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TTAXATIONAXATION ANDAND R REVENUEEVENUE D DEPARTMENTEPARTMENT

ONGARD SONGARD SERVICEERVICE C CENTERENTER

ONGARD MONGARD MODERNIZATIONODERNIZATION P PROGRAMROGRAM PPHASEHASE 1-M 1-MAINFRAMEAINFRAME S STABILIZATIONTABILIZATION

PPROJECTROJECT

PPROJECTROJECT C CHARTERHARTER F FOROR C CERTIFICATIONERTIFICATION OFOF M MAINFRAMEAINFRAME S STABILIZATIONTABILIZATION IINCEPTIONNCEPTION & I & IMPLEMENTATIONMPLEMENTATION

EXECUTIVE SPONSORS – DEMESIA PADILLA, TRD SECRETARY; RAY POWELL,

COMMISSIONER OF PUBLIC LANDS; JOHN BEMIS, EMNRD SECRETARY

BUSINESS OWNERS – TERRY RISTER, DIRECTOR TRD ACD; ELAINE OLAH, DEPUTY SLO COMMISSIONER ACD; JAMIE BAILEY, DIRECTOR EMNRD OCD

Program Manager – Tony Hoffman, Director ONGARD Service Center

PROJECT MANAGER – LILLY MARTIN

ORIGINAL PLAN DATE: APRIL 10, 2012

REVISION DATE: N/A

REVISION: 1.0

ABOUT THIS PROJECT CHARTER DOCUMENTABOUT THIS PROJECT CHARTER DOCUMENT

PPERMISSIONERMISSION TOTO PLANPLAN THETHE PROJECTPROJECT ANDAND SETTINGSETTING THETHE GOVERNANCEGOVERNANCE STRUCTURESTRUCTURE

The Project Charter provides the project manager and project team with permission to proceed with the work of the project, within the scope delineated in this document. The Project Charter should be the outcome of a number of documents that went into the pre-planning for the project, and in many cases the agency IT Plan, Business Case for appropriations, Federal funding requests and the like.

Project sponsors sign the Project Charter signifying that they have agreed to the governance structure for guiding the direction for the further planning of the project, discovery and defining the requirements, acquiring necessary resources, and within that context the statement of work for any related contracts including a contract for the Independent Validation and Verification.

The Project Charter is also the foundation for the creation of the project management plan, and much of the thinking and writing for this charter will be immediately usable for that project management plan.

PPROJECTROJECT CERTIFICATIONCERTIFICATION I INITIALNITIAL PHASEPHASE DOCUMENTATIONDOCUMENTATION

The Project Charter is also used within the State of New Mexico IT Project Certification process as evidence of the project’s worthiness for the Initial Phase certification. The Initial Phase certification is especially critical to many state and agency projects because of its related release of the initial funds required for the project.

Initiation Phase funding is requested by an agency for use in developing project phases, developing Independent Verification and Validation (“IV&V”) plan and contract; address project review issues and/or to develop an overall project management plan. Note: Waiver of the IV&V requirement requires specific written approval by the Secretary of the DoIT. DoIT “Project Certification” Memorandum July 2, 2007

The Project Charter and the Request for Certification Form are meant to provide a comprehensive picture of the project’s intention and initial planning, that includes the project’s place in the context of the State of New Mexico’s IT Strategic Plan, Enterprise Architecture, and DoIT project oversight process. See “IT Project Oversight Process” Memorandum July 5th 2007 on the OCIO-DoIT web site.

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TABLE OF CONTENTSTABLE OF CONTENTSABOUT THIS PROJECT CHARTER DOCUMENT........................................................................................................ I

TABLE OF CONTENTS........................................................................................................................................... II

1. PROJECT BACKGROUND.................................................................................................................................. 1

1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT.................................................................................................11.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT......................................................21.3 PROJECT CERTIFICATION REQUIREMENTS....................................................................................................................2

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS....................................................................................................3

2.1 AGENCY JUSTIFICATION...........................................................................................................................................32.2 BUSINESS OBJECTIVES.............................................................................................................................................42.3 TECHNICAL OBJECTIVES...........................................................................................................................................52.4 IMPACT ON ORGANIZATION......................................................................................................................................52.5 TRANSITION TO OPERATIONS....................................................................................................................................6

3.0 PROJECT/PRODUCT SCOPE OF WORK............................................................................................................ 6

3.1 DELIVERABLES.......................................................................................................................................................73.1.1 Project Deliverables...................................................................................................................................73.1.2 Product Deliverables..................................................................................................................................8

3.2 SUCCESS AND QUALITY METRICS..........................................................................................................................8

4.0 SCHEDULE ESTIMATE..................................................................................................................................... 9

5.0 BUDGET ESTIMATE...................................................................................................................................... 11

