ORIGINAL PLAN DATE: MARCH 1, 2012 REVISION DATE: REVISION:

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1 WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM PROJECT CHARTER FOR CERTIFICATION 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 1, 2012 REVISION DATE: REVISION:

2 TABLE OF CONTENTS TABLE OF CONTENTS... I 1. PROJECT BACKGROUND EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT PROJECT CERTIFICATION REQUIREMENTS JUSTIFICATION, OBJECTIVES AND IMPACTS AGENCY JUSTIFICATION BUSINESS OBJECTIVES TECHNICAL OBJECTIVES IMPACT ON ORGANIZATION TRANSITION TO OPERATIONS PROJECT/PRODUCT SCOPE OF WORK DELIVERABLES Project Deliverables Product Deliverables Business Process and Application Implementation Plan (Release 1) Business Process & Application Requirements (Release 1) Change Management Plan Business Process & Application Design Specifications (Release 1) Business Process & Application Build & Demonstration (Release 1) Business Process & Application User Acceptance & Training (Release 1) Business Process & Application Deployment (Release 1) SUCCESS AND QUALITY METRICS SCHEDULE ESTIMATE Project Milestone BUDGET ESTIMATE FUNDING SOURCE(S) BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE Project Milestone-deliverable Budget BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE phase Project Milestone-deliverable Budget PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE STAKEHOLDERS PROJECT GOVERNANCE PLAN PROJECT MANAGER PROJECT MANAGER CONTACT INFORMATION PROJECT MANAGER BACKGROUND PROJECT TEAM ROLES AND RESPONSIBILITIES PROJECT MANAGEMENT METHODOLOGY CONSTRAINTS i

3 8.0 DEPENDENCIES ASSUMPTIONS SIGNIFICANT RISKS AND MITIGATION STRATEGY COMMUNICATION PLAN FOR EXECUTIVE REPORTING INDEPENDENT VERIFICATION AND VALIDATION - IV&V PROJECT CHARTER AGENCY APPROVAL SIGNATURES PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE ii

4 Revision History REVISION NUMBER DATE COMMENT 1.0 April 9, 2012 First Draft of Charter iii

5 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 1 1. PROJECT BACKGROUND The Agency is facing a sustainability challenge in that its budget and staff have been reduced by 5% over the past two years while the volume of water rights claims continues to increase. The current drought has and will continue to exacerbate this problem as water right owners look for opportunities to use or sell previously unused water. The Agency s Water Resource Allocation Program (WRAP) employs 120 water rights specialists to process water rights claims. This program is operating with 31 (25%) vacancies at this time and the backlog of claims and cycle time to process claims is growing. 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 Water Resources Allocation Program (WRAP) within the Office of the State Engineer (OSE) is responsible for processing water rights applications, conducting the scientific research for making water rights decisions, maintaining water rights records, and enforcing any conditions or restrictions on water use. The OSE has, for more than twenty years, developed and used information systems to partially automate water rights administration processes. Unfortunately, the Agency is not able to enhance the current system at a pace that is necessary to support new water right administration requirements, rules and regulations. System users have been forced to implement many workarounds due to limitations of the current system architecture. Only two of seven application developers within the agency have the programming skills required to make enhancements to the current system. To respond to these business and technology challenges, the Agency desires to take a new approach to business process execution and performance management by adopting business process management principals and software. Fifteen years ago, the Agency created the Water Rights Information Management System (WRIMS) to enhance accounting accuracy for the agency s extensive water rights records and make them more readily accessible to the public. WRIMS is the accounting system for the State s water rights, a $16.8 billion resource. The system provides an historical analysis of each individual water right claim in New Mexico, court orders and decrees, hydrographic survey results, permits, water right applications pending before the State Engineer, and electronic images of water rights documents. The system was designed to support historical water rights administration processes; however, these processes were developed prior to the automation age and although they may have been efficient for a paper-based environment, they were not reengineered to take advantage of modern information technologies. In addition, the system is built upon old technology (Informix 4GL) and its extensive use has created a large backlog of needed enhancements. Examples of these enhancements include: Accounting for complex water rights schemes such as stacking of rights and multipleuse and diversion accounts. PAGE 1

