s roperty tax ivision business odernization roject · enhancement fund (csef, aka c2) request in...

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EXECUTIVE SPONSOR – CESARIO QUINTANA, PTD DIVISION DIRECTOR

AGENCY HEAD - DEMESIA PADILLA, CPA, TRD CABINET SECRETARY

AGENCY CIO – MIKE BACA

PROJECT MANAGER – LARRY BROTMAN, TRD GIS COORDINATOR

ORIGINAL PLAN DATE: MAY 3, 2016

REVISION DATE: MAY 3, 2016

REVISION: 0.1

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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.

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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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TTAABBLLEE OOFF CCOONNTTEENNTTSS ABOUT THIS PROJECT CHARTER DOCUMENT ....................................................................................................... I

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

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

1.1 EXECUTIVE SUMMARY ‐RATIONALE FOR THE PROJECT ...................................................................................................... 1 1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT ............................................................ 2 1.3 PROJECT CERTIFICATION REQUIREMENTS ...................................................................................................................... 3

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS ................................................................................................... 4

2.1 AGENCY JUSTIFICATION ............................................................................................................................................. 4 2.2 BUSINESS OBJECTIVES ............................................................................................................................................... 5 2.3 TECHNICAL OBJECTIVES ............................................................................................................................................. 6 2.4 IMPACT ON ORGANIZATION ........................................................................................................................................ 7 2.5 TRANSITION TO OPERATIONS ...................................................................................................................................... 8

3.0 PROJECT/PRODUCT SCOPE OF WORK ........................................................................................................... 8

3.1 DELIVERABLES ......................................................................................................................................................... 9 3.1.1 Project Deliverables ..................................................................................................................................... 9 3.1.2 Product Deliverables ................................................................................................................................. 10

3.2 SUCCESS AND QUALITY METRICS .......................................................................................................................... 11

4.0 SCHEDULE ESTIMATE ................................................................................................................................... 11

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

5.1 FUNDING SOURCE(S) .............................................................................................................................................. 12 5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE ‐ .............................................................................................. 12 5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE .................................................................................................. 12

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE ........................................................................... 13

6.1 STAKEHOLDERS ................................................................................................................................................. 13 6.2 PROJECT GOVERNANCE PLAN ........................................................................................................................... 13 6.3 PROJECT MANAGER .......................................................................................................................................... 13

6.3.1 PROJECT MANAGER CONTACT INFORMATION ......................................................................................... 13 6.3.2 PROJECT MANAGER BACKGROUND ......................................................................................................... 13

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES .................................................................................................. 13 6.5 PROJECT MANAGEMENT METHODOLOGY ................................................................................................................... 14

7.0 CONSTRAINTS ............................................................................................................................................. 14

8.0 DEPENDENCIES ............................................................................................................................................ 14

9.0 ASSUMPTIONS ............................................................................................................................................ 15

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY ....................................................................................... 15

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING ................................................................................ 16

12.0 INDEPENDENT VERIFICATION AND VALIDATION ‐ IV&V.............................................................................. 16

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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES ................................................................................. 18

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE ........................................................................ 18

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Revision History

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0.0 (template) August 14, 2007 Original DoIT PNM Document

0.1 May 3, 2016 Initial Draft

PROJECT CHARTER PROPERTY TAX DIVISION BUSINESS MODERNIZATION 1

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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.

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The New Mexico Taxation and Revenue Department’s (TRD) Property Tax Division (PTD) is responsible for administering the State’s “Ad Valorem” property tax programs. As defined in State statute, PTD’s supervisory duties are designed to support assessors to comply with various provisions of the Property Tax Code. The Division is unique in its business mission; on a national scale, there are no other State-level property tax authorities that perform the same functions: statewide property tax code compliance oversight, statewide tax administration for complex centrally assessed properties and assets, and statewide delinquent property title search and account resolution.

PTD has had challenges confirming that county officials maintain current and correct assessment metrics and comply with other sections of the Property Tax Code due to a lack of data and the analytical and reporting tools required to evaluate local assessment programs. PTD has also had difficulty providing the Department [TRD], county officials, and the legislature with comprehensive analysis of past and recent tax policy performance and modeling of proposed changes in the Property Tax Code. These challenges are a consequence of limitations in data collection, storage, and analytics. These conditions make it difficult for PTD to provide information products, reporting and analysis that could improve modeling and decision making processes at State and local levels.