5.1 FUNDING SOURCE(S)............................................................................................................................................115.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE -............................................................................................125.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE................................................................................................15

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE...........................................................................15

6.1 STAKEHOLDERS...............................................................................................................................................166.2 PROJECT GOVERNANCE PLAN.........................................................................................................................186.3 PROJECT MANAGER.........................................................................................................................................18

6.3.1 PROJECT MANAGER CONTACT INFORMATION........................................................................................186.3.2 PROJECT MANAGER BACKGROUND.........................................................................................................18

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES................................................................................................196.5 PROJECT MANAGEMENT METHODOLOGY..................................................................................................................21

7.0 CONSTRAINTS............................................................................................................................................. 21

8.0 DEPENDENCIES............................................................................................................................................ 21

9.0 ASSUMPTIONS............................................................................................................................................ 22

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY........................................................................................22

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING................................................................................23

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V..............................................................................24

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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES.................................................................................25

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE........................................................................25

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Revision History

RREVISIONEVISION N NUMBERUMBER DDATEATE CCOMMENTOMMENT

1.1 April 10, 2012 Original version—need to validate citation for FY12 Operating Budget

1.3 April 11, 2012 Updated citation for FY12 Operating Budget funds and included the funds in the overall totals

1.4 April 16, 2012 Modified total certification amount to include $116,000 to be expended from FY12 operating budget

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PROJECT CHARTER [PROJECT NAME] 1

1. PROJECT BACKGROUND1. PROJECT BACKGROUND

The project background section is meant to provide the reviewer with a picture of the development of the project from inception to its being submitted for certification.

1.11.1 EEXECUTIVEXECUTIVE S SUMMARYUMMARY - -RATIONALERATIONALE FORFOR THETHE PROJECTPROJECT

The ONGARD Service Center (OSC) supports the State Land Office (SLO), Energy, Minerals & Natural Resource Department (EMNRD) Oil Conservation Division (OCD) and the Taxation & Revenue Department (TRD) (tri-agencies). The ONGARD system supports business processes associated with collection of taxes and royalties paid on the extraction of oil and natural gas resources, as well as revenues from other SLO business activities. To minimize the risk of interrupting the $1.5 billion revenue stream to New Mexico, the tri-agencies and DoIT share a vision to modernize the current ONGARD system, enhance maintenance approach, build a strong release process and apply system changes that reduce business logic gaps in the system. As a beginning step to address these issues, we received $1.5M ($500K in FY08, $1M in FY09) but because of the state budget crisis the one million dollar appropriation was reverted during the 2009 Legislative Session. The expenditure of the first $500k gave us a plan and an ONGARD Strategic Roadmap but the demise of the funding to implement the changes meant that the plan was put on the shelf to age, waiting for available funding so that the plan can be refreshed. Funding in the amount of $6 million was awarded to ONGARD in the 2102 Legislative session and this document is the beginning of that revival.

In the intervening time, the ONGARD team has been busy working to clean up and reduce the size of source code libraries and to continue to document system business processes as modifications are made and system upgrades are implemented. As the ONGARD team has worked on application code maintenance, DoIT began a long awaited process related to mainframe operating system and hardware upgrades. As has been known for some time, there was a serious gap in application of maintenance to the zOS mainframe operating system. For many years, due to unapplied zOS maintenance upgrades, maintenance on the DoIT mainframe has lagged behind and it has been years since the zOS and DB2 versions in operation have been supported by IBM. Other agencies (HSD, DOH, etc.) running COTS systems presented DoIT with vendor requirements to upgrade the operating system and database management systems. In November 2010 DoIT began the zOS upgrade moving to zOS v1.04.

Although ONGARD did complete some cursory testing in November 2010, in the long run that testing was deemed inadequate. A comprehensive test was not run due to DoIT time constraints and the lack of robust ONGARD test and use cases. In retrospect, this was a mistake since problems were detected in some of the code a few months after the conversion. This first upgrade provided a warning to both DoIT and ONGARD that much progress must be made on developing adequate test and use cases prior to the next major zOS upgrade.

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During the FY13 planning process, ONGARD submitted two C-2 funding requests. The highest priority C-2 was a multi-million dollar request to fund Platform Migration activity which would modernize ONGARD, install a release management process and address many of the existing business process gaps that exist today.

The second C-2 request was prepared to support test and use case development and to execute those tests to validate the operation of the existing code on the new DoIT mainframe. At the time this request was prepared, the schedule for the mainframe upgrade was fuzzy. As we now know, this activity is underway. The issues articulated in the secondary C-2 are even more acute today as we make progress on the mainframe stabilization project.

Funding for both efforts were approved. The caveat is that we must complete the ONGARD Mainframe Stabilization portion of the project prior to beginning efforts to look at platform upgrades. The initial Certification request and this Charter document contain activity that focus on the stabilization tasks that are required to ensure proper ONGARD performance on the new z114 hardware platform, new zOS (version to be determined) and upgraded DB2 Database Management System.