6 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 2 Enhance irrigation meter reading and automated entry. Expand utilization and integration of Geographic Information System (GIS) technology. Increase adaptability to changes mandated by new laws, rules, regulations, court decisions and policy changes. The current WRIMS architecture presents significant business and technical challenges to the Agency, including: Application updates are slow and costly due to tight-coupling of user interface, business logic and database processes; resulting in a proliferation of manual and semi-automated workarounds. An ever-increasing level of user competency is required to deal with these workarounds. Limitations of the text-based Informix 4GL user interface have made it difficult to improve screen layouts and functions. Application users like the key-board-centric data manipulation but complain about the number of screens involved in typical tasks. A lack of formal business process management methods has led to an inability to automate end-to-end transactions and workflows. The WRIMS serves mainly as a water rights data repository and has not been extended to automate complete processes and workflows. Interfaces with COTS applications, such as document management systems, have been implemented as point-to-point solutions. This makes it difficult to view and manage the entire process state. Informix 4GL is an outdated technology and finding skilled IT professionals to maintain and develop the application will become increasingly costly and difficult as the technology reaches obsolescence. 1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT The purpose of this project is to redesign and automate our water rights administration business processes. A roadmap for the redesign was completed with a recommendation to use business process management software (BPMS) as the platform for a future state water right administration system. A request for information (RFI) was issued in April 2011 to several leading BPMS vendors and two vendors were selected for further evaluation through proof of concept application development activities. A final recommendation has been vetted by the Agency and the Agency is poised to start the design and development of business processes and automated systems. 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 PAGE 2

7 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 3 important aspects of work. A BPMS supports process modeling, design, development and execution via the runtime environment in one package. 1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT During the solution planning, envisioning and evaluation phase of the project, the following documents were fully developed, considered and adopted by the project sponsors: Current State Analysis Target-State Analysis Architecture Roadmap Business Process Management Software RFI Technology Proof of Concept Planning Documents Project Business Case 1.3 PROJECT CERTIFICATION REQUIREMENTS Does the project fit into the criteria for certification? Which and how? CRITERIA YES/NO EXPLANATION PROJECT IS MISSION CRITICAL TO THE AGENCY PROJECT COST IS EQUAL TO OR IN EXCESS OF $100, PROJECT IMPACTS CUSTOMER ON-LINE ACCESS PROJECT IS ONE DEEMED APPROPRIATE BY THE SECRETARY OF THE DOIT YES YES YES YES 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. IMPLEMENTATION COSTS FOR THE PROJECT ARE ESTIMATED AT $716,250. THE PROJECT AND RESULTING PROCESSES AND SYSTEMS WILL ALLOW CUSTOMERS TO INITIATE AND TRACK WATER RIGHT TRANSACTIONS ON-LINE. THE PROJECT WAS INCLUDED ON THE DOIT LIST OF FY13 C2 IT PROJECT RECOMMENDATIONS. PAGE 3

8 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 4 CRITERIA YES/NO EXPLANATION WILL AN IT ARCHITECTURE REVIEW BE REQUIRED? NO THE SYSTEM WILL BE DEVELOPED AND IMPLEMENTED USING A CLOUD SOFTWARE AS A SERVICE PLATFORM. 2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS 2.1 AGENCY JUSTIFICATION IDENTIFY AGENCY MISSION, PERFORMANCE MEASURE OR STRATEGIC GOALS TO BE ADDRESSED THROUGH THIS PROJECT 1 DESCRIPTION GOAL 1 (AGENCY) GOAL 2 (AGENCY) GOAL 3 (GOVERNOR) PROMOTE THE EFFECTIVE ADMINISTRATION, DISTRIBUTION, PROTECTION, CONSERVATION AND DEVELOPMENT OF THE STATE S SURFACE AND GROUNDWATER. ADMINISTER WATER RIGHTS FROM AN ELECTRONIC PLATFORM THAT INCLUDES: A DATABASE OF EXISTING RIGHTS AND APPLICATIONS; AN APPLICATION STATUS AND TRACKING SYSTEM; AND A GEOGRAPHIC INFORMATION SYSTEM (GIS). ENSURE TRANSPARENCY AND ETHICS IN OUR GOVERNMENT 2.2 BUSINESS OBJECTIVES USE THE FOLLOWING TABLE TO LIST MEASURABLE BUSINESS OBJECTIVES NUMBER BUSINESS OBJECTIVE 1 BUSINESS OBJECTIVE 2 BUSINESS OBJECTIVE 3 DESCRIPTION IMPROVE BUSINESS AGILITY, THAT IS, TO SIGNIFICANTLY (BY 30%) REDUCE THE TIME AND EFFORT REQUIRED TO CHANGE BUSINESS PROCESSES AND INFORMATION SYSTEMS TO ADAPT TO EVOLVING BUSINESS RULES, REGULATIONS AND PRIORITIES IMPROVE STAFF PRODUCTIVITY (BY 15% OR GREATER) INCREASE BUSINESS PROCESS TRANSPARENCY AND PERFORMANCE MANAGEMENT PAGE 4