Currently, PTD meets business obligations using internally developed documentation and forms, processes, and disconnected, static data collections created and maintained in desktop office suite applications. The intent of the modernization project is to migrate PTD’s business data and workflows to an enterprise system that enables its three bureaus, Appraisal, State Assessed, and Delinquent Properties, to meet legislative, statutory, and regulatory obligations using contemporary data and technology oriented interfaces and improved analytics, modeling, and reporting tools.

This project will result in a Division-wide business information environment that will enable PTD to collect and store relevant data and provide the capacity to analyze, report, and model program and policy performance. More importantly, PTD will be empowered to more effectively meet its statutory obligations to support the administration of the State’s ad valorem property tax programs.


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The goals and intended outcomes of the PTD Business Modernization Project are well defined and well documented. The initiative was first explored in late 2009. At that time, the vision was to deploy a business intelligence system that would enable the Division to collect, load, store, report, and publish information products developed from historical and near real-time data relevant to PTD’s statutory obligations and objectives. A one-page business case and an RFI were drafted to begin developing a project justification. Due to unforeseen budget constraints the project research and exploration had to be postponed.

Motivated by the findings of an internal TRD study, in the spring of 2015 PTD began assessing existing practices across all three bureaus and considering opportunities to enhance operations. A Division gap/needs analysis study was recommended and the search for a vendor that could meet the project’s goals was launched in June, 2015. Again due to the unique nature of the Division’s statewide duties, finding a vendor with domain expertise in state property tax administration was challenging. Following a national search a vendor was selected, a scope of work defined, and a professional services contract awarded. The contract received final signatures early in September.

The scope of work for the PTD gap/needs analysis project is provided below.

“The Contractor shall perform the following work: Inventory, document, and assess existing PTD workflows, processes, reporting requirements, information systems, and data collections and sources, perform a gap/needs analysis which identifies operational efficiencies that may be gained through migration of existing data and practices to an enterprise information system (EIS), draft and deliver an “Existing Business Process Report” and a “Recommendations Report” which includes a data, workflow, and process migration plan.”

The two reports delivered through this professional services contract have been well received and highly regarded by PTD and the TRD Information Technology Division (ITD). A description of each report is provided below.

“Existing Processes Report: New Mexico Taxation and Revenue Department-Property Tax Division”

This report documents the organizational structure and existing staffing, processes, workflows, data sources, and business process timelines for each of the Division’s three bureaus. The research and discovery process consisted of a thorough review of available department literature, State statutes, and surveys, conference calls, and multiple on-site meeting with Department and Division leadership, administrators, and key bureau personnel.

“Proposed Processes Report: New Mexico Taxation and Revenue Department-Property Tax Division”

As derived from the research and discovery completed in the existing processes study, this report identifies and documents the specific needs to optimize staff time, increase transparency, and provide enhanced work products for PTD and New Mexico county assessors. The report proposes and defines automated workflows and processes designed to reduce clerical workloads


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and allow specialized PTD staff to focus on the administration of business personal property tax, management of delinquent property tax collections and auctions, and support fair and equitable county valuation and assessment. High-level summaries of the proposed processes for each bureau are included.

Running concurrently alongside the gap/needs analysis study described above, PTD and ITD launched an effort to justify an investment in a Division-wide business and operations modernization. The first step was to draft and submit a one-page business case. A “FY17 One Page Business Case” entitled “PTD Business Modernization” was submitted in July, 2015. This led to a full business case that was included as “Appendix B” in TRD’s “Fiscal Year 2017 New Mexico Taxation and Revenue IT Plan, September 1, 2015.”

After submitting the FY17 TRD IT Plan, the effort pivoted to preparing a Computer System Enhancement Fund (CSEF, aka C2) request in advance of the 2016 legislative session. The PTD Modernization Project team, which included TRD’s Deputy Cabinet Secretary and CIO, PTD’s Director and Deputy Director, and the ITD Project Manager, presented the justification for legislative funding approval to the DoIT CSEF panel on October 16, 2015. The CSEF panel supported the justification and DoIT successfully navigated the request through the 2016 legislative session. TRD’s Property Tax Division was provided legislative authority to allocate $2,000,000.00 from internal funding sources to move forward with the business modernization project.