In addition to basic upgrade and programming activity, the Certification request also calls for reserving contingency funds for extension of contract resources, possible extension (up to 80k) of the existing RSI contract, six months extension of software license fees ($1.2 million) that will total $200k per month if we are forced to continue to operate on the zOS 1.09 version of the operating system.

Without approval of the certification request and authorization to expend allocated funds, the risk heightens each day for a catastrophic failure. The support of the Project Certification Committee is required to move forward with this important project so that we can begin to reduce the risk of ONGARD system failure.

1.21.2 SSUMMARYUMMARY OFOF THETHE FOUNDATIONFOUNDATION PLANNINGPLANNING ANDAND DOCUMENTATIONDOCUMENTATION FORFOR THETHE PROJECTPROJECT

This project involves: definition of 30 most important ONGARD processes, preparing test and use cases for the ONGARD system, documentation of some business processes, testers and testing support, rewriting and correcting code when problems are detected and contingencies for extension of the zOS 1.09 mainframe operating system if required for continued operation of the ONGARD system.

1.3 P1.3 PROJECTROJECT C CERTIFICATIONERTIFICATION R REQUIREMENTSEQUIREMENTS

Does the project fit into the criteria for certification? Which and how?

CRITERIA YES/NO EXPLANATION

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Project is mission critical to the agencies?

Project is mission critical to New Mexico?

Yes

Yes

TRD collects $1 billion

SLO collects $500 million

Revenue is approximately 30% of NM revenue

Project cost is equal to or in excess of $100,000.00

Yes Maximum project cost for this project phase is $1.55 million;

Optimistic cost estimate begins at $200 k

Project impacts customer on-line access No The project will not impact the current methods of application access.

Project is one deemed appropriate by the Secretary of the DoIT

Yes Project is fully supported by DoIT Secretary and tri-agency leadership. It is essential and has high visibility in all branches of NM government. Project was recommended by both the Executive and Legislative branches of NM government.

Will an IT Architecture Review be required? No/Yes for ONGARD team

DoIT controls the architecture and the mainframe. The ONGARD team expects that DoIT will conduct IT Architecture reviews on this important project and we expect to be invited to those

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meetings!

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS

The justification and objectives section relates the project to the purpose of the lead agency and describes the high level business and technical objectives for the project. The section also includes a high level review of the impact to the organization, and of the concerns for transition to operations.

2.1 A2.1 AGENCYGENCY J JUSTIFICATIONUSTIFICATION

IDENTIFY AGENCY MISSION, PERFORMANCE MEASURE OR STRATEGIC GOALS TO BE ADDRESSED THROUGH THIS PROJECT

NUMBERNUMBER DESCRIPTIONDESCRIPTION

TRD 2010 – 2012 Strategic Plans

Goal 3. Deliver high-quality IT services that are reliable, accessible, secure and meet all internal and external needs

Objective 3.1 Implement processes to deliver technology services that are accessible, responsive, scalable and accurate.

o Strategies Enhance service request methodologies and tools Implement reconciliation processes Evaluate and improve access methods Improve collaboration and information sharing Records retention Improve IT security Evaluate and purchase applicable IT tools

Objective 3.2 Deliver planned system projects that meet required standards with the highest degree of integrity and support.

o Strategies Improve and standardize project management and

development methodologies Improve and enhance existing applications Modernize ONGARD Implement online enhancements Implement business continuity

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2.2 B2.2 BUSINESSUSINESS O OBJECTIVESBJECTIVES

USE THE FOLLOWING TABLE TO LIST MEASURABLE BUSINESS OBJECTIVES


BUSINESS OBJECTIVE 1

Develop robust test and use cases for the ONGARD system that will allow validation of operation before and after changes to the operating system and hardware platform.


Identify adequate testing levels to certify operation on the upgraded DoIT mainframe hardware platform under an upgraded mainframe operating system (zOS) and Database Management System (DB2).


Work with technical team to ensure that adequate levels of test and use cases are developed.


If test results are unacceptable and system must remain on zOS 1.09, pay additional expenses for IBM & CA dual system cost ($200k mo)


Engage all three agencies in testing efforts, as required with final sign-off from executive management of all agencies involved, including DoIT.

2.3 T2.3 TECHNICALECHNICAL O OBJECTIVESBJECTIVES


TECHNICAL OBJECTIVE 1

Complete implementation of Hiperstation, a tool that will be used to generate scripts for simulation of online testing.


As required, recompile and modify code to allow operation on new hardware/software platform.


Develop test plan and scripts. Execute test scripts in test environment. Track and fix defects.


Obtain sign-off from end customers and executive leadership for migration to new zOS.

