EXECUTIVE SPONSORS: BUSINESS OWNER PROJECT MANAGERS: ORIGINAL PLAN DATE: MARCH 01, 2012 REVISION DATE: REVISION:

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1 WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM PROJECT MANAGEMENT PLAN (PMP) EXECUTIVE SPONSORS: RENEE MARTINEZ, CHIEF INFORMATION OFFICE JOHN ROMERO, WATER RIGHTS DIVISION CHIEF BUSINESS OWNER WRAP MANAGERS AND EMPLOYEES PROJECT MANAGERS: MERCEDES ORTEGA ORIGINAL PLAN DATE: MARCH 01, 2012 REVISION DATE: REVISION:

2 Table of Contents PREPARING THE PROJECT MANAGEMENT PLAN PROJECT OVERVIEW EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT FUNDING AND SOURCES CONSTRAINTS DEPENDENCIES ASSUMPTIONS INITIAL PROJECT RISKS IDENTIFIED PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE STAKEHOLDERS PROJECT GOVERNANCE STRUCTURE EXECUTIVE REPORTING SCOPE PROJECT OBJECTIVES CRITICAL SUCCESS FACTORS PROJECT DELIVERABLES AND METHODOLOGY PROJECT MANAGEMENT LIFE CYCLE PRODUCT LIFE CYCLE PROJECT WORK WORK BREAKDOWN STRUCTURE (WBS) SCHEDULE ALLOCATION -PROJECT TIMELINE PROJECT BUDGET PROJECT TEAM STAFF PLANNING AND RESOURCE ACQUISITION PROJECT LOGISTICS PROJECT MANAGEMENT AND CONTROLS RISK AND ISSUE MANAGEMENT INDEPENDENT VERIFICATION AND VALIDATION - IV&V SCOPE MANAGEMENT PLAN PROJECT BUDGET MANAGEMENT COMMUNICATION PLAN PERFORMANCE MEASUREMENT (PROJECT METRICS) QUALITY OBJECTIVES AND CONTROL CONFIGURATION MANAGEMENT PROCUREMENT MANAGEMENT PLAN PROJECT CLOSE ATTACHMENTS... ERROR! BOOKMARK NOT DEFINED. PAGE 1

3 Revision History Revision Number Date Comment 1.0 April 2, 2011 Draft PMP 2.0 PAGE 2

4 PREPARING THE PROJECT MANAGEMENT PLAN 1.0 PROJECT OVERVIEW 1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT The Office of the State Engineer and Interstate Stream Commission, collectively, the Agency, are responsible for actively managing the water resources of New Mexico. On a daily basis the Agency serves water right owners across the state of New Mexico by processing water right claims and related transactions (changes of ownership, permit applications, well log submittals, certificates of construction, proof of beneficial use, well meter readings). Customer service and agency efficiency with respect to processing water rights transactions is inextricably tied to the performance of the Agency s water rights process and supporting information management systems. The purpose of this project is to redesign and automate our water rights administration business process using business process management software (BPMS). A BPMS is an integrated suite of software technologies that addresses business users' desire to see and manage work as it progresses across organizational boundaries. Successful completion of work requires the tight coordination of people, systems and information. A BPMS supports this full view of work by coordinating the interactions among people, systems and information, which are all equally important aspects of work. A BPMS supports process modeling, design, development and execution via the runtime environment in one package. 1.2 FUNDING AND SOURCES SOURCE AMOUNT ASSOCIATED RESTRICTIONS Laws of 2011, Chapter 179, Section 4 $246,000 AVAILABLE UNTIL JUNE 30, 2012 Laws of 2012, Chapter 19, Section 7 $220,000 AVAILABLE UNTIL JUNE 30, 2014 Laws of 2012, Chapter 19, Section 4 $222,250 AVAILABLE UNTIL JUNE 30, 2013 Laws of 2013, Chapter 19, Section 4 $28,000 AVAILABLE UNTIL JUNE 30, 2014 APPROVERS OSE/ISC STATE IT PROJECT CERTIFICATION COMMITTEE OSE/ISC OSE/ISC 1.3 CONSTRAINTS Constraints are factors that restrict the project by scope, resource, or schedule. PAGE 3

5 NUMBER DESCRIPTION 1 THE SPECIAL APPROPRIATIONS FOR THE PROJECT MUST BE USED PRIOR TO JUNE 30, SEE 1.2 FUNDING AND SOURCES, ITEM # DEPENDENCIES Types include the following and should be associated with each dependency listed. Mandatory dependencies are dependencies that are inherent to the work being done. D- Discretionary dependencies are dependencies defined by the project management team. This may also encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle. E-External dependencies are dependencies that involve a relationship between project activities and non-project activities such as purchasing/procurement NUMBER DESCRIPTION 1 PROFESSIONAL SERVICES AGREEMENTS MUST BE ESTABLISHED TO ACQUIRE IMPLEMENTATION SERVICES FROM THE SOFTWARE VENDOR. A STATE PRICE AGREEMENT WILL BE IN PLAN BASED ON THE VENDOR S GSA PRICING TERMS AND CONDITIONS. TYPE M,D,E E 1.5 ASSUMPTIONS Assumptions are planning factors that, for planning purposes, will be considered true, real, or certain. NUMBER DESCRIPTION 1 INVOLVEMENT OF EMPLOYEES FROM ALL WRAP DISTRICT OFFICES WILL BE REQUIRED THROUGH OUT THE PROJECT TO MODEL, DESIGN AND AUTOMATE BUSINESS PROCESSES. 2 IN ORDER TO FOCUS IT APPLICATION DEVELOPMENT STAFF ON THE PROJECT, CHANGES TO CURRENT APPLICATIONS WILL BE PAGE 4

