Request for Certification and Release of Funds Form s10

Initial-Planning-Implementation Request for Certification and Release of Funds Form

ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE

PROJECT GOVERNANCE

PROJECT NAME Litigation & Adjudication Application Modernization Roadmap

DATE March 7, 2014

LEAD AGENCY Office of the State Engineer

OTHER AGENCIES N/A Greg Ridgley, Deputy Chief Counsel EXECUTIVE SPONSOR

AGENCY HEAD Scott Verhines, State Engineer

AGENCY CIO/IT LEAD Renée Martínez

PROJECT MANAGER Mercedes Ortega

PROJECT ABSTRACT (PROVIDE A BRIEF DESCRIPTION AND PURPOSE FOR THIS 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. The Agency will develop a plan for modernizing the business applications that support the Litigation and Adjudication Program (LAP). The first phase of the project will involve developing a plan or roadmap for system modernization. The plan will be based on a current assessment of legacy systems and business processes, an articulation of future needs and an evaluation of modernization approaches and platforms. The historic drought that the State of New Mexico is experiencing exacerbates the need for the Agency to modernize information systems to support evolving business needs and challenges.

Planned Start Date May 1, 2014 Planned End Date June 30, 2014 Amount Requested this Certification $100,000 Amount Previously Certified $0 Remaining Appropriation not Certified $0 Total Appropriated Amount $100,000

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

CERTIFICATION HISTORY (INCLUDE ANY PREVIOUS PROJECT OR PHASE CERTIFICATIONS)

Date Amount Funding Source(s) (use specific citations to laws, grants, etc.) N/A N/A N/A

APPROPRIATION HISTORY (INCLUDE ALL FUNDING SOURCES, E.G. FEDERAL, STATE, COUNTY, MUNICIPAL LAWS OR GRANTS) Fiscal Year Amount Funding Source and Appropriation language 2014, 2015, 2016 $100,000 Laws of 2014, Chapter 63, Section 7

MAJOR DELIVERABLE SCHEDULE AND PERFORMANCE MEASURES Major Project Deliverable and Performance Budget Due Date Project Phase Measure Study & Analyze Current State Business $16,500 May 30, 2014 Initiation, Planning, Processes and IT Systems Implementation Define & Analyze Future State LAP Businesses $22,500 June13, 2014 Initiation, Planning, Process and IT System Requirements Implementation Review & Finalize LAP Application Modernization $45,000 June 30, 2014 Initiation, Planning, Roadmap Implementation Contingency $16,000 Initiation, Planning, Implementation

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

Description FY13 & FY14 FY15 FY16 FY17 P &After r i o r Staff - AD, BA, GIS, CIO, LAP Subject - 1-2 FTE TBD TBD TBD Int Matter Experts er na l Consulting Application Modernization Planning $84,000 $16,000 TBD TBD TBD Services Hardware $0 $0 TBD TBD TBD

Software $0 $0 TBD TBD TBD

$84,000 $16,000 TBD TBD TBD TOTAL

IT SYSTEM ANALYSIS (ON THIS DOCUMENT, OR AS AN ATTACHMENT, PROVIDE A SUMMARY DESCRIPTION OF THE TECHNICAL ARCHITECTURE) N/A. This project is a planning project only. Technical architectures for future application modernization projects may be developed at a later time as a result of the roadmap.

INTEROPERABILITY (DESCRIBE IF/HOW THIS PROJECT INTERFACES WITH EXISTING SYSTEMS/APPLICATIONS) As part of this project, application interoperability and integration requirements will be specified and modernization alternatives to satisfy these requirements will be recommended.

INDEPENDENT VERIFICATION & VALIDATION (INCLUDE SUMMARY OF THE LATEST IV & V REPORT) A request to waive IV&V requirements for this project has been submitted due to the nature of the project, as it is an eight (8) week planning project; the risks are not significant and the costs limited to $100,000. Furthermore, the Agency has consulted with the Gartner Group, a leading IT research and advisory company, to identify vendors with the appropriate application modernization planning qualifications to assist the agency with the project. The Agency has selected one of the vendors recommended to work with. The vendor’s proposal was also

reviewed by Gartner Group experts and it was rated favorably on approach and cost.

SIGNIFICANT RISKS AND MITIGATION STRATEGY

RISK 1: Program staff must be available as needed to support the evaluation of current business process and business applications and to develop recommendations for modernization that are feasible for the agency MITIGATION 1: The Business Sponsor will meet with the project manager on a weekly basis to confirm staff schedules and ensure that appropriate program staff attend meetings and follow-up with assignments.

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. ) The principal product from this project is a roadmap or plan for application modernization. One or more projects to modernize legacy business applications may spin off form the roadmap and these projects may produce solutions that will transition into production. Funding for such spin off projects will be considered and addressed by the Agency IT Governance Committee.