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

CRITERIA YES/NO EXPLANATION

Project is mission critical to the agency Yes Enhancing methods for auctioning and selling delinquent properties has direct and positive impact on Division budget and returning properties to county tax rolls

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

Yes First year cost is $106,000

Project impacts customer on-line access Yes Delinquent properties will be marketed for auction via web mapping; State Assessed Property customers will transitioned to an E-file system

Project is one deemed appropriate by the Secretary of the DoIT

Yes DoIT approved


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Will an IT Architecture Review be required? Yes Verification that existing data and server infrastructure will support new internal applications and external web services

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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.

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

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TRD / PTD 1 The Delinquent Property Tax Bureau is responsible for the collection of delinquent property tax obligations for each of the 33 counties in New Mexico (7-38-62, 7-38-65 NMSA 1978).

TRD / PTD 2 The Delinquent Property Tax Bureau is responsible conducting an auction in each county annually (7-38-65 NMSA 1978).

TRD / PTD 3 The Appraisal Bureau is responsible for providing technical assistance, oversight, and training to county assessors on the valuation of property and best practices (7-35-3 NMSA 1978).

TRD / PTD 4 The Appraisal Bureau is responsible for providing counties with annual sales ratio studies to promote uniformity and measure overall compliance with the Property Tax Code (7-36-18 NMSA 1978).

TRD / PTD 5 The Appraisal Bureau is responsible for administering taxpayer property value protest hearings. Protests are heard by “County valuation protest boards” comprised of three members: one qualified elector of the county appointed by the commissioners, one qualified elector of the county with valuation experience appointed by the commissioners and one member of the PTD staff who serve as the chairperson (7-38-25 NMSA 1978).

TRD / PTD 6 The Appraisal Bureau provides appraisal assistance to State agencies and other political subdivisions that own or are considering purchasing property (7-35-10 NMSA 1978).

TRD / PTD 7 The Appraisal Bureau is responsible for performing appraisal reviews for the land conservation tax credit (7-2A-8.9 NMAC). This


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program is administered by the Energy, Mineral and Natural Resources Department (“EMNRD”).

TRD / PTD 8 The State Assessed Property Bureau is responsible for the valuation of specialized industries including railroads, airlines, electric utilities, water utilities, telecommunications, oil and gas pipelines and drilling, mining (uranium, copper, potash, sand, gravel) and construction (7-36-2 NMSA 1978).

TRD / PTD 9 The State Assessed Property Bureau is responsible for certifying the net taxable value for each governmental unit located within a county (7-38-30 NMSA 1978).

TRD / PTD 10 The State Assessed Property Bureau is responsible for providing certified net taxable values to the Secretary of the Department of Finance and Administration for property tax rate calculation purposes (7-38-32 NMSA 1978).

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USE THE FOLLOWING TABLE TO LIST MEASURABLE BUSINESS OBJECTIVES


BUSINESS OBJECTIVE 1

Enforce data integrity through automated collection of standardized county delinquent properties reports.


Use data analytics and reporting tools to increase sales of delinquent properties through targeted account identification and management.


Use interactive public web maps to improve marketing and increase sales of delinquent properties.


Enhance taxpayer reporting and filing experience through State Assessed Property “E-File” application.


Use data collection, storage, and archiving to increase efficiency and enhance state assessed property collection and reporting workflow.


Increase integrity of state assessed property protest case management.


Enforce data integrity through automated collection of standardized county property valuation reports.


Increase efficiency and integrity of property valuation data exchange between PTD and DFA Local Government Division.


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Perform assessment of county property tax code application practices through interactive and iterative data sharing exchange.


Increase efficiency of real property tax value protest case management.


Aggregate real property ownership, valuation, and geospatial data from 33 counties at least once annually.

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TECHNICAL OBJECTIVE 1

Define delinquent property data exchange standard for electronic transfer from counties to PTD.


Deploy delinquent property workflow and case management system.


Deploy public web map application to display and market parcels available through county delinquent property auctions.


Deploy web-based State Assessed Property “E-File” application.


