State of New Mexico Office of the State Engineer – Interstate Stream Commission
Strategic Alignment
Performance Management
IT Governance
Resource Management
Value Delivery
Information Technology Plan Fiscal Year 2012 September 1, 2010
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
IT Plan Acknowledgement Signatures I agree that this document represents the history and planned information-technology- related activities for our agency. The elements of this plan, delivered through information technology services, support the agency strategic plan and the State IT Strategic Plan.
Agency Name:
Office of the State Engineer – Interstate Stream Commission
Agency Code:
550
Agency Head:
____________________________
Date: __________
John R. D’Antonio, Jr., P.E. State Engineer
Agency Technology Lead:
____________________________
Date: __________
Renée Martínez Chief Information Officer
Agency Financial Lead:
____________________________ Curtis Eckhart Program Support Director, Acting
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Date: __________
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
Contents Executive Summary ............................................................................................................................ 5 1. The Agency Context for IT Infrastructure and Operations........................................................ 11 1.1 Agency Mission ......................................................................................................................... 11 1.2 Agency Description ................................................................................................................... 11 1.3 Changes in Federal or State of New Mexico Requirements with IT Impact .............................. 13 1.4 Agency IT Description of Services ............................................................................................ 13 1.5 Agency IT Performance Measures ............................................................................................ 15 1.6 Agency IT Strategic Goals ......................................................................................................... 16 2. Agency Compliance with IT Consolidation ................................................................................ 22 2.1 Agency IT Consolidation Accomplishments .............................................................................. 22 2.2 Agency IT Consolidation Planning ............................................................................................ 22 2.3 Agency Co-located Servers and Agency Applications on Enterprise Servers........................... 23 2.4 Hosting Exceptions .................................................................................................................... 23 3. Agency Accomplishments and Planning ................................................................................... 25 3.1 Agency Major IT Accomplishments of FY10 IT Plan ................................................................. 25 3.2 Agency Major IT Issues/Concerns within the Agency ............................................................... 28 3.3 Agency Major IT Initiatives for Current Fiscal Year FY11.......................................................... 30 3.4 Agency Major IT Initiatives FY12 ............................................................................................... 33 3.5 Identification of Joint Funding Opportunities ............................................................................. 36 4. Agency Applications, Legacy and New ...................................................................................... 37 4.1 Agency IT Business Application Portfolio .................................................................................. 37 4.2 Planned Major Changes for Agency Application ....................................................................... 37 4.3 Data Ownership and Sharing .................................................................................................... 39 5. Management of IT Infrastructure and IT Assets ......................................................................... 40 5.1 Asset Management Process ..................................................................................................... 40 5.2 Equipment and Software Refreshment Cycles and Policy ........................................................ 40 5.3 Data Storage .............................................................................................................................41 5.4 Network ..................................................................................................................................... 42 5.5 Security and Reliability Upgrades ............................................................................................. 42
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan 5.6 Cyber Security ........................................................................................................................... 43 5.7 System Monitoring and Management Tools Inventory .............................................................. 43 5.8 Electronic Records Retention Plans .......................................................................................... 43 5.9 Business Continuity ................................................................................................................... 44 6. IT Human Capital Management .................................................................................................... 47 6.1 Agency IT Staff Composition ..................................................................................................... 47 6.2 Staffing Gaps and Recruitment – Specific Skills related to Gaps and Hiring Issues ................. 48 6.3 Agency IT Staff Training Plans .................................................................................................. 48 7. IT Business Management Areas .................................................................................................. 49 7.1 IT Service Management Initiatives ............................................................................................ 49 7.2 IT Project Management ............................................................................................................. 50 7.3 System and Solution Development Life Cycles ......................................................................... 50 7.4 Business Partners and Vendors ................................................................................................ 51 8. IT Fiscal and Budget Management .............................................................................................. 52 8.1 C1Form ..................................................................................................................................... 52 8.2 Projected IT Projects: Capital, Special, Supplemental .............................................................. 53 8.3 Request for Reauthorization of General Appropriations Act ..................................................... 53 9. Enterprise Alignment - Agency IT Planning related to State of New Mexico IT Strategic Plan ............................................................................................................................................................ 54 9.1 Government Services Portal for New Mexico’s Citizens and Businesses ................................. 54 9.3 Participation in Business Domain Teams with other Agencies ................................................. 56 9.4 Participation in Common Business Function Collaboration with other Agencies ...................... 56 9.5 Emerging Technology ............................................................................................................... 57 Appendix A: Agency Information Application Map Entries Appendix B: FY12 Project Base Budget Compliance Spreadsheets Appendix C: Current Agency Project Not in Compliance Appendix D: Agency Data Network Diagram Appendix E: Agency FY12 C2 IT Project Business Cases (4) Appendix F: Agency IT Customer Satisfaction Trends
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
Executive Summary The purpose of the OSE-ISC FY 2011 IT Plan is to align and integrate information technology goals, strategies and investments with those of the Agency as a whole. In June 2007, the Agency established an IT Governance Committee to guide IT policy and investments decisions. The State Engineer, John D’Antonio, and Chief Information Officer, Renée Martínez, co-chair the Committee. The Committee is comprised of senior management representatives from each Agency program/division. The OSE-ISC IT Governance Committee was actively involved with the development and approval of this Plan.
Agency Overview The Office of the State Engineer (OSE) is statutorily charged with supervising the state’s water resources through the measurement, appropriation, and distribution of all ground and surface water in New Mexico, including streams and rivers that cross state boundaries. The Interstate Stream Commission (ISC) functions as a division within the Office of the State Engineer. The ISC has broad powers to investigate, protect, conserve and develop the state’s water supplies. The Agency demand and need for new and enhanced information technology, systems and services is high and growing. The variation of information technologies used by the Agency is broad and ranges from PC-based hydrographic modeling software to satellite and radio-based water meter data collection systems to a multi-platform water rights transaction and document management system. The work activities in the Agency are time, data and document intensive. The State Engineer intends to position information technology as a strategic and tactical asset to advance the strategies of the Agency.
Agency IT Goals, Objectives and Strategies Information Technology goals, objectives and strategies are closely aligned and integrated with agency and program goals, objectives and strategies within the FY12 Agency Strategic Plan. Goal - Develop, deliver and continuously improve the value of human resource, financial, information technology and budget services provided to the Agency Programs and business partners. Objective 1 - Make water resource and management information more accessible to internal users and the public. •
Percent annual increase in public visits to Agency web site (average monthly visits) – FY12 Target=10%
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan •
Percent annual increase in report requests from the New Mexico Water Rights Reporting System (average monthly visits) - FY12 Target=10%
Objective 2 - Enhance Agency mission-critical systems, WATERS and WRATS, to catch up and keep pace with business practices, rules and regulations. Objective 3 - Continuously improve internal Agency planning processes to align and integrate IT priorities and strategies with program priorities and strategies. Objective 4 - Meet or exceed IT work order service level targets. •
Percent of critical problems impacting multiple users resolved within 4 hours - FY12 Target=80%
•
Percent of critical problems impacting a single user resolved within 8 hours - FY12 Target=80%
Objective 5 - Improve Agency work products, processes and decisions through use of GIS tools, technologies, and resources. Objective 6 - Improve the Agency’s information security posture. •
% critical software and hardware security patches installed within 15 days of release- FY12 Target=90%
•
% of mission-critical information systems with established contingency plans- FY12 Target=100%
FY10 IT Plan Implementation In FY10, the Office of the State Engineer-Interstate Stream Commission completed several projects and made significant progress on others. Our accomplishments are summarized below. Project Funding Source
Project Name
Project Purpose
Base
New Mexico Water Rights Reporting System (NMWRRS)
Successfully implemented functional enhancements to this web-based reporting system to make information stored in the WATERS (Water Administration Technical Engineering Resource System) readily accessible to the public and internal staff. This system is our Agency’s premier customer self-service application at this time.
Base
Microsoft Office 2007 Upgrade
Successfully upgraded all desktop and laptop computers from Microsoft Office 2000 to 2007.
Base
IT Service Management System Roll-Out (Track-IT)
Successfully completed the implementation and roll-out of an automated IT problem and service management system across the entire Agency.
Base
Improve Network Bandwidth at Manhattan Office
Successfully improved data network capacity to the Manhattan Street office in Santa Fe with higher capacity radio technology.
Base
Albuquerque Office Move
Successfully moved our Albuquerque office which houses over one –hundred (100) employees to a new building. The Agency upgraded from T1 to QMOE data network technology as part of this project.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan Project Funding Source
Project Name
Project Purpose
Capital Outlay
Middle Rio Grande Land & Water Use Analysis System (Release 2)
Successfully acquired new data sets and implemented functional improvements to this GIS application suite used to support water rights adjudication and administration activities in the Middle Rio Grande basin.
Base, Capital Outlay
Real-Time Water Measurement Information System (Release 1)
Successfully implemented an integrated real-time water level and flow measurement system to support active resource water management activities in the NambePojoaque-Tesuque, Mimbres, San Juan and Pecos river basins.
Base, C2
Water Rights Data Query, Analysis and Exchange System
Successfully completed the design, proof of concept and implementation planning phases for a new system to allow users to query, analyze and exchange data between the water rights administration system, WATERS, and water rights adjudication system, WRATS.
Base
Server Virtualization (Release 2)
Successfully expanded the use of virtualization technology to host additional development and lower-risk production environments on shared hardware.
Base
Enhance WATERS and WRATS applications
Successfully completed four major upgrades: 1) WATERS database platform to Informix 11.5 2) WRATS Release 5.6 3) Feith database platform to SQL Server 2008 4) Datacap (document imaging system) upgrade to v 7.5
Base
Information Security Assessment-Audit
Successfully completed an assessment of the Agency’s information security posture as compared to industry best practices and State rules.
Base
Move Production Servers to State Data Center
Successfully moved additional production servers to the State Data Center.
FY11 IT Projects The Agency’s major information technology initiatives for the coming year include: Project Name Real-Time Water Measurement Information System (Release 2)
Project Purpose To implement a web-site that provides the public with easy access to real-time water flow measurement data collected from various river basins.
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Stakeholders Agency Staff Public Water Right Owners
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan Project Name Water Rights Data Analysis, Query and Exchange Project
Project Purpose Fully implement a new system to allow users to query, analyze and exchange data between the water rights administration system, WATERS, and water rights adjudication system, WRATS.
Stakeholders Agency Staff Water Right Owners Public Courts
Upgrade Agency PC Operating System from MS Windows XP to MS Window 7
Complete testing of Agency PC hardware and software to determine compatibility with MS Windows 7 and acquire funding for hardware and software upgrades.
Agency Staff
Enhance WATERS and WRATS applications
Continue to Implement enhancements to Agency mission-critical applications (WATERS, WRATS) to catch up and keep pace with business practices, rules and regulations
Agency Staff
Develop an Agency GIS Strategic Plan focused on two cross-cutting Agency priorities (licensing, AWRM)
Agency Staff
Agency GIS Strategic Plan
Water Right Owners Public
Water Right Owners Public
Aztec Office Data Network Enhancements
Implement data network changes to improve office connectivity to videoconferencing, printing and business system services.
Agency Staff Water Right Owners Public
Agency Reporting and Decision Support Environment
Implement a reporting architecture, separate from the transactional architecture, that provides data query and analysis tools to all Agency programs.
Agency Staff Water Right Owners Public
WATERS Hardware Platform Upgrade
Move from current leased HP-UX platform to a lower cost hardware platform
Agency Staff Water Right Owners Public
Improve Agency Information Security Posture
Address high priority information security vulnerabilities identified in FY10 security best practices assessment.
Agency Staff
Move Production Servers to State Data Centers
Develop and implement a plan in coordination with the Department of IT to move all remaining production servers to the State Data Center and to enhance the wide area network capabilities (redundancy, bandwidth, security) to support these systems from this new location.
Agency Staff
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Water Right Owners
Water Right Owners Public Courts
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
FY12 IT Project (C2) Special Appropriations Requests The Office of the State Engineer – Interstate Stream Commission is submitting four important IT projects with non-recurring costs exceeding $100,000 as requests for FY12 appropriations as part of the Computer System Enhancement Fund.
Project Name
Water Rights System Modernization
Electronic Document and Content Management System
Dam Safety Information Management System
Pecos Well Field and Surface Water Measurement SCADA System
Project Purpose
Stakeholders
Redesign the current water rights administration information management system using a service-oriented architecture to improve business agility, reduce support costs, and reduce the cycle time for enhancements.
Agency Staff
Replace the current old water rights document imaging and management system with a modern enterprise document and content management (EDCMS) system; then expand the use of the system and its capabilities to all Agency programs.
Agency Staff
Implement a new information management system to address the specific data entry, processing, workflow, GIS, reporting, and systems integration needs of the Dam Safety Bureau so that the Agency may accelerate the inspection and remediation of high hazard dams.
Agency Staff
The expand remote measurement and control system capabilities, i.e. SCADA (Supervisory Control and Data Acquisition) technologies, to assist the State in meeting Interstate Compact water delivery obligations.
Agency Staff
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Water Right Owners Public
Public Courts
Funding Amount & Source $300.0 (FY12), $450.0 (Total) CSEF
$200.0 (FY12), $1,250.0 (Total) CSEF
Water Right Owners
$535.0 CSEF
Dam OwnersOperators Public Homeland Security USACE FEMA Public Water Right Owners
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$300.0.0 CSEF
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
FY12 IT Operating Budget The Agency FY 2012 Operating Budget Request includes $2,618,000 for IT operating expenses. This figure includes $1,367,000 for personnel expenses, $184,000 for contractual expenses and $1,066,200 for all other expenses.
FY12 IT Plan Contact Information The agency contact person for the FY12 IT Plan is Renée Martínez, Chief Information Officer and she may be reached at 827-6131 or by e-mail at
[email protected] .
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
1. The Agency Context for IT Infrastructure and Operations 1.1 Agency Mission Vision: The Office of the State Engineer and the Interstate Stream Commission is the preeminent water management agency, which is trusted by the public to effectively and transparently manage, allocate and protect Mew Mexico's water resources. Mission: The mission of the Office of the State Engineer and Interstate Stream Commission is to actively protect and manage the water resources of New Mexico in accordance with law.
1.2 Agency Description Agency services are delivered through the following four programs: •
Water Resource Allocation Program
•
Interstate Compact Compliance and Water Development Program
•
Litigation and Adjudication Program
•
Program Support
The main agency headquarters is located in Santa Fe, New Mexico. There are seven Water Rights Division district offices located in Albuquerque, Aztec, Cimarron, Deming, Las Cruces, Roswell, and Santa Fe. The ISC has a district office in Albuquerque and a facility in Los Lunas. ISC staff is divided into four bureaus: the Colorado/San Juan River Bureau, Rio Grande River Bureau, Pecos River Bureau, and the Special Water Projects Bureau.
Water Resource Allocation Program [P551] Statutory or Constitutional Authority: 72-1-1 through 72-1-9, 72-5-11 & 72-5-34, NMSA 1978 Purpose Statement: The purpose of the Water Resource Allocation Program is to provide for administration, distribution, protection, conservation, and development of the state's surface and ground water resources through Active Water Resource Management (AWRM). Users: Program users are the public but more specifically all water right owners in New Mexico. For instance, this is any person, association or corporation, public or private, the state of New Mexico.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
Interstate Compact Compliance and Water Development Program [P552] Statutory or Constitutional Authority: 72-15-1 through 72-15-28 NMSA 1978 Purpose Statement: The purpose of the Interstate Stream Compact Compliance and Water Development Program is to resolve federal and interstate water issues; to develop water resources and stream systems; and to plan for the future use of water so that the people of New Mexico can have maximum sustained beneficial use of available water resources. Users: Program users are the public but more specifically all water right owners in New Mexico.
Litigation and Adjudication Program [P553] Sections: 72-2-10, 72-4-1, through 72-4-20, 72-5-39 and 72-8-1 through 72-8-6, 72-12-11, 72-1214 and 72-12-15 NMSA 1978 Purpose Statement: The purpose of the Litigation and Adjudication Program is to obtain a judicial determination and definition of water rights within each stream system and underground basin to effectively perform water rights administration and meet interstate stream obligations, resolve disputes arising out of permits issued by the State Engineer governing the diversion and use of the State’s water, represent the Water rights Division in application proceedings, initiate legal proceedings to ensure compliance with the water code, rules and regulations, permits licenses; and adjudications which gave the rights to use of water and represent the state engineer in all suits filed in either state or federal courts. Users: Program users are the State Engineer, water right owners, and the other programs within the Office of the State Engineer.
Program Support [P554] Purpose Statement: The purpose of the Program Support is to provide necessary administrative support to the Office of the State Engineer so they can be successful in reaching their goals and objectives. Users: The Office of the State Engineer employees, contractors, other state and federal agencies and public.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
1.3 Changes in Federal or State of New Mexico Requirements with IT Impact Federal or State of New Mexico Initiative, Statutory Mandates or Regulatory Compliance Change
Impact
Information Security Operations Management Rule (NMAC 1.12.20, effective 4/14/2010)
The agency will need to establish and enforce several new information security policies, procedures and security mechanisms to achieve compliance with this rule.
