists to perform configuration and setup.

QUALITY ASSURANCE RESOURCE (AQAR)

The quality assurance resource develops, plans and implements the Agate internal testing process as well as the User Acceptance Test cases based on clients requirements, user input and technical understanding. They also assist in reproducing and investigating software defects in coordination with the development team.

DOCUMENTATION SPECIALIST (ADS)

Develops, writes and edits material for product documentation including all training material. Maintains and reviews published materials and recommends revisions or changes for clarity and usability.

TSD ROLESPROJECT SPONSOR (CPS)

The project sponsor is responsible for the overall success of the project.

PROJECT LEAD (CPL)

The project lead is involved in the day to day tasks for the project. They manage the client’s project resources, assign tasks and help to keep the timeline on track. The project lead is responsible for sign off approvals on design/requirements, development and deliverables.

PROJECT MANAGER (CLM)

The project manager role is responsible for the keeping the team to the timeline and tasks associated with the project work. They aide the team is setting forth reasonable time for them to complete the work and making sure all necessary tasks are accounted for in the MS Project Plan.

SUBJECT MATTER EXPERT (CSME)

The subject matter expert is one that is well versed in the business process for the client. The subject matter expert is a key role in the success of the project and should be able to clearly relay detailed requirements to the Agate Business Analyst regarding the business process.

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PROJECT RESOURCE PROFILEThis section describes the resources for each project team.

AGATE RESOURCES


Est. Begin Date

Est. End Date

Account Manager Mark Watters 1 02/01/2014

02/01/2016

Project Manager/Team Lead Brad Banning 30 03/04/2015

02/01/2016

Product Designer Ted Barringer 1 03/04/2015

02/01/2016

Project Lead Mike Zyla 100 03/04/2015

02/01/2016

Lead Developer Mike Zyla 100 03/04/2015

02/01/2016

Business Analyst Mike Zyla 100 03/04/2015

02/01/2016

Configuration Specialist Jennifer Sloan 80 03/04/2015

02/01/2016

Quality Assurance Resource Jennifer Sloan 80 03/04/2015

02/01/2016

Documentation Specialist Jennifer Sloan 80 03/04/2015

02/01/2016

TSD RESOURCES


Est. Begin Date

Est. End Date

Project Sponsor Robert Archuleta 10 02/01/2015

02/01/2016

PAGE | 84

Project Lead Kimberly Wildharber 30 02/01/2015

02/01/2016

Project Manager/Project Lead

Dave Martinez 100 03/04/2015

02/01/2016

IT Project Manager/Project Lead

Genevieve Grant 100 03/04/2015

02/01/2016

Subject Matter Expert Kimberly Wildharber 30 03/04/2015

02/01/2016

Subject Matter Expert Dave Martinez 100 03/04/2015

02/01/2016

Subject Matter Expert Ken Pino 30 03/04/2015

02/01/2016

Independent Verification & Validation Contractor

Nick Behrmann 100 03/04/2015

02/01/2016

PAGE | 85

AGATE ORGANIZATIONAL CHART

TSD ORGANIZATIONAL CHART

PROJECT RESPONSIBILITY ASSIGNMENT MATRIX (RACI CHART)

This section organizes client resources by deliverables/outcomes.

PAGE | 86

R = Responsible (The owner/doer)

A = Accountable (The sign-off or responsible for the decision/Activity)

C = Consult (Subject matter expert consulted prior to decision making)

I = Inform (Needs to be informed after a decision or action is taken)

Deliverable/Outcome

Kim Wildharber

Dave Martine

z

Genevieve Grant

Ken Pino Nick Behrmann

D1. Design Document Workflow for the Operational Plan and Grant Agreement

R,A R C C I

D2. Form Design for Operational Plan/Negotiation Forms/Grant Agreement

R,A R C C I

D3. Design Document Workflow for Claims/Activity Reports

R,A R C C I

D4. Form Design for Claims/Activity Reports

R,A R C C I

E. Product Security Roles Set Up

R,A R C C I

F. Build Document Workflow for the Operational Plan and Grant Agreement

R,A R C C I

G. Form Build for the Operational Plan/Negotiation Forms/Grant Agreement

R,A R C C I

H. Build Document Workflow for Claims/Activity Reports

R,A R C C I

I. Form Build for the Claims/Activity Reports

R,A R C C I

J1. Product Management Query Report Software Configuration

R,A R C C I

J2. Product Management Formatted Report Software Configuration

R,A R C C I

PAGE | 87

L. Form Build for the Life Expectancy Tool

R,A R C C I

RESOURCE ASSUMPTIONS OR ISSUESThis section lists any known assumptions regarding project resources.