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2.4 I2.4 IMPACTMPACT ONON O ORGANIZATIONRGANIZATION

The impacts on the organization are areas that need to be addressed by the project through its planning process. They may not be internal project risks, but they can impact the success of the project’s implementation.

AREAAREA DESCRIPTIONDESCRIPTION

END USER Key SMEs have been signed up to work with contract Business Analysts and ONGARD staff to develop and validate test and use cases along with comprehensive plan for testing.

BUSINESS PROCESSES

The project will allow the team to further document business processes that have been inadequately documented for the life of the ONGARD system. Test and use cases will be used in both the stabilization phase of the project and the ultimate effort to modernize.

IT OPERATIONS AND STAFFING

The ONGARD team is concerned about the level of support that DoIT can provide for the mainframe platform. Like most agencies, DoIT has recently lost long-term employees to retirement and attrition. There is a shortage of mainframe technical staff members at this time, based on our combined recent recruiting experience. DoIT is utilizing contractor resources to support the upgrade and may be forced to use contractors after the upgrade is completed. The ONGARD Service Center has already been moving toward a more contractor based work force due to our inability to recruit competent support staff due to our salary structure and other factors.

2.5 T2.5 TRANSITIONRANSITION TOTO O OPERATIONSPERATIONS

The transition to operations areas include items that are asked in the certification form to assure that the project has accounted or will account for these matters in its planning and requirements specifications.


PRELIMINARY OPERATIONS

Operations impact is being managed by DoIT. No changes have been communicated but there are issues with staffing and filling open

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LOCATION AND STAFFING PLANS

positions.

DATA SECURITY, BUSINESS CONTINUITY

There is no Business Continuity plan today. The completion of this project will move the DoIT mainframe to a software level for zOS and DB2 that is supported by the vendor. For the first time in years, Business Continuity and Disaster Recovery efforts can take advantage of the opportunity presented by these upgrades in that many more possible backup sites now are feasible since none of them could support the current environment.

MAINTENANCE STRATEGY

This is all about deferred maintenance. Both DoIT and ONGARD are paying the price for not performing maintenance for a number of years.

INTEROPERABILITY Existing interoperability with the ONGARD server platform and other points of data exchange will be thoroughly tested. The project has potential impact for all extracts and interfaces. All must be included in the test plans.

RECORD RETENTION The upgrade project will have no impact on the existing record retention plan already in place.

CONSOLIDATION STRATEGY

The mainframe is in the Simms Building DoIT computer center. There is no consolidation to consider.

3.0 PROJECT/PRODUCT SCOPE OF WORK3.0 PROJECT/PRODUCT SCOPE OF WORK

In its efforts to move from the high level business objectives to the desired end product/service the project team will need to deliver specific documents or work products. The State of New Mexico Project Management Methodology distinguishes between the project and the product.

Project Deliverables relate to how we conduct the business of the project. Product Deliverables relate to how we define what the end result or product will be, and trace our stakeholder requirements through to product acceptance, and trace our end product features and attributes back to our initial requirements

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3.1 D3.1 DELIVERABLESELIVERABLES

3.1.1 3.1.1 PPROJECTROJECT D DELIVERABLESELIVERABLES

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 Charter 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

Certification Form 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

Project Management Plan “Project management plan” is a formal document approved by the executive sponsor and the Department 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.”

IT Service Contracts The Department of Information Technology and the State Purchasing Division of General Services have established a template for all IT related contracts.

Project Schedule A tool used to indicate the planned dates, dependencies, and assigned resources for performing activities and for meeting milestones. The de-facto standard is Microsoft Project

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Project Closeout Report 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

3.1.2 P3.1.2 PRODUCTRODUCT D DELIVERABLESELIVERABLES

The product deliverable documents listed here are only used for illustration purposes

Requirements Documents The requirements will be completed during the initiation and implementation phases. Most requirements under development are related to test and use case development and execution. As well, criteria for passing each of the tests will be defined and socialized with the end user teams.

Design Documents There are no design documents associated with this project phase.

Systems Specifications ONGARD is running on the DoIT mainframe. Specifications are managed and controlled by DoIT mainframe operations.

Systems Architecture Upgrade to IBM z114 hardware. Upgrade to zOS 1.12 or 1.13. Upgrade to the latest version of DB2.

System and Acceptance Testing

The ONGARD Mainframe Stabilization Project is all about testing and acceptance. After developing and testing the system on the new platform, test results will be reviewed with executive management for their approval. Rejection of system operation on the new platform will require continued operation of the zOS 1.09 operating system which will in turn cause significant cost (est. $200k per month) which is well spent to continue collecting the ONGARD revenue but costly to keep in place for too long as the remaining project funds will be quickly eroded.

Operations requirements No ONGARD operations are expected to be impacted. As articulated, most changes are related to mainframe hardware and software upgrades.