1.4 Agency IT Description of Services 1.4.1 Infrastructure Services IT Service
Delivered by which section of the agency IT unit
Delivered to which Division(s) or Bureau(s) All
# of Users Impacted Internally
# of Users Impacted External
330
Unknown
Security Administration
All
Disaster Recovery
Infrastructure
All
330
Unknown
Wide Area Network
Infrastructure
All
330
None
Data Storage
Infrastructure
All
330
None
Desktop Software & Hardware Installation and Support
End User Support
All
330
None
Server Maintenance
End User Support, Infrastructure
All
330
None
Plotter & Printer Installation and Support
End User Support
All
330
None
Voice & Video System Administration & Support
End User Support
All
330
None
User Help Desk
End User Support
All
330
None
IT Equipment Procurement
End User Support
All
330
None
User Account Management
End User Support
All
330
None
User Training
End User Support
All
330
None
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
1.4.2 Business Application Services IT Service
Delivered by which section of the agency IT unit
Delivered to which Division(s) or Bureau(s)
# of Users Impacted Internally
# of Users Impacted External
Applications Development
Applications
All
330
None
Applications Support & Maintenance
Applications
All
330
None
Web Site Development
Applications
All
330
Unknown (1)
Application Security Administration
Applications
All
330
None
Application User Training
Applications
All
330
None
GIS Database Administration
GIS
All
150
None
GIS Software & Hardware Installation & Support
GIS
All
150
None
GIS Application Development
GIS
All
150
None
GIS Applications Support & Maintenance
GIS
All
150
None
GIS Data Conversion & Processing
GIS
All
150
None
GIS User Training
GIS
All
150
None
GIS Data Exchange (2)
GIS
All
150
100+
(1) In FY10, 445,000 reports were downloaded by users from the New Mexico Water Rights Reporting Systems (NMWRRS); we estimate that 40% of these were external users, or 178,000. Also, in FY10, the Agency web-site had 430,000 visits. (2) The Agency has shared hydrographic survey data with counties and plane table survey and file maps with the Middle Rio Grande Conservancy District (MRGCD)
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
1.5 Agency IT Performance Measures The following IT performance measures have been approved by the Agency IT Governance Committee. Please see Appendix F for Agency IT Customer Satisfaction Survey Results and Trends. IT Area
Objective
IT Performance Measure
Target
Web Sites & Applications
Make Water Resource and Management Information More Accessible to Internal Staff and the Public
% annual increase in public visits to Agency web site (average visits per month)
10%
Web Sites & Applications
Make Water Resource and Management Information More Accessible to Internal Staff and the Public
% annual increase in public report requests from the Water Rights Reporting System (average requests per month)
10%
IT Service Delivery
Meet or Exceed IT Work Order Service Level Targets
% of critical problems impacting multiple users resolved within 4 hours
80%
IT Service Delivery
Meet or Exceed IT Work Order Service Level Targets
% of critical problems impacting a single user resolved within 8 hours
80%
Security
Improve Agency information Security Posture
% critical security patches installed within 15 days of release
90%
Security
Improve Agency information Security Posture
% of mission-critical information systems with established contingency plans
100%
All
Continuously Improve Customer Satisfaction with IT Services
% survey respondents that rate the following aspects of our work as excellent or good:
65%
All
Continuously Improve Customer Satisfaction with IT Services
All
Continuously Improve Customer Satisfaction with IT Services
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•
Understanding your business requirements
•
Communicating clearly and effectively
•
Keeping you informed of progress
•
Meeting timescales
•
Working with you and your team
•
Providing services in a courteous, professional and helpful manner
•
Providing solutions that save time and effort
•
Responding promptly to problems
•
Meeting overall agency objectives
• Product and service quality % survey respondents that rate their level of confidence with IT to deliver the products and services they require as “complete or “a lot” % survey respondents that rate overall IT performance as “getting better” or “getting much better”
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65%
65%
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
1.6 Agency IT Strategic Goals Agency IT Strategic Goal 1 IT Goal, Objectives, and Strategies Worksheet Agency Name:
Office of the State Engineer/Interstate Stream Commission
IT Strategic Goal Make Water Resource Management Information Accessible to Internal Staff and the Public Identify the agency primary goal, or strategy this IT strategic goal supports. Goal:
Agency Goal, or strategy
• Promote the effective administration, distribution, protection, conservation and development of the State’s surface and groundwater. • Develop and use available water resources in an environmentally responsible manner consistent with state and federal laws. • Protect and maximize the State’s ability to develop and utilize the waters apportioned to it under interstate compacts and decrees. • Plan for New Mexico’s future water needs. • Develop, deliver and continuously improve the value of Information Technology services provided to Agency Programs, state and federal agencies and Business Partners.
State IT Strategic Plan
• Information Technology must drive efficient delivery of high quality government services that will benefit constituents and support economic development. • Reduce the cost of government operations through effective development, implementation and management of IT technical and application architectures, programs and services.
Budget and Source of Funds – Appropriation requests and base budgets
Budget in $ Source of Funds
FY11
FY12
$10,000 GF, $10,000 FF
$10,000 GF, $10,000 FF
General Funds, Federal Funds
General Funds, Federal Funds
What is to be accomplished - what the agency proposes to buy, build or update, or service to be improved. Continue to improve the New Mexico Water Rights Reporting System to satisfy common data requests from internal and external stakeholders. Outcome 1 Continue to improve the Agency web site to provide easy access to available information. Outcome 2 Continue to improve the Agency intranet (iDrop) to provide easy access to available information. Outcome 3 Complete the web-site for the Real-Time Water Measurement Information System Outcome 4
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When is the outcome to be accomplished FY12
FY12 FY12 FY11
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
Agency IT Strategic Goal 2 IT Goal, Objectives, and Strategies Worksheet Agency Name:
Office of the State Engineer/Interstate Stream Commission
IT Strategic Goal Enhance Agency mission-critical systems, WATERS and WRATS, to catch up and keep pace with business practices, rules and regulations. Identify the agency primary goal, or strategy this IT strategic goal supports. Goal:
Agency Goal, or strategy
• Promote the effective administration, distribution, protection, conservation and development of the State’s surface and groundwater. • Protect and maximize the State’s ability to develop and utilize the waters apportioned to it under interstate compacts and decrees. • Complete the adjudication of all water rights in the state. • Plan for New Mexico’s future water needs. • Develop, deliver and continuously improve the value of Information Technology services provided to Agency Programs, state and federal agencies and Business Partners.
State IT Strategic Plan
• Information Technology must drive efficient delivery of high quality government services that will benefit constituents and support economic development. • Effectively manage IT investments and efficiently control IT assets, utilization and costs.
Budget and Source of Funds – Appropriation requests and base budgets
Budget in $ Source of Funds
FY11
FY12
$200,000
$200,000
General Funds
General Funds
What is to be accomplished - what the agency proposes to buy, build or update, or service to be improved. Migrate water rights information management system, WATERS, to a new hardware platform Outcome 1 Complete the implementation of the Water Rights Data Query, Analysis and Exchange Project Outcome 2 Modernize the water rights information management system to improve business agility Outcome 3 Implement high priority enhancements to the WATERS and WRATS systems Outcome 4
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When is the outcome to be accomplished FY11 FY11 FY14 FY12
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
Agency IT Strategic Goal 3 IT Goal, Objectives, and Strategies Worksheet Agency Name:
Office of the State Engineer/Interstate Stream Commission
IT Strategic Goal Continuously improve internal Agency planning processes to align and integrate IT priorities and strategies with program priorities and strategies. Identify the agency primary goal, or strategy this IT strategic goal supports. Goal:
Agency Goal, or strategy State IT Strategic Plan
• Develop, deliver and continuously improve the value of Information Technology services provided to Agency Programs, state and federal agencies and Business Partners. • Information Technology must drive efficient delivery of high quality government services that will benefit constituents and support economic development. • Effectively manage IT investments and efficiently control IT assets, utilization and costs. • Identify and provide additional information technology services and functionality to support State of New Mexico public entities.
Budget and Source of Funds – Appropriation requests and base budgets
Budget in $ Source of Funds
FY11
FY12
$15,000
$15,000
General Funds
General Funds
What is to be accomplished - what the agency proposes to buy, build or update, or service to be improved. Conduct program IT assessments on an annual basis. Outcome 1 Engage all agency programs in annual IT planning process through IT Governance processes Outcome 2
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When is the outcome to be accomplished FY11 FY11
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
Agency IT Strategic Goal 4 IT Goal, Objectives, and Strategies Worksheet Agency Name:
Office of the State Engineer/Interstate Stream Commission
IT Strategic Goal Goal:
Meet or exceed IT work order service level targets.
Identify the agency primary goal, or strategy this IT strategic goal supports. Agency Goal, or strategy
• Develop, deliver and continuously improve the value of Information Technology services provided to Agency Programs, state and federal agencies and Business Partners.
State IT Strategic Plan
• Effectively manage IT investments and efficiently control IT assets, utilization and costs. • Identify and provide additional information technology services and functionality to support State of New Mexico public entities.
Budget and Source of Funds – Appropriation requests and base budgets
Budget in $ Source of Funds
FY11
FY12
$5,000
$5,000
General Funds
General Funds
What is to be accomplished - what the agency proposes to buy, build or update, or service to be improved. Analyze problems and service management data within the Track-IT system to continuously identify and act upon service delivery improvement opportunities Outcome 1 Upgrade Agency PC Operating System from MS Windows XP to MS Window 7 Outcome 2
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When is the outcome to be accomplished FY11
FY14
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
Agency IT Strategic Goal 5 IT Goal, Objectives, and Strategies Worksheet Agency Name:
Office of the State Engineer/Interstate Stream Commission
IT Strategic Goal Improve Agency work products, processes and decisions through use of GIS tools, technologies, and resources. Identify the agency primary goal, or strategy this IT strategic goal supports. Goal:
Agency Goal, or strategy
• Promote the effective administration, distribution, protection, conservation and development of the State’s surface and groundwater. • Complete the adjudication of all water rights in the state. • Protect and maximize the State’s ability to develop and utilize the waters apportioned to it under interstate compacts and decrees. • Develop, deliver and continuously improve the value of Information Technology services provided to Agency Programs, state and federal agencies and Business Partners.
State IT Strategic Plan
• Information Technology must drive efficient delivery of high quality government services that will benefit constituents and support economic development. • Identify and provide additional information technology services and functionality to support State of New Mexico public entities.
Budget and Source of Funds – Appropriation requests and base budgets
Budget in $ Source of Funds
FY11
FY12
$50,000
$50,000
Federal
Federal
What is to be accomplished - what the agency proposes to buy, build or update, or service to be improved. Implement high priority enhancements to the Middle Rio Grande Land & Water Use Analysis System Outcome 1 Develop an Agency GIS Strategic Plan focused on two crosscutting Agency priorities (licensing, AWRM) Outcome 2
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When is the outcome to be accomplished FY12 FY11
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
Agency IT Strategic Goal 6 IT Goal, Objectives, and Strategies Worksheet Agency Name:
Office of the State Engineer/Interstate Stream Commission
IT Strategic Goal Goal:
Improve the Agency’s information security posture.
Identify the agency primary goal, or strategy this IT strategic goal supports. Agency Goal, or strategy State IT Strategic Plan
• Develop, deliver and continuously improve the value of Information Technology services provided to Agency Programs, state and federal agencies and Business Partners. • Information Technology must drive efficient delivery of high quality government services that will benefit constituents and support economic development. • Effectively secure IT assets, data, and systems and mitigate systemic infrastructure risks.
Budget and Source of Funds – Appropriation requests and base budgets
Budget in $ Source of Funds
FY11
FY12
$10,000
$10,000
General Funds
General Funds
What is to be accomplished - what the agency proposes to buy, build or update, or When is the outcome service to be improved. to be accomplished Address high priority information security vulnerabilities identified FY12 in FY10 security audit Outcome 1 Establish disaster-recovery plan for all mission-critical business FY12 applications Outcome 2
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
2. Agency Compliance with IT Consolidation 2.1 Agency IT Consolidation Accomplishments Listed below are FY10 Agency accomplishments in support of State IT consolidation initiatives. Agency FY10 IT Consolidation Plan Items
Agency FY10 IT Consolidation Accomplishments by Item
Agency VMWare Capacity Analysis
Completed capacity analysis and plan to move of additional VMware platform to the State Data Center
Move Additional Production Servers to State Data Center when Infrastructure Meets Agency Service Levels
Completed planning meeting with the Department of IT and established schedule and requirements for move of agency production systems to the State Data Center Successfully moved two new storage servers to the State Data Center as prerequisite to move two mission-critical production applications (WATERS and WRATS) to same data center.
2.2 Agency IT Consolidation Planning Listed below are planned Agency activities in support of State IT consolidation initiatives. Agency Consolidation Planning Items
Target Completion Dates
Move Middle Rio Grande Historical Land and Water Use Analysis System to the State Data Center
9/30/10
Move IT Problem Management System, Track-IT, to the State Data Center Move VMware System, Mogollon, and associated VMs to the State Data Center
10/30/10
Move Water Rights Adjudication Tracking System, WRATS, to the State Data Center
12/31/10
Move Water Administration Technical Engineering System, WATERS, to the State Data Center
3/31/11
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
2.3 Agency Co-located Servers and Agency Applications on Enterprise Servers Servers and Applications
Total Number
Number Since Governor’s Office Directive
Number of co-located servers at the State of New Mexico Enterprise Center
12
2
Number of agency applications residing on State of New Mexico enterprise servers
1
0
Number of co-located servers replaced by moving application to enterprise servers
0
0
2.4 Hosting Exceptions 2.4.1 Current Hosting Exceptions The Agency uses application hosting services outside of the State Data Center for the following: Application
Interstate Stream Commission (ISC) Pecos River Basin Document and GIS Library (Eloquent Web Librarian)
Location of Application Hosting
Exception Letter Dated
Eloquent Systems Data Center (Canada)
N/A. Hosting company provides application support and maintenance services not offered within state government.
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Exception Expiration Date
August 29, 2010
N/A
Dollar amount of Out-of-State Enterprise Data Center Hosting Contract $4,000 per year
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
2.4.2 Anticipated Hosting Exceptions The Agency does not have any plans at this time to host additional services outside of the State Data Center. Application
Location of Application Hosting
Expected reason for requesting an exception
None at this time
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Dollar amount of Out-of-State Enterprise Data Center Hosting Contract
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
3. Agency Accomplishments and Planning 3.1 Agency Major IT Accomplishments of FY10 IT Plan Listed below are major Agency IT accomplishments during FY10. Accomplishment against FY10 initiatives *Projects Completed* New Mexico Water Rights Reporting System (NMWRRS)
Actual Expenditures (000s)
Microsoft Office 2007 Upgrade IT Service Management System Roll-Out (Track-IT)
Improve Network Bandwidth at Manhattan Office Albuquerque Office Move (installed QMOE 100Mbit circuit)
$0
What agency bought, built, or updated.
Impact of Accomplishment
In house application development
Successfully implemented functional enhancements to this web-based reporting system to make information stored in the WATERS (Water Administration Technical Engineering Resource System) readily accessible to the public and internal staff. This system is our Agency’s premier customer selfservice application at this time.
$99.0 GF
Purchased and installed software upgrade
Successfully upgraded all desktop and laptop computers (400) from Microsoft Office 2000 to 2007.
$32.3 GF
Purchased, configured and installed COTS software
Successfully completed the implementation and roll-out of an automated IT problem and service management system across the entire Agency.
$2.7 GF
Installed used radio equipment from DoIT Purchased data network equipment
Successfully improved data network capacity to the Manhattan Street office in Santa Fe with higher capacity radio technology.
$24.0 GF
Purchased data network equipment and firewall
Successfully moved our Albuquerque office which houses over one –hundred (100) employees to a new building. The Agency upgraded from T1 to QMOE data network technology as part of this project with significant benefits: • Improved productivity of staff • Established a hot disaster recovery site • Established infrastructure to support development and test server platforms for entire agency
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan Accomplishment against FY10 initiatives *Projects Completed*
Actual Expenditures (000s)
What agency bought, built, or updated.
Impact of Accomplishment
• Improved physical security Middle Rio Grande Land & Water Use Analysis System (Release 2)
$148.0 FF, $9.0 GF
Purchased data (aerial imagery), data processing services and application development professional services
Successfully acquired new data sets and implement functionality improvements to the GIS application suite used to support water rights adjudication and administration activities in the Middle Rio Grande basin.
Real-Time Water Measurement Information System (Release 1)
$35.0 Capital Outlay, $39.0 GF
Purchased software and telemetry equipment
Successfully implemented an integrated real-time water level and flow measurement system to support active resource water management activities in the Nambe-Pojoaque-Tesuque, Mimbres, San Juan and Pecos river basins.
Water Rights Data Query, Analysis and Exchange System
$136.0 GF
Purchased data integration middleware software and application development professional services.
Successfully completed the design, proof of concept and implementation planning phases for a new system to allow users to query, analyze and exchange data between the water rights administration system, WATERS, and water rights adjudication system, WRATS.
Server Virtualization (Release 2)
$7.0 GF
Purchased VMware software and hardware platforms (HP Proliant) to operate VMware.
Successfully expanded the use of virtualization technology to host additional development and lower-risk production environments on shared hardware. Significantly reduced IT project cycle time with new capability to quickly create, test, and deploy applications. Significantly reduced IT project hardware costs.
WATERS and WRATS application enhancements
$141.0 GF
In-house application development. Purchased software upgrades (MS SQL Server 2008, MS Access 2007).
Successfully completed four major upgrades: 1) WATERS database platform to Informix 11.5 2) WRATS Release 5.6 3) Feith database platform to SQL Server 2008 4) Datacap (document imaging system) upgrade to v 7.5
Information Security
$14.5 GF
Purchased professional
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Successfully completed an assessment
August 29, 2010
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan Accomplishment against FY10 initiatives *Projects Completed* Assessment-Audit
Moved Production Servers to State Data Center Replaced switches in primary building housing legal staff
Actual Expenditures (000s)
$50.0
$3.0
What agency bought, built, or updated.
Impact of Accomplishment
services.
of the Agency’s information security posture as compared to industry best practices and State rules.
Purchased and installed a Cisco 3750 and two Lefthand storage units in State Data Center.
Successfully moved additional production servers and storage servers to the State Data Center.
Replaced old 100Mbit switches with layer 3 Netgear 1G switches
Faster PC connections and greater reliability.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
3.2 Agency Major IT Issues/Concerns within the Agency The following table indicates areas of issues and concerns for the Agency on a scale of 1-10. Issues and Concerns
Agency Rating
Agency Efforts to Address or Mitigate Issue or Concern
Budget
10
The Agency has reduced hardware costs with investments in virtualization technology and by negotiating flat or discount pricing on annual software and hardware maintenance.
Other - State Data Center Open System Backup Rate Increases
10
The Department of IT increased the rate per gigabyte for open system backup by 1,500%, from $0.16 to $2.4, with an annual cost impact to our Agency of $70,000. As a result, the back-up costs associated with moving two of our production servers to the State Data Center are cost prohibitive at this time.
Agency Specific Legacy Application Upgrade or Replacement
9
The Agency has submitted C2 IT Projects (Water Rights System Modernization, Electronic Document and Content Management System) to address the need to upgrade and replace our mission-critical water rights information and document management systems.
Equipment Replacement
9
The Agency has developed a plan for Windows 7 migration from Windows XP. Senior managers have been informed of the costs ($190k) which include upgrades and replacement of older PCs. The costs may be spread over the next 2.5 fiscal years.
Network Performance
8
The Agency has discussed the following concerns with the Department of IT and is interested in no or low cost solutions: Redundancy - All Agency communications paths concentrate at single points of failure. We depend on single communications lines to remote offices, single routers at the State Data Center, and single points of communications (network switches and routers) at all Agency locations. Bandwidth - The bandwidth on the path between our main office and the State Data Center has been reduced from 1Gbit/sec to 200Mbit/sec. The bandwidth is not adequate to allow the Agency to move VMware platforms (operating systems) between these locations. The open system back-up rates are cost prohibitive at this time to move additional file servers to the State Data Center.
Managing Electronic Records
7
The Agency has submitted a C2 IT Project (Electronic Document and Content Management System) over the past 3 years to address electronic records management needs.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan Issues and Concerns
Agency Rating
Agency Efforts to Address or Mitigate Issue or Concern
Storage Management
6
The Agency has over the past two years made a significant investment in network attached and managed storage to meet its growing requirements for data storage and back-up.
Agency Specific Application Maintenance And Support
5
The Agency continues to be challenged with supporting a larger portfolio of business applications without an increase in resources (staff, budget). To address this issue, the Agency IT Governance Committee has made decisions to dedicate IT staff to maintain mission-critical applications.
IT Training
5
The Agency has acquired a subscription for on-line IT books for all IT staff as a substitute for attending classes out of state.
Security
5
The Agency is in the process of implementing highpriority information security improvements based on a comprehensive assessment completed in FY10.
Business Continuity, Disaster Recovery
4
The Agency has added a new IT performance metric within its FY12 Agency Strategic Plan that requires all mission-critical business applications to have an established and tested disaster recovery plan.
Replacing – Hiring Skilled IT Professionals
3
The Agency gives challenging work to its IT staff and a work environment that encourages innovation and use of new technology.
Retaining Skilled IT Professionals
2
The Agency gives challenging work to its IT staff and a work environment that encourages innovation and use of new technology.