Deploy state assessed property tax information system which provides basis for electronic filing, data query, reporting, and analysis.


Deploy state assessed property tax protest case management system.


Define property valuation data format and exchange standard for electronic transfer from counties to PTD.


Define format and exchange protocols for county valuation data shared between PTD and DFA Local Government Division.


Define tax roll and sales data format and exchange standard for electronic transfer from counties to PTD.


Deploy real property tax protest case management system.


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Define geospatial (map) parcel data format and exchange standard for electronic transfer from counties to PTD.

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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.

AARREEAA DDEESSCCRRIIPPTTIIOONN

END USER Internal users will be required to adopt and learn newly automated processes and workflows, and access information through database and web-oriented interfaces.

Customers (taxpayers, elected officials, county personnel, internal Department decision makers and personnel, and State government stakeholders) will be required to utilize new methods of information access and data exchange.

Taxpayers will process filing and reporting transactions through a web application.

BUSINESS PROCESSES

The new enterprise information system and related applications will have a significant and beneficial impact on Division operations. All existing manual and desktop office processes and workflows will be migrated to database and web-oriented environments improving efficiency and integrity. Previously challenging data analysis and reporting tasks will be more relevant and timely and based on historical and near real-time data collections.

IT OPERATIONS AND STAFFING

TRD’s ITD is well versed and well equipped to support complex enterprise information systems. The PTD enterprise will be less demanding of IT resources than many existing systems. Minimal impact is expected.

OTHER


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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.

AARREEAA DDEESSCCRRIIPPTTIIOONN

PRELIMINARY OPERATIONS LOCATION AND STAFFING PLANS

Current operations are not currently dependent on any data sources or IT infrastructure that will be impacted as a new system is deployed and tested. Existing staff will require education and training and will be included in testing and deployment phases. Following deployment, no additional staff will be required.

DATA SECURITY, BUSINESS CONTINUITY

Data and applications will be deployed within the existing TRD IT infrastructure; security and business continuity protocols will be inherent.

MAINTENANCE STRATEGY

TBD Where appropriate, application maintenance agreements will be identified and secured.

INTEROPERABILITY N/A Data, applications, and processes will operate independently of all other TRD systems.

RECORD RETENTION TRD data, transaction, and documentation retention policies will govern and inform the design of necessary requirements.

CONSOLIDATION STRATEGY

The enterprise information system will consolidate and replace existing manual and desktop application oriented processes and workflows across all three bureaus within the Division.

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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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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.”

IV&V Contract & Reports “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. Independent verification and validation assessment reporting. The Department requires all projects subject to oversight to engage an independent verification and validation contractor unless waived by the Department.

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.


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Risk Assessment and management

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

Project Schedule 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

Monthly Project Status Reports to DoIT

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.

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

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

Scoping Documents The selected contractor shall provide comprehensive scoping documents defining the project as a whole and specific incremental phases.

Project Management Plan The selected contractor shall provide a PMP(s) which comply with DoIT format specifications.

Business Requirements Development

The selected contractor shall provide comprehensive business requirements for all phases of the project which comply with DoIT format specifications.

Systems Requirements and Design Documentation

The selected contractor shall provide comprehensive systems architecture and IT infrastructure specifications based on business requirements.


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Systems Staging and Deployment

The selected contractor shall provide comprehensive plans for staging and deployment strategies.

Systems Testing and Acceptance

The selected contractor shall provide comprehensive plans for testing and acceptance metrics.

Systems Training The selected contractor shall provide comprehensive plans for internal staff and external end user training strategies.

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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 Project does not exceed budget.

QUALITY METRICS 2 The project schedule / benchmarks meet designated goals.

QUALITY METRICS 3 All scoping, requirements, design, and planning documents meet or exceed DoIT format specifications.

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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.

To be determined during initiation and planning phases.

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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


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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.