6 1.6 INITIAL PROJECT RISKS IDENTIFIED [Risk 1 Change Management] CHANGE MANAGEMENT Probability: HIGH Impact: MODERATE FOR EMPLOYEES, CONSTITUENTS AND IT MITIGATION STRATEGY: PROFESSIONALS. THE A STRUCTURED APPROACH TO CHANGE MANAGEMENT PROJECT WILL WILL BE FOLLOWED DURING THE COURSE OF THE INTRODUCE MANY PROJECT STARTING WITH THE DEVELOPMENT OF A CHANGES. CHANGE MANAGEMENT PLAN. CRITICAL CHANGE MANAGEMENT PLAN COMPONENTS WILL INCLUDE: 1. COMMUNICATIONS THAT INFORMS VARIOUS STAKEHOLDERS OF THE REASONS FOR THE CHANGE, THE BENEFITS OF SUCCESSFUL IMPLEMENTATION AS WELL AS THE DETAILS OF THE CHANGE, 2.EDUCATION, TRAINING AND POTENTIAL RE-CLASSIFICATION OF IT JOBS, 3. ALIGNMENT OF EMPLOYEE PERFORMANCE PLANS WITH NEW BUSINESS PROCESS PERFORMANCE GOALS, 4.EMPLOYEE COUNSELING (IF REQUIRED) TO ALLEVIATE ANY CHANGE RELATED FEARS, AND 5. MONITORING THE RESULTS OF THE PROJECT AND FINE-TUNING THE CHANGE MANAGEMENT APPROACH AS REQUIRED. CONTINGENCY PLAN: THE SYSTEM WILL NOT BE DEPLOYED UNTIL USER ACCEPTANCE TEST AND TRAINING ARE SUCCESSFUL [Risk 2 Cloud SaaS Experience] UNKNOWN TECHNICAL Probability: HIGH Impact: MODERATE AND IMPLEMENTATION ISSUE MAY IMPACT MITIGATION STRATEGY: SCHEDULE AND COSTS DUE TO INEXPERIENCE WITH IMPLEMENTING THIS CLOUD SOFTWARE AS A SERVICE SOLUTION THE OSE/ISC IS UTILIZING THE SERVICES OF AN IT RESEARCH AND ADVISORY COMPANY, GARTNER GROUP, TO LEARN AND APPLY BEST PRACTICES FOR THE EVALUATION, ACQUISITION AND IMPLEMENTATION OF CLOUD SOFTWARE AS SERVICE SOLUTIONS. CONTINGENCY PLAN: THE PROJECT MANAGER WILL IDENTIFY ISSUES THAT MAY IMPACT COST AND SCHEDULE ON A REGULAR BASIS AND ASSIGNED RESPONSIBILITY FOR RESOLVING THE ISSUES IS AN APPROPRIATE TIME PERIOD. PAGE 5

7 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 ORG TITLE WATER RESOURCE ALLOCATION PROGRAM (WRAP) WRAP EMPLOYEES AND MANAGERS WILL USE THIS SYSTEM TO AUTOMATE THEIR WATER RIGHTS ADMINISTRATION BUSINESS PROCESS. THE SYSTEM WILL ALLOW USERS TO SEE AND MANAGE WORK AS IT PROGRESSES ACROSS ORGANIZATIONAL BOUNDARIES. OSE PROGRAM DIRECTOR DISTRICT MANAGERS WATER RIGHTS SPECIALISTS WATER RIGHTS ABSTRACT SPECIALISTS 2.2 PROJECT GOVERNANCE STRUCTURE DESCRIBE THE ORGANIZATIONAL STRUCTURE ORG CHART OSE-ISC IT Governance Committee Meeting Role: Project Investment, Project Portfolio Management Project Steering Committee Role: Project Planning & Oversight Project Team Role: Project Execution PAGE 6

8 2.2.2 DESCRIBE THE ROLE AND MEMBERS OF THE PROJECT STEERING COMMITTEE John Romero, WRAP Director, Role: Represents needs of the Water Resource Allocation Program as primary users of the system Rick DeSimone, WRAP Water Rights Abstracting Bureau Chief, Role: Represents needs of the Water Rights Abstracting Bureau as primary users of the system Vince Chavez, WRAP District VI (Santa Fe), Role: Represents needs of all WRAP district offices as primary users of the system Charles (Tink) Jackson, WRAP District IV (Deming), Role: Represents needs of all WRAP district offices as primary users of the system Renée Martínez, OSE/ISC Chief Information Office and IT Services Bureau Chief, Role: Manages IT resources for the project Mercedes Ortega, OSE IT Applications Manager, Role: Represents the IT technical staff who will be engaged on this project Lela Hunt, Public Information Officer, Role: Develops and implements the communications plan for the project Curtis Eckhart, Budget Director, Role: Manages Agency financial resources for the project ORGANIZATIONAL BOUNDARIES, INTERFACES AND RESPONSIBILITIES John Romero and Renée Martínez will be responsible for keeping the OSE/ISC IT Governance Committee apprised of project status and outcomes. All other agency programs will be interested on how and when the business process management software suite and business process improvement standards and methods will be available to their programs once this project is completed. 2.3 EXECUTIVE REPORTING See section above. 3.0 SCOPE 3.1 PROJECT OBJECTIVES BUSINESS OBJECTIVES NUMBER DESCRIPTION 1 IMPROVE BUSINESS AGILITY, THAT IS, TO SIGNIFICANTLY (BY 30% AND GREATER) REDUCE THE TIME AND EFFORT REQUIRED TO CHANGE BUSINESS PROCESSES AND INFORMATION SYSTEMS TO ADAPT TO EVOLVING BUSINESS RULES, REGULATIONS AND PRIORITIES 2 IMPROVE STAFF PRODUCTIVITY 3 INCREASE BUSINESS PROCESS TRANSPARENCY AND PERFORMANCE MANAGEMENT 4 REDUCE THE COST FOR SYSTEM MAINTENANCE AND FUTURE DEVELOPMENT PAGE 7