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3.2 S3.2 SUCCESSUCCESS ANDAND QUALITY METRICS 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.


QUALITY METRICS 1 Test and Use cases developed for ONGARD. If necessary, a contract extension will be utilized to enhance the current effort under contract TR12-34. End user participation and sign off on testing approach and cases.

QUALITY METRICS 2 Testing plan, based on test and use cases, developed and agreed to by end customers.

QUALITY METRICS 3 Execution of test and use cases in accord with the plan.

QUALITY METRICS 4 Error record and statistics captured for testing.

QUALITY METRICS 5 As required, repair code based on testing results.

QUALITY METRICS 6 Complete overall system testing and validate results on new platforms

QUALITY METRICS 7 Migration of code to the new mainframe operating environment with continued successful system operation post conversion.

4.0 SCHEDULE ESTIMATE4.0 SCHEDULE ESTIMATE

The schedule estimate is requested to provide the reviewers with a sense of the magnitude of the project and an order of magnitude of the time required to complete the project. In developing the schedule estimate, certification timelines and state purchasing contracts and procurement lead times are as critical as vendor lead times for staffing and equipment delivery. Project metrics include comparisons of actual vs. target date. At the Project Charter initial phase, these times can only be estimated.

Determine Approach for Mainframe Stabilization Testing

April 13, 2012 Test and use case approach defined Agree on definition of a process

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Document Plan Submission Agency Approval

Develop Use Cases and Test Cases for the Initial 5 of Top 30

Business ProcessesApril 30, 2012

Meet with tri-agency SMEs Agree on top 30 business processes Complete top 5 business processes Submission Agency Approval

Develop Use Cases and Test Cases for the Next 15 of Top 30

Business ProcessesMay 31, 2012

Meet with tri-agency SMEs Agree on top 30 business processes Complete next 15 business processes Submission Agency Approval

Develop Use Cases and Test Cases for the Remaining 10 of

Top 30 Business ProcessesJune 15, 2012

Meet with tri-agency SMEs Complete remaining 10 business

processes Submission Agency Approval

Execute Preliminary Testing for 5 of Top 30 Business Processes

June 29, 2012

In conjunction with end users, test first five business processes

Record results As required make coding changes Retest as required Once completed, evaluate impact of

discovery during testing to other top 30 test and use cases and make necessary changes to those processes

Test remaining Top 30 Business Processes

July 29, 2012

In conjunction with end users, test first five business processes

Record results As required make coding changes Retest as required Once completed, evaluate impact of

discovery during testing to other top 30 test and use cases and make necessary changes to those processes

Evaluate testing results and decide if migration is feasible

and can be certified

August 10, 2012*

*DoIT controls

Test final business processes Record results As required, change code and retest

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scheduled

ONGARD team prepares recommendation and summary of the testing effort.

ONGARD management reviews recommendations with tri-agency executives and final decision is reached on migration or staying put on zOS 1.09

If required, pay for ongoing software support of zOS 1.09

Sept 2012-Feb 2013

Six month contingency for cost overruns on IBM mainframe totals $1.2 million.

IV&VWhen required by

DoIT or LFC

If required for initial phase, PDS will be engaged. Preliminary discussions are underway with vendor.

We hope to bypass IV&V in the Mainframe Stabilization project

5.0 BUDGET ESTIMATE5.0 BUDGET ESTIMATE

Within the Project Charter budgets for the project can only be estimated. Original budgets requested in appropriations or within agency budgets are probably not the numbers being worked with at project time. Funding sources are asked for to help evaluate the realism of project objectives against funding, and the allocation of budget estimates against project deliverables.

Please remember to include agency staff time including project managers as costs.

5.1 F5.1 FUNDINGUNDING S SOURCEOURCE((SS))

SOURCESOURCE AMOUNTAMOUNT ASSOCIATED ASSOCIATED RESTRICTIONSRESTRICTIONS

House Bill 2 General Appropriation Act of 2012Laws of 2012, Chapter 19, Section 7, Item 5

House Bill 2 General Appropriation Act of 2011Laws of 2011, Chapter 179, Section 4

$1,468,100

$116,000

To stabilize the existing system and begin modernizing the oil and natural gas administration and revenue database, including issuing a request for proposals.

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Before implementation, the taxation and revenue department, the energy, minerals and natural resources department and the commissioner of public lands shall certify in writing that the oil and natural gas administration and revenue database can be migrated to the new platform, and the migration will not negatively impair their day-to-day operations or collection of revenue. The department of information technology will work with the three agencies on a detailed migration and testing plan that includes estimated costs for stabilizing the system. The plan shall be fully executed before migrating the system to the new platform. On completion of the stabilization of the existing system, the ONGARD service center, with approval of the three agencies, shall develop a five-

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year action plan that includes including distinct phases and estimated costs for the replacement system and shall jointly produce a request for proposals to commence the replacement of the oil and natural gas administration and revenue database. The appropriations are contingent on the ONGARD service center project manager providing timely monthly status and independent validation and verification reports to the governor, the department of finance and administration and the legislative finance committee on the platform migration and replacement system, and written verification from the three agencies that the need for the release of the appropriation exists.Two million dollars ($2,000,000) of the appropriation is from the lands maintenance fund.