Desktop Support
1
The Agency recently implemented an IT service management system that provides a tool to prioritize and manage requests for desktop support. Service levels are being met at this time, however due to budget constraints; more PCs are not under warranty and repairs require more resources (time, staff).
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
3.3 Agency Major IT Initiatives for Current Fiscal Year FY11 The FY11 Major Initiative List is formatted in landscape legal size paper to allow for responses to a list of criteria.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
3.3.1 Major Initiative List FY11 IT Initiatives, Appropriations and Expenditures. Major Initiative
Relationship to Agency or State Strategic Goals
Real-Time Water Measurement Information System (Release 2)
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 1(Outcome 6)
To implement a web-site that provides the public with easy access to real-time water measurement data collected from various river basins.
Public perception that Agency is not willing to share data
$0.0
In-house web application development
Water Rights Data Analysis, Query and Exchange Project
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 2 (Outcome 2)
Fully implement a new system to allow users to query, analyze and exchange data between the water rights administration system, WATERS, and water rights adjudication system, WRATS.
Missed opportunity to significantly improve staff efficiency and collaboration across programs
$0.0
Upgrade Agency PC Operating System from MS Windows XP to MS Window 7
Refer to 1.6 Agency IT Strategic Goals:
Complete testing of Agency PC hardware and software to determine compatibility with MS Windows 7 and acquire funding for hardware and software upgrades.
PC operating software is not support by vendor including security patches
Water Rights System Modernization Service Oriented Architecture (Planning and Design Phase)
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 2 (Outcome 3)
Complete planning and analysis phase with ultimate goal to improve application architecture so that enhancements keep pace with current end evolving water right administration requirements, rules, and regulations.
Migrate Water Rights System, WATERS, to New Hardware Platform
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 2 (Outcome 4)
Change from high cost lease agreement to lower cost hardware platform.
Agency IT Strategic Goal 4 (Outcome 2)
Business Impact
Impact to the Agency if not Accomplished – what risks are associated with this effort?
Certification Phase & Target Dates
If this is a multiyear project what will be accomplished in FY11.
Describe the critical success factors for this Initiative:
N/A
N/A
IT Staff, Standard Q/A Procedures for Water Masters
In-house application development
Implementation (target closure date = 12/31/2010)
N/A
IT Staff, User Training and Acceptance
$10.0
Upgrade PC O/S software (Windows 7) and MS Active Directory (2008)
N/A
High support costs (time, labor) for this mission-critical system and high user inefficiency costs due to workarounds
$30.0
Adopt new application architecture and related tools and methods
N/A
N/A
IT Staff, SOA expertise from consultant
Missed opportunity to lower costs. New platform may not be as stable as old one.
$60.0
New hardware platform
N/A
N/A
IT Staff
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FY11 Budget/ Approp.
8/29/2010 9:00 PM
What the agency proposes to buy, build or update
Hardware and software compatibility testing
Budget
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan Major Initiative
Relationship to Agency or State Strategic Goals
Business Impact
Impact to the Agency if not Accomplished – what risks are associated with this effort?
FY11 Budget/ Approp.
What the agency proposes to buy, build or update
Certification Phase & Target Dates
If this is a multiyear project what will be accomplished in FY11.
Describe the critical success factors for this Initiative:
Enhance WATERS and WRATS applications
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 2 (Outcome 4)
Continue to implement highest priority enhancements to Agency mission-critical applications (WATERS, WRATS).
Negative impact on business operations and customer service levels
$0.0
In-house enhancement of applications
N/A
N/A
IT Staff
Aztec Office Data Network Enhancements
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 4 (Outcome 1)
Implement data network changes to improve office connectivity to videoconferencing, printing and business system services.
Aztec office continues to lack videoconferencing, printing and business system services
$0.0
Redesign of Aztec data network
N/A
N/A
IT Staff, DoIT Network Staff
Agency Reporting and Decision Support Environment
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 1(Outcome 1)
Implement a reporting architecture, separate from the transactional architecture, that provides data query and analysis tools to all Agency programs.
Negative impact on performance of transactional systems
$10.0
In-house development of reporting architecture
N/A
N/A
IT Staff
Improve Agency Information Security Posture
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 6 (Outcome 1)
Address high priority information security vulnerabilities identified in FY10 security best practices assessment.
Exposure from information security vulnerabilities
$10.0
Policy, procedures, encryption software, enhanced system monitoring capabilities.
N/A
N/A
IT Staff, Agency Policy
Enhance MRG Land and Water Use Analysis System
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 5 (Outcome 1)
Implement high-priority enhancements to application. Expand to support additional river basins.
Benefits limited to one basin versus many.
$50.0
In-house and contractor enhancement of application
N/A
N/A
IT Staff (GIS)
GIS Strategic Planning
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 5 (Outcome 2)
Develop an Agency GIS Strategic Plan focused on two Agency strategic priorities (AWRM, Licensing)
GIS priorities not aligned with Agency priorities
Strategic plan
N/A
N/A
GIS Coordinator hired, Program involvement
Move Production Servers to State Data Centers
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 6 (Outcome 2)
Move remaining production servers to State Data Center and enhance wide area network capabilities (redundancy, bandwidth, security) to support these systems from this new location.
Negative impact on system availability and recovery capabilities
Requires enhanced wide area network capabilities (redundancy, bandwidth, security)
N/A
N/A
State Data Center Service Level Agreement, DoIT Ability to Meet Service Levels
$0.0
$30.0
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
3.3.2 List Current Year IT Projects > $100,000
Project Name
Appropriation History ($/Source)
Current Certification Phase
Amount expended as of this Plan
None
3.4 Agency Major IT Initiatives FY12 The FY12 Major Initiative list is formatted in landscape legal size paper to allow for responses to a list of criteria.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
3.4.1 Major FY12 Initiative List FY12 IT Initiatives, Appropriations and Expenditures. Major Initiative
Relationship to Agency or State Strategic Goals
Business Impact
Impact to the Agency if not Accomplished – what risks are associated with this effort?
Water Rights System Modernization - Service Oriented Architecture (Implementation)
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 2 (Outcome 3)
Improve application architecture so that enhancements keep pace with current end evolving water right administration requirements, rules, and regulations.
High support costs (time, labor) for this missioncritical system and high user inefficiency costs due to system workarounds
Electronic Document & Content Management System
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 2 (Outcome 3)
Provide new capabilities to effectively and securely capture, organize, manage and share Agency documents and multimedia content.
High operating costs due to document management inefficiencies
Upgrade Agency PC Operating System from MS Windows XP to MS Window 7
Refer to 1.6 Agency IT Strategic Goals:
Complete testing of Agency PC hardware and software to determine compatibility with MS Windows 7 and acquire funding for hardware and software upgrades.
PC operating software is not support by vendor including security patches
Improve Agency Information Security Posture
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 6 (Outcome 1)
Address high priority information security vulnerabilities identified in FY10 security best practices assessment.
Exposure from information security vulnerabilities
Agency IT Strategic Goal 4 (Outcome 2)
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FY12 Budget/ Approp.
8/29/2010 9:00 PM
$300.0
What the agency proposes to buy, build or update
Certification Phase & Target Dates
If this is a multi-year project what will be accomplished in FY12.
Describe the critical success factors for this initiative:
Adopt new application architecture and related tools and methods
N/A
Complete design and first software release
Budget, IT Staff, SOA expertise, User involvement in business process redesign
Document-content management software and services
N/A
Complete business process design and select software
Budget, IT Staff, User involvement in business process redesign
$90.0
Upgrade PC O/S software
N/A
Upgrade 150 (of 400) PCs
Budget, IT Staff
$15.0
Establish new policy & procedures. Move to private IP address scheme. Purchase web monitoring software.
N/A
N/A
Budget, IT Staff, Agency Policy
(see C2 Request)
$200.0 (see C2 Request)
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan Major Initiative
Redesign Lower Rio Grande GIS application
Relationship to Agency or State Strategic Goals
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 4 (Outcome 2)
Business Impact
Impact to the Agency if not Accomplished – what risks are associated with this effort?
What the agency proposes to buy, build or update
Certification Phase & Target Dates
If this is a multi-year project what will be accomplished in FY12.
Describe the critical success factors for this initiative:
The Agency needs a GIS framework to support its Lower Rio Grande adjudication activities in Las Cruces.
Risk of system failure: current database (Informix 9) is currently not supported and GIS software (Arc Info) is on extended support.
$10.0
Upgrade database software; redesign application software
N/A
N/A
Budget, IT Staff
$7.0
Migrate from T1 to QMOE service. Need $ for conduit from curb to building.
N/A
N/A
IT Staff, DoIT Network Staff
$30.0
New firewalls and routers.
N/A
N/A
Budget, IT Staff
Improve Las Cruces Office Network Performance
Refer to 1.6 Agency IT Strategic Goals: Agency IT Strategic Goal 4 (Outcome 1)
Improve staff productivity.
Las Cruces office productivity continues to suffer from slow connection to Santa Fe. The router is 10+ years old and may fail.
Replace Aging Data Network Equipment
Refer to 1.6 Agency IT Strategic Goals:
Improve network reliability and performance.
Probable multi-day network outages with impacts to many staff.
Agency IT Strategic Goal 4 (Outcome 2)
FY12 Budget/ Approp.
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
3.4.2 FY12 Projects 3.4.2.1 Listed below are proposed multi-year IT projects that will extend beyond FY12. Project Name
Project Purpose
Stakeholders
Water Rights System Modernization - Service Oriented Architecture (Implementation)
To improve business agility so as to keep pace with current end evolving water right administration requirements, rules, and regulations. To extend the life, reduce support costs, and accelerate the cycle time for making enhancements to the Agency water rights administration system.
Agency Staff
Electronic Document & Content Management System
To provide new capabilities to effectively and securely capture, organize, manage and share Agency documents and multimedia content. To make water resource and management information easily accessible to the public and to Agency staff.
Agency Staff
Water Right Owners
Funding Amount $300.0 (FY12), $450.0 (Total) CSEF
Public
Public
$200.0 (FY12), $1,250.0 (Total) CSEF
Courts Government Agencies Consultants
3.4.2.2 Compliance Spreadsheets Please refer to FY12 C2 IT Project Business Cases.
3.5 Identification of Joint Funding Opportunities The table below describes joint funding opportunities that the agency is interested in planning with other agencies. Potential Application, Services or Process Electronic Document and Content Management System - The OSE/ISC is aware of other state agencies that are in need of similar solutions and we are willing to collaborate with other state agencies to share costs and technology.
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Potential partners General Services Department Department of Public Safety State Records Center & Archives
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
4. Agency Applications, Legacy and New 4.1 Agency IT Business Application Portfolio Confirmation of Agency Review and Update of Agency IT Portfolio Entries The Office of the State Engineer-Interstate Stream Commission has reviewed and updated its Agency IT Application entries in the State of New Mexico Agency IT Application Portfolio.
4.2 Planned Major Changes for Agency Application The following table lists and describes major changes planned for agency applications such as retirement, replacement of legacy applications, eliminations/consolidations, upgrades and updates and identified gaps in coverage.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan Application Name
Constituents Served
Brief Description
Major Changes
Water Rights Adjudication Tracking System (WRATS)
Courts Water Right Owners
Upgrade of user interface, database and hardware platforms (MS Access 2007, MS SQL Server 2008, VMware)
Water Rights Administration and Technical Engineering Systems (WATERS)
Water Right Owners Public
This system generates legal pleadings and manages data and attorney work product as water rights are adjudicated by the court system. This system stores a variety of historical and current data, document and work products to facilitate the processing of water rights applications and to administer water rights.
iDrop (Intranet)
Agency Staff
Track-IT
Agency Staff
FASGov Fixed Asset Accounting System
Agency Staff
Feith Document Management System
Water Right Owners Agency Staff Public
An electronic document management system which manages images of scanned water rights documents
Pecos River Basin Document Library (Eloquent Web Librarian)
Agency Staff Public
An electronic document management system which manages images of scanned water rights documents
Provides access to agency policies, procedures, forms and other internal information. IT problem and service request management system Determines the value of Agency assets.
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Part of a Certified Project? No
FY11, FY12 or Both FY11
Change hardware platform from HP-UX running on HP RP4440 to Linux running on VMware or HP-UX running on HP Itanium. Change application architecture to serviceoriented architecture. Implement software to allow exchange of data with the Water Rights Adjudication Tracking System (WRATS) Implement an open source web content management solution, Joomla, to manage this web site. Implement asset management module as part of software package. Retire and replace with in-house developed MS Access application.
No
Both
No
FY11
No
FY11
No
FY11
Option 1 (preferred): Replace multiple bureau specific document imaging and management systems with a modern enterprise document and content management (EDCMS) system Option 2: Upgrade current water rights administration imaging and document management software Replace multiple bureau specific document imaging and management systems with a modern enterprise document and content management (EDCMS) system
No
FY12
No
FY12
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
4.3 Data Ownership and Sharing The following table lists and describes current data sharing initiatives between the Agency and other government entities. Sharing Initiative
Collaborating Agencies
Geospatial Data – Transportation • Requested quarterly
NM Department of Transportation
Geospatial Data – Property • Requested quarterly
NM Taxation and Revenue Department
Geospatial Data – National Hydrography Dataset (NHD)* • Updated continuously
• Water Resources Research Institute (NMSU) • USGS
Geospatial Data - Domestic Well Locations • Provided upon request Geospatial Data – Water Right Data • Provided upon request
Accomplishments Verifies location of water rights and address files Verifies location of water rights and addresses for adjudication and ownership changes. The Agency participates in this collaborative partnership among Federal and State agencies to maintain a shared “high resolution” National Hydrography Dataset.
NM Environment Department Ground Water Quality Bureau
Provide domestic well location data
New Mexico county governments New Mexico conservation districts
Provide and exchange hydrographic survey data, plane table survey data and water right filing maps
•
NHD is a comprehensive set of digital spatial data that encodes information about naturally occurring and constructed bodies of water, paths through which water flows, and related entities.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
5. Management of IT Infrastructure and IT Assets Confirmation of Update of Agency IT Inventory The Office of the State Engineer-Interstate Stream Commission has reviewed and updated its Agency IT Inventory entries in the State of New Mexico Agency IT Inventory Asset Management Program.
5.1 Asset Management Process Asset Inventory Process
Responses
% of information technology assets inventoried and managed through an automated asset management system
The Agency has recently acquired the asset management module that is integrated with our IT service management system, Track-IT. This asset management software captures computer hardware and software profiles to provide a computer asset inventory. Our TrackIT asset inventory is approximately 95% complete at this time.
Process used to inventory and manage IT assets, or name of tool(s) used
The Agency has maintained a manual computer asset inventory over the past several years and this manual inventory has been updated on an annual basis to comply with capital asset inventory requirements. The Agency has also updated the State of New Mexico Technical Inventory Database provided by the Department of IT as a component of our annual IT plan. IT equipment purchases exceeding $5,000 in costs are recorded in an application called FasGov. Starting July 2010, the official agency IT asset inventory will be maintained in our IT Service Management system, Track-IT.
5.2 Equipment and Software Refreshment Cycles and Policy 5.2.1 IT Asset Refreshment Cycle Policy and Practice Type of IT Asset Desktop
Refreshment Cycle Policy, Practice or Goal For FY12 we are planning to start upgrading our PC operating systems from Windows XP to Windows 7. We are planning to upgrade 150 PCs in FY12 with purchases of additional memory and hard drives as needed. We are planning to replace 10 % of our PCs in FY11, a decrease from previous refresh rates of 15% per year.
Servers
Replace servers that are 5+ year old or once hardware maintenance costs exceed 10% of replacement cost.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan Refreshment Cycle Policy, Practice or Goal
Type of IT Asset
Replace VMware servers once hosting capacity > 65% of memory or CPU Storage
Replace storage platforms that are 5+ years old or once hardware maintenance costs exceed 10% of replacement cost
Network
Replace network equipment that are 8+ years old or upon failure once repair cost exceed 30% of replacement cost. The Agency maintains spares of key components.
5.2.2 What Equipment and Software is anticipated to be refreshed in FY11FY12? Description
Type of IT Asset Desktop
FY11 or FY12 or Both
PC hardware and software to support MS Windows 7 upgrade from Windows XP (150 PCs):
FY12-FY14
• PC software licenses = $25,500 • PC software upgrades = $10,000 Servers
• PC hardware upgrades-replacements $40,000 Server hardware and software to support MS Windows 7 upgrade:
FY12-FY14
• Server Hardware Replacements = $22,000 • Server Operating System Upgrade = $2,800 VMware Servers
Network
• Server Back-up Software = $3,200 VMware hardware and software to support mission-critical applications (WRATS and WATERS) • Two VMware servers = $100,000 Routers in Las Cruces, Roswell and Deming offices
Both
Both
• Three Cisco routers = $24,000
5.3 Data Storage Terabytes stored at Agency
Type of Storage
Terabytes stored at the Enterprise Data Center
Tier 1 Disk – faster and more expensive disk drives for quicker access of regularly used data or transactions.
3.8 TB
0.2 TB
Tier 2 Disk - slower, more economical disk drives used for less regularly accessed data, or less often changed data.
38.4 TB
13.0 TB
4.5 TB
0.0 TB
40.2 TB
15.4 TB
Optical Disk - used for archiving function where data must be kept on-hand. Tape - used for back-up and recovery functions, including offsite storage.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
5.4 Network 5.4.1 Network Diagrams A topology map of the current Agency network design is provided as Appendix D. Agency/Department IT Contact Person(s) Name:
John Buchser
Desk Number:
505 827-3828
Cell Number:
505 231-6645
Email address:
[email protected]
Agency/Department after hours support Y/N
No
Topology Map (all layers) for agency including Security: DOIT/Agency Dmarc
At the State Data Center
IP Subnets (Public and Private)
164.64.x: .50, .51, .67-.72, .124
Default gateway/s
Each switch has 1 (generally) or 2 vlans. Each vlan has a unique gateway (network+1). Most switches are 24 port. Router in each non-Santa Fe location. Firewall in The State Data Center and Albuquerque
Locations of routers and firewalls
5.5 Security and Reliability Upgrades 5.5.1 Security and Reliability Upgrades Area
Initiatives, Operations, Issues
Firewalls
Add firewalls to all physical locations & to most sensitive servers
Remote Access
No changes planned
Wireless Network Access Points (Wi-Fi)
Install in Agency Library a segregate network with Qwest DSL service
Intrusion Detection/Prevention Systems
Add Snort IDS in various network locations
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
5.6 Cyber Security 5.6.1 Cyber Security Details The information requested on the Agency data Cyber Security Program has been submitted on CD and hand delivered to the Simms Building at part of his plan.
5.7 System Monitoring and Management Tools Inventory 5.7.1 What system monitoring and management tools are used by the agency? Vendor
Product
Function
Open Source
Cacti
System Monitoring – Collects switch, firewall, and server information for review and analysis
Solar Winds
Kiwi
System Logging – Collects syslog entries for review and analysis
5.8 Electronic Records Retention Plans Public records that are created, maintained and stored in an electronic environment are subject to records retention requirements established in statute (NMSA 1978), administrative law (NMAC) or through policy (Internet/Email). Electronic public records must be managed for the entire lifecycle of the record from creation to final disposition. The following table provides a brief description of the current OSE/ISC electronic records management program. Retention Program Requirement
Current Compliance State and Activities
Written retention policy directives for the use and management of email.