9 NUMBER DESCRIPTION 5 IMPROVE CONSTITUENT (WATER RIGHTS OWNERS, COURTS, LEGISLATORS) SATISFACTION WITH OSE SERVICES TECHNICAL OBJECTIVES NUMBER DESCRIPTION 1 PROVIDE FOR QUICK PROCESS AND RULE RECONFIGURATION WITH MINIMAL DOWNTIME 2 PROVIDE USER INTERFACES THAT ARE INTUITIVE, EASY TO LEARN AND USE, AND WEB-BASED 3 PROVIDE AUTOMATED WORKFLOW, BUSINESS RULES AND EXCEPTION HANDLING 3 PROVIDE REAL-TIME WORKFLOW STATE REPORTING 4 SHIFT IT WORKLOAD FROM PROGRAMMER TO BUSINESS ANALYST- RESOURCES 5 MAXIMIZE RE-USE OF EXISTING APPLICATION ASSETS 6 ADOPT INDUSTRY-STANDARD CLOUD INFRASTRUCTURE AND OPERATIONS PROCEDURES 7 PROVIDE CUSTOMER SELF-SERVICE FUNCTIONS WITH INTUITIVE, EASY TO LEARN AND USE, WEB-BASED USER INTERFACES 3.2 PROJECT EXCLUSIONS No exclusions. 3.3 CRITICAL SUCCESS FACTORS NUMBER DESCRIPTION 1 BUY-IN AND INVOLVEMENT OF BUSINESS USERS AND BUSINESS MANAGERS IS CRITICAL. THE PROJECT WILL RELY ON BUSINESS MANAGERS AND USERS TO DEVELOP EFFECTIVE FUTURE STATE BUSINESS PROCESSES AND TO AGREE ON STANDARD WAYS TO PROCESS WATER RIGHT APPLICATIONS. 2 DEDICATION AND FOCUS OF IT APPLICATIONS DEVELOPMENT STAFF IS CRITICAL. THIS PROJECT WILL BE CONSIDERED A HIGH PRIORITY OVER OTHER IT APPLICATION PROJECTS, DUE TO ITS STRATEGIC IMPORTANCE TO AGENCY OPERATIONS. 4.0 PROJECT DELIVERABLES AND METHODOLOGY 4.1 PROJECT MANAGEMENT LIFE CYCLE PAGE 8

10 Phase Summary of Phase Key Deliverables DEVELOP ROADMAP FOR CURRENT STATE ANALYSIS WATER RIGHTS TARGET-STATE ANALYSIS APPLICATION ARCHITECTURE ROADMAP ARCHITECTURE PLANNING & ENVISIONING *COMPLETE SOLUTION EVALUATION & SELECTION *COMPLETE IMPLEMENTATION PLANNING (RELEASE 1) RELEASE 1 CLOSE-OUT IMPLEMENTATION PLANNING (RELEASE 2) RELEASE 2 CLOSE-OUT IMPLEMENTATION PLANNING (RELEASE 3) RELEASE 3 CLOSE-OUT EVALUATE AND SELECT TECHNOLOGY SPECIFY APPLICATION SCOPE & RESOURCES NEEDED TO COMPLETE RELEASE 1 EVALUATE AND DOCUMENT RELEASE RESULTS SPECIFY APPLICATION SCOPE & RESOURCES NEEDED TO COMPLETE RELEASE 2 EVALUATE AND DOCUMENT RELEASE RESULTS SPECIFY APPLICATION SCOPE & RESOURCES NEEDED TO COMPLETE RELEASE 3 EVALUATE AND DOCUMENT PROJECT RESULTS RFI & RFI RESPONSE TECHNOLOGY PROOF OF CONCEPT BUSINESS CASE COST MODEL VENDOR AGREEMENTS PROJECT IMPLEMENTATION PHASE CERTIFICATION PROJECT MANAGEMENT PLAN PROJECT SCHEDULE USER AND EXTERNAL LOGON LICENSES BPMS TRAINING IV&V INITIAL ASSESSMENT CHANGE MANAGEMENT PLAN POST IMPLEMENTATION ASSESSMENT USER AND EXTERNAL LOGON LICENSES VENDOR AGREEMENTS PROJECT MANAGEMENT PLAN PROJECT SCHEDULE IV&V ASSESSMENT POST IMPLEMENTATION ASSESSMENT VENDOR AGREEMENTS PROJECT MANAGEMENT PLAN PROJECT SCHEDULE POST IMPLEMENTATION ASSESSMENT PROJECT CLOSE CERTIFICATION PROJECT MANAGEMENT DELIVERABLES Project Deliverables are work products or artifacts that are driven by the project management methodology requirements and standard project management practices regardless of the product requirements of the project DELIVERABLE 1 - PROJECT WORK PLAN PROJECT WORK PLAN DELIVERABLE ACCEPTANCE CRITERIA PROJECT PLAN AND REVISIONS TO BE APPROVED BY PROJECT STEERING COMMITTEE STANDARDS FOR CONTENT AND FORMAT MS PROJECT PAGE 9