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5.2. B5.2. BUDGETUDGET B BYY M MAJORAJOR D DELIVERABLEELIVERABLE OROR T TYPEYPE OFOF EXPENSEEXPENSE - -

ITEMITEM COST ESTIMATECOST ESTIMATE

Determine Approach for Mainframe

Stabilization Testing$20,604.50

Develop Use Cases and Test Cases for

the Initial 5 of Top 30 Business Processes

$20,604.50


the Next 15 of Top 30 Business Processes

$39,705.72


the Remaining 10 of Top 30 Business

Processes

$20,467.84

Execute Preliminary Testing for 5 of Top

30 Business Processes

$8,578.20

If required, expand basic set of

ONGARD test and use cases for

authentication of operation in

migration to new IBM z114 hardware:

$80,000

Contingency funding to avoid delivery

$29,100

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problems if vendor for TR12-34 cannot

meet the contract deliverable dates in FY12 due to lack of access to tri-agency

SME resources during the three month contract

period.

Contingency for payment of extension

costs to keep zOS 1.09 running if necessary. This

contingency amount is based on a DoIT

estimate of $200,000 per month for

software licenses to allow running two versions of zOS on the z114 hardware platform for a six month extension

period. Anticipated hardware charges for this extension will not be incurred as DoIT found that the z114

hardware will support the current zOS

version.

$1,200,000

Extend three contract programming

$215,000

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resources for support of test, compilation, debug, conversion, programming, documentation and user training activity. There are now three contract programmers working in the ONGARD Service Center who will be extended through a contract with ACRO, a price agreement vendor. A statement of work is under development and will be submitted when the certified funds are available.

Overtime for TRD business SMEs to support testing of the migration to the z114 with upgraded software. The TRD Oil and Gas bureau does not have adequate bandwidth to support the development of test and use cases. Their plan is to work overtime as required to support the effort. The plan is to pay out this overtime to

$40,000

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encourage participation.

IV&V contract for first year of project

$20,000

5.3 B5.3 BUDGETUDGET B BYY P PROJECTROJECT P PHASEHASE OROR C CERTIFICATIONERTIFICATION P PHASEHASE

PHASEPHASE COST ESTIMATECOST ESTIMATE

Initiation $16,000

Planning $15,000

Implementation $1,667,100

Closeout $2,000

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL 6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURESTRUCTURE

6.1 STAKEHOLDERS6.1 STAKEHOLDERS

Stakeholders should be a mix of agency management and end users who are impacted positively or negatively by the project.

NAMENAME STAKE IN PROJECTSTAKE IN PROJECT ORGANIZATIONORGANIZATION TITLETITLE

Demesia Padilla Executive Sponsor Taxation and Revenue Department

Cabinet Secretary

Ray Powell Executive Sponsor State Land Office Commissioner of Public Lands

John Bemis Executive Sponsor Energy, Minerals and Natural Resources Department

Cabinet Secretary

Terry Rister Executive Reviewer TRD Audit and Division Director

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NAMENAME STAKE IN PROJECTSTAKE IN PROJECT ORGANIZATIONORGANIZATION TITLETITLE

SMT Steering Body member

Compliance Division

Elaine Olah Executive ReviewerSMT Steering Body member

State Land Office ASD Deputy Commissioner ASD

Jamie Bailey

(Jeff Primm backup)

Executive ReviewerSMT Steering Body member

EMNRD Oil Conservation Division

Division Director

Valdean Severson

SME contributor TRD ACD Oil & Gas Bureau

Bureau Chief

Danny Martinez SME contributor SLO Royalty Bureau Bureau Chief

Ed Martin SME Contributor EMNRD OCD Senior Engineer

Martin Davis SLO CIO SLO IT CIO

Joe Montano EMNRD CIO EMNRD IT CIO

TRD Oil & Gas Bureau

Users of system TRD ACD

TRD ASD Users of system TRD ASD

TRD Tax Policy Users of system TRD Office of the Secretary

Revenue forecast

TRD RPD Data Entry Bureau

Users of system TRD RPD

DFA Users of system DFA revenue forecast

LFC Users of system LFC revenue forecast

DoIT Service provider for mainframe

DoIT Operations

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CIO

Demesia Padilla Ray Powell John Bemis

Tony Hoffman ONGARD Director ONGARD SME

Working Groups

ONGARD SMT Steering Body

Exists under JPA

Vendor Contract Resources

Lilly Martin Project Manager

Project Team

CIO Team Greg Saunders, TRD Martin Davis, SLO

Joe Montano, EMNRD


6.2 PROJECT GOVERNANCE PLAN6.2 PROJECT GOVERNANCE PLAN

A diagram of the organization structure including steering committee members, project manager and technical/business teams would be helpful.