Resource Assumption/Issue Begin Date End Date

Brad Banning Brad will be out of the office and unreachable for one week in July of 2015

07/06/2015 07/10/2015

Mike Zyla Mike will be out of the office and unreachable for 7 business days in May/June of 2015

05/25/2015 06/04/2015

Jennifer Sloan Jennifer will be out of the office and unreachable for 2 business days in July

07/30/2015 07/31/2015

Kimberly Wildharber Kimberly will be out of the office periodically and at times unreachable.

Dave Martinez Dave will act as Kimberly’s backup in her absence with signature authority

RESOURCE RISKS AND MITIGATIONSThis section lists any known risks or mitigations regarding project resources.

Role/Resource Risk/ Mitigation

Agate Software Turn-Over In the event of turn-over within Agate Software, the possibility of missing scheduled dates are at risk. We will mitigate this risk by using standardized documentation and practices. This will ensure that any Agate Software Project Lead will be capable of filling in for the NMDOT system.

TSD Turn-Over In the event of turn-over within the New Mexico Department of Transportation, the possibility of missing business needs, and therefore, overall system quality, is at risk. We will mitigate this risk by documenting all necessary business needs prior to the build of the system.

Inadequate Support from Agate

In the event NMDOT will cross training of TSD staff, NMDOT staff will need to implement solution independently without vendor assistance or guidance.

PAGE | 88

SIGNATURESThe Project Team member(s) who have signed & dated below have reviewed this document and it is understood there is a consensus regarding completion of the information contained therein.

New Mexico Department of Transportation Agate Software, Inc.

____________________________________(Name, Title)

____________________________________(Name, Title)

____________________________________Signature

____________________________________Signature

____________________________________Date

____________________________________Date

PAGE | 89

Communication Plan

New Mexico Department of Transportation

Prepared By

Document Owner(s) Project/Organization Role

Bradley Banning NM DOT Agate Project Manager

Project Closure Report Version Control

Version Date Author Change Description

5 05/22/2015 Jennifer Sloan Acceptance of modifications

PAGE | 90

Contents

COMMUNICATION PLAN..................................................................................................................................... 1

NEW MEXICO DEPARTMENT OF TRANSPORTATION.............................................................................................1

1 COMMUNICATION PLAN DESCRIPTION....................................................................................................... 3

2 PROJECT INFORMATION............................................................................................................................. 4

3 PROJECT AUDIENCE.................................................................................................................................... 4

4 PROJECT TEAM MEMBERS AND ROLES........................................................................................................ 5

5 COMMUNICATION METHODS..................................................................................................................... 5

6 COMMUNICATION MATRIX......................................................................................................................... 6

7 MEETINGS.................................................................................................................................................. 7

7.1 REVIEW AND DESIGN MEETINGS........................................................................................................................77.2 WEEKLY STATUS MEETINGS..............................................................................................................................77.3 AD HOC MEETINGS.........................................................................................................................................7

8 DOCUMENT TEMPLATES............................................................................................................................. 8

9 APPENDIX................................................................................................................................................... 9

9.1 APPENDIX A – STATUS REPORT TEMPLATE...........................................................................................................99.2 APPENDIX B – MEETING AGENDA....................................................................................................................119.3 APPENDIX C – MEETING MINUTES TEMPLATE....................................................................................................129.4 APPENDIX D – SIGN OFF APPROVAL TEMPLATE..................................................................................................13

PAGE | 91

COMMUNICATION PLAN DESCRIPTIONThis communication plan describes the approach for communicating and collaborating on the NMDOT grants management system. The plan identifies the audience for the project, the information to communicate, and the communication methods to use. This plan will help facilitate effective and coordinated communication between all project audiences. The Communication Plan will identify communication vehicles necessary to deliver the right messages to stakeholder groups. This objective will be accomplished throughout the project in collaboration with the schedule, through the Change Commitment Curve that builds:

Awareness – helps set realistic expectations about the program Understanding – helps reduce individual and group levels of concern Acceptance – by managing the impact of change, a leveling out of stakeholder/end-

user responses to change will minimize risk of resistance Commitment – sustainability within the New Mexico Department of Transportation

(TSD) for change

The Change Commitment Curve illustrated in the Figure 1.0 highlights the stakeholder strategic approach for the NMDOT grants management system.

Figure 1.0

PAGE | 92

PROJECT INFORMATIONFor this project, eight categories of information are used to simplify the project communications: Planning

o Includes information necessary during the planning of the tasks throughout the project.

Project Execution and Procedureso Standard processes and procedure that are documented.

Stakeholder Project Statuso Includes high-level summaries of completed milestones, major accomplishments,

current schedule and budget status, and any issues or risks that have occurred. Approval information

o Representing document, change requests, budget requests or project deliverables that require approval.

Status Informationo Day to day updated information.

Meeting Noteso Team meetings will have notes typed up and saved.

