Request for Certification and Release of Funds Form s1

Implementation Request for Certification and Release of Funds Form

ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE

PROJECT GOVERNANCE

PROJECT NAME CID Permitting and Inspections Replacement

DATE 7/1/2015

LEAD AGENCY Regulation and Licensing

OTHER AGENCIES None Robert (Mike) Unthank, Superintendent EXECUTIVE SPONSOR

AGENCY HEAD Robert (Mike) Unthank, Superintendent

AGENCY CIO/IT LEAD David Martinez

PROJECT MANAGER David Martinez, Vadra Baca

PROJECT ABSTRACT (PROVIDE A BRIEF DESCRIPTION AND PURPOSE FOR THIS PROJECT) The scope of the State of New Mexico Regulation and Licensing Department- Construction Industries Division (CID) Permitting and Inspections Replacement Project is to procure and implement a new system to upgrade its current permitting and inspection software KIVA to the latest permitting and inspection technologies.

The new system, Accela solution is built around a robust workflow manager that will be configured to meet RLD established workflows, enforce RLD business rules, and notify involved parties as tasks are assigned and completed. This will allow the agency to streamline processes, reduce the time and effort to process permits and licenses, initiate and manage compliance cases, and conduct inspections.

The new permitting system will also makes it easier for contractors and residents to apply for permits, check the status of an application, estimate fees, and schedule inspections via a robust web portal. RLD will be able to offer powerful Electronic Document Review technology, making it easier to do business with customers and provide a more modern permitting system to the agencies clients and staff.

RLD acquired and installed the software upgrade and licensing in fiscal year 14 and will configure, test, train and deploy the upgraded permitting system in FY15-FY16. RLD will have an IT business analyst and IT Application Developer III assigned to the project. Other IT staff will also be involved in the software deployment and configuration. There is also a team of existing Construction Industries staff assigned to the project to ensure the business needs of the division are being addressed. This team will be responsible for system configuration, testing, user acceptance, training and deployment leading to project closeout.

The following provides a summary of the work completed in the planning phase: o Determined the record types to be configured and implemented - is limited to construction related permits. o 17 record types will be implemented o 5 Best Practice Templates were selected to be modified and implemented o 5 record prototypes will be developed as part of the analysis/configuration phase This is a controlled document, refer to the document control index for the latest revision Revision: 9/1/10 Page 1

o 9 record types will be implemented for ACA. o 30 Total Scripts were written o Developed conversions effort for APO (Address, Parcel, Owner) data from NM Counties o 3 interfaces were developed: . PSI Licensed Professional data . EDMS (Electronic Document Management System) interface . ACA Paypal interface

The Scope of the project includes:  Permitting  Inspections  Compliance  Licensing  Plan Review

Start Date January 29, 2015 Planned End Date September 30, 2015 Amount Requested this Certification $389,042. Amount Previously Certified $1,109,009. Remaining Appropriation not Certified $0 Total Appropriated Amount $1,498,051

CERTIFICATION HISTORY (INCLUDE ANY PREVIOUS PROJECT OR PHASE CERTIFICATIONS)

Date Amount Funding Source(s) (use specific citations to laws, grants, etc.) 4/23/2014 $692,806 General Appropriation Act of 2014 Laws 2013, Chapter 227, Section 4 RLD FY14 Vacancy Savings BAR 4/22/2015 $186,200 Laws 2013, Chapter 227, Section 7(12) $230,003 Laws 2014, Chapter 63, Section 4 Total: $416,203 5/8/2016 (this $369,770 Laws 2014, Chapter 63, Section 4 request) $19,272 General Appropriation Act of Laws 2015 Chapter 101 Section 4 Total: $389,042 Total: $1,498,051

APPROPRIATION HISTORY (INCLUDE ALL FUNDING SOURCES, E.G. FEDERAL, STATE, COUNTY, MUNICIPAL LAWS OR GRANTS)

This is a controlled document, refer to the document control index for the latest revision Revision: 9/1/10 Page 2

Fiscal Year Amount Funding Source and Appropriation language FY 13 $186,200 Laws 2013, Chapter 227, Section 7, item (12), Regulation & Li- censing Department FY 14 $692,806 Laws 2013, Chapter 227, Section 7, item (12), Regulation & Licensing Department FY 15 $599,773 General Appropriation Act of 2015, Laws 2014, Chapter 63, Section 4 RLD FY15 Vacancy Savings BAR FY 16 $19,272 General Appropriation Act of Laws 2015 Chapter 101 Section 4 Total: 1,498,051

MAJOR DELIVERABLE SCHEDULE AND PERFORMANCE MEASURES Major Project Deliverable and Performance Budget Due Date Project Phase Measure Software and Licensing $629,806 6/15/2014 Initiation IV&V $65,000 Throughout All Phases Project “To-Be” Analysis Completed Documented $327,188 5/11/2015 Planning Accela Solution Foundation Configured for To Be $253,185 6/09/2015 Planning Functionality & Interfaces (EDMS, APO, & PSI) Business Process Validation $41,261 6/19/2015 Planning Report Workshop & User Experience Design $41,257 Estimated Planning 6/22/2015 Administrative Training $26,901 Estimated Implementation 8/11/2015 User Acceptance Testing $30,264 Estimated Implementation 8/14/2015 Production Setup and Configuration $16,800 Estimated Implementation 8/21/2015 User Training $16,813 Estimated Implementation 8/26/2015 Go Live $0 Estimated Implementation 9/8/2015 Close $0 Estimated Closeout This is a controlled document, refer to the document control index for the latest revision Revision: 9/1/10 Page 3