6.3 PROJECT MANAGER6.3 PROJECT MANAGER

6.3.1 PROJECT MANAGER CONTACT INFORMATION6.3.1 PROJECT MANAGER CONTACT INFORMATION

NAMENAME ORGANIZATIONORGANIZATION PHONE #(S)PHONE #(S) EMAILEMAIL

Lilly Martin TRD ONGARD Project Management

505.827.6115 [email protected]

Tony Hoffman ONGARD Division Director 505.827.5816 [email protected]

6.3.2 PROJECT MANAGER BACKGROUND6.3.2 PROJECT MANAGER BACKGROUND

Lilly Martin has more than 18 years of IT experience as a program and project manager.

Tony Hoffman has over 40 years of IT experience with 35 years of successful management experience on complex project with budgets up to $200 million.

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6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES

RROLEOLE RRESPONSIBILITYESPONSIBILITY

Executive Sponsor Executive Sponsors Attend executive reviews as scheduled by the SMT members Approve project plans progress Communicate with other agencies’ Executive Sponsors as

needed Champion the Project Approve and sign required project documents Review and approve recommendation to move to new

mainframe platform based on test results and recommendations of SMT members and SMEs

SMT Committee Member

SMT Steering Committee Participate in planning sessions Ensure project staff availability, funding and contract

management Review and accept the initial risk assessment, management

plan, project plan and budget Provide management review and accept changes to project

plan, contract or deliverables Empower the Project Manager Communicate with the their respective agency regarding

progress and escalations Champion the Project Contribute to lessons learned Recommend a go/no go based on test results

Project Director The Project Director is the person who makes the business case for the project. The responsibilities of the Project Director include:

Participate in planning sessions Ensure project staff availability, funding and contract

management Review and accept the initial risk assessment, management

plan, project plan and budget Appoint Committee and Team members Provide management review and accept changes to project

plan, contracts or deliverables Ensure user and sponsor acceptance

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Attend requirements reviews and resolve requirements problems

Adjudicate any appeals relative to SMT Steering Committee decisions

Empower the Project Manager Communicate with the Executive Sponsors and SMT Contribute to lessons learned

Project Manager The Project Manager’s primary responsibility is to manage the project. This role must not get too involved in the business or technical details of the project. The Project Manager responsibilities include:

Develop initial management plan and project plan Provide leadership for a coordinated project effort Vendor and contract management Document project assumptions, constraints and critical

success factors Conduct initial risk assessment Facilitate meetings Assign tasks Track schedules Develop detailed plans with project team for risk, change and

quality Ensure project consensus Manage expectations Report on project status Maintain issues log Maintain action items log Promote and practice change management Close-out action items Value teamwork, cooperation and planning Recommend go/no go based on testing results Champion the project Facilitate lessons learned process

SME Team Member The Project Team member is an important role in that it is the link between the vision and the reality of the project. The Project Team members’ responsibilities include:

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Attend and participate in meetings Participate in the planning process Accomplish and provide deliverables Test the system with developed test and use cases Attend executive requirements reviews and resolve

requirements problems. Represent specific area(s) (e.g., technical, clinical, process,

etc.) for the overall project as assigned Report progress, issues, etc. Recommend go/no based on testing results Champion the project Contribute to lessons learned

6.5 P6.5 PROJECTROJECT MANAGEMENTMANAGEMENT M METHODOLOGYETHODOLOGY

The Department of Information Technology certification process is built around a series of certification gates: Initiation, Planning, Implementation and Closeout. Each of these phases/gates has a set of expected documents associated with it. The gates and the associated documents make up the certification methodology.

For some projects such a framework might be sufficient, where for some projects the solution development life cycle (SDLC) with plan, define, design, build, close might be more appropriate.

Put most simply how is the project to be structured into a methodology or framework and where do the project and product deliverables fit into this roadmap?

7.0 CONSTRAINTS7.0 CONSTRAINTS


1 Dependent on completion of DoIT mainframe upgrade. Cannot start testing activity until new mainframe platform (z114) has been enabled and the test region (with new zOS) is ready for test access.

2 If the testing on the new mainframe does not validate the operation on the new platform, it will be necessary to ask DoIT to extend the life of the zOS 1.09 region. This will result in extreme costs estimated to be in the range of $200k per month. This worst case scenario would trigger spending project budget on temporizing measure to keep system running while considering

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next steps.