The Agency does not have a written email retention policy in place at this time.
Standard operating procedures for the capture, storage, and disposition of webcontent that meets the definition of a public record.
Agency web-content that meets the definition of a public record represent copies of electronic documents managed within the Agency for which standard document management procedures are in place.
Standard operating procedures for storage, retrieval, access, security, and disposition of electronic data residing in systems that meets the definition of a public record (regardless of whether it is exempt from public disclosure).
The Agency has established standard procedures for the management of paper and electronic water rights administration records which have been designated as permanent public records. The Agency submits annual updates to its electronic water rights administration document imaging and management plan for approval from the State Records Administrator.
Procedures or guidelines for implementing records retention periods identified in general and executive records retention and disposition schedules.
The Agency has a records schedule that identifies the retention period for specific documents and information.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan Retention Program Requirement
Current Compliance State and Activities
Procedures for securing electronic records from tampering or deletion if warranted by litigation, audit, etc.
The Agency has recently provided training to staff attorneys and contract attorneys on eDiscovery rules, regulations and statutes. The Agency is considering developing policies and procedures in this area.
Policies and procedures for identifying and protecting records deemed essential for continuity of mission-critical business operations.
The Agency has policies and procedures in places to protect electronic records and data deemed essential to business operations.
Compliance assessment initiatives to monitor, audit, and enforce records management policies and procedures.
The Agency does not have a compliance evaluation and monitoring process in place at this time.
5.9 Business Continuity The Agency has shifted its backup strategy over the last two years as it has acquired storage servers that have been distributed over multiple locations. The acquisition of VMware as a primary platform to support our servers has also offered new opportunities. The ‘snapshot’ feature within VMware has provided a quick means to benchmark points in the development cycle, which has reduced the risks and efforts associated with development environment recovery. The Agency creates snapshots of our storage system for all major office locations except Las Cruces. We also create snapshots of our production VM instances, maintaining one to two weeks worth of daily snapshots. This practice allows us to quickly restore failed VMs and files. The State Data Center offers the easiest backup option through its centralized backup system; however, this option represents the highest per-unit backup cost to the Agency. All production systems with dynamic data at the State Data Center are backed up to this enterprise storage. Agency files are backed up via this same mechanism. Many systems are still backed up on a daily basis onto tape, with three systems having tape libraries. Our primary verification of recovery systems is through occasional use of backups to restore files. We have successfully transferred all the files on the mission-critical legacy system, WATERS, using one of the weekly backup tape sets. All tape media is monitored for failure and replacement of all media of comparable age is considered upon each failure event. Tape media from the Bataan and Concha Ortiz y Pino buildings is stored in the Lew Wallace building. Data from our Manhattan location in Santa Fe, and our Roswell and Deming offices, is replicated to the State Data Center. Quarterly tape archives from Albuquerque and Las Cruces are stored in the Bataan Memorial building. The Agency has experienced frequent 30 minute to 2 hour power outages in the downtown Santa Fe area over the last year. For these events, we maintain a checklist that specifies the
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan power-up sequence of servers. We had two servers totally fail as a result of power failures in FY10 and we were fortunate to replace these by putting memory and disk from the failed systems into systems retired from other agencies. These servers have been scheduled for replacement. The Agency does not have an up to date business continuity plan. The last plan dated September 2007 specified resorting to paper processes in the event of a major disaster. A contingency plan that depends on paper processes is no longer a reasonable alternative for the Agency. In the case of a major site failure, the Agency will need re-build production systems on development environments and restore systems and data in priority sequence.
5.9.1 Business Continuity Program Scorecard
#
Business Continuity Program Scorecard (OSE/ISC)
No
YY-MM
Requires Additional Services to Complete
X
TBD
Staff
Date to be Completed Yes
1
Does your agency currently have a Business Continuity (BC) Program?
2
Does your agency currently have a Business Continuity Plan (BCP) in place?
3
If #2 is YES, has your agency reviewed and updated the BC Plan within the last year?
X
Staff
4
If #2 is NO, is your agency currently in the process of developing a BC Plan?
X
Staff
5
If #2 is YES, Does your agency BC Plan include a Continuity of Operations Plan (COOP)?
6
If #2 is YES, Does your agency BC Plan include a Disaster Recovery (DR) Plan?
7
If #2 is YES, does your agency BC Plan include a Communication Plan?
8
If #2 is YES, does your agency BC Plan include a Risk Management Plan?
9
If #2 is YES, does your agency BC Plan include a Resumption of Service Plan?
10
If #2 is YES, does your agency BC Plan include a Return to Normal Operations Plan?
11
If #2 is YES, has your agency tested your BCP?
12
Has your agency conducted a Threat and Risk Assessment?
X
TBD
Staff
13
Has your agency conducted a Business Impact Analysis (BIA)?
X
TBD
Staff
14
Does your agency have a BC/DR Management policy?
X
TBD
Staff
15
If #6 is YES, has your agency reviewed and updated the DR Plan within the last year?
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X
August 29, 2010
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
#
Business Continuity Program Scorecard (OSE/ISC)
16
If #6 is YES, has your agency completed a structured walk-through (table top) DR test?
17
If #6 is YES, has your agency completed a checklist DR test?
18
If #6 is YES, has your agency completed a simulation DR test?
19
If #6 is YES, has your agency completed a parallel DR test?
20
If #6 is YES, has your agency completed a full interruption DR test?
21
Is your agency BC Plan dependent on DoIT?
22
If so what is DoIT’s role in your plan?
Page # 46
Date to be Completed Yes
No
X
August 29, 2010
YY-MM
Requires Additional Services to Complete
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
6. IT Human Capital Management 6.1 Agency IT Staff Composition Job Class Title
Org Level
Position Type
FTE
INFR
NONINFR
Perm #
Employee Name
1
5989
Martinez, Renee
Admin-Ops Manager - IT GIS Section
95
Permanent
0.9
0.9
2
6042
VACANT
Business Analyst
85
Permanent
1.0
1.0
3
63894
Hayes, Steve
IT Database Administrator II
80
Permanent
1.0
1.0
Applications Section 4
5988
Ortega, Mercedes
IT Systems Manager Level IV
85
Permanent
1.0
1.0
5
6038
Pearce, Brent
IT Applications Developer II
75
Permanent
1.0
1.0
6
49062
Hardy, Diana
IT Applications Developer II
75
Permanent
1.0
1.0
7
58985
Lindsay, Jina
Business Analyst
85
Permanent
1.0
1.0
8
58986
Balch, Sarah
IT Applications Developer II
75
Permanent
1.0
1.0
9
62995
Gao, Frank
IT Applications Developer III
85
Permanent
1.0
1.0
10
64615
VACANT
IT Applications Developer II
75
Permanent
1.0
1.0
11
34575
Mackenzie, Michael
IT Applications Developer III 85 End User Support Section
Permanent
1.0
1.0
12
5987
Sutt, Tarmo
IT Systems Manager Level III
80
Permanent
1.0
1.0
13
6127
Barela, Lisa
IT Tech Support Specialist II
70
Permanent
1.0
1.0
14
5990
Lopez, Chris
IT Tech Support Specialist III
70
Permanent
1.0
1.0
15
62996
Pacheco, Larry
IT Tech Support Specialist III
70
Permanent
1.0
1.0
16
63893
McKnight, Rodney
IT Tech Support Specialist III Infrastructure
70
Permanent
1.0
1.0
17
49549
Buchser, John
Information Technologist II
85
Permanent
1.0
1.0
TOTALS
16.9
1.00
15.90
6%
94%
Staff HR Inventory.xls
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
6.2 Staffing Gaps and Recruitment – Specific Skills related to Gaps and Hiring Issues Agency skill sets that represent staffing gaps and recruitment issues are: Specific Skill Set Informix 4GL
Gap Impacts
Mitigation Steps
Only 2 IT staff have Informix 4GL programming skills required to enhance our mission-critical legacy WATERS application
Modernize system using Java and service-oriented architecture
6.3 Agency IT Staff Training Plans Agency specific IT training needs are listed in the table below. IT Training Area
Typical IT Training Provider
Number of Staff to be Trained
Momentum SI, Torry Harris, Amenta
8 (2 managers, 6 technical)
$2,000
New Horizons
4
$2,000
Microsoft Windows Server 2008 (5 days)
SkillSoft (online)
4
$600
Joomla Web Content Management Software (1 day)
Joomla Training
1
$300 (not including travel and per diem).
Microsoft (online – MS website)
1
$300
Learning Tree International
1
$2,900 (not including travel and per diem)
Virtual Graffiti, Inc.
2
$5,000 (not including travel and per diem)
New Horizons
1
$3,000
ONLC Training Centers
2
$700
Tandberg
1
SAN Institute (online)
1
Service-oriented architecture (design, development, security, governance) Microsoft Active Directory (5 days)
Microsoft SQL Server 2008 Database Development Software Development Requirements VMware (5 days) Cisco (5 days) Microsoft Project (2 days) Tandberg Video Conferencing Management Security Essentials
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Typical Individual Cost of Training
$3,600
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
7. IT Business Management Areas 7.1 IT Service Management Initiatives 7.1.1 ITIL Initiatives What Initiatives is the Agency IT planning and taking to structure and improve IT service delivery? Initiative
Specific Agency Activity
IT Project Portfolio Management
The Agency has a mature IT project portfolio management process. The Agency IT Governance Committee manages the IT Project Portfolio for the Agency as a whole. The Committee approves and prioritizes new IT projects based on business case justifications. Project portfolio management is an IT management best practice that allows IT and program management to sift and prioritize demand for IT resources. Without it, IT tends to work on everything on a continuously growing list of demands. Project portfolio management gives the Agency the ability to set priorities based upon the relative value of requests.
IT Problem and Service Request Management
During FY10, the Agency successfully completed the implementation and roll-out of an automated IT problem and service management system across the entire Agency. Standard operating procedures and service levels are in place to support this service delivery initiative.
IT Project Management
The Agency has selected project management as its FY11 and FY12 process improvement initiative. The Agency manages 10-15 larger IT projects each year. The goal is to improve project planning, communications, resource management and outcomes.
IT Performance Management
The Agency has established IT performance measures and goals within the Agency. Please refer to the IT Performance Scorecard in Section 1.5 Agency IT Performance Measures.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
7.2 IT Project Management 7.2.1 Project Management Organization Question
Response
Does agency have an active project management office?
No, our agency IT work-unit is small with 17 employees.
Number of Agency Employees serving as project managers
4
Number of Agency Employees holding certification as project managers
0, One employee completed a project management certification course in FY09.
Number of Contractors serving as project managers
0, One part-time contractor PM served on one project during FY10.
Does agency have an online Project Management tracking application
No.
What does agency use for tracking projects, individual project spreadsheets, and project management application?
Project Management Plan (MS Word). Project Status Report (MS Word). Project Business Case Template (MS Word). Project Portfolio Gantt Chart (MS Project).
7.3 System and Solution Development Life Cycles The State of New Mexico IT Strategic Plan sets forth the requirement for agencies to follow a proven standard for project implementation and the project certification process calls for agencies to detail their product development life cycle.
7.3.1 Product Development Life Cycle The following model (source: Ken Robertson, KLR Consulting Inc.) was used to evaluate and specify the maturity level of the Agency’s IT project management practices: • • • • •
Level 1 – Ad-hoc (No formal consistent process) Level 2 – Foundation (Consistent basic approach to project execution) Level 3 – Managed (Consistent full life cycle approach to project management) Level 4 – Integrated (Institutionalized and integrated into planning process) Level 5 – Optimizing (Project centered organization) Project Management Lifecycle Components
Maturity Level
Project Planning and Justification
4
Project Risk Management
2
Project Change Management
3
Project Issue Management
3
Project Communications (including Status Reporting)
4
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan Project Management Lifecycle Components
Maturity Level
Project Budget and Schedule Management
4
Project Knowledge Management (e.g. documentation, lessons learned, shared assets)
1
Project Execution
3
7.3.2 Web Application Development and Production Platforms 7.3.2.1 Web Application Platforms Web Application Platforms Used By The Agency
Comments
Java v1.6 uses JSP v2.0, JSF v2.0
New Mexico Water Rights Reporting System (NMWRSS) User Interface
Spring 2.5 Framework and Hibernate v3.2.5
Used to connect to Informix database
GlassFish Web Application Server v2.1
Open Source Web Application Server
Jasper Reports V3.1.0
Report engine
Apache Web Server v2.2
Open Source Web Server
XML, HTML, CSS(cascading style sheets), Javascript, XSLT(extensible stylesheet language transformations)
Web development platform for Agency website and intranet
7.4 Business Partners and Vendors 7.4.1 What topics would be useful to the agency in a program or workshop on improving vendor or supplier management? Topic
Outcome Expectation
Contractor Delivery Management
More effectively managing contractor performance
Contractor Negotiation Skills
More effectively negotiating terms favorable and needed by the Agency
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
8. IT Fiscal and Budget Management 8.1 C1Form
Agency Name: Appropriation Funding Type:
Information Technology Base Operating Budget Informational Purposes Only Office of the State Engineer (OSE)/Interstate 550 Agency Stream Commission (ISC) Code: Base Request Operational Support of IT Please check one of the options below: or Expansion from previous year Flat Budget Revenue IT Base Budget (dollars in thousands) FY09 Actual FY10 Actual FY11 OpBud 1,548.2
1,344.5
1,351.6
FY012 Request 1,367.8
833.6
1,241.3
1,271.4
1,250.3
1,250.3
2,381.8 2,585.8 2,623.0 Expenditure Categories (dollars in thousands) FY09 Actual FY10 Actual FY11 OpBud
2,618.1
2,618.1
General Fund Other State Funds ISF/IAT Federal Funds Total
Category or Account Description Personal Services & 1,306.2 Employee Benefits Contractual & 331.6 Professional Services 744.0 IT Other Services Other Financing Uses Total 2,381.8 Agency Cabinet Secretary/Director (mandatory) John R. D’Antonio, Jr., P.E. Print Name
FY12 Request
FY13 Estimate 1,367.8
FY13 Estimate
1,344.5
1,351.6
1,367.8
1,367.8
214.0 1,027.3
176.2 1,095.2
184.1 1,066.2
184.1 1,066.2
2,585.8
2,623.0
2,618.1
2,618.1
CIO or IT Lead (mandatory) Renée Martínez
Budget Director (mandatory) Curtis Eckhart
9/1/2010
9/1/2010
9/1/2010
827-6091
827-6131
476-0536
[email protected]
[email protected]
[email protected]
Signature Phone Date Email Address
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
8.2 Projected IT Projects: Capital, Special, Supplemental Form Capital Improvement Project Funding The OSE/ISC does not have a funding request for FY12 under this category.
Special Funding The OSE/ISC does not have a funding request for FY12 under this category.
Supplemental Funding The OSE/ISC does not have a funding request for FY12 under this category.
8.3 Requests for Reauthorization of General Appropriations Act The OSE/ISC does not seek reauthorization for prior year appropriations...
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
9. Enterprise Alignment - Agency IT Planning related to State of New Mexico IT Strategic Plan 9.1 Government Services Portal for New Mexico’s Citizens and Businesses 9.1.1 Potential Applications for New Mexico Constituent Portal The following list of customer service facing applications could be linked in a New Mexico Constituent Portal Application
Specific Service Provided
Business Domain
New Mexico Water Rights Reporting System (NMWRRS)
This web-based reporting system makes information stored in the WATERS (Water Administration Technical Engineering Resource System) readily accessible to the public and internal staff. This system is our Agency’s premier customer self-service application at this time. http://nmwrrs.ose.state.nm.us
Natural Resources
New Mexico Landscape Irrigation "Smart" Calculator
This interactive web application helps New Mexico residents and landscapers with irrigation scheduling. The application provides users with recommended irrigation amounts and cycle times. http://irrcalc.ose.state.nm.us/irrcalc
Natural Resources
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
9.2 Agency Application Information Map 9.2.1 Agency Applications for State Application Information Roadmap The following table lists the key agency business applications that should be included in a State of New Mexico Agency Application Information Map. Appendix A provides a narrative description of these applications. Application WATERS
Constituents Served Agency Staff Water Right Owners Counties and Municipalities Public
Water Rights Adjudication Tracking System (WRATS)
Agency Staff Water Right Owners Courts
Middle Rio Grande Land and Water Use Analysis System
ISC-Rio Grande Basin Division Water Right Administration Program
Services Provided
Data Collected and Analyzed
Line of Business
Manages historical and current data, documents, and work products to facilitate the processing of water rights applications and to administer water rights. Provides the ability to scan and image paper documents and maps and associate these with water right transactions.
Water Right Transactions (License, Permit, Transfer) Water Right Elements (Owner Priority Date, Place of Use, Point of Diversion, Quantity)
Natural Resources
Generates legal pleadings and manages data and attorney work product as water rights are adjudicated by the court system
Legal Pleadings
Natural Resources
Provides geospatial and analytical tools to calculate consumptive water use totals, validate water right claims, and verify water use compliance.
Historical land use data
Provides agency staff the public with water level and flow data transmitted from measurement sites in the field
Water level and flow measurement data
Offers of Judgments
Natural Resources
Aerial imagery
Litigation & Adjudication Program New Mexico RealTime Water Measurement Information System
Agency Staff Public Water Right Owners
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Natural Resources
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
9.3 Participation in Business Domain Teams with other Agencies 9.3.1 Line of Business Collaboration Line of Business
Activity or Collaboration
Resource Management
Well Data Sharing with the Environment Department
Resource Management
GIS Data Sharing with Multiple Agencies (Transportation, Energy Minerals & Natural Resources, Game & Fish, Land Office)
9.4 Participation in Common Business Function Collaboration with other Agencies 9.4.1 Established Collaboration Areas Collaborative Initiative New Mexico Geospatial Advisory Committee (NMGAC)
Collaborating Agencies
Accomplishments
Cultural Affairs
NMGAC is a standing committee of the New Mexico Department of Information Technology (DOIT); its mission is to provide a forum for state and local governments to:
Finance & Administration
• Coordinate geospatial technology in New Mexico state government
State Engineer Land Office
• Develop policy recommendations and guidelines concerning geospatial technology in New Mexico state government
Transportation Energy, Minerals & Natural Resources
NOREX IT Organization Consortium
Over 300 private and public IT organizations
• Share geospatial technology and data among all government agencies and the public NOREX is a consortium of IT organizations that share and exchange IT documents and information. Our Agency has participated in the following: • Web conference calls (approximately 20 per year) with members on IT topics specifically requested by members • Web-based online repository of shared documents for access by members; including policies, procedures, checklists, report templates, and RFPs. • Member to member networking and referrals on topics specifically requested by OSE/ISC. • Regional forums for members to discuss IT topics specifically requested by members.