Issues and Riskso Issue or risks that arise throughout the project. o These will be logged by the NMDOT and updated on a weekly basis in time for the

weekly status meeting. File will be stored and accessible in Mavenlink. Project Publicity

o This is general project information, announcements, etc.

PROJECT AUDIENCEThis plan includes communication to two main audiences: Joint DOT and Agate Project Team

o The Agate Software (IntelliGrants) Team Mark Watters Brad Banning Mike Zyla Jennifer Sloan

o DOT- TSD Project Team Kimberly Wildharber Genevieve Grant Dave Martinez Ken Pino Nick Behrmann

DOT Stakeholderso Traffic Safety Division

PAGE | 93

PROJECT TEAM MEMBERS AND ROLESDOT-TSD TEAM

Dave Martinez, Business Owner Project Manager / Primary Point of ContactGenevieve Grant, IT Project ManagerKimberly Wildharber, Project Sponsor,Ken Pino, IT Application Developer/Business Analysis

AGATE TEAM

Brad Banning, Project Manager / Escalation Point of ContactMike Zyla, Project Lead & DevelopmentJennifer Sloan, Assistant Lead & ConfigurationMark Watters, Account Manager

COMMUNICATION METHODSThere are several types of communications that are necessary throughout this project. Some of the communications will be tracked.

Communication Type DescriptionConference Meetings This communication is accomplished using joint meeting voice conference calls

as well as the product ‘GoToMeeting’. GoToMeeting allows for desktop sharing to allow all meeting members to see the same screen.

Email This communication method is using email to schedule meetings and general information only.

Task Tracking & Document Sharing

This communication is accomplished using the product ‘Mavenlink’. Mavenlink is a task tracker and document repository accessible by both parties and will be used throughout the course of the project. Access to Mavenlink will be limited to the TSD Project Sponsor and the Agate team. Mavenlink allows a user to enter “activity feed” updates, whether for general project information, or for specific task. All communication, document uploads and status updates for a task will be tracked. Email notifications can also be sent each time a new message is added or each time a task status is updated.

PAGE | 94

COMMUNICATION MATRIXThe communication matrix is used to show the how the audience, information, method and responsible team member of the communications all fit together. Where necessary, this shows the planned communication.

Audience Information Method Frequency Responsible Person

TSD Project Team / Agate Project Team

Planning, Status Information, and Issues/Risks

Mavenlink, Email, Meeting

Daily as needed

All Project Team members


Project Execution and Procedures

Mavenlink, Email

As needed All Project Team members


Status Information Mavenlink, Email, Meeting

Weekly TSD Project Team and Agate Project Team

TSD Stakeholders

Project Publicity Email As needed TSD Project Sponsor


Meeting Notes Mavenlink Weekly Agate Project Lead (Jennifer Sloan)

TSD Project Sponsor

Approval Information

Mavenlink As Needed TSD Project Manager and Agate Project Manager (Brad Banning)

PAGE | 95

MEETINGS

REVIEW AND DESIGN MEETINGSReview and design meetings will begin following the kickoff meeting. The intention of the analysis is to clarify any remaining items from the Workflow Design/Detail (WD&D) and Design Documents (DD). The Agate Project Lead and Assistant Lead will meet with the Project Sponsor and Subject Matter Expert(s) (SME’s) and follow the process as laid out in the WD&D & DD to ensure they accurately capture the necessary functionality and requirements. The intended outcome of the review and design meetings will be a finalized the WD&D & TDDs that will be used to define the agreed upon functional requirements of the system.

WEEKLY STATUS MEETINGSThe weekly status meeting will include, at a minimum, the Agate Project Leads, the TSD Project Sponsor and other team members. The main medium for this meeting will be by teleconference (GoToMeeting). Included in the meeting will be the following agenda items:

• Progress made against timeline including any deliverables achieved/milestones reached.

• Open/outstanding issues, the assignment of tasks against the issues and expected completion dates

• New issues – This discussion may include SME’s to assist in defining/clarifying the issue

• Schedule over the next 15 days including any potential timing issues.

The result of this meeting will be minutes prepared by the Agate Assistant Project Lead. The minutes will be distributed by email to all participants and posted in Mavenlink.

AD HOC MEETINGSAd hoc meetings will take place as the need arises for faster issue resolution. Any stakeholder can partake in an ad hoc meeting, depending on need for the situation. Meeting minutes will be taken by either the TSD team member or Agate Project Lead (or designee) and distributed to all affected stakeholders by E-mail and posted in Mavenlink.

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DOCUMENT TEMPLATESThese are the sample document templates to be used throughout this project engagement. A high-level status check can be garnered from the Mavenlink Task Tracker.

Sign Off Approval Template: Appendix E (Section 9.1)

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SIGN OFF APPROVAL TEMPLATE

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