8.0 DEPENDENCIES8.0 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

NUMBENUMBERR

DESCRIPTIONDESCRIPTION TYPE M,D,ETYPE M,D,E

1 New mainframe available for testing M, E

9.0 ASSUMPTIONS9.0 ASSUMPTIONS


1 DoIT will have mainframe environment available for testing no later than May14, 2012

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY

Risk 1

Description - Project will be at risk if all stakeholders are not engaged at the beginning of the project

ProbabilityLOW

ImpactHHIGHIGH

Mitigation Strategy: Emphasize communication to all stakeholders to be sure they understand the benefits of a successful project.

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Contingency Plan: This risk will be addressed during the planning phase so that necessary communication takes place throughout the project.

Risk 2

Description - Project will be at risk if the DoIT and their vendors have significant delays in implementation of the new mainframe

ProbabilityMedium

ImpactHHIGHIGH

Mitigation Strategy: Continue to work with DoIT as they plan the implementation and build out the hardware and software environmentContingency Plan: Review the schedule regularly with DoIT to address any scheduling issues.

Risk 3

Description - Project will be at risk if the scope of the test and use case development is too low

ProbabilityMedium

ImpactMMEDIUMEDIUM

Mitigation Strategy: Work with vendor selected for test and use case development and monitor progress.Contingency Plan: If necessary, develop a contract amendment (up to $80k available on existing contract) to cover additional work that has been deemed essential to the testing and validation effort.

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING

Meeting agendas, minutes, and supporting documentation will be provided using the following software packages: Microsoft Word, Excel, PowerPoint, Outlook and/or Project. Every attempt will be made to publish the meeting minutes in a timely fashion and no later than 2 days prior to the next regularly scheduled meeting. Any meeting called should have an agenda, attempt to start and finish on time. The time allocated to each agenda topic will vary depending on the depth of issues to be covered. Items not able to be covered within the meeting time and accepted to be postponed may be added to the next standing meeting’s agenda or may require a special meeting.

The meeting times and distributions of the meeting minutes for the project are as follows:

Project Team/Vendor Meetings will be on a weekly schedule. The scribe will be assigned by the Project Manager. Action Item Lists and the Issues and Risk Tracking Log will be posted in the electronic document libraries and distributed by the Project Manager’s designee.

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SMT meetings will be held on a regular schedule throughout the project. The scribe will be assigned by the Project Director. The meeting minutes will be posted to the electronic document libraries and distributed by the Project Manager’s designee.

Special Session Meetings may be called at the request of the Project Director or Project Manager. A range of issues may require a special meeting of a team, committee or subset. These meetings will be scheduled to accommodate the majority of attendees. The minutes from these meetings will be posted in the document libraries and distributed to all attendees.

Status reports will be used to track progress and issues. Project Team members will provide status reports as requested by the Project Manager. These reports will be in addition to such reports prepared upon request and by other contractors.

Project Team will approve deliverables acceptance with sign off documents being archived. Final sign off for deliverables will be the responsibility of the Project Director.

Issues and risk management and resolution help to resolve those issues or risks not anticipated during planning process. Issues or risks should be reported at the earliest possible time so that corrective action and risk mitigation can be developed to address with the issue or risk. The corrective action should address both the immediate need and the underlying cause of the issue or risk. The Project Manager will keep an issue and risk tracking log and will work with the Project Team for corrective action. The Project Manager will hold regular reviews of the issue and risk log with the Project Director as required. The Project Manager will also be responsible for providing an issue and risk log review at all SMT meetings.

The Project Director will coordinate necessary assembly of the Executive Sponsors with the assistance of the SMT member from their agency. Signatures from the Executive Sponsors are required for some critical project documents. Guidance is being sought from LFC about additional process steps expected per the appropriation language in HB2.

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V12.0 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:

We are prepared to bring on an IV&V vendor if necessary. Project activity in the first project phase is related to test and use case development, testing using those developed cases, maintenance activity if problems are found and ultimately a decision on go/no go to the new mainframe hardware/software platform. If IV&V is recommended by the PCC, we will contract

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with PDS for those services. The preliminary contract discussions are underway and the decision of the PCC will dictate the next actions regarding IV&V.

Project/Product Area Include –Yes/No

Project Management No

Quality Management No

Training No

Requirements Management No

Operating Environment No

Development Environment No

Software Development No

System and Acceptance Testing No

Data Management No

Operations Oversight No

Business Process Impact No

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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES

SIGNATURESIGNATURE DATEDATE

EXECUTIVE SPONSOREXECUTIVE SPONSOR

BUSINESS OWNERBUSINESS OWNER

PROJECT MANAGERPROJECT MANAGER

14.0 PROJECT CHARTER CERTIFICATION APPROVAL 14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURESIGNATURE

SIGNATURESIGNATURE DATEDATE

DOIT / PCC APPROVALDOIT / PCC APPROVAL

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