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
9.4.2 Areas that the agency would like to collaborate on with other agencies Collaborative Initiative
Possible Collaborating Agencies
Possible Accomplishments
Service Oriented Architecture
Children, Youth and Families
Share knowledge, training and common infrastructure
Electronic Document & Management Solutions
General Services
Share knowledge, training and software
Public Safety State Records & Archives
Web Content Management Solutions
Any State Agency using this technology
Share knowledge, training and software
Security Administration Tools and Techniques
Any State Agency using encryption, intrusion detection, web monitoring software
Share policy, procedures, knowledge, training and software
Relational Database Administration (Informix, MS SQL Server)
Any State Agency using this technology
Share knowledge, training and software
9.5 Emerging Technology 9.5.1 Agency participation in or plans for emerging technology The OSE/ISC is planning or currently using the following emerging technologies as part of its technology portfolio. Emerging Technology
Planned
Virtualization
The Agency is in the process of testing VMware as a platform to run our mission critical business applications.
Virtual Desktop
The Agency has recently researched this option as part of its Windows 7 project planning. Due to budget constraints this technology is not planned for use in the near future,
Web conferencing
The Agency plans to use the web conferencing system offered by the Department of IT once it is available
In Use Most all of our application development and test environments run on VMware. The Water Rights Reporting System (production) also runs on VMware.
Collaborative Web Content Management
Our Agency is piloting an open source solution, Joomla, to redesign its intranet.
Mobile Workforce
Our Agency approves employee telecommuting privileges on a case by case basis and utilizes VPN technology to
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan Emerging Technology
Planned
In Use support this as an option. The Agency uses remote telemetry to store and forward water level and flow measurement data via satellite and radio from the field to our main office in Santa Fe.
Remote Sensing
VOIP
No current plans
No current uses
Social Media/Networking
No current plans
No current uses
Cloud Computing
No current plans
No current uses
Thin Client Computing
No current plans
No current uses
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
Appendix A: Agency Information Application Map Entries
Page 1
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
APPLICATION - The Water Administration Technical Engineering Resource System (WATERS) and New Mexico Water Rights Reporting System (NMWRRS)
The Water Resources Allocation Program (WRAP) within the New Mexico Office of the State Engineer (NMOSE) is responsible for processing water rights applications, conducting the scientific research for making water rights decisions, maintaining water rights records, and enforcing any conditions or restrictions on water use. To make the massive amount of water rights information managed by the agency more accessible to employees and the public, the NMOSE has developed the New Mexico Water Rights Reporting System. This web-based system provides users with easy access to water rights data and documents. The reports include:
• •
Well Log and Well Meter Reports Water Column Reports
•
Water Rights Summary Reports
•
Point of Diversion Reports
•
Well Driller Reports
•
Subdivision Review Reports
Page 2
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
APPLICATION - Water Rights Adjudication Tracking System (WRATS)
Water management in New Mexico is guided by several nearly 100-year-old principles in the New Mexico Constitution. The Litigation and Adjudication program of the Office of the State Engineer and the Interstate Stream Commission play an integral part in helping assure those principles are adhered to and the most prudent actions are taken with regard to supervising the state’s water resources. Adjudications determine who owns what water rights and in what amount. They are required by statute. The purpose of adjudication is to obtain a judicial determination and definition of water rights within each stream system or underground basin so that the State Engineer may effectively perform water rights administration and meet New Mexico’s interstate stream obligations.
The Water Rights Adjudication Tracking System is used by the New Mexico Office of the State Engineer to generate legal pleadings and manage
The State Engineer is responsible for active adjudication currently underway in federal and state courts in New Mexico. About 30 percent of the state has been adjudicated.
its data and attorney work product as water rights are adjudicated by the court system
Page 3
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
APPLICATION – Middle Rio Grande Land Use and Water Use Analysis System
Managing deliveries in the river basins in New Mexico is a critical function for the New Mexico Interstate Stream Commission (ISC). ISC staff analyze, review, and implement projects in New Mexico and analyze stream flow, reservoir levels, and other data on stream systems. The Rio Grande is the second longest river in North America, totaling more than 1,800 miles in length. It is second only in length to the Mississippi/Missouri River of the Central U.S. The Rio Grande headwaters begin in the southern Colorado Rockies and stretch south to the Gulf of Mexico. It is the predominant drainage feature in New Mexico.
To Agency has applied geospatial information technology (GIT) to automate the process for evaluating historical changes in land and water use within the Middle Rio Grande basin. This state of the art information system provides analytical tools to calculate consumptive water use totals, validate water right claims, and verify water use compliance. Although initially focused on the Middle Rio Grande, the applications may be extended to other water basins in support of the Agency’s primary operational strategy, i.e. Active Water Resource Management.
Page 4
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
APPLICATION – New Mexico Real-Time Water Measurement Information System New Mexico Streamflow Gage Reports by Basin and Measurement Station The
New
Mexico
Engineer/Interstate
Office Stream
of
the
State
Commission
Farmington Station (San Juan Basin) - Stage/Flow Graph (30 Days)
(OSE/ISC) engages in "active water resource management." This means the State Engineer administers water rights and interstate compact agreements throughout the state. In order to do this, the OSE/ISC maintains a network of stream, acequia, ditch and well monitoring sites which electronically transmit data values via radio and satellite technology and stores the data in a database. This real-time water measurement data is available by basin for each active gage/well.
Page 5
FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
Appendix B: FY12 Project Base Budget Compliance Spreadsheets List of FY12 Base Budget Projects Project No projects exceed $100.0 in FY12 costs
Description
Estimated Cost of Project
N/A
N/A
Appendix C: Current Agency Projects Not in Compliance Project No current projects are out of compliance
Phase or Status
Estimated cost of Project
N/A
N/A
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
Appendix D: Agency Data Network Diagram – High Level
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FY12 Office of the State Engineer (OSE) / Interstate Stream Commission (ISC) IT Plan
Page 8
Appendix E-1 Water Rights System Modernization (C-2)
Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1)
I. Executive Summary: The Office of the State Engineer and Interstate Stream Commission, collectively, “the Agency”, are responsible for actively managing the water resources of New Mexico. On a daily basis the Agency serves water right owners across the State of New Mexico by processing water right claims and related transactions (changes of ownership, permit applications, well log submittals, certificates of construction, proof of beneficial use, well meter readings). Customer service and Agency efficiency with respect to processing water rights transactions is inextricably tied to the performance of the Agency water rights administration information system. The purpose of this Project to redesign the current water rights administration information management system using a service-oriented architecture (SOA). A recent assessment of the current system surfaced performance issues related to the platform (Informix 4GL) of the current system and significant opportunities to improve user productivity and reduce the cycle time involved with making changes to the system to support new rules and regulations. The Agency recommends a modernization of the current system to address these issues and opportunities. The Agency seeks $300,000 in FY12 funding to complete the design and start an iterative application re-development cycle. The Agency issued an RFP for SOA professional services in FY10 and is in the process of selecting a vendor to assist with the requirements, analysis and prototyping phases of the project during FY11.
II. Business Problem and Opportunity: A.
Problem Statement
The Agency is not able to enhance the current system at a pace that is necessary to support new water right administration requirements, rules and regulations. System users have been forced to implement many workarounds due to limitations of the current system architecture. Only two of seven application developers within the agency have the programming skills required to make enhancements to the current system. The Agency recommends a modernization of the current system to address its shortcomings.
B.
Alignment with Agency Strategic Plan The primary goal of the project is improve the effectiveness of the water rights transactional system. This goal is in direct alignment with the goals and objectives of the Agency as a whole. More specifically, the project will enable to Agency to achieve the following strategic goals and objectives as specific in the FY12 Agency Strategic Plan: Goal 1 - Promote the Effective Administration, Distribution, Protection, Conservation and Development of the State’s Surface and Ground Water through Active Water Resource Management (AWRM) Objective A - To administer water rights from an electronic platform that includes a database of existing rights and applications, an application status and tracking system and a geographic information system. Performance Measure: Number of water right transactions abstracted into the Waters Administration Technical Engineering Resource System (WATERS) database annually. 1
Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1)
FY12 Target: 22,000 Comment – Customer service and Agency efficiency with respect to processing water rights transactions is inextricably tied to the water rights administration information system. The system will be designed with a focus on ease of use and reduction in cycle time to implement enhancements. Goal 7 - Develop, deliver and continuously improve the value of Information Technology services provided to Agency programs, state and federal agencies and business partners. Objective - Enhance Agency mission-critical systems, WATERS and WRATS, to catch up and keep pace with business practices, rules and regulations. Strategy - Modernize the water rights information management system to improve business agility C.
Alignment with Governor’s Performance & Accountability Contract New Mexico Governor Richardson’s Performance and Accountability Contract includes eight goals for protecting and promoting New Mexico’s environment. The Office of the State Engineer and Interstate Stream Commission play a key role in achieving these goals. As stated in the contract, “New Mexico has both finite water supplies and abundant energy supplies that must be actively managed for the future. Through resource management, interagency coordination and adequate funding, our water, energy, and natural resources will be developed and preserved for all New Mexicans. The specific goals that this project supports are: Goal 1 - Ensure New Mexico’s Water Supply for Future Economic Vitality while Protecting the Environment and Preserving the State’s Diverse Customs and Cultures Task 1.1 - Ensure reliable water supplies for New Mexicans through active water resource management Performance Measure - Percent readiness to implement active water resource management in seven critical basins. (FY11 Target = 95%) Performance Measure: Percent of water right application transactions abstracted into the WATERS database (FY11 Target = 65%) The Agency will reach need a high performing water rights transactional system in order to meet these key performance targets in FY11 and future years.
2
Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1)
D.
Alignment with State IT Strategic Plan The Water Rights System Modernization Project supports the strategic goals and objectives stated in the State of New Mexico IT Strategic Plan FY2010‐FY2013. Goal 1 - Information Technology Must Drive Efficient Delivery of High Quality Government Services that will Benefit Constituents and Support Economic Development The system will be redesigned to reduce customer service cycle times and improve customer accessibility to water rights data. The system will be designed to reduce costs associated with developing and implementing enhancements.
III. Proposed Project Objectives: The Office of the State Engineer (OSE) and Interstate Stream Commission (ISC) intends to significantly improve the value of the Agency water rights transactional system. Our key project objectives include the following: •
Improve Productivity of Staff by Improving the System User Interface –
Heavy users of the current system seem to prefer the keystroke navigation interface provided by the legacy Informix 4GL system. It allows them to quickly enter and modify data in the system. Browser based interfaces by their nature are mouse oriented and do not lend themselves to the fast data entry of the 4GL keystroke navigation interface leading to frustration among the power users. The 4GL implementation is limited in its ability to provide modern services such as convenient text editors or interfaces to web based services to display and interact with graphical information such as maps. A Service Oriented Architecture (SOA) approach using a rich internet client could provide a “best of both worlds: solution. •
Improve Ease of System Maintenance –
A redesign of the current system to separate the user interface, business logic, and database layers of the system is needed to reduce the cycle time associated with building, testing and deploying enhancements to the system. The front and back ends of the current system are so tightly coupled that modifying one part of the software effects many other parts; this makes maintenance complex, time consuming and costly.
3
Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1)
A.
Implementation Approach & Schedule The Agency will take a phased approach to this project. The following table provides a proposed schedule for project phases. Project Phase Architecture Planning
Develop Prototype
Design
Deliverables • Current State Analysis • Target-State Analysis • Architecture Roadmap • Project Plan • Acquire Technology • Determine Scope • Build and Demonstrate • Document Prototype Findings • Revise Project Plan • Define & Prioritize Services • Release 1 Use Cases • Release 1 Design Specifications
Start Date
End Date
Oct. 2010
Dec. 2010
Jan. 2011
Mar. 2011
May 2011
Jul. 2011
Build, Test, Deploy Release 1
• Release 1 Build • Release 1 Test • Release 1 Training & Deployment • Release 2 Use Cases • Release 2 Design Specifications
Aug. 2011
Oct. 2011
Build, Test, Deploy Release 2
• Release 2 Build • Release 2 Test • Release 2 Training & Deployment • Release 3 Use Cases • Release 3 Design Specifications
Nov. 2011
Jan. 2012
Build, Test, Deploy Release 3
• Release 3 Build • Release 3 Test • Release 3 Training & Deployment • Release 4 Use Cases • Release 4 Design Specifications
Feb. 2012
Apr. 2012
Build, Test, Deploy Release 4
• Release 4 Build • Release 4 Test • Release 4 Training & Deployment
May. 2012
Jul. 2012
4
Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1)
The SOA planning, analysis and prototyping activities will be completed during FY11. The deliverables for this effort include the following:
1. Deliverable Number 1: Project Kick-Off Meeting Minutes and Work Plan Project Kick-Off Meeting Minutes and Work Plan Task Item
Sub Tasks
Description
Project Kickoff Activities
1.1 Project Kickoff Meeting Minutes
Subtask 1.1 – Conduct a project kickoff meeting. The team will consist of Agency IT staff, program staff and contractor staff. Agenda items will include review of the project scope, schedule, major deliverables, key assumptions, roles and responsibilities, implementation approach, and knowledge transfer approach. Document meeting results.
1.2 Develop Project Work Plan
Subtask 1.2 – Develop and maintain a detailed project work plan.
2. Deliverable Number 2: Current State Application Architecture Assessment Current State Application Architecture Assessment Task Item Assess the Current Application Architecture Environment
Sub Tasks
Description
2.1 Assess Current Application Architecture Environment
Conduct an assessment of the AGENCY application architecture environment. The assessment shall serve as a baseline for purposes of comparing the gap between the current and future application architecture environment.
2.2 Define New System Architecture Specification
Evaluate the strengths and weaknesses of the current environment as it relates to: • Business Strategy and Process • Architecture: A review of current architectures, policies, and standards • Cost and Benefits: Overview of existing cost and benefit structures • Building Blocks: An analysis of existing services, processes, tools, and technologies • Projects and Applications: Review of existing systems and active and planned projects • Organization and Governance: Analysis of existing organizational and governance structures, capacity and policies Document findings and conclusions in a report.
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Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1)
3. Deliverable Number 3: Future State SOA-Based Application Architecture Framework Future State Application Architecture Assessment Task Item Define Future SOA-Based Application Architecture Specifications
Sub Tasks 3.1 Specify Future Application Architecture Environment
Description Specify a SOA-based application architecture with sections that focus on the following key elements: • Business Strategy and Process: Correlation of SOA future vision with business strategies and processes • Architecture: Architecture guiding principles, requirements, policies, standards, and reference architecture • Cost and Benefits: Metrics and measurement requirements • Building Blocks: Shared services infrastructure requirements, tools and technologies • Projects and Applications: SOA mapping to active and planned WATER RIGHTS SYSTEM related projects • Organization and Governance: Organizational and governance structures, capacity and policies
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Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1)
4. Deliverable Number 4: SOA Transition Roadmap SOA Transition Roadmap Task Item Develop a Roadmap to Transition the AGENCY from the Current to Future State Application Architecture Environment
Sub Tasks 4.1 Specify Roadmap to Transition from Current to Future State
Description Specify a roadmap to include decisions, investments, activities and schedules; with a focus on the following elements: • Business Strategy and Process: Opportunity alignment by business value • Architecture: Near-, medium-, and long-term reference architecture roadmap • Cost and Benefits: Future metrics, cost and benefit structures • Building Blocks: Prioritization of shared services and standardized processes • Projects and Applications: Impacts to project and application portfolios • Organization and Governance: Proposed organizational and governance skills, structures and policies The roadmap defines what the AGENCY needs to accomplish in order to achieve AGENCY SOA goals as stated in the Future State SOA Application Architecture. Near-term events shall be more detailed, while later events will be more fluid - so that they might incorporate lessons learned as the AGENCY moves forward.
4.2 Evaluate SOA Technology Alternatives
Evaluate SOA vendors and products referenced in the SOA roadmap, based on criteria approved by the AGENCY. Document evaluation findings and recommendations in a report.
4.3 Develop Business Case for SOA Investment
Develop a business case to provide a justification for AGENCY investment in a SOA-based application architecture to modernize the Agency water rights information management system and other related AGENCY applications.
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Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1)
5. Deliverable Number 5: SOA Training SOA Training Task Item
Sub Tasks
Description
SOA Training
5.1 Provide SOA Training
Prepare and conduct SOA application architecture training for AGENCY IT and program staff with the objective of facilitating AGENCY participation in the SOA prototyping and proof of concept activities.
6. Deliverable Number 6: SOA Prototype and Proof of Concept SOA Prototype and Proof of Concept Task Item
Sub Tasks
Prototype and 6.1 Design, Build Proof of and Demonstrate Concept WATER RIGHTS SYSTEM Prototype
Description Select a highly used WATER RIGHTS SYSTEM use case to build and demonstrate a prototype. The prototype should demonstrate the use and benefits of the recommended SOA application architecture and take into consideration the skills and expertise of the AGENCY. At least two AGENCY IT staff who completed the SOA training provided in Deliverable 5 will join the prototype development team.
6.2 Revise SOA Roadmap and Business Case based on Prototype/Proof of Concept Findings
Revise the SOA roadmap and business case previously developed to reflect findings and conclusions from the proof of concept.
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Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1)
IV. Business Risks: The business risks associated with implementing this solution include: •
Focus on short-term cost reduction – Some of benefits targeted by the Agency from this project such as ease of system maintenance will not be realized immediately.
•
Should the Agency adopt a service-oriented architecture for the system upgrade, the project will become complex. In this case, the Agency must start slowly and migrate water rights system capabilities from the current platform to the new platform one function at a time.
V. Alternative Solutions: 1. Status quo 2. Proceed with design and implementation phases of the Water Rights System modernization project.
VI. Cost-Benefit Analysis: Alternative 1: Do Nothing COSTS (in thousands) NonRecurring
Item
BENEFITS (in thousands)
Recurring (5 years)
Inefficiency Costs
Total
NonRecurring
Item
Recurring (5 years) Total
$874.0 $874.0 None $874.0 $874.0
Total
Total
$0.0
$0.0
$0.0
Alternative 2: Apply a new architecture and new technologies to modernize the Water Rights system COSTS (in thousands) NonRecurring
Item IT Professional Services
$300.0
Software Licenses & Maintenance
Training
$75.0
$75.0 Total
$450.0
BENEFITS (in thousands)
Recurring (5 years)
Total
Recurring NonRecurring (5 years)
Item
$300.0 Reduction in water rights staff labor for system data entry by 50% $50.0 $125.0 Reduction in IT labor to implement system changes by 30% Reduction in staff time to fix data integrity errors by 100% $75.0 $50.0 $500.0
Total
Total
$624.0
$624.0
$225.0
$225.0
$25.0
$25.0
$874.0
$874.0
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Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1)
Benefits
Alternative 1 None
Alternative 2 • Improve staff productivity by redesigning the user interface • Reduce system complexity and associated system maintenance costs by separating the user interface, business logic, and database segments of the system
Tangible Benefits
• Improve ability to recruit and retain applications development staff Intangible Benefits
VII.