9 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 5 NUMBER BUSINESS OBJECTIVE 4 BUSINESS OBJECTIVE 5 DESCRIPTION REDUCE THE COST FOR SYSTEM MAINTENANCE AND FUTURE DEVELOPMENT IMPROVE CONSTITUENT (WATER RIGHTS OWNERS, COURTS, LEGISLATORS) SATISFACTION WITH OSE SERVICES 2.3 TECHNICAL OBJECTIVES NUMBER TECHNICAL OBJECTIVE 1 TECHNICAL OBJECTIVE 2 TECHNICAL OBJECTIVE 3 TECHNICAL OBJECTIVE 4 TECHNICAL OBJECTIVE 5 TECHNICAL OBJECTIVE 6 TECHNICAL OBJECTIVE 7 TECHNICAL OBJECTIVE 8 DESCRIPTION PROVIDE FOR QUICK PROCESS AND BUSINESS RULE RECONFIGURATION WITH MINIMAL DOWNTIME PROVIDE USER INTERFACES THAT ARE INTUITIVE, EASY TO LEARN AND WEB-BASED PROVIDE AUTOMATED WORKFLOW, BUSINESS RULES AND EXCEPTION HANDLING PROVIDE REAL-TIME WORKFLOW STATE REPORTING SHIFT IT WORKLOAD FROM PROGRAMMER TO BUSINESS ANALYST- RESOURCES MAXIMIZE RE-USE OF EXISTING APPLICATION ASSETS ADOPT INDUSTRY-STANDARD CLOUD INFRASTRUCTURE AND OPERATIONS PROCEDURES PROVIDE CUSTOMER SELF-SERVICE FUNCTIONS WITH INTUITIVE, EASY TO LEARN AND USE, WEB-BASED USER INTERFACES 2.4 IMPACT ON ORGANIZATION AREA END USER BUSINESS DESCRIPTION WATER RIGHTS SPECIALISTS WILL HAVE TO ADAPT TO NEW PROCESSES AND SYSTEMS FOR HANDLING CUSTOMER WATER RIGHT CLAIMS AND TRANSACTIONS. THE PROJECT WILL HAVE A FOCUS ON THE REDESIGN OF BUSINESS PROCESSES TO MAKE THEM MORE EFFECTIVE, PAGE 5

10 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 6 AREA PROCESSES IT OPERATIONS AND STAFFING CONSTITUENTS DESCRIPTION EFFICIENT AND TRANSPARENT. EXPECTATIONS FOR IMPROVED PROCESSES WILL BE PARAMOUNT. AGENCY IT STAFF WILL HAVE TO ADAPT TO A NEW APPLICATION DEVELOPMENT METHODS THAT ARE MORE BUSINESS ANALYST FOCUSED AND LESS SOFTWARE DEVELOPMENT FOCUSED. EXTERNAL CUSTOMERS WILL HAVE THE OPPORTUNITY TO INITIATE WATER RIGHT CLAIMS AND SUBMIT SUPPORTING INFORMATION (WELL LOGS, AFFIDAVITS, METER READINGS) USING A WEB-BASED APPLICATION AS AN ALTERNATIVE TO VISITING A LOCAL DISTRICT OFFICE TO DO THIS. 2.5 TRANSITION TO OPERATIONS AREA PRELIMINARY OPERATIONS LOCATION AND STAFFING PLANS DATA SECURITY, BUSINESS CONTINUITY DESCRIPTION INFRASTRUCTURE (HARDWARE & SOFTWARE SYSTEM) OUTSOURCED VIA APPIAN S CLOUD BPMS SOFTWARE AS A SERVICE PLATFORM APPLICATION DEVELOPMENT INSOURCED USING AGENCY IT APPLICATION DEVELOPMENT STAFF WITH TRANSITION AND KNOWLEDGE TRANSFER FROM BPMS SOFTWARE VENDOR INFRASTRUCTURE (HARDWARE & SOFTWARE SYSTEM) OUTSOURCED VIA APPIAN S CLOUD BPMS SOFTWARE AS A SERVICE PLATFORM APPIAN IS THE ONLY BPMS VENDOR CERTIFIED WITH AN AUTHORITY TO OPERATE IN THE CLOUD UNDER THE FISMA ACT OF THE FISMA ACT OF 2002 IS A COMPREHENSIVE FRAMEWORK FOR ENSURING THE EFFECTIVENESS OF INFORMATION SECURITY CONTROLS OVER INFORMATION RESOURCES THAT SUPPORT FEDERAL OPERATIONS AND ASSETS. APPIAN IS ALSO AN OFFICIAL SOLUTION PROVIDER FOR THE AMAZON WEB SERVICES GOVCLOUD (US). MAINTENANCE STRATEGY INFRASTRUCTURE (HARDWARE & SOFTWARE SYSTEM) OUTSOURCED VIA APPIAN S CLOUD BPMS SOFTWARE AS PAGE 6

11 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 7 AREA DESCRIPTION A SERVICE PLATFORM APPIAN S CLOUD SUBSCRIPTION SERVICES INCLUDE SOFTWARE AND HARDWARE PATCHING AND UPGRADES INTEROPERABILITY RECORD RETENTION CONSOLIDATION STRATEGY AGENCY USERS WILL NEED A WEB BROWSER AND INTERNET CONNECTION TO ACCESS THE APPLICATIONS DEVELOPED USING THE BPMS SOFTWARE THE WATERS DATABASE WILL CONTINUE TO BE THE DATABASE OF RECORD FOR WATER RIGHTS. INTERFACES BETWEEN THE NEW BPMS APPLICATION AND THE WATERS DATABASE AND DOCUMENT MANAGEMENT SYSTEM WILL BE IMPLEMENTED AS PART OF THIS PROJECT. INFRASTRUCTURE (HARDWARE & SOFTWARE SYSTEM) OUTSOURCED VIA APPIAN S CLOUD BPMS SOFTWARE AS A SERVICE PLATFORM 3.0 PROJECT/PRODUCT SCOPE OF WORK 3.1 DELIVERABLES PROJECT DELIVERABLES This initial list of project deliverables are those called for by the IT Certification Process and Project Oversight memorandum, but does not exhaust the project deliverable documents Project Deliverable Title Project Charter Project Deliverable Description The Project Charter for Certification sets the overall scope for the project, the governance structure, and when signed is considered permission to proceed with the project. The Project Charter for Certification is used to provide the Project Certification Committee with adequate knowledge of the project and its planning to certify the initiation phase of the project PAGE 7

12 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 8 Project Deliverable Title Certification Form Project Management Plan IV&V Contract & Reports IT Service Contracts Project Deliverable Description The Request for Certification and Release of Funds form is submitted when a project goes for any of the certification phases. It deals with the financial aspects of the project, as well as other topics that indicate the level of planning that has gone into the project. Many of the questions have been incorporated into the preparation of the project charter A formal document approved by the executive sponsor and the Department of IT (DoIT) and developed in the plan phase used to manage project execution, control, and project close. The primary uses of the project plan are to document planning assumptions and decisions, facilitate communication among stakeholders, and documents approved scope, cost and schedule baselines. A project plan includes at least other plans for issue escalation, change control, communications, deliverable review and acceptance, staff acquisition, and risk management. plan. Independent verification and validation (IV&V) means the process of evaluating a project to determine compliance with specified requirements and the process of determining whether the products of a given development phase fulfill the requirements established during the previous stage, both of which are performed by an organization independent of the lead agency. The DoIT requires all projects subject to oversight to engage an independent verification and validation contractor unless waived by the DoIT. The DoIT and the State Purchasing Division of General Services have established a template for all IT related contracts. Risk Assessment and management Project Schedule The DoIT Initial PROJECT RISK ASSESSMENT template which is meant to fulfill the following requirement: Prepare a written risk assessment report at the inception of a project and at end of each product development lifecycle phase or more frequently for large high-risk projects. Each risk assessment shall be included as a project activity in project schedule. Project Oversight Process memorandum A tool used to indicate the planned dates, dependencies, and assigned resources for performing activities and for meeting milestones. The defacto standard is Microsoft Project PAGE 8

13 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 9 Project Deliverable Title Monthly Project Status Reports to DoIT Project Closeout Report Project Deliverable Description Project status reports. For all projects that require Department oversight, the lead agency project manager shall submit an agency approved project status report on a monthly basis to the Department. This is the Template used to request that the project be officially closed. Note that project closure is the last phase of the certification process PAGE 9

14 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] PRODUCT DELIVERABLES Product Deliverable Title BUSINESS PROCESS AND APPLICATION IMPLEMENTATION PLAN (RELEASE 1) BUSINESS PROCESS & APPLICATION REQUIREMENTS (RELEASE 1) CHANGE MANAGEMENT PLAN Project Deliverable Description SCOPE AND RESOURCE (TIME, BUDGET, STAFF, BUSINESS PROCESS) PLAN FOR RELEASE 1 REQUIREMENT SPECIFICATIONS FOR BUSINESS PROCESS, SYSTEM INTEGRATION, WORKFLOW, BUSINESS RULES & USER INTERFACE PLAN TO INTRODUCE CHANGES TO THE ORGANIZATION TO ATTAIN ACCEPTANCE AND BUY-IN, TO INCLUDE: 1. AWARENESS CAMPAIGN, 2. TRAINING PLAN, 3. JOB ALIGNMENT, 3. EMPLOYEE PERFORMANCE PLAN ALIGNMENT, 4.EMPLOYEE COUNSELING, AND 5. PROJECT RESULTS MONITORING BUSINESS PROCESS & APPLICATION DESIGN SPECIFICATIONS (RELEASE 1) BUSINESS PROCESS & APPLICATION BUILD & DEMONSTRATION (RELEASE 1) BUSINESS PROCESS & APPLICATION USER ACCEPTANCE & TRAINING (RELEASE 1) BUSINESS PROCESS & APPLICATION DEPLOYMENT (RELEASE 1) DESIGN SPECIFICATIONS FOR BUSINESS PROCESS, SYSTEM INTEGRATION, WORKFLOW, BUSINESS RULES & USER INTERFACE SOFTWARE DEVELOPMENT AND CONFIGURATION OF BUSINESS PROCESS, SYSTEM INTERFACES, WORKFLOW, BUSINESS RULES & USER INTERFACES USER ACCEPTANCE TEST PLAN, SCRIPTS AND RESULTS; USER TRAINING PLAN, SCHEDULE & MATERIALS USERS ARE GIVEN ACCOUNTS AND COACHED ON HOW TO USE THE SYSTEM. DAILY POST IMPLEMENTATION MEETINGS ARE HELD TO DISCUSS ISSUES AS THEY SURFACE PAGE 10

15 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] SUCCESS AND QUALITY METRICS Metric are key to understanding the ability of the project to meet the end goals of the Executive Sponsor and the Business Owner, as well as the ability of the project team to stay within schedule and budget. NUMBER QUALITY METRIC 1 BUDGET VARIANCE QUALITY METRIC 2 BUSINESS OBJECTIVES DESCRIPTION COSTS THAT EXCEED BUDGETS MUST BE KEPT TO A MINIMUM; NOT TO EXCEED CONTIGENCY BUDGET OF 5% OR $35,000 ACTUAL BUSINESS BENEFITS ARE WITHIN 5% OF PROJECTED BUSINESS BENEFITS FOR: REDUCTION IN WATER RIGHT PROCESSING BACKLOGS REDUCTION IN CYCLE TIME TO IMPLEMENT PROCESS CHANGES/IMPROVEMENTS 4.0 SCHEDULE ESTIMATE PROJECT MILESTONE TARGET DATE ESTABLISH PRICE & PURCHASE AGREEMENTS WITH VENDORS 4/30/2012 CERTIFY PROJECT 4/30/2012 PURCHASE USER AND EXTERNAL LOGON LICENSES (YEAR 1) 6/30/2012 CONDUCT RELEASE 1 IMPLEMENTATION PLAN ENGAGEMENT 7/15/2012 CONDUCT TRAINING (5 DAY, ON-SITE) 7/15/2012 INDEPENDENT VERIFICATION AND VALIDATION SERVICES 7/31/2012 SPECIFY PROCESS & APPLICATION REQUIREMENTS (RELEASE 1) 8/31/2012 DESIGN APPLICATION (RELEASE 1) 11/30/2012 BUILD APPLICATION (RELEASE 1) 3/31/2013 SPECIFY PROCESS & APPLICATION REQUIREMENTS (RELEASE 2) 3/31/2013 TEST, USER TRAINING AND DEPLOY APPLICATION (RELEASE 1) 6/30/2013 PAGE 11

16 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 12 PROJECT MILESTONE TARGET DATE PURCHASE USER AND EXTERNAL LOGON LICENSES (YEAR 2) 6/30/2013 INDEPENDENT VERIFICATION AND VALIDATION SERVICES 7/31/2013 DESIGN, BUILD, TEST, DEPLOY RELEASE 2 AND RELEASE 3 6/30/ BUDGET ESTIMATE 5.1 FUNDING SOURCE(S) SOURCE AMOUNT ASSOCIATED RESTRICTIONS LAWS OF 2011, CHAPTER 179, SECTION 4 LAWS OF 2012, CHAPTER 19, SECTION 7 LAWS OF 2012, CHAPTER 19, SECTION 4 LAWS OF 2013, CHAPTER 19, SECTION 4 $246,000 AVAILABLE UNTIL JUNE 30, 2012 $220,000 AVAILABLE UNTIL JUNE 30, 2014 $222,250 AVAILABLE UNTIL JUNE 30, 2013 $28,000 AVAILABLE UNTIL JUNE 30, BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE PROJECT MILESTONE-DELIVERABLE BUDGET PRICE AND PURCHASE AGREEMENTS WITH VENDORS $0 PROJECT CERTIFICATION $0 USER AND EXTERNAL LOGON LICENSES (YEAR 1) $428,000 BPMS SOFTWARE TRAINING (5 DAY, ON-SITE) $32,250 RELEASE 1 IMPLEMENTATION PLAN ENGAGEMENT $38,000 INDEPENDENT VERIFICATION & VALIDATION INITIAL PROJECT ASSESSMENT $8,000 PROCESS & APPLICATION REQUIREMENTS (RELEASE 1) $10,000 APPLICATION DESIGN SPECIFICATIONS (RELEASE 1) $10,000 PAGE 12

17 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 13 PROJECT MILESTONE-DELIVERABLE BUDGET APPLICATION BUILD (RELEASE 1) $20,000 PROCESS & APPLICATION REQUIREMENTS (RELEASE 2) $0 TEST, USER TRAINING AND DEPLOY APPLICATION (RELEASE 1) $0 PURCHASE USER AND EXTERNAL LOGON LICENSES (YEAR 2) $142,000 INDEPENDENT VERIFICATION & VALIDATION POST RELEASE 1 ASSESSMENT $8,000 DESIGN, BUILD, TEST, DEPLOY RELEASE 2 AND RELEASE 3 $20, BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE PHASE PROJECT MILESTONE-DELIVERABLE BUDGET SOLUTION PLANNING & ENVISIONING *COMPLETED SOLUTION EVALUATION & SELECTION *COMPLETED IMPLEMENTATION PRICE AND PURCHASE AGREEMENTS WITH VENDORS PRICE AND PURCHASE AGREEMENTS WITH VENDORS PRICE AND PURCHASE AGREEMENTS WITH VENDORS $49,950 (NOT IN 5.1 & 5.2) $15,000 (NOT IN 5.1 & 5.2) $716, PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE 6.1 STAKEHOLDERS Stakeholders should be a mix of agency management and end users who are impacted positively or negatively by the project. NAME STAKE IN PROJECT ORG TITLE WATER RESOURCE ALLOCATION PROGRAM (WRAP) WRAP EMPLOYEES AND MANAGERS WILL USE THIS SYSTEM TO AUTOMATE THEIR WATER RIGHTS OSE PROGRAM DIRECTOR DISTRICT MANAGERS WATER RIGHTS PAGE 13