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SSOOUURRCCEE AAMMOOUUNNTT AASSSSOOCCIIAATTEEDD RREESSTTRRIICCTTIIOONNSS

LAWS 2016, CHAPTER 11, SECTION 7, ITEM (6)

$2,000,000

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IITTEEMM CCOOSSTT EESSTTIIMMAATTEE DDUUEE DDAATTEE PPRROOJJEECCTT PPHHAASSEE

Gap / Needs Analysis $0 Complete N/A

Procurement services $10,000 September, 2016 Initiation

Project Management $30,000 November, 2016 Initiation/Planning

IV & V $20,000 November, 2016 Initiation/Planning

Business Requirements Development

$80,000 November, 2016 Initiation/Planning

Systems Requirements and Design Documentation

TBD TBD Implementation

Systems Development and Configuration


Systems Staging and Deployment


Systems Testing and Acceptance


Systems Training TBD TBD Implementation

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

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Demesia Padilla, CPA Agency Head TRD Secretary

Cesario Quintana Business Owner PTD Division Director

Mike Baca IT Enterprise TRD CIO

Larry Brotman IT Project Management TRD GIS Coordinator

Darrell Lujan Business Process Owner PTD Bureau Chief

David Ortiz Business Process Owner PTD Bureau Chief

Elaisa Romero Business Process Owner PTD Acting Bureau Chief

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

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NNAAMMEE OORRGGAANNIIZZAATTIIOONN PPHHOONNEE ##((SS)) EEMMAAIILL

Larry Brotman TRD ITD (505)231-5948 [email protected]

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Project team roles and responsibilities will be completed as during the planning phase.


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RROOLLEE RREESSPPOONNSSIIBBIILLIITTYY

Division Director Project oversight, Subject Matter Expert (SME)

Deputy Division Director Project oversight, SME

CIO Procurement / project oversight

TRD Project Manager Project communication and coordination amongst all stakeholders.

Contract Project Manager Project coordination between business owners and vendors.

IV & V Project Manager Project verification and validation services

Bureau Chief SME

Bureau Supervisor SME

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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?


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1 Securing project vendor with appropriate domain expertise.

2 Division leadership and personnel changes.

3 Funding allocation expires June 30, 2018

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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

NNUUMMBBEERR DDEESSCCRRIIPPTTIIOONN TTYYPPEE MM,,DD,,EE

1 Project Certification Committee approval M

2 Procurement process yields qualified vendor(s) D

3 Contract negotiations and approvals E

4 Systems design and infrastructure dependencies M

5 Cooperation and support from local government stakeholders E

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1 Entire scope of project will be completed within budget allocation

2 Entire scope of project will be completed by FY 2018 end

3 Division leadership will be supportive and engaged

4 Procurement process identifies and contracts qualified vendor(s)

5 Department leadership will be supportive and engaged

6 ITD leadership will be supportive and engaged

7 Division staff will be supportive and engaged

8 Local government stakeholders will be supportive and engaged

1100..00 SSIIGGNNIIFFIICCAANNTT RRIISSKKSS AANNDD MMIITTIIGGAATTIIOONN SSTTRRAATTEEGGYY

Risks and mitigation strategies will be identified and defined during the initiation and planning phases.


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Risk 1

Description -

Probability Impact

Mitigation Strategy Contingency Plan

Risk 2

Description -

Probability Impact

Mitigation Strategy Contingency Plan

1111..00 CCOOMMMMUUNNIICCAATTIIOONN PPLLAANN FFOORR EEXXEECCUUTTIIVVEE RREEPPOORRTTIINNGG

A communication plan for executive reporting will be identified and defined during the initiation and planning phases.

1122..00 IINNDDEEPPEENNDDEENNTT VVEERRIIFFIICCAATTIIOONN AANNDD VVAALLIIDDAATTIIOONN -- IIVV&&VV

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 Yes

Quality Management Yes

Training Yes

Requirements Management Yes

Operating Environment Yes

Development Environment Yes


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Software Development Yes

System and Acceptance Testing Yes

Data Management Yes

Operations Oversight Yes

Business Process Impact Yes


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1133..00 PPRROOJJEECCTT CCHHAARRTTEERR AAGGEENNCCYY AAPPPPRROOVVAALL SSIIGGNNAATTUURREESS

SSIIGGNNAATTUURREE DDAATTEE

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BBUUSSIINNEESSSS OOWWNNEERR

PPRROOJJEECCTT MMAANNAAGGEERR

1144..00 PPRROOJJEECCTT CCHHAARRTTEERR CCEERRTTIIFFIICCAATTIIOONN AAPPPPRROOVVAALL SSIIGGNNAATTUURREE

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