None
• Improved customer service image of the Agency
Recommendation:
Alternative 2 – Proceed with the design and implementation phases of the Water Rights System modernization project
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Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1)
C2 Form Information Technology Data Processing - Computer Systems Enhancement Fund or Capital Outlay Agency Name: Project Name: Multi-Agency Project Project Type and Specifics:
Category or Account Description General Fund Other State Funds InterAgency Transfers/ Internal Service Funds Federal Funds Total
0 0 0 0.0 0.0 50.0 300.0 Expenditure Categories (dollars in thousands) FY08 & Prior FY09 Actual FY10 OpBud FY11 Actual Reques t
Personal Services & Employee Benefits Professional Services IT Other Services IT Services Travel/Lodging /Training IT Maintenance IT Supplies/Inv. Exempt IT Equip Capital Outlay Other Financing Uses Total
Print Name Signature Date Phone Email
550 OSE-ISC Agency Code: Water Rights System 5/1/2011 to Modernization Projected Start/End Date: 6/30/2012 Yes No List agencies participating: Computer Systems Enhancement Fund Please check one of the options below: or Existing Systems New System Development (Upgrade, Enhancement, Expansion) Revenue Project Cost (dollars in thousands) FY09 & FY10 Actual FY11 FY12 FY13 Estimate Prior OpBud Request 0 0 50.0 300.0 150.0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0
0 50.0 0 0 0 0 0 0 0
0.0
0.0
50.0
150.0 FY12 Estimate
200.0
100.0
75.0 25.0
50.0
300.0
150.0
Agency Cabinet Secretary (mandatory)
CIO or IT Lead (mandatory)
Budget Director (mandatory)
John R. D’Antonio, Jr., P.E
Renée Martínez
Curtis Eckhart
9/1/2010 827-6091
[email protected]
9/1/2010 827-6131
[email protected]
9/1/2010 476-0536
[email protected]
11
Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1) Investment Protection: Business Continuance & Disaster Recovery Plans
Compliance with IT Consolidation
x x x x x x
x
IT functions of the project have been or will be reviewed by the agency CIO or IT Lead to minimize duplication and redundancy. This project reports to or will report to a Secretary or Director who is a single point of accountability for IT within the agency. This project has been or will be reviewed by DoIT for participation in existing or future common IT functions usable across multiple agencies. Project has planned, will plan for or has conducted a pilot test of applicability and operability in an actual business environment. Project has planned or will plan for or conduct a proof of concept of the technology to be used. Project has addressed or will address governance to identify decision points and accountability to ensure successful implementation.
x
Project is or will actively address security and data integrity issues.
x x
Project is or will actively address disaster recovery and business continuance issues and records retention Project is or will actively address privacy issues.
x
Project is or will actively address regulatory compliance issues.
x
A risk profile has been created or will be created and will be updated at the start of each phase of the project.
x
Project is or will, wherever possible, act as a supplier and user of shared technical resources with the State. Project is or will work with other state agencies to maximize savings through participating in bulk purchases and licensing of standardized components and solutions. If already in service, the project manager has performed a recent gap analysis against current state security, privacy, architecture, DR and BC requirements and standards.
Compliance with the Enterprise IT Strategic Plan An IV&V provider has been selected or will x be selected and is ready to provide independent quality assurance. project “uses” or will use existing x This common IT functions from other agencies.
x
x x
This project could benefit from common IT functions usable across multiple agencies.
x
x
Project has or will identify common (shareable) business functions and data.
x
x
Project is or will use middleware, where appropriate, to enhance access to all data.
x
x
Any common services to be “provided” by this project to other agencies or external parties are provided at competitive rates.
x
Compliance with the Framework For Enterprise Architecture Plan Project is or will be in compliance with the current Enterprise IT Architecture Standards for the state. Data and information managed by the project are or will be handled and protected as an enterprise asset. Project is or will, wherever possible, participate as a supplier or user of reusable enterprise architecture components. Project is or will assess risks and engineering security into every layer of project implementation. Project has or will plan for or conduct a proof of concept of the technology to be used. Project is or will collaborate between IT and business leaders during analysis and review to provide advice on technologies.
12
Office of the State Engineer/Interstate Stream Commission Water Rights System Modernization Project Business Case - FY12 IT Plan (Priority #1) Compliance with the Enterprise IT Strategic Plan is or will actively address security x Project and data integrity issues.
x x x x x x
x
Project has or will give thorough and appropriate consideration to common hosting and data center models. Project has or will give thorough and appropriate consideration to open source components.
x
Project has or will give thorough and appropriate consideration to common, distributed and remote support models. Project is or will implement and participate in state-wide approaches to business continuity and disaster recovery solutions. Project is or will actively participate in any appropriate statewide or group purchases of products, software or services to minimize costs. Project is or will comply with business case and other project planning and ROI evaluations appropriate to the size and cost of the project.
x
x
Compliance with the Framework For Enterprise Architecture Plan Project owners are or will take responsibility for initiating analysis and review. Project has or will consider application of COTS (commercial off-the-shelf). Project is or will manage a separation of presentation logic, business logic and data access to maximize reusability of components. Project is or will actively address system management issues.
13
Appendix E-2 Electronic DocumentContent Management System Business Case (C-2)
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2)
I. Executive Summary: The Office of the State Engineer and Interstate Stream Commission, collectively, “the Agency”, are responsible for actively managing the water resources of New Mexico. On a daily basis the Agency collects, creates and manages a high volume of historical and contemporary water management-related documents and other unstructured information. The Agency’s current water rights document imaging and management capabilities are limited. The system in place is used by only one of four Agency programs, the technology is twenty (20) years old, and software upgrades have not kept pace with the evolving business needs of the Agency. The purpose of this Project is to replace the current water rights document imaging and management system with a modern enterprise document and content management (EDCMS) system and to expand the use of the system and its capabilities to all Agency programs. The new Agency EDCMS will allow all programs to effectively and securely capture, organize, manage and share documents. Important functions of the system include document imaging, check-in/checkout, version control, rule-based archiving, workflow management, electronic forms, and support for rich multimedia (audio, graphics, video, voice, and photo) content. The total estimated cost for this project is $1,250,000 based on information received from several vendors that provide top-tier software scaled for mid-sized organizations. The Agency is requesting $200,000 in FY12 to complete the Business Process Validation, System Requirements Refinement and Solution Selection phases of the project. A business process design and requirements definition for the current water rights imaging and document management system was completed several years ago and has evolved over time as the current system has been operating. A validation and refinement of these will be done prior to moving forward into the request for proposal phase of the project.
II. Business Problem and Opportunity: The activities of water resource management are becoming increasingly more complex and information intensive. The demand for quick and easy access to documents and content from internal and external parties is escalating. The Agency does not have the document and content management capabilities needed to achieve its goals. The opportunities to improve Agency performance by implementing the new EDCMS are significant and include the following: •
Make Water Resource and Management Information More Accessible to the Public Because the Agency depends on manual paper processes to support important program activities, it can take days or even weeks to respond to constituent inquiries and requests. Constituents can perceive the Agency as unresponsive or negligent, when in fact it's just difficult and time-consuming to find and access the information. The fact is that relying on manual processes frequently results in procedural bottlenecks that negatively impact the constituent experience and image of the Agency. These bottlenecks not only adversely impact the customer experience, but also directly contribute to lower productivity and higher operational expense. In Fiscal Year 2010 over 25,000 water right transactions were processed, each requiring a detailed review of water-right records. An advanced EDCMS with direct web access to imaged documents will allow the public to instantly retrieve these records from home or 1
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2)
office at no cost. A process that used to take as long four weeks could be done instantly via the Internet. This also will provide direct savings to OSE staff. In FY 10 with 46% of the documents available on- line the OSE website recorded approximately 445,000 public downloads 1 . Assuming these would have resulted in a call or visit to the OSE office consuming fifteen minutes of OSE staff time the savings in FY 10 was $2.4 million (rounded). •
Improve Customer Service Efficiency – The availability of a new EDCMS at the seven field office front desks allows the public instant electronic access to customer records, water right forms and documents improving response time by 500%. Where an EDCMS is not available, the Water Rights Division spends 14% of its personnel time assisting customers to retrieve these records. Based on a total annual personnel budget of $6.4M the annual savings = $700K (rounded).
•
Improve Productivity of Staff – Another challenge of paper-based processes associated with critical business areas is the inability to promptly access documents that are stored offsite or in disparate storage rooms within the organization. The result is that information retrieval becomes difficult, timeconsuming and costly. Many Agency employees routinely need to collect, access and reference documents related to adjudications, water rights, and interstate stream compacts. When water right applications are received by the OSE, the staff is required to research the records to determine if: (1) the right is based on a valid/legal claim, (2) the applicant is the owner of record, (3) the quantity of water claimed is available, (4) the location of the points of diversion are correctly identified, and other miscellaneous items. Without an effective document imaging and management system, Agency staff must research through paper files to make these determinations; The OSE Water-Rights Division processing statistics indicates an annual labor savings of $2.4 million with 46% of documents available electronically.
•
More Efficient Litigation Document Discovery An EDCMS would generate significant efficiencies for the Agency Litigation and Adjudication Program in the information discovery process for civil and administrative litigation.
•
Reduce the Number of Lost and Misplaced Documents The Agency is required by statute (NMSA 72-2-7) to allow public access to water right records. These records can be as old as 100 hundred years, are distributed throughout six field offices and are constantly being viewed and handled by staff, law firms, consulting firms and the general public. Concern for the integrity of the documents is high as they are original legal property records. Only through an EDCMS can the OSE meet its statutory requirements while preserving the documents.
•
Improve Compliance with Record Management Rules, Regulations and Standards An EDCMS makes it much simpler and less costly to comply with records requirements such as Information of Public Records Act (IPRA) requests. The Agency receives up to 50 IPRA requests a year and the cost savings for each associated with managing Agency documents in a central electronic document repository is $2,000.
2
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2) •
Improve Internal Capabilities to Create, Organize and Publish Documents and Rich Multimedia Content The Agency creates and receives hundreds of documents, reports, publications, emails, videos, and other information items each year. Many of these documents and information items are published on the Agency web site (http://www.ose.state.nm.us ). The Agency will use the new EDCMS to manage an organize web content and email records. The new system will allow the Agency to comply with the State Records Management Requirements for Electronic Messages.
A.
Alignment with Agency Strategic Plan
The primary goal of the project is improve internal and public access to important historical and contemporary water resources management documents. This goal is in direct alignment with the goals and objectives of the Agency as a whole. More specifically, the project will enable to Agency to achieve the following strategic goals and objectives as specific in the FY12 Agency Strategic Plan: Goal 1 - Promote the Effective Administration, Distribution, Protection, Conservation and Development of the State’s Surface and Ground Water Through Active Water Resource Management (AWRM) Objective A - To administer water rights from an electronic platform that includes a database of existing rights and applications, an application status and tracking system and a geographic information system Performance Measure: Number of water right transactions abstracted into the Waters Administration Technical Engineering Resource System (WATERS) database annually. (FY12 Target: 22,000) • It would be difficult to find closer alignment between project goals and objectives. The project will allow the Agency to image paper documents and store electronic documents and then associate these documents with water right transactions so that the electronic file for each water right is complete and easily accessible to staff and the public. • The focus of the Agency in FY11 and FY12 will be to abstract and image existing water files for AWRM priority basins into the WATERS database including applications and documents as they are received for fully abstracted areas. Objective I - Lead efforts to collect, store, analyze, disseminate and utilize water resource data • The volume of water resource data created and collected by the Agency is tremendous and includes complex surface water and ground water models, hydrographic surveys, well metering data, regional water plans, state water plans, agreements, settlements, and decrees. This data is scattered across the organization and not easily accessible to Agency staff or the public. By implementing an Agency electronic document and web content management system, we will be leading the effort to improve the organization and dissemination of important water resource data for internal and external stakeholders.
3
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2)
Goal 1 - Develop, deliver and continuously improve the value of human resource, financial, information technology and budget services provided to the Agency Programs and business partners Objective I - Make water resource and management information more accessible to internal users and the public. Performance Measure: % annual increase in public visits to Agency web site (average visits per month) (FY12 Target: 10%) Performance Measure: % annual increase in public report requests from the Water Rights Reporting System (average requests per month) (FY12 Target: 10%) B.
Alignment with Governor’s Performance & Accountability Contract
New Mexico Governor Richardson’s Performance and Accountability Contract includes eight goals for protecting and promoting New Mexico’s environment. The Office of the State Engineer and Interstate Stream Commission play a key role in achieving these goals. As stated in the contract, “New Mexico has both finite water supplies and abundant energy supplies that must be actively managed for the future. Through resource management, interagency coordination and adequate funding, our water, energy, and natural resources will be developed and preserved for all New Mexicans. The specific goals that this project supports are: Goal 1 - Ensure New Mexico’s Water Supply for Future Economic Vitality while Protecting the Environment and Preserving the State’s Diverse Customs and Cultures Task 1.1 - Ensure reliable water supplies for New Mexicans through active water resource management Performance Measure - Percent readiness to implement active water resource management in seven critical basins (FY11 Target: 95%) Performance Measure – Percent of water right application transactions abstracted into the WATERS database (FY11 Target: 65%) The collection and organization of water right documents in these critical basins is essential to preparing the Agency to engage in Active Water Resource Management (AWRM). AWRM refers to a broad range of activities that emphasize permitting transfers, monitoring and metering diversions, and limiting diversion of water to the amount authorized by existing water rights – all within the prior appropriation system. The EDCMS will allow the Agency to image paper documents and store electronic documents and then associate these documents with water right transactions so that the electronic file for each water right is complete and easily accessible to staff and the public.
4
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2)
C.
Alignment with State IT Strategic Plan
The EDCMS Project supports two of the strategic goals and objectives stated in the State of New Mexico IT Strategic Plan FY2010‐FY2013 • Information Technology Must Drive Efficient Delivery of High Quality Government Services That Will Benefit Constituents and Support Economic Development The costs saving opportunities related to this project are significant. The Water Rights Division spends 14% of its personnel time assisting customers retrieve electronic and paper water rights records. The new system will allow customers and the public to retrieve these records on-line. The Agency provides water resource management information as a service to the citizens of New Mexico. The public demand for our information services including water right documents, technical publications, web sites, and videos is high and growing as water resources become more scarce, valuable and marketable. This project is essential to improve the access and delivery of important water resource management information to the citizens of this State. • Consolidate Enterprise Information Technology Services to Mitigate and Eliminate Duplication This project will allow the Agency to consolidate five disparate document management systems currently in place into a single enterprise system. Furthermore, this project supports and the Enterprise Repository Project. A key project objective is to integrate each agency’s document-content management system with a Centralized Electronic Records Repository (CERR.) The CERR will manage the State of New Mexico's electronic public records. While the Enterprise ECM Project is taking a strategic enterprise view of managing content, and constructing a platform architecture designed to manage content across the enterprise, we are taking a step-by-step tactical approach with each agencies’ content, documents and electronic records. State agencies that have received funding to date are the State Records and Archives Center, Tax and Revenue Department, Human Services Department, and the General Services Department (Risk Management Division).
III. Proposed Project Objectives: The Office of the State Engineer (OSE) and Interstate Stream Commission (ISC) intends to implement a new EDCMS to replace an imaging and document management system in place for historical water rights documents and to organize and manage content (paper documents, electronic documents, web sites, maps, photos, videos) critical to all programs within the Agency. Our key project objectives include the following: •
The Agency EDCMS will be used to capture, organize, and manage the legal, hydrographic and administration documents and related content associated with completed and active water right adjudications.
5
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2)
•
The Agency EDCMS will be used to capture, organize and manage documents and related content required to process water rights applications, conduct scientific research behind water rights decisions, and to enforce conditions or restrictions on water use.
•
The Agency EDCMS will make designated documents and content from all programs (Water Resource Allocation Program, Interstate Stream Commission, Litigation and Adjudication Program, Program Support) available to the public in a consistent, timely and accurate manner via an easy to use web interface.
The following table provides a view of the type of paper and electronic documents processed by Agency programs that can be more effectively managed in the new EDCMS. Program Litigation & Adjudication
Water Resource Allocation
Interstate Stream Compact Compliance
Program Support
Document Type • • • • • • • • • • • • • • • • •
Court Orders Briefs Dockets Memos Claimant Correspondence Water Right Transactions (1) Abstracted Water Right Transactions (Historical) Technical Publications Agreements & Settlements Regional Water Plans Technical Publications State Water Plan Updates Technical Publications Agency Publications Professional Contracts Procurement Web Pages
Current Qty
Additional per Year
600,000
80,000
350,000
22,000
20,000
1,000
50,000
5,000
Note (1): This include applications, well log submittals, certificates of construction, change of ownership, proof of beneficial use, hearing unit exhibits, technical reports, well meter readings, maps
6
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2)
A. Implementation Approach & Schedule The Agency will take a phased approach to implementing the new EDCMS by program once the business process design and system requirements are specified for all Agency programs. The following table provides proposed schedule for project phases. Project Phase Business Process Design
Requirements Definition
Solution Selection
Install, Configure, Deploy Release 1
Program Focus • Water Resource Allocation (validation) • Litigation & Adjudication • Interstate Stream Compact Compliance • Program Support • Water Resource Allocation (validation) • Litigation & Adjudication • Interstate Stream Compact Compliance • Program Support • Water Resource Allocation • Litigation & Adjudication • Interstate Stream Compact Compliance • Program Support Water Resource Allocation
Install, Configure, Deploy Release 2
Interstate Stream Compact Compliance
Install, Configure, Deploy Release 3
Litigation & Adjudication
Install, Configure, Deploy Release 4
Program Support
Start Date
End Date
May 2010
Aug. 2010
Sep. 2010
Dec. 2010
Jan. 2011
May 2011
Jun. 2011
Dec. 2011
Jan. 2012
Jun. 2012
Jul. 2012
Dec. 2012
Jan. 2013
Jun. 2013
A business process design and requirements definition for the Water Resource Allocation Program was completed several years ago and has evolved over time as the current water rights document imaging and management system has been operating. A validation and refinement of both will be done as part of this project. B. Business Process Design Phase The first step in our EDCMS implementation plan is to perform a work-flow and documentmanagement analysis within each participating Agency program. This analysis will be done in three activities. The first will be a "kick-off" meeting where the following questions are answered: •
What is an electronic document and content management system?
•
What is the purpose of the project? 7
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2) •
What level of commitment is required?
•
What do we hope to achieve?
The second activity involves making appointments with key personnel in the program to gain a detailed understanding of their documents and work-flow requirements. Lastly, the project team will meet to go over the findings of the detailed analysis and review the overall work-flow schematic. C. Requirements Definition Phase Figure A shows the various functional components within modern Enterprise Content Management (ECM) solutions offered by vendors. Program specific requirements for each component will be defined for each Agency program as part of the Requirements Definition phase of the Project. Figure A Enterprise Content Management
Document Imaging
Document Management
Records Management
Integrated Document Archive & Retrieval
Digital Asset Management
Workflow Management
e-Forms Processing
Web Content Management
Documentcentric Collaboration
Email Archiving
ECM Components D. Solution Selection Phase A matrix of functional and technical system requirements will be developed and incorporated into the Request for Proposal (RFP). Vendors will be required to indicate which requirements their proposed software solution satisfies (partially or completely). The Agency will leverage the knowledge and expertise of State of New Mexico agencies who have successfully implemented electronic document and content management systems (e.g. Tax and Revenue Department, Human Services Department, State Records and Archives Center) as well as the Gartner Group to develop a high quality RFP for the purposes of comparing alternative vendors and software solutions and selecting a vendor and product that best satisfies the Agency and State requirements for electronic document and records management, A key requirement will be the archival of Agency electronic records into the central records repository managed by the State Records and Archives Center.