18 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 14 NAME STAKE IN PROJECT ORG TITLE ADMINISTRATION BUSINESS SPECIALISTS PROCESS. THE SYSTEM WILL ALLOW USERS TO SEE AND WATER RIGHTS MANAGE WORK AS IT ABSTRACT SPECIALISTS PROGRESSES ACROSS ORGANIZATIONAL BOUNDARIES. 6.2 PROJECT GOVERNANCE PLAN OSE-ISC IT Governance Committee Meeting Role: Project Investment, Project Portfolio Management Project Steering Committee Role: Project Planning & Oversight Project Team Role: Project Execution 6.3 PROJECT MANAGER PROJECT MANAGER CONTACT INFORMATION NAME ORG PHONE #(S) MERCEDES ORTEGA OSE PROJECT MANAGER BACKGROUND Mrs. Ortega has over twenty years experience in IT applications development and support with twenty years experience working in the New Mexico Office of the State Engineer. She has five years experience managing applications development projects and has taken project management courses certified by the Project Management Institute. PAGE 14

19 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] PROJECT TEAM ROLES AND RESPONSIBILITIES ROLE PROJECT SPONSORS PROJECT MANAGER CONTRACT MANAGER WATER RIGHTS DISTRICT MANAGERS WATER RIGHTS SPECIALISTS (DISTRICT OFFICES) RESPONSIBILITY ENSURE PROJECT OBJECTIVES ARE MET AND RESOURCES ARE AVAILABLE MANAGE PROJECT TO MEETING OBJECTIVES MANAGE PROJECT CONTRACTS & AGREEMENTS PROVIDE BUSINESS PROCESS MANAGEMENT EXPERTISE PROVIDE BUSINESS PROCESS EXPERTISE WATER RIGHTS ABSTRACTING SPECIALISTS IT BUSINESS ANALYSTS IT APPLICATIONS DEVELOPMENT SPECIALISTS IT INFRASTRUCTURE SPECIALISTS PROVIDE BUSINESS PROCESS EXPERTISE DESIGN PROCESS MODELS, SPECIFY APPLICATION DESIGN, PLAN AND CONDUCT USER ACCEPTANCE TEST, PLAN AND CONDUCT USER TRAINING DESIGN, BUILD, TEST AND DEPLOY APPLICATION COMPONENTS SUPPORT AGENCY NETWORK INTEGRATION WITH CLOUD PLATFORM 6.5 PROJECT MANAGEMENT METHODOLOGY An iterative business process and application development life cycle with define, design, build, deploy activities will be followed on this project. Release 1 of the new system will design and automate the domestic water right administration processes. 7.0 CONSTRAINTS NUMBER DESCRIPTION 1 THE SPECIAL APPROPRIATIONS FOR THE PROJECT MUST BE USED PRIOR TO JUNE 30, SEE 1.2 FUNDING AND SOURCES, ITEM #2. PAGE 15

20 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 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 nonproject activities such as purchasing/procurement NUMBER DESCRIPTION 1 PROFESSIONAL SERVICES AGREEMENTS MUST BE ESTABLISHED TO ACQUIRE IMPLEMENTATION SERVICES FROM THE SOFTWARE VENDOR. TYPE M,D,E E A STATE PRICE AGREEMENT WILL BE IN PLAN BASED ON THE VENDOR S GSA PRICING TERMS AND CONDITIONS. 9.0 ASSUMPTIONS 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 NEED TO KEPT TO A MINUMUM. PAGE 16

21 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] SIGNIFICANT RISKS AND MITIGATION STRATEGY [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 COMMUNICATION PLAN FOR EXECUTIVE REPORTING John Romero and Renée Martínez will be responsible for keeping the Project Steering Committee and OSE/ISC IT Governance Committee apprised of project status and outcomes. PAGE 17

22 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] 18 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 INDEPENDENT VERIFICATION AND VALIDATION - IV&V IV&V focus depends upon the type of project, with various emphases on project and product deliverables. The following check list is based on Exhibit A of the OCIO IV&V Contract Template, and the Information technology template. It is included here to provide a high level of the type of IV&V accountability the project envisions: Project/Product Area Include Yes/No Project Management Quality Management Training Requirements Management Operating Environment Development Environment Software Development System and Acceptance Testing Data Management Operations Oversight Business Process Impact Yes Yes Yes Yes No No No Yes No Yes Yes PAGE 18

23 PROJECT CHARTER [WATER RIGHTS BUSINESS PROCESS MANAGEMENT SYSTEM] PROJECT CHARTER AGENCY APPROVAL SIGNATURES SIGNATURE DATE EXECUTIVE SPONSOR BUSINESS OWNER PROJECT MANAGER 14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE SIGNATURE DATE DOIT / PCC APPROVAL PAGE 19