11 QUALITY REVIEW AGENCY CIO WILL REVIEW FOR QUALITY, IV&V VENDOSE WILL REVIEW FOR QUALITY DELIVERABLE 2 PROJECT STATUS REPORTS MONTHLY PROJECT STATUS REPORT (CONTAINS COSTS, ISSUES AND RISKS) DELIVERABLE ACCEPTANCE CRITERIA - PROJECT STATUS REPORTS APPROVED BY PROJECT STEERING COMMITTEE STANDARDS FOR CONTENT AND FORMAT A STANDARD AGENCY TEMPLATE FOR ALL IT PROJECTS WILL BE USED QUALITY REVIEW PROJECT STEERING COMMITTEE WILL REVIEW FOR QUALITY DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS DELIVERABLE NUMBER DELIVERABLE APPROVERS (WHO CAN APPROVE) DATE APPROVED PRJ-DEL-001 PROJECT MANAGEMENT PLAN (PMP) PROJECT STEERING COMMITTEE APRIL 14, 2012 (TARGET DATE) ALL SEE DELIVERABLES IN SECTION 4.1 ABOVE PROJECT STEERING COMMITTEE UPON REVIEW AND SIGN OFF FROM PROJECT STEERING COMMITTEE DELIVERABLE ACCEPTANCE PROCEDURE Deliverables will be reviewed by Project Manager and Project Team, then passed on to the Project Steering Committee for final approval. All defects will be communicated to the Contractor or Project Manager for correction before final approval and acceptance. 4.2 PRODUCT LIFE CYCLE Phase PLANNING & ENVISIONING *COMPLETE TECHNOLOGY SELECTION *COMPLETE Summary of Phase DEVELOP ROADMAP FOR WATER RIGHTS APPLICATION ARCHITECTURE EVALUATE AND SELECT TECHNOLOGY Key Deliverables CURRENT STATE ANALYSIS TARGET-STATE ANALYSIS ARCHITECTURE ROADMAP BPMS RFI BPMS TECHNOLOGY PROOF OF CONCEPT PROJECT BUSINESS CASE COST MODEL PAGE 10

12 Phase BPMS EDUCATION *COMPLETE DETERMINE DELIVERY AND OPERATIONS APPROACH *COMPLETE DOMESTIC WATER RIGHTS PROCESS MODELING, DESIGN, BUILD, TEST, DEPLOY (RELEASE 1) RELEASE 1 CLOSE-OUT NON- DOMESTIC WATER RIGHTS PROCESS MODELING, DESIGN, BUILD, TEST, DEPLOY (RELEASE 2) RELEASE 2 CLOSE-OUT NON- DOMESTIC WATER RIGHTS PROCESS MODELING, DESIGN, BUILD, TEST, DEPLOY (RELEASE 3) Summary of Phase EDUCATE IT STAFF ON NEW APPROACH TO APPLICATION DEVELOPMENT DETERMINE RESOURCE STRATEGY FOR PROJECT PROCESS & APPLICATION DEVELOPMENT LIFECYLE EVALUATE AND DOCUMENT RELEASE RESULTS PROCESS & APPLICATION DEVELOPMENT LIFECYLE EVALUATE AND DOCUMENT RELEASE RESULTS PROCESS & APPLICATION DEVELOPMENT LIFECYLE Key Deliverables REQUIREMENT SPECIFICATION TRAINING BUSINESS PROCESS DEFINITION TRAINING USE CASE SPECIFICATIONS TRAINING SOLUTION DELIVERY APPROACH SOLUTION OPERATIONS APPROACH COST MODEL PROCESS & APPLICATION REQUIREMENTS APPLICATION DESIGN APPLICATION BUILD TEST PLAN & RESULTS USER TRAINING PLAN & MATERIALS APPLICATION IN PRODUCTION POST IMPLEMENTATION ASSESSMENT USER AND EXTERNAL LOGON LICENSE SUBSCRIPTIONS PROCESS & APPLICATION REQUIREMENTS APPLICATION DESIGN APPLICATION BUILD TEST PLAN & RESULTS USER TRAINING PLAN & MATERIALS APPLICATION IN PRODUCTION POST IMPLEMENTATION ASSESSMENT PROCESS & APPLICATION REQUIREMENTS APPLICATION DESIGN APPLICATION BUILD TEST PLAN & RESULTS PAGE 11

13 Phase RELEASE 3 CLOSE-OUT Summary of Phase EVALUATE AND DOCUMENT PROJECT RESULTS Key Deliverables USER TRAINING PLAN & MATERIALS APPLICATION IN PRODUCTION POST IMPLEMENTATION ASSESSMENT CERTIFY PROJECT CLOSE TECHNICAL STRATEGY TECHNOLOGY SOLUTION: The purpose of this project is to redesign and automate our water rights administration business process using business process management software (BPMS). A BPMS is an integrated suite of software technologies that addresses business users' desire to see and manage work as it progresses across organizational boundaries. A BPMS supports this full view of work by coordinating the interactions among people, systems and information, which are all equally important aspects of work. A BPMS supports process modeling, design, development and execution via the runtime environment in one package. To support the process life cycle from modeling through execution to monitoring, the process model becomes the business process that is executed. Making the model fully executable and enabling business people to interact with business transactions running in the environment require a suite of bpm-enabling software technologies. The BPMS combines several bpm-enabling technologies, such as business process modeling, business activity monitoring (BAM), business rule engines, portals, web servicesbased integration and information management. A suite increases the effectiveness of these tools through interoperability and an explicit approach to coordinating workflow, including human tasks, "systematized" tasks, policies and information flows. The typical core bpm-enabling technologies that are architecturally integrated into a BPMS include the following: Orchestration engines coordinate the sequencing of activities and steps (systematized and manual, human workflow steps) according to the flows and rules in the process model. Human workflow management put controls around human activities to make them visible and more manageable. Business intelligence and analysis tools support the analysis of data produced during process execution. Capabilities range from reporting to online analytical processing (olap) analysis to graphical user dashboards. BAM systems do this in real time with proactive alerting. Complex-event processing helps discover activities and events of significance in the context that a process participates in to keep the process in synch with the changing conditions. Automated business process discovery provides the ability to discover current and best practices for existing processes. Rule engines execute rules that abstract business policies and decision tables from the underlying applications and make more-flexible process changes possible. PAGE 12

14 Business rule management aggregates collections of logically related rules and associates them to business policies and anticipated business scenarios to coordinate changes for quick process adaptation. Process metadata repository/registry contains process definitions, process components, process models, business rules and other process data that can be browsed by business and it professionals to foster greater understanding and to enable reuse across multiple domains. The orchestration engine uses this information at runtime to dynamically find and then bind to these process components. Simulation and optimization tools enable business managers to compare new process designs with operational performance. Scenarios are executed, altering resource constraints and business goals, to assess risk and display the financial and operational (that is, timeliness and quality) impact on the organization. Integration tools link the model to other system assets (data and logic) that support work steps. Portal/other user interface technology manages the interactions with users through user interfaces. Enterprise content management technology manages structured and unstructured information created and used in a process. Collaboration technologies, such as , instant messaging, virtual team rooms, whiteboards and social networks, support human collaboration within a process. Case management is a representation of a business activity and outcomes that becomes the current state of said activity. This is essential for tracing the completion of collaborative and unstructured knowledgebased processes. TECHNOLOGY TRANSITION: All IT application development staff in the Agency will attend 5 to 10 days of training on how to use the BPMS technologies to deploy business application solutions. Professional services from the software vendor will be acquired to provide for direct assistance and knowledge transfer to the agency IT application development staff during release 1 application development. The goal of the project is to gain the skills and knowhow from the software vendor during release 1 and to work more independently during releases 2 and 3. TECHNOLOGY OPERATIONS: The Agency has decided to use the software vendor s cloud software and platform as a service platform and the operational framework for this application. This allows the Agency to focus its IT resources on business process modeling, automation and monitoring versus infrastructure installation and maintenance. Appian warrants that the Agency s production instance of the Service Offering will be available ninety-nine and one-half percent (99.5%) of the time on a monthly basis 24x7, 365 days per year. Appian is responsible for all software and hardware upgrades and patches. Appian will provide development, testing and production environments to support the project PRODUCT AND PRODUCT DEVELOPMENT DELIVERABLES Product Deliverables are work products or artifacts that are driven by the product management methodology requirements and standard project management practices regardless of the product requirements of the project. PAGE 13

15 Deliverable 1 - Business Process and Application Implementation Plan (Release 1) Description: SCOPE AND RESOURCE (TIME, BUDGET, STAFF, BUSINESS PROCESS, SYSTEM INTEGRATION) PLAN FOR RELEASE 1 DELIVERABLE ACCEPTANCE CRITERIA - PROJECT STEERING COMMITTEE (PSC) REVIEW, COMMENT, DISCUSSION, AND APPROVAL STANDARDS FOR CONTENT AND FORMAT MS PROJECT FOR WORK PLAN MS WORD FOR IMPLEMENTATION PLAN QUALITY REVIEW - PROJECT MANAGER AND CIO REVIEW, THEN PSC REVIEW Deliverable 2 - Business Process & Application Requirements (Release 1) Description: REQUIREMENT SPECIFICATIONS FOR BUSINESS PROCESS, SYSTEM INTEGRATION, WORKFLOW, BUSINESS RULE, & USER INTERFACE Deliverable 3 - Change Management Plan Description: PLAN COMPONENTS: 1. AWARENESS CAMPAIGN, 2. TRAINING PLAN, 3. JOB ALIGNMENT, 3. EMPLOYEE PERFORMANCE PLAN ALIGNMENT, 4.EMPLOYEE COUNSELING, AND 5. PROJECT RESULTS MONITORING. DELIVERABLE ACCEPTANCE CRITERIA - PROJECT STEERING COMMITTEE (PSC) REVIEW, COMMENT, DISCUSSION, AND APPROVAL STANDARDS FOR CONTENT AND FORMAT TABLE OF CONTENTS FOR REQUIREMENTS ARE SPECIFIED BY THE AGENCY. QUALITY REVIEW - PROJECT MANAGER AND CIO REVIEW, THEN PSC REVIEW DELIVERABLE ACCEPTANCE CRITERIA - PROJECT STEERING COMMITTEE (PSC) REVIEW, COMMENT, DISCUSSION, AND APPROVAL STANDARDS FOR CONTENT AND FORMAT MS WORD. TEMPLATE FOR PLAN TO BE APPROVED BY PSC. QUALITY REVIEW - PROJECT MANAGER AND CIO REVIEW, THEN PSC REVIEW Deliverable 4 - Business Process & Application Design Specifications (Release 1) Description - DESIGN SPECIFICATIONS FOR BUSINESS PROCESS, SYSTEM INTEGRATION, WORKFLOW, BUSINESS RULE, & USER INTERFACE DELIVERABLE ACCEPTANCE CRITERIA - PROJECT STEERING COMMITTEE (PSC) REVIEW, COMMENT, DISCUSSION, AND APPROVAL STANDARDS FOR CONTENT AND FORMAT TABLE OF CONTENTS FOR DESIGN SPECIFICATIONS ARE SPECIFIED BY THE AGENCY. QUALITY REVIEW - PROJECT MANAGER AND CIO REVIEW, THEN PSC REVIEW Deliverable 5 - Business Process & Application Build & Demonstration (Release 1) Description - SOFTWARE DEVELOPMENT AND CONFIGURATION OF DELIVERABLE ACCEPTANCE CRITERIA - PROJECT STEERING COMMITTEE (PSC) REVIEW, COMMENT, DISCUSSION, AND APPROVAL PAGE 14

16 BUSINESS PROCESS, SYSTEM INTERFACES, WORKFLOW, BUSINESS RULES, & USER INTERFACES STANDARDS FOR CONTENT AND FORMAT N/A QUALITY REVIEW - PROJECT MANAGER AND CIO REVIEW, THEN PSC REVIEW Deliverable 6 Business Process & Application User Acceptance & Training (Release 1) DESCRIPTION USER ACCEPTANCE TEST PLAN, SCRIPTS AND RESULTS; USER TRAINING PLAN, SCHEDULE & MATERIALS DELIVERABLE ACCEPTANCE CRITERIA - PROJECT STEERING COMMITTEE (PSC) REVIEW, COMMENT, DISCUSSION, AND APPROVAL STANDARDS FOR CONTENT AND FORMAT MICROSOFT WORD, EXCEL AND PROJECT USED FOR TRAINING AND TESTING DOCUMENTS AND SCHEDULE. QUALITY REVIEW - PROJECT MANAGER AND CIO REVIEW, THEN PSC REVIEW Deliverable 7 Business Process & Application Deployment (Release 1) DESCRIPTION USERS ARE GIVEN ACCOUNTS AND COACHED ON HOW TO USE THE SYSTEM. DAILY POST IMPLEMENTATION MEETINGS ARE HELD TO DISCUSS ISSUES AS THEY SURFACE DELIVERABLE ACCEPTANCE CRITERIA ALL FUNCTIONS ARE WORKING AS SPECIFIED STANDARDS FOR CONTENT AND FORMAT MS WORD AND EXCEL USED TO DOCUMENT POST IMPLEMENTATION ISSUES QUALITY REVIEW - PROJECT MANAGER AND CIO REVIEW, THEN PSC REVIEW DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS DELIVERABLE NUMBER DELIVERABLE APPROVERS (WHO CAN APPROVE) DATE APPROVED ALL ALL AGENCY CIO, RENEE MARTINEZ ON BEHALF OF THE PROJECT STEERING COMMITTEE DELIVERABLE ACCEPTANCE PROCEDURE The Project Manager will review and comment on each deliverable as to conformance with requirements and acceptance criteria. The Agency CIO will them comment on each deliverable as to conformance PAGE 15

17 with requirements and acceptance criteria. A summary of each deliverable will be presented to the Project Steering Committee for comment and approval. 5.0 PROJECT WORK 5.1 WORK BREAKDOWN STRUCTURE (WBS) Identifier Work Package Description Definition/Objective Milestone/Deliverable 1.0 Planning & Envisioning *Complete 2.0 Solution Evaluation & Selection *Complete 3.0 Solution Implementation Planning- Release Solution Implementation Design & Build Release Solution Implementation Deployment Release 1 Develop Roadmap for Future Water Rights Application Evaluate and Select Technology Develop implementation plan (scope, schedule, budget, staff) Develop process and system design specifications and software builds Test solution, train users, deploy solution Current State Analysis Target-State Analysis Architecture Roadmap RFI & RFI Response BPMS Technology Proof of Concept Business Case Cost Model Implementation Plan & Schedule Process-System Design Specification & Build Out Process- System Solution in Place 5.2 SCHEDULE ALLOCATION -PROJECT TIMELINE The latest project work plan, in MS Project format, is provided below as an inserted object. 5.3 PROJECT BUDGET PROJECT PHASE PROJECT MILESTONE TARGET DATE BUDGET Implementation Establish Price and Purchase Agreements with Vendors 4/30/2012 $0 Implementation Certify Project 4/30/2012 $0 Implementation Purchase User and External Logon Licenses (Year 1) 6/30/2012 $428,000 Implementation Conduct Release 1 Implementation Plan Engagement 7/15/2012 $38,000 Implementation Conduct Training (5 Day, On-Site) 7/15/2012 $32,250 Implementation Specify Process & Application Requirements (Release 1) 8/31/2012 $10,000 Implementation Design Application (Release 1) 11/30/2012 $10,000 PAGE 16

18 PROJECT PHASE PROJECT MILESTONE TARGET DATE BUDGET Implementation Build Application (Release 1) 3/31/2013 $20,000 Implementation Specify Process & Application Requirements (Release 2) 3/31/2013 $0 Implementation Test, User Training and Deploy Application (Release 1) 6/30/2013 $0 Implementation Independent Verification and Validation Service (Year 1) 6/30/2013 $8,000 Implementation Purchase User and External Logon Licenses (Year 2) 4/30/2013 $142,000 Implementation Design, Build, Test, Deploy Release 2 and Release 3 6/30/2014 $20,000 Implementation Independent Verification and Validation Services (Year 2) 6/30/2014 $8, PROJECT TEAM PROJECT TEAM ORGANIZATIONAL STRUCTURE Project Manager (Agency, Contractor) Application Developers (Process Model, Workflow, User Interface, Business Rules, System Integration) BPMS Vendor (Implementation Guidance, Training, Knowledge Transfer) IT Infrastructure Experts (Cloud Platform Network and System Integration) Program Staff (Process Model, Workflow, User Interface, Business Rules, System Integration) PAGE 17

19 5.4.2 PROJECT TEAM ROLES AND RESPONSIBILITIES ROLE RESPONSIBILITY NAME FUNCTIONAL AREA Project Sponsor Oversee Project Renée Martínez, John Romero Project Manager Manage Project Mercedes Ortega Sanchita Gupta IT WRAP IT VENDOR Contract Administrator Manage Contracts Marcos Mendiola ISC Water Rights District Managers Business Process Management Expertise Jess Ward Tink Jackson WRAP Andrea Mendoza Vince Chavez Tim Farmer Water Rights Specialists (District Offices) Business Process Expertise David Andersen Katherine Behrendsen WRAP Elisa Dominguez Bill Duemling Andrew Erdmann, Jennifer Grado Juan Hernandez Savannah Lindsay Yolanda Mendiola Joseph Montoya Mark Munoz Louisa Paiz Yvette Quintana Sue Raffay Doug Rappuhn Nancy Riley Sarah Rodriguez Priscilla Sanchez Lois Turnage Jerold Welton Water Rights Abstracting Specialists Business Process Expertise Sylvia Lucero Joanne Koferl WRAP Rick DeSimone PAGE 18

20 ROLE RESPONSIBILITY NAME FUNCTIONAL AREA IT Business Analyst Design Process Models, Specify Application Design, Plan and Conduct User Acceptance Test, Plan and Conduct User Training Jina Lindsay IT IT Applications Development Specialist Design, Build, Test and Deploy Application Components Michael Mackenzie Diana Hardy Sarah Balch IT IT Infrastructure Specialist Support Agency Network Integration with Cloud Platform John Buchser IT 5.5 STAFF PLANNING AND RESOURCE ACQUISITION Complete the chart below identifying the project team members and details concerning their project commitment. Project staff should include State, Contract, Customer (Business Owner), or Vendor team members PROJECT STAFF Resource Cost Estimate Est. Hours Availability Skill Set Work Product/Deliverable Contractor-Project Manager $10, % PM Expertise Project Work Plan & Status Reports Contractor- BPMS Application Developer $68, % Software Development System Specifications and Software Contractor-Training Specialist $30, % Training Expertise System Training Plan & Materials Agency Project Manager N/A % PM Expertise Project Work Plan & Status Reports Agency Project Sponsor N/A 100 5% Business Management Project Steering Committee N/A 30 10% Program Management Agency Functional Experts N/A 1,000 50% Functional Expertise Project Status Report, Approve Deliverables Approve Deliverables Process & System Requirements, Design and Build Agency IT Experts N/A 4,000 80% IT Expertise Process & System Requirements, Design, Build, Deployment $108,000 5,930 PAGE 19

21 5.5.2 NON-PERSONNEL RESOURCES Use this section to list services or product (HW/SW and such) needed for project Resource Cost Estimate Estimated units/hours Availability Source Work Product/Deliverable Software license subscriptions (5 years) $570, named users, 160,000 external customer logons per year 24x7, 99.99% availability Appian, Inc. Hardware and Software Development, Test and Production Environments 5.6 PROJECT LOGISTICS Project work will be conducted primarily in the Santa Fe and Albuquerque offices with IT staff working directly with WRAP staff. Web and video-conferencing tools will be used to involve project team members who are located in other WRAP district offices PROJECT TEAM TRAINING Resource Cost Estimate Estimated Hours Availability Skill Set Work Product/Deliverable IT Business Analysts, IT Applications Developers, Program Business Analysts $38, % Appian BPMS Release 1 Process and System Model, Design, Build, Test, Deploy 6.0 PROJECT MANAGEMENT AND CONTROLS 6.1 RISK AND ISSUE MANAGEMENT RISK MANAGEMENT STRATEGY This project has minimal technical and business risks as noted in Section 1.6. The Project Steering Committee is minimizing risk by meeting monthly to address issues and risks. Also an iterative process and system design, build, test and deploy process will be used PROJECT RISK IDENTIFICATION Risks will be identified through periodic assessments, project reports, and meetings PROJECT RISK MITIGATION APPROACH A mitigation plan will be developed for all risks rated with a high probability of occurrence and a medium or high impact. The following information will be carried in each monthly project status report. Major Project Risks: No. Description Probability Impact Trigger Mitigation Actions Being Taken PAGE 20

22 6.1.4 RISK REPORTING AND ESCALATION STRATEGY Risks will be reported on monthly status reports and reviewed monthly by the project steering committee. Risks will be escalated per the direction of the Project Steering Committee PROJECT RISK TRACKING APPROACH Please see response to item above ISSUE MANAGEMENT Internal Issue Escalation and Resolution Process A three tier issue escalation process will be followed. The project team will identify and track issues on an ongoing basis. Issues that cannot be resolved at the project team level will be escalated to the Project Steering Committee which will meet monthly to in-part address outstanding issues. Issues that cannot be resolved by the Project Steering Committee will be addressed by the Agency IT Governance Committee. The Project Manager will manage issue resolution assignments just like other project tasks External Issue Escalation and Resolution Process Please see response to item above. 6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V The services of a qualified IV&V vendor, with an active State of New Mexico IT Price Agreement, will be retained to conduct an initial assessment and a follow-up assessment after release 1 of the application is deployed into production. 6.3 SCOPE MANAGEMENT PLAN CHANGE CONTROL Change Control Process CHANGE CONTROL Change Control Process The project steering committee will review and decide on any significant changes requested by the project team Change Control Board (CCB) The project steering committee will serve as the CCB Change Control Board (CCB) The project steering committee will serve as the CCB if necessary. PAGE 21

23 6.4 PROJECT BUDGET MANAGEMENT BUDGET TRACKING Budget tracking is the responsibility of the project manager with oversight by the Project Steering Committee. The following information will be carried in each monthly project status report. Financial Summary: Project Budget: $ Project Expenditures to Date: $ Project Expenditures Estimate to Complete: $ Projected Variance: $0 6.5 COMMUNICATION PLAN COMMUNICATION MATRIX A formal communication plan and matrix will be developed as part of the Project Change Management Plan. Communications that informs various stakeholders of the reasons for the change, the benefits of successful implementation as well as the details of the change will be planned and implemented as appropriate times and intervals STATUS MEETINGS Weekly project team status meetings will be held. Monthly Project Steering Committee meetings will be held PROJECT STATUS REPORTS Project status reports will be generated monthly using the standard Agency IT project status report template. PAGE 22

24 6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS) BASELINES Project Area Category Measure All Schedule Deliverables received on schedule Deliverables approved on schedule All Cost Deliverable and product costs do not exceed budget All Quality Deliverables meet specifications METRICS LIBRARY Monthly Project Status Reports will document any and all variances on schedule, cost and quality. An electronic file of all status reports will be established and will serve as the project metrics library. 6.7 QUALITY OBJECTIVES AND CONTROL Quality Management includes the processes required to ensure that the project will satisfy the needs for which it was undertaken. It includes all activities of the overall management function that determine the quality policy, objectives, quality assurance, quality control, and quality improvement, within the quality system. If a separate Quality Plan is used, include a high level summary in this document and refer to the appropriate appendix QUALITY STANDARDS Describe the agency, industry or regulatory project performance standards that will be followed and assessed by the project. These quality standards will be used to assess whether the quality objectives were achieved. Identify each of the project quality standards that are directly related to the project and not to the performance of the actual product and/or service. For each quality standard, identify the tracking tool or measure such as number of project reviews or Project Status. No. Quality Standard Tracking Tool or Measure 1 A project management plan is in place and revised as needed Verification by Project Steering Committee 2 Project budget and schedule variances are reported to the OSE/ISC IT Governance Committee Verification by Project Steering Committee PAGE 23

25 6.7.2 PROJECT AND PRODUCT REVIEW AND ASSESSMENTS Review Type Quality Standard Tools Reviewer Reports Requirements Approved by all Project Stakeholders Requirements Document with Stakeholder Signature Page Project Sponsors, Project Steering Committee Same as Tool Plans Approved by all Project Steering Committee Members (PSC) Plan Documents with PSC Signature Page Project Sponsors, Project Steering Committee Same as Tool Milestones Approval to Proceed from Project Steering Committee Monthly Project Status Reports Project Sponsors, Project Steering Committee Same as Tool Testing All Deficiencies Corrected User Acceptance Test Document with Project Sponsor Signature Page Project Sponsors Same as Tool AGENCY/CUSTOMER SATISFACTION The project manager should assess the on-going sense of the customer agency about how they feel the project is going, and how team members are acting on the project. This feedback would be helpful to the success of the project and the professional growth of the project team members. The Post-Implementation Evaluation report will report feedback from stakeholders. Examples: Areas of feedback When How Often Agency awareness Quality of communications Manages project tasks Productive Meetings PRODUCT DELIVERABLE ACCEPTANCE PROCESS The process specified in the State of New Mexico standard IT professional services agreement will be followed for all products delivered during the project, whether vendor generated or Agency generated. 6.8 CONFIGURATION MANAGEMENT VERSION CONTROL The Agency will adopt a file naming convention that specifies the version of all artifacts within the project document repository. PAGE 24

26 6.8.2 PROJECT REPOSITORY (PROJECT LIBRARY) The Agency will manage and make available all deliverables in a electronic repository with open access for the Agency to review. 6.9 PROCUREMENT MANAGEMENT PLAN The Agency budget director, contracts manager, general counsel and CIO will collaborate on all procurements to support the project. A procurement plan is already in place. The Agency will solicit proposals for IV&V professional services from vendors on the State IT Price Agreement. Competing proposals will be compared and proposals that represent the greatest value to the Agency will be selected PROJECT CLOSE 7.1 ADMINISTRATIVE CLOSE The Agency Project Steering Committee will determine when to close the project based on a review of project objectives once all project tasks have been completed or a decision to stop to project has been made. The Project Steering Committee will inform the Agency IT Governance Committee of their decision to close the project and will present a summary of the project. 7.2 CONTRACT CLOSE Contract close is similar to administrative close in that it involves product and process verification for contract close. PAGE 25