8
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2)
E. Install, Configure, Deploy Phase Agency program implementations must be scheduled and a timetable established. This timetable will provide a guideline and reflect the estimated time to perform each task in each program. We estimate that it will take approximately six months to complete the work in each program, including analyzing document requirements, ordering and installing equipment/software upgrades, and training. In some instances, program implementations will occur serially, with overlap towards the later part of the phase. The final implementation timetable will be determined based on the complexity and scope (i.e. number of EDCMS components) of program requirements. Workstation hardware upgrades and software installations will take place according to the predetermined program implementation timetable. Every effort will be made to protect the original investments in equipment and network configurations. Additionally, functions currently being performed in the programs, such as word processing, spreadsheets, and host access, will be retained where appropriate. While participating programs will need to purchase EDCMS workstation software, only a few will need new hardware. Some will be able to upgrade their current workstation hardware to enhance the potential for better performance, and some will need no additional hardware. The costs associated with image-enabling workstations will depend on the existing workstation configurations. After the equipment and software are installed, user training, the most important part of a successful system implementation, will begin. The key will be to provide this training in a timely manner and to as many users as possible. Training will be customized for the users' needs and the specific EDCMs applications (e.g. imaging, web content) to be used. With a project of this magnitude, post-implementation reviews will be essential. This will ensure that user requirements are satisfied and that all components function according to expectations. We plan to conduct these reviews approximately six to eight weeks after the initial program implementation. At that time the users and the implementation team will meet to determine the progress of the project and what if any adjustments are required.
IV. Business Risks: The business risks associated with not implementing this solution include: • •
Increased backlog and cycle times for water right transactions (applications, permits, etc.) Water information is not available to the public in a timely, consistent, and accurate manner
The business risks associated with implementing this solution include: • •
•
Changes to federal or state laws for electronic records management Adequate program and management support to redesign business processes to maximize benefits – Commitments from program managers to redesign will be required to proceed with program implementations Focus on short-term cost reduction - Traditional paper processes are labor intensive and expensive, leading to implementation of document management systems. But implementing such a system and focusing solely on short-term cost reduction is a mistake. Improvements in process quality and performance provide more valuable and visible results. 9
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2) •
Implementing a system that is difficult to change - The document management system selected by the Agency must be adaptable to workflow changes. Any system that is difficult to change will become increasingly out of synch with the changing business environment that it supports.
V. Alternative Solutions: 1. Status quo 2. Implement a commercial EDCMS solution specific to the functions and features needed by the Agency
10
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2)
VI. Cost-Benefit Analysis: Alternative 1: Do Nothing COSTS (in thousands)
BENEFITS (in thousands)
Recurring NonRecurring (5 years)
Item Inefficiency Costs
$18,550.0
Total
Total
Recurring NonRecurring (5 years)
Item
Total
$18,550.0 None
$18,550.0 $18,550.0
Total
$0.0
$0.0
$0.0
Alternative 2: Implement a commercial EDCMS solution specific to the functions and features needed by the Agency COSTS (in thousands)
BENEFITS (in thousands)
Recurri ng Non(5 Recurring years)
Item IT Professional Services
$800.0
Software Licenses & Maintenance
$300.0
$200.0
Hardware & Hardware Maintenance
$100.0
$100.0
$50.0
$0.0
Training
Total
$1,250.0 $300.00
Cost Model
Total
Recurring NonRecurring (5 years)
Item
$800.0 Reduction in labor costs to respond to public information requests $500.0 Reduction in labor costs to research water rights claims $200.0 Reduction is labor costs associated with IPRA requests $50.0
$1,550.0
FY12 Phase I-3
$11,500.0 $11,500.0
Total
FY13 Phase 4-5
Total
$7,000.0
$6,000.0
$50.0
$50.0
$18,550.0 $18,550.0
FY14 Phase 6-7
Total
300 - Contractual Consulting
$80,000
Implementation Services Training
$80,000 $400,000
$320,000
$720,000
$20,000
$20,000
$10,000
$50,000
$100,000
$100,000
$100,000
$300,000
$60,000
$40,000
$100,000
400 - Other Software Hardware
Totals
$200,000
$580,000
$470,000 $1,250,000 11
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2)
Benefits
Alternative 1 None
Tangible Benefits
Intangible Benefits
None
Alternative 2 • Reduced staff time to address public information requests • Reduced time to research water rights claims • Reduced liability associated with noncompliance with records management and IPRA regulations • Improved customer service image of the Agency
VII.
Recommendation: Alternative 2 – Implement a commercial ECDMS solution to meet the document and content management requirements of the Agency
12
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2)
C2 Form Information Technology Data Processing - Computer Systems Enhancement Fund or Capital Outlay Agency Name: Project Name: Multi-Agency Project Project Type and Specifics:
Category or Account Description General Fund Other State Funds InterAgency Transfers/ Internal Service Funds Federal Funds Total
550 Agency Code: 5/1/2011 to Projected Start/End Date: 6/20/2012 List Agencies Yes No Participating: Computer Systems Enhancement Fund Please check one of the options below: or Existing Systems New System Development (Upgrade, Enhancement, Expansion) Revenue Project Cost (dollars in thousands) FY09 & Prior FY10 Actual FY11 OpBud FY12 Req FY13 Estimate
OSE-ISC Electronic Document & Content Management System
0 0 0
0 0 0
0 0 0
0 0 0 0.0 0.0 0.0 Expenditure Categories (dollars in thousands) FY09 & Prior FY10 Actual FY11 OpBud Actual
200.0 0 0
580.0 0 0
0 200.0
0 580.0
FY12 Req
FY13 Estimate
Personal Services & Employee Benefits 0 0 Professional Services 0 IT Other Services 0 IT Services 0 Travel/Lodging /Training 0 IT Maintenance 0 IT Supplies/Inv. Exempt 0 IT Equip Capital Outlay 0 Other Financing Uses Total 0.0 Agency Cabinet Secretary (mandatory)
0.0 CIO or IT Lead (mandatory)
Print Name
John R. D’Antonio, Jr., P.E.
Renee Martinez
Curtis Eckhart
Signature Date Phone Email
9/1/2010 827-6091
[email protected]
9/1/2010 827-6131
[email protected]
9/1/2010 476-0536
[email protected]
0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0.0
0 180.0 0 0
0 400.0 0 0
10.0 0 10.0 0 0
20.0 0 160.0 0 0
200.0 580.0 Budget Director (mandatory)
13
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2)
Compliance with IT Consolidation x
x
x
x
x
x
x
x
x
x
Investment Protection: Business Continuance & Disaster Recovery Plans
IT functions of the project have been or will be reviewed by the agency CIO or IT Lead to minimize duplication and redundancy. This project reports to or will report to a Secretary or Director who is a single point of accountability for IT within the agency. This project has been or will be reviewed by DoIT for participation in existing or future common IT functions usable across multiple agencies. Project has planned, will plan for or has conducted a pilot test of applicability and operability in an actual business environment. Project has planned or will plan for or conduct a proof of concept of the technology to be used. Project has addressed or will address governance to identify decision points and accountability to ensure successful implementation.
x
Project is or will actively address security and data integrity issues.
x
Project is or will actively address disaster recovery and business continuance issues and records retention Project is or will actively address privacy issues.
A risk profile has been created or will be created and will be updated at the start of each phase of the project.
x
Compliance with the Enterprise IT Strategic Plan An IV&V provider has been selected or will be selected and is ready to provide independent quality assurance. This project “uses” or will use existing common IT functions from other agencies. This project could benefit from common IT functions usable across multiple agencies. Project has or will identify common (shareable) business functions and data.
x
x
Project is or will actively address regulatory compliance issues.
x
Project is or will, wherever possible, act as a supplier and user of shared technical resources with the State. Project is or will work with other state agencies to maximize savings through participating in bulk purchases and licensing of standardized components and solutions. If already in service, the project manager has performed a recent gap analysis against current state security, privacy, architecture, DR and BC requirements and standards.
x
x
x
x
x
Compliance with the Framework For Enterprise Architecture Plan Project is or will be in compliance with the current Enterprise IT Architecture Standards for the state. Data and information managed by the project are or will be handled and protected as an enterprise asset. Project is or will, wherever possible, participate as a supplier or user of reusable enterprise architecture components. Project is or will assess risks and engineering security into every layer of project implementation.
14
Office of the State Engineer/Interstate Stream Commission Electronic Document & Content Management System Project Business Case - FY12 IT Plan (Priority #2)
x
x
x
x
x
x
x
x
x
Compliance with the Enterprise IT Strategic Plan Project is or will use middleware, where appropriate, to enhance access to all data. Any common services to be “provided” by this project to other agencies or external parties are provided at competitive rates. Project is or will actively address security and data integrity issues.
x
x
x
Project has or will give thorough and appropriate consideration to common hosting and data center models. Project has or will give thorough and appropriate consideration to open source components.
x
Project has or will give thorough and appropriate consideration to common, distributed and remote support models. Project is or will implement and participate in state-wide approaches to business continuity and disaster recovery solutions. Project is or will actively participate in any appropriate statewide or group purchases of products, software or services to minimize costs. Project is or will comply with business case and other project planning and ROI evaluations appropriate to the size and cost of the project.
x
x
Compliance with the Framework For Enterprise Architecture Plan Project has or will plan for or conduct a proof of concept of the technology to be used. Project is or will collaborate between IT and business leaders during analysis and review to provide advice on technologies. Project owners are or will take responsibility for initiating analysis and review. Project has or will consider application of COTS (commercial offthe-shelf). Project is or will manage a separation of presentation logic, business logic and data access to maximize reusability of components. Project is or will actively address system management issues.
15
Appendix E-3 Dam Safety Information Management System Business Case (C-2)
Office of the State Engineer/Interstate Stream Commission Dam Safety Information Management System Project Business Case - FY11 IT Plan (Priority #3)
I. Executive Summary: The Office of the State Engineer and Interstate Stream Commission, collectively, “the Agency”, are responsible for activity managing the water resources of New Mexico. The Dam Safety Bureau ensures that dams in New Mexico are designed, constructed, operated, and maintained safely to prevent dam failures. At this time, the Dam Safety Bureau has identified 187 safety-deficient dams with 132 of the dams classified as “high or significant hazard potential.” The workload associated with managing these safety-deficient dams in addition to the on-going permit and compliance monitoring activities of the Bureau is significant and the automation of Dam Safety business processed is very limited. The purpose of this project is to design, build and implement a Dam Safety information management system to address the specific data entry, processing, workflow, GIS, reporting, and systems integration needs of the Dam Safety Bureau so that the Agency may accelerate the inspection and remediation of high hazard dams.
II. Business Problem and Opportunity: Dams 25 feet or greater in height or store 50 acre-feet or more of water are under the jurisdiction of the State Engineer. The responsibilities of the Dam Safety Bureau include inspecting existing dams to verify they are operated and maintained in a safe condition. The bureau reviews plans and specifications for new dams and modifications and repairs to existing dams to ensure compliance with State Engineer rules and regulations. The bureau inspects construction to verify the dams are built or repaired in accordance with the plans on file with the State Engineer. The bureau also manages the expenditure of capital outlay funds for dams including retaining consulting engineers to plan, design and oversee construction of the project. Many dams in New Mexico are well over 50 years old and investigations and rehabilitation are required. The bureau has identified 187 deficient dams with 132 of the dams classified as “high or significant hazard potential”. The hazard potential classification is not a rating of the condition of the dam but a measure of the potential downstream damage if the dam were to fail. A dam classified as high hazard potential that fails will cause loss of life, and significant hazard potential will cause significant property damage but no loss of life. The bureau classifies the condition of the dam after performing an inspection and evaluating design documentation available for the dam. Not all dams have been inspected since adopting the more strict 2008 federal condition classification of existing dams; therefore, it is anticipated that the list of unsafe dams will increase with time. The Dam Safety Bureau scans and stores dam construction drawings and associated reports in hard copy and PDF format. The Bureau has used a customized Microsoft Access database, originally created by the U.S. Corp of Engineers, over the past several years. Bureau customization of its current database has addressed some of the basic gaps in information management and reporting functions; however the following critical functions are still not available: • •
Receipt and processing of dam construction and repair permits Construction contracts management
1
Office of the State Engineer/Interstate Stream Commission Dam Safety Information Management System Project Business Case - FY11 IT Plan (Priority #3)
• • •
Dam performance abstracting Remote entry of dam performance data and tools to analyze performance data Integration with the Water Administration Technical Engineering Resource System (WATERS) The specific information management problems the Dam Safety Bureau faces include: • • • • • • •
Permit tracking, analysis and reporting processes are not automated No tools are in place for automated entry and tracking of permit conditions, safety order conditions, maintenance records, and inspection data Core business processes (i.e. dam performance abstracting, automatic correspondence generation, and work order management) are not automated No field access to abstracted data or ability to sync up portable field databases with central database A secure repository for digitized construction drawings and reports (PDFs) does not exist No ability to transfer movement, stress, and flow rate monitoring data from facilities to Bureau No ability for dam owners to submit dam performance data to the Agency and limited tools to plot and analyze dam performance data
The opportunities to improve Agency performance by implementing a new Dam Safety Information Management System are significant and include the following: • • • • • • • A.
Develop more complete data sets in a centralized Dam Safety database Develop tools to streamline data entry, tracking and reporting from the Dam Safety database Exchange data with WATERS to support checking on storage rights for wet dams Develop tools to streamline performance abstracting and other specific business process workflows Develop tools to allow field access to Dam Safety database and to sync field copies of the database with the central database Provide a secure repository for digitized construction drawings and report Provide remote reporting for movement, stress, and flow rate monitoring Alignment with Agency Strategic Plan
The primary goal of the project is improve the efficiency of the workforce in the Dam Safety Bureau so that important permitting, compliance, and enforcement activities are completed in a timely manner. This goal is in direct alignment with the goals and objectives of the Agency as a whole. More specifically, the project will enable to Agency to achieve the following strategic goals and objectives as specific in the FY12 Agency Strategic Plan:
2
Office of the State Engineer/Interstate Stream Commission Dam Safety Information Management System Project Business Case - FY11 IT Plan (Priority #3)
Goal 5 - Promote the Safety and Efficiency of New Mexico’s Water Resource Infrastructure. Objective A - Provide a statewide dam safety program to protect the public from loss of life and property damage due to dam failure or mis-operation. Performance Measure: Number of dams inspected per year.(FY12 Target: 110) The new Dam Safety Information Management System will manage all inspection related data for the Bureau. B. Alignment with Governor’s Performance & Accountability Contract New Mexico Governor Richardson’s Performance and Accountability Contract includes eight goals for protecting and promoting New Mexico’s environment. The Office of the State Engineer and Interstate Stream Commission play a key role in achieving these goals. As stated in the contract, “New Mexico has both finite water supplies and abundant energy supplies that must be actively managed for the future. Through resource management, interagency coordination and adequate funding, our water, energy, and natural resources will be developed and preserved for all New Mexicans”. The specific goals that this project supports are: Goal 1 - Combat Climate Change Task 4.5 Improve water management to adapt to climate change impacts Performance Measure - Number of dams inspected per year (FY11 Target = 110) Performance Measure - Number of dams rehabilitated per yr (FY11 Target = 1) The Dam Safety Bureau has identified 187 dams that are deficient with OSE design standards. In order to ensure that funds are appropriated to the most critical dam rehabilitation projects, approximately $1 million/yr for 3 years is necessary to provide a risk- based prioritization of the 187 dams identified as deficient. After the risk assessment is complete, a minimum of $5 million/yr should be appropriated to plan, design and construct upgrades to the deficient dams. C. Alignment with State IT Strategic Plan The Dam Safety IMS Project supports the strategic goals and objectives stated in the State of New Mexico IT Strategic Plan FY2010‐FY2013. Goal 1 - Information Technology Must Drive Efficient Delivery of High Quality Government Services that will Benefit Constituents and Support Economic Development The automation of Dam Safety Bureau workflow and activities will result in operational cost savings for the Agency as specified in the Cost-Benefit section of this business case.
3
Office of the State Engineer/Interstate Stream Commission Dam Safety Information Management System Project Business Case - FY11 IT Plan (Priority #3)
The Dam Safety Bureau through its permitting, compliance and enforcement activities provides an invaluable public safety service to the citizens of New Mexico. The new system will improve the overall efficiency of the Dam Safety Bureau allowing additional rehabilitation projects to be initiated each year; thereby improving the public safety services delivered to the citizens of New Mexico. D. Inter-Agency Collaboration The Dam Safety Bureau collaborates with the Department of Homeland Security and Emergency Management to respond to flood emergencies where a dam may be involved. Effective response to emergencies requires Dam Safety engineers to be able to quickly access and compile dam inspection reports, construction drawings, and other critical information. The new system proposed by this project will be designed to meet this requirement. The Dam Safety Bureau shares approval authority for Dam Emergency Action Plans, now required of dam owners, with the Department of Homeland Security and Emergency Management. Timely and secure access to these plans will be critical during any emergency involving a dam. The new system proposed by this project will be designed to meet this requirement.
III. Proposed Project Objectives: The Office of the State Engineer (OSE) and Interstate Stream Commission (ISC) intends to implement a new information management system to support the work activities of the Dam Safety Bureau. Our key project objectives include the following: •
Reduce Time to Prepare Materials for Field Work by 50% Preparation for inspections involves reviewing the history of the dam, evaluating performance data and reviewing design reports and drawings. The information is stored in volumes of correspondence files, various reports and drawing sets. The information is abstracted mentally in order to perform a thorough inspection but never documented. As result, information must be reevaluated any time a new inspector is assigned to a dam or if it has been several years since the last inspection. A system that can readily provide an electronic abstract of dam history and performance will significantly reduce inspection preparation time by 50% and ensure safety issues are promptly addressed.
•
Reduce Time to Manage Dam Engineering and Construction Contracts by 30% The current dam design and construction contract management process is a manual and time consuming process. The new system will automate the construction contract creation and review process through use of standardized electronic contract templates with associated term and condition libraries. The system will track work orders and invoices to contracts and alert users when contract deliverables are and when contracts are due to expire.
•
Improve the Efficiency of Follow-Up with Dam Owners on Dam Safety Required Action Items, Permit Conditions and Safety Orders By 75%.