September 2015 Total: $1,498,051

BUDGET Comments:

Description FY14 & Prior FY15 FY16 FY17 & TOTALS After Staff - Licenses $692,806 0 0 0 $692,806 Int er nal Consulting System 0 $645,025 $125,470 0 $770,495 Services Implementation Consulting IV & V 0 $15,276 $19,474 0 $34,750 Services

TOTAL $629,806 $660,301 $144,944 0 $1,498,051

IT SYSTEM ANALYSIS (ON THIS DOCUMENT, OR AS AN ATTACHMENT, PROVIDE A SUMMARY DESCRIPTION OF THE TECHNICAL ARCHITECTURE)

See Attachment RLD-CID Permitting and Inspections.pdf

INTEROPERABILITY (DESCRIBE IF/HOW THIS PROJECT INTERFACES WITH EXISTING SYSTEMS/APPLICATIONS) The CID Permitting and Inspection system will not interface with any other systems with the Agency.

INDEPENDENT VERIFICATION & VALIDATION (INCLUDE SUMMARY OF THE LATEST IV & V REPORT) The IV&V Project Management Plan and Schedule was delivered to Regulation and Licensing and DoIT Enterprise Project Management Office on Monday April 6. The Construction Industries Division Permitting and Inspections (CID P&I) Project is well underway. The vendor has been conducting requirements confirmation meetings with key CID staff to better understand the business requirements of the Division.

The project has two status meetings per week to review progress and plan additional efforts. The project is ahead of schedule. Most project documents are in place and the appropriate policies and procedures are This is a controlled document, refer to the document control index for the latest revision Revision: 9/1/10 Page 5

being followed. Management of the project by both the Vendor and the Agency are in alignment with best practices as defined in the Project Management Institute (PMI) Project Management Body of Knowledge (PMBOK 5th Edition).

SIGNIFICANT RISKS AND MITIGATION STRATEGY

RISK 1: The impact of the budget change and decision to not hire a full-time project manager due to fiscal year budgetary constraints has been identified by both the Project steering committee, software vendor and the IV&V vendor as a significant risk. MITIGATION 1: The migration strategy is to utilize the IT Business Analyst as much as possible to assist in Project Management duties wherever possible. Furthermore all IT FTE are currently filled allotting more time for the Project Management duties by the CIO and the IT Business Analyst.

RISK 2: MITIGATION 2:

TRANSITION TO OPERATIONS: (DESCRIBE AGENCY PLAN TO MIGRATE PROJECT SOLUTION TO PRODUCTION. INCLUDE AGENCY PLANS TO FUND AND MAINTAIN THIS PROJECT AFTER DEPLOYMENT. )

Production date is defined as the official date in which the CID Permitting and Inspection system moves from the test environment to production for daily Agency usage. This date has been agreed to by both Contractor and the Agency at project inception and is currently scheduled for Wednesday September 9. It may be altered only by Amendment agreed to by both parties.

In the weeks prior to moving to Production, Contractor will assist in final system validation, staff preparation assistance and training, and coordination of deployment.

Contractor will:  Provide on-site resources to support the move to Production effort  With assistance from the Agency, lead the effort to transfer the system configuration and any required data from Support to Production  Assist in the development of a Pre-Production checklist that details the critical tasks that must be accomplished prior to moving to Production.  Agency will:  Provide technical and functional user support for pre and post Production Planning, execution, and monitoring  Provide timely and appropriate responses to Contractor’s request for information  Assist in the development of a Pre-Production checklist that details the critical tasks that must be accomplished prior to moving to Production  Make available the appropriate Agency key users and content experts to participate in user acceptance testing as defined and managed by Agency.

Upon migration to the production environment

Contractor will provide post- Production support assistance to address issues and provide consultative advice immediately following the move to Production for daily use. Contractor will provide this support for 2 weeks immediately following deployment (“go-live”).

Contractor will work with the Agency to identify and address issues identified during this period using a Post Production Issues List. This list will be comprised of issues related to the defined Deliverables listed in this Scope of Work, which will be addressed by Contractor, as well as any other issues that the Agency wishes to track (outside of scope, phase 2, etc.).

Examples of issues the Agency is responsible for includes training issues, functional changes beyond the scope of this Statement of Work, cosmetic changes, and procedures related to the use of the system. Specifically, Contractor will not be developing or creating additional This is a controlled document, refer to the document control index for the latest revision Revision: 9/1/10 Page 7

interfaces, records types and workflow processes that were not included in the scope of this project during post deployment support.

At the end of the support period, Contractor will provide a final a final copy of the issue tracker to the customer and disable the list. Additionally a formal meeting will be scheduled with the Agency, Contractor Services Team, and Contractor CRC for the purpose of transitioning support of future issues and question from the Procuring Agency to Contractor Customer Resource Center (CRC).