Project Initiation and Planning

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 / 04/23/2014
Lead Agency / Regulation and Licensing
Other Agencies / None

Executive Sponsor

/ Robert (Mike) Unthank, Superintendent
Agency Head / Robert (Mike) Unthank, Superintendent, David Martinez, CIO
Agency CIO/IT Lead / David Martinez
Project Manager / David Martinez
Project Abstract (Provide a brief description and purpose for this project)
The State of New Mexico Regulation and Licensing Department- Construction Industries Division seeks to upgrade its current Construction Industries Division permitting and inspection software KIVA to the latest permitting and inspection technologies. The current KIVA permitting and inspection system is in dire need of replacement as it is failing, and a continual maintenance problem for both the CID staff as well as the Information Technology Division.
This COTS 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 a powerful Electronic Document Review technology, making it easier to do business with your customers and provide a more modern permitting system to the agencies clients and staff.
Regulation and licensing would acquire the software upgrade and licensing in fiscal year 14 then install, configure, test, train and deploy the upgraded permitting system in fiscal year 15.
The Regulation and Licensing Department will hire a full time project manager to manage the overall project and also 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 will also be a team of existing Construction Industries staff assigned to the project to ensure the business needs of the division are being addressed and met accordingly. This team will be responsible for system configuration, testing, user acceptance, training and deployment leading to project closeout.
Planned Start Date / May 1 2014 / Planned End Date / June 30, 2015
Amount Requested this Certification / $ 692,806
Amount Previously Certified / $ 0
Remaining Appropriation not Certified / $ 880,890
Total Appropriated Amount / $ 1,573,696

Certification History (Include any previous project or phase certifications and this request)

Date
/ Amount / Funding Source(s) (use specific citations to laws, grants, etc.)
4/23/2014 (this request) / $692,806 / Laws 2013, Chapter 227, Section 4
RLD FY14 Vacancy Savings BAR

Appropriation History (Include all Funding sources, e.g. Federal, State, County, Municipal laws or grants)

Fiscal Year
/ Amount / Funding Source
FY 13 / $186,200 / Laws 2013, Chapter 227, Section 7, item (12), Regulation & Licensing Department
FY 14 / $692,806 / General Appropriation Act of 2014, Laws 2013, Chapter 227, Section 4
RLD FY14 Vacancy Savings BAR
FY 15 / $694,690 / General Appropriation Act of 2015, Laws 2014, Chapter 63, Section 4
RLD FY15 Vacancy Savings BAR
Proposed Major Deliverable Schedule and Performance Measure

Major Project Deliverable and Performance Measure

/ Budget /

Due Date

/

Project Phase

Software and Licensing / $692,806 / Estimated 6/15/2014 / Initiation: RLD will acquire the software and licensing to implement the permitting and inspection software for construction industries.
Professional Services / TBD / 7/15/5014 / Professional services will be utilized with the vendor through the life of the project.
Build: Virtual Server setup Production &Test / TBD / Estimated
7/14/2014 / Deploy Production and test environments. SQL data servers, IIS servers, Business layer servers. Initially in test followed by production.
Configure : Software installation and configuration Production & Test / TBD / Estimated
7/21/2014 / Install Software on application and business layer servers. Install public facing web portals for permitting.
Training / TBD / TBD / Vendor will provide training documents and onsite training for key staff. RLD will utilize a train the trainer method in which key staff members are identified and trained and become the leads on different levels of software utilization and also subject matter experts.
Deploy / TBD / TBD / Go Live. Kiva will be available for historical purchases and maintenance of existing permits purchased before go live data. All permits from go live forward will be purchased in the new CID permitting system. After one year permits automatically close at that point KIVA will be decommissioned.
Close / October 2015
Budget
Comments:
Description
/

FY14 & Prior

/ FY15 / FY16 / FY17 / FY18 &After
Software
/ Licenses / $692,806 / 0 / 0 / 0 / 0
Consulting Services / System Implementation / 0 / $590,890 / 0 / 0 / 0
Consulting Services
/ Project Manager / 0 / $260,000 / 0 / 0 / 0
Consulting Services / IV & V / 0 / $30,000 / 0 / 0 / 0
Total / $692,806 / $880,890 / 0 / 0 / 0

IT System Analysis (On this document, or as an attachment, provide a summary description of the technical architecture)

Application Software
The production environment will encompass the following application components:
Windows Server 2012 Microsoft SQL Database Server
2012 R2 Windows IIS application server – Public Facing
2012 R2 Windows IIS application server – Internal
2012 R2 Windows Reporting server – Internal
2012 Windows Server Document server – Internal
2012 R2 Windows Index server - Internal

Independent Verification & Validation (Include Status of IV V Process)

The IV&V Vendor will provide bi monthly reports throughout the project. During the planning phase the IV&V vendor will be identified and the nature of the reports will be determined and added to the project plan.
·  The initial report will analyze the requirements document and the permitting project plan to make sure the requirements are complete and accurate and the contract reflects the defined scope of work.
·  The bi-monthly reports will detail the status and verification of the project at the stage it is in at the time the report is competed.
·  The final report will analyze the implemented product to define if the end product meets the customer’s original requirements and has realized the proposed metrics.

Significant Risks and Mitigation Strategy

Mitigation 1: Deadlines for Project Certification in conjunction with deadlines for DFA Budget Adjustment Requests not met.

Probability: low to moderate Impact: Significant

Strategy: Work diligently from all aspects of administrative services to meet deadlines
for Budget Adjustment Requests and Project Certification as funding is FY 14 vacancy
Savings.
Contingency Plan: If this occurs RLD IT staff and CID staff will need to do their best
to make the KIVA system perform optimally, then request appropriation from the
legislature for FY 16.

Mitigation 2: Loss of key stakeholders or technical staff.

Probability: Fair Impact: Significant

Strategy: document all requirements and test plans for the new software during all phases
Of the project. Cross training will be required for all technical staff. The project will have
a team of 3 technical people, all of whom can cover different project functions if a person
leaves the team. There will also be a need for all IT staff to have the ability to participate
in different aspects of the project on a per need basis.
Contingency Plan: There will also be a need for all IT staff to have the ability to
Participate in different aspects of the project on a per need basis.

Interoperability (Describe If/how this project interfaces with existing systems/Applications)

The software RLD will utilize is very similar in its architecture to other COTS applications that the Regulation and Licensing department currently has deployed. RLD currently operates in a virtual server environment so the test and production environments can be deployed in a rapid manner once the specifications for processor and memory at the different server layers a specified by the vendor.
Transition to Operations: (Describe agency plan to migrate project solution to production. include agency plans to fund and maintain this project after deployment. )
Upon implementation and full deployment of the permitting and inspection software the agency will need to maintain a maintenance agreement with the vendor. The Regulation and Licensing Departments Construction Industries Division will absorb this as part of its normal annual operating budget. There will not be the need to request additional funding or request additions to the operating budget of the division. The maintenance agreement will ensure the system is properly maintained to include installing any software upgrades and any technical issues that may occur. The Kiva system will be left operational for one year after go live of the new system but all permits from go live forward will be purchased and maintained in the new permitting system. Permits are automatically closed after one calendar year which will allow the licenses contractors of the state to maintain their existing permits in the Kiva system until it is decommissioned.

Revision: 6/18/13 Page 6