4
Office of the State Engineer/Interstate Stream Commission Dam Safety Information Management System Project Business Case - FY11 IT Plan (Priority #3)
Currently, follow-up on past inspection action items is non-existent due to staff workloads. Staff follows-up on permit conditions and safety orders due to the high priority of these items. An automated system that generates follow-up letters to dam owners when deadlines are missed will help ensure timely action by owners before the dam deteriorates to an unsafe condition that requires an expensive repair or rehabilitation. •
Reduce Time to Evaluate Dam Performance Readings By 40% By allowing dam owners to enter dam performance data remotely, the Agency will be able to reduce the time required to collect, verify and convert submitted data which currently submitted to the OSE in a variety of media and formats. In many cases the OSE must convert and plot the data in order to evaluate the performance of the dam. If an anomaly exists, follow-up with the owner is needed. An automated system would allow the owners to evaluate the results, recognize if a reading error occurred and correct the information and then immediately know if the data is indicating a performance problem at the dam. Implementation Approach & Schedule The Agency will acquire commercially available software specifically designed to meet the needs of State dam safety agencies. A gap assessment will be completed to match Agency functional and technical requirements with the software. All gaps will be prioritized and an approach for filling each high priority gap, customization or workaround, will be determined. Implementation services; including configuration, customization, training, data conversion and testing will be acquired from the software vendor. Data abstracting will be provided by outside contractors. The following table provides a proposed project schedule: Project Phase
Deliverables
Start Date
End Date
May 2011
July 2011
July 2011
September 2011
September 2011
December 2011
September 2011
June 2012
Training and Data Conversion
• Professional Services Agreement • Hardware • Software • Complete Software Gap Assessment • Data Conversion Plan • Training Plan • Test Plan • Customizations • Data Conversion Scripts • Training Materials • Data Conversion
User Acceptance Testing
• User Acceptance Signoff
February 2012
April 2012
Deployment
• Deployment Checklist
May 2012
May 2012
Project Start-Up
Requirements & Analysis
Configuration and Customization
5
Office of the State Engineer/Interstate Stream Commission Dam Safety Information Management System Project Business Case - FY11 IT Plan (Priority #3)
IV. Business Risks: The business risks associated with not implementing this solution include: • Continued manual collection and management of permits, safety order conditions, schedules, and performance abstracts and delay of key construction projects •
Increased backlog and continued inefficient cycle times for permit collection and processing, safety orders creation and management, inspection schedule management, contracts management, dam performance abstracting
The business risks associated with implementing this solution include: • Dedication of internal IT and business experts to the project and dedication of contractors to convert data from current semi-automated system to new system, given the heavy workloads in both the Dam Safety Bureau and IT Services Bureau
V. Alternative Solutions: The Agency has three alternatives to proceed with the specification, build and implementation of the system. 1. Do Nothing - Continue to use the limited MS Access application that is in place 2. Custom Development – Custom develop a Dam Safety information system to address the specific data entry, processing, workflow, GIS, reporting, and systems integration needs of the Bureau 3. Implement the Inspecta Dam Information software package developed and implemented by the State of Hawaii, Department of Land and Natural Resources VI. Cost-Benefit Analysis: Alternative 1: Do Nothing COSTS (in thousands)
BENEFITS (in thousands)
Recurring NonRecurring (5 years) Total
Item
Inefficiency Costs Total
Recurring NonRecurring (5 years)
Item
Total
$550.0 $550.0 None $550.0 $550.0
Total
$0.0
$0.0
$0.0
6
Office of the State Engineer/Interstate Stream Commission Dam Safety Information Management System Project Business Case - FY11 IT Plan (Priority #3)
Alternative 2: Custom Develop System with Contractor Assistance COSTS (in thousands)
BENEFITS (in thousands)
Recurrin g NonRecurring (5 years)
Item
IT Professional Services
$600.0
Software Licenses & Maintenance
$50.0
$25.0
Hardware & Hardware Maintenance
$40.0
$40.0
Data Conversion Training
$75.0 $10.0
$0.0 $0.0
Total
$775.0
Total
NonRecurring
Item
$600.0 Reduction in time to prepare materials for field work by 50% $75.0 Reduction in time to manage dam engineering and construction contracts by 30% $80.0 Reduction in effort to collect and evaluate dam performance readings by 40% $75.0 $10.0
$65.0 $840.0
Recurring (5 years)
Total
$200.0 $200.0
$50.0
$50.0
$200.0 $200.0
$550.0 $550.0
Total
Alternative 3: Configure and Customize Commercial Software Package (Inspecta) COSTS
BENEFITS
Non- Recurring Recurring (5 years) Total
Item
IT Professional Services
$300.0
Software Licenses & Maintenance
$100.0
Hardware & Hardware Maintenance
$40.0
Data Conversion Training
$75.0 $10.0 Total
$525.0
Recurring NonRecurring (5 years)
Item
$0.0 $300.0 Reduction in time to prepare materials for field work by 50% $75.0 $175.0 Reduction in time to manage dam engineering and construction contracts by 30% $40.0 $80.0 Reduction in effort to collect and evaluate dam performance readings by 40% $0.0 $75.0 $0.0 $10.0 $115.0 $640.0
Total
Total
$200.0 $200.0 $50.0
$50.0
$200.0 $200.0
$450.0 $450.0
7
Office of the State Engineer/Interstate Stream Commission Dam Safety Information Management System Project Business Case - FY11 IT Plan (Priority #3)
VII. Benefits Benefits
Alternative 1 None
Alternative 2
• Reduced time to process permits and safety orders
• Reduced time to conduct performance abstracts
• Reduced time to conduct performance abstracts
• Reduced inspection costs
• Reduced inspection costs
• Reduced construction contract management costs
• Reduced construction contract management costs
• Reduced public safety risks by inspecting high hazard dams • Timely evaluation of dam performance and improved dam owner compliance with required action items None Intangible Benefits
Alternative 3
• Reduced time to process permits and safety orders
• Reduced dam performance data collection and analysis costs
Tangible Benefits
• Improved customer service image of the Agency
• Reduce dam performance data collection and analysis costs • Reduce public safety risks by inspecting high hazard dams • Timely evaluation of dam performance and improved dam owner compliance with required action items • Shorter system implementation schedule • Lower system implementation costs • Improved customer service image of the Agency
VIII. Recommendation Alternative 3 Acquire and install the Inspecta software package that was developed for the State of Hawaii’s Dam Safety Program. A demonstration of the Inspecta software package indicated a very good functional and technical match with OSE requirements.
8
Office of the State Engineer/Interstate Stream Commission Dam Safety Information Management System Project Business Case - FY11 IT Plan (Priority #3)
C2 Form Information Technology Data Processing - Computer Systems Enhancement Fund or Capital Outlay Agency Name:
Project Name: Multi-Agency Project Project Type and Specifics:
Category or Account Description General Fund Other State Funds InterAgency Transfers/ Internal Service Funds Federal Funds Total
OSE-ISC
Dam Safety Information Management System Projected Start/End Date: Yes No List agencies participating: Computer Systems Enhancement Fund Please check one of the options below: or Existing Systems New System Development (Upgrade, Enhancement, Expansion) Revenue Project Cost (dollars in thousands) FY09 & Prior FY10 Actual FY11 OpBud FY12 Req FY13 Est Actual 0 0 0 525.0 0.0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0.0 0.0 0.0 525.0 Expenditure Categories (dollars in thousands) FY09 & Prior FY10 Actual FY11 OpBud FY12 Req Actual
Personal Services & Employee Benefits 0 0 Professional Services 0 IT Other Services 0 IT Services 0 Travel/Lodging /Training 0 IT Maintenance 0 IT Supplies/Inv. Exempt 0 IT Equip Capital Outlay 0 Other Financing Uses Total 0.0 Agency Cabinet Secretary (mandatory) Print Name John R. D’Antonio, Jr., P.E. Signature Date Phone Email
550 5/1/2011 to 5/31/2012
Agency Code:
9/1/2010 827-6091
[email protected]
0 0 0 0 0 0 0 0 0 0.0 CIO or IT Lead (mandatory)
0 0 0 0 0 0 0 0 0 0.0
0 0.0 FY13 Est
0 375.0 0 0
0 0 0 0 0 0 0 0 0
10.0 0 140.0 0 0 525.0 Budget Director (mandatory)
0.0
Renee Martinez
Curtis Eckhart
9/1/2010 827-6131
[email protected]
9/1/2010 476-0536
[email protected]
9
Office of the State Engineer/Interstate Stream Commission Dam Safety Information Management System Project Business Case - FY11 IT Plan (Priority #3) Investment Protection: Business Continuance & Disaster Recovery Plans
Compliance with IT Consolidation
x x x x x x
x
IT functions of the project have been or will be reviewed by the agency CIO or IT Lead to minimize duplication and redundancy. This project reports to or will report to a Secretary or Director who is a single point of accountability for IT within the agency. This project has been or will be reviewed by DoIT for participation in existing or future common IT functions usable across multiple agencies. Project has planned, will plan for or has conducted a pilot test of applicability and operability in an actual business environment. Project has planned or will plan for or conduct a proof of concept of the technology to be used. Project has addressed or will address governance to identify decision points and accountability to ensure successful implementation.
x
Project is or will actively address security and data integrity issues.
x x
Project is or will actively address disaster recovery and business continuance issues and records retention Project is or will actively address privacy issues.
x
Project is or will actively address regulatory compliance issues.
x
A risk profile has been created or will be created and will be updated at the start of each phase of the project.
x
Project is or will, wherever possible, act as a supplier and user of shared technical resources with the State. Project is or will work with other state agencies to maximize savings through participating in bulk purchases and licensing of standardized components and solutions. If already in service, the project manager has performed a recent gap analysis against current state security, privacy, architecture, DR and BC requirements and standards.
Compliance with the Enterprise IT Strategic Plan An IV&V provider has been selected or will x be selected and is ready to provide independent quality assurance. project “uses” or will use existing x This common IT functions from other agencies.
x
x x
This project could benefit from common IT functions usable across multiple agencies.
x
x
Project has or will identify common (shareable) business functions and data.
x
x
Project is or will use middleware, where appropriate, to enhance access to all data.
x
x
Any common services to be “provided” by this project to other agencies or external parties are provided at competitive rates.
x
Compliance with the Framework For Enterprise Architecture Plan Project is or will be in compliance with the current Enterprise IT Architecture Standards for the state. Data and information managed by the project are or will be handled and protected as an enterprise asset. Project is or will, wherever possible, participate as a supplier or user of reusable enterprise architecture components. Project is or will assess risks and engineering security into every layer of project implementation. Project has or will plan for or conduct a proof of concept of the technology to be used. Project is or will collaborate between IT and business leaders during analysis and review to provide advice on technologies.
10
Office of the State Engineer/Interstate Stream Commission Dam Safety Information Management System Project Business Case - FY11 IT Plan (Priority #3) Compliance with the Enterprise IT Strategic Plan is or will actively address security x Project and data integrity issues.
x x x x x x
x
Project has or will give thorough and appropriate consideration to common hosting and data center models. Project has or will give thorough and appropriate consideration to open source components.
x
Project has or will give thorough and appropriate consideration to common, distributed and remote support models. Project is or will implement and participate in state-wide approaches to business continuity and disaster recovery solutions. Project is or will actively participate in any appropriate statewide or group purchases of products, software or services to minimize costs. Project is or will comply with business case and other project planning and ROI evaluations appropriate to the size and cost of the project.
x
x
Compliance with the Framework For Enterprise Architecture Plan Project owners are or will take responsibility for initiating analysis and review. Project has or will consider application of COTS (commercial off-the-shelf). Project is or will manage a separation of presentation logic, business logic and data access to maximize reusability of components. Project is or will actively address system management issues.
11
Appendix E-4 Pecos Well Field and Surface Water Measurement SCADA System (C-2)
Office of the State Engineer/Interstate Stream Commission Pecos Well Field and Surface Water Measurement SCADA System Project Business Case - FY12 IT Plan (Priority #4)
I.
Executive Summary:
The Office of the State Engineer and Interstate Stream Commission, collectively, “the Agency”, are responsible for actively managing the water resources of New Mexico. The Agency is required to appropriate, administrate, monitor, and control the public water resources within New Mexico. The collection, accounting, and analyses of accurate and time sensitive data are increasingly important requirements to properly manage this resource. The Agency uses remote measurement and control systems or SCADA (Supervisory Control and Data Acquisition) technologies to assist the State in meeting Interstate Compact water delivery obligations. With over 6,000 miles of streams and 130,000 groundwater wells in the State, there is a requirement for an intelligent, integrated and consolidated Agency IT solution for remote measurement and control systems. For the past three years the Agency has been installing water measurements systems to assist the State in meeting international, interstate and tribal water management agreements and protecting in-state water users. For example, in the Pecos River Basin the expenditure of state funds to meet Compact Obligations has grown to over $65 million. By building on the systems in place the Agency can begin to achieve its state-wide water management goals. This project will provide for remote wireless data monitoring and the control of well pumps at various Pecos River Basin ground and surface water measurement structures. The State of New Mexico collects and analyzes data for compact accounting, primarily from the United States Geological Survey (USGS), and provides these data to the Pecos River Commission and Supreme Court appointed river master annually as part of the State’s compliance obligations. The ability to account for water consumption in the Pecos Basin ensures that the State will meet its obligations to New Mexico water users and Texas. In June, 2009 parties to the 2003 Pecos Settlement Agreement (Settlement) submitted court papers that declare the water right purchasing terms of the Settlement have been met. To enable Settlement implementation the State has constructed 10 wells and 11 miles of pipeline at Seven Rivers, New Mexico that connects these wells and six private wells to provide water to senior water right holders during drought. The State has also constructed a 1 mile pipeline to connect four irrigation wells at Lake Arthur, New Mexico. In addition, the State maintains three surface water gages: the Acme gage, Nine-Mile gage and Brantley Reservoir gage that provide needed monitoring data when USGS measurement is insufficient. These gages are critical to assist State water managers in complying with the 1948 Pecos River Compact. Due to the natural, shifting sand geomorphology of the Pecos River streambed, continuous real-time measurement remains a challenge for State and Federal water managers. The purpose of this project is to install additional real-time surface water gages and ground water measurement devices in order to provide an accurate information management system that allows New Mexico to maximize Stateline delivery credits. The Agency is requesting $300,000 from the FY12 Computer Enhancement Fund to enhance ground and surface water measurements systems already in place.
1
Office of the State Engineer/Interstate Stream Commission Pecos Well Field and Surface Water Measurement SCADA System Project Business Case - FY12 IT Plan (Priority #4)
II.
Business Problem and Opportunity:
The Agency is on a critical path to identify the most efficient means to integrate measuring and monitoring of water resources for the State of New Mexico. As water right filing data are automated and diversion amounts specified, the real time monitoring, notification, and enforcement of water use are becoming crucial management requirements. By remotely monitoring water use the State Engineer can limit waste, save on staff field visits, and more accurately satisfy Compact Agreement requirements. This project will be building on existing infrastructure in the Lower Pecos Basin. This is an area where the expenditure of state funds to meet Compact Obligations has exceeded $65 million. In addition, the Agency has installed at a cost of over $1,000,000 a series of large capacity wells that will be used to “augment” Compact Delivery of water to Texas. Total capital costs are expected to exceed $14 million. These “Augmentation Wells” are being targeted for SCADA installation and the Agency wishes to identify and implement integration technologies that will be capable of incorporating other SCADA systems within and without our Agency. Agency Performance: Performance is a measure of cost, time, and materials. SCADA system implementation will save in each category. Areas of savings include: •
Cost: Hiring a consultant service to field monitor a high-capacity water well in the Pecos Basin area is estimated upwards of $15,000 per year. The Agency has installed 25 of these wells. Operations and maintenance costs could exceed $300,000 annually. The use of SCADA technologies will reduce this cost substantially. Note that the base site costs for SCADA installation is under $10,000 ($1-3K per well and $3-5K per well cluster).
•
Time: In the event of a problem (leak and/or pump malfunction) this problem will not be identified until a field survey is conducted. The consequence could jeopardize New Mexico’s delivery schedule and increase maintenance and repair costs. A SCADA system can identify the problem immediately.
•
Materials: The resource is water and a leak would be a loss. Currently, to lease an acre foot of water is approximately $100. Energy costs to pump water out of the ground continue to rise. SCADA monitoring would identify leaks and the well pumps can be shut down remotely thus reducing unnecessary costs and water depletions.
Solution: Remote monitoring of these water wells and surface water gages will create huge efficiencies in staff resources by limiting field checks and providing real time operations management. The data collected will be managed in the Agency water measurement data system that is already under development to manage data from the Chama, Gallinas, Mimbres, San Juan, Lower Pecos and Nambe-Pojoaque-Tesuque basins. The data will be accessible on a web site, already in the final development stage, to the public to view measurement data from all basins.
2
Office of the State Engineer/Interstate Stream Commission Pecos Well Field and Surface Water Measurement SCADA System Project Business Case - FY12 IT Plan (Priority #4)
A.
Alignment with Agency Strategic Plan
The primary goal of the project is provide real-time telemetry and information management tools to water managers. This goal is in direct alignment with the goals and objectives of the Agency as a whole. More specifically, the project will enable to Agency to achieve the following goals and objectives in the FY12 OSE-ISC Strategic Plan: Goal 1 - Promote the Effective Administration, Distribution, Protection, Conservation and Development of the State’s Surface and Ground Water through Active Water Resource Management (AWRM) Objective A - Comply with Interstate Compacts, Court Decrees, Federal Law, and Interstate Obligations Comment – The new system will greatly assist Compact compliance by accurately and efficiently providing water managers with real-time information needed for meeting delivery requirements. As required under Compact Agreements, the State of New Mexico must deliver water to Texas. Previous to a ruling requiring New Mexico to deliver “wet” water, New Mexico had under delivered approximately 10,000 acre feet on a yearly average. As a result the United States Supreme Court ruled that New Mexico pay Texas a penalty of $14 million. To ensure that New Mexico can deliver water to Texas, the State has acquired or leased water rights in excess of $51 million dollars. Note that this amended decree is a Supreme Court order and there is no appeal. Goal 3 - Protect and Maximize the State’s Ability to Develop and Utilize the Waters Apportioned to It under Interstate Compacts and Decrees Objective A - Comply with the Pecos Compact and the 1988 Amended Decree in Texas v. New Mexico. Performance Measure: Cumulative state line delivery credit per the Pecos River Compact and Amended Decree at end of calendar year (FY12 Target: 115,000 acre-feet) Comment – The new system will serve a critical role in meeting this goal by giving the Agency the ability to measure, monitor and control water flow and level in this critical river basin on a real-time basis. Goal 4 - Complete the Adjudication of All Water Rights in the State Objective A - Adjudicate All Water Rights in the Pecos River Stream System and Related Underground Basins Performance Measure: Number of offers to defendants. (FY12 Target: 800)
3
Office of the State Engineer/Interstate Stream Commission Pecos Well Field and Surface Water Measurement SCADA System Project Business Case - FY12 IT Plan (Priority #4)
Percent of water rights with judicial determination. (FY12 Target: 50%) Comment – The installation and integration of SCADA in the Pecos will assist the adjudication of water rights by assisting in monitoring diversion amounts for high capacity users. Goal 6 - Plan for New Mexico’s Future Water Needs Objective A - Update and Implement the State Water Plan Comment – The Pecos SCADA system will assist the Agency quantify the amount and quality of available water supplies, and water withdrawals, depletions and returns. This data is critical to the State Water Plan
Goal 7 - Develop, Deliver and Continuously Improve the Value of Human Resource, Financial, Information Technology and Budget Services Provided to Agency Programs and Business Partners Objective I - Make water resource and management information more accessible to internal users and the public. Comment – The Pecos SCADA system will provide more timely and accurate water information to the public
. B.
Alignment with Governor’s Performance & Accountability Contract
New Mexico Governor Richardson’s Performance and Accountability Contract includes eight goals for protecting and promoting New Mexico’s environment. The Office of the State Engineer and Interstate Stream Commission play a key role in achieving these goals. As stated in the contract, “New Mexico has both finite water supplies and abundant energy supplies that must be actively managed for the future. Through resource management, interagency coordination and adequate funding, our water, energy, and natural resources will be developed and preserved for all New Mexicans. The specific goals that this project supports are: Goal 1 - Ensure New Mexico’s Water Supply for Future Economic Vitality while Protecting the Environment and Preserving the State’s Diverse Customs and Cultures Task 1.1 - Ensure reliable water supplies for New Mexicans through active water resource management Performance Measure - Percent readiness to implement active water resource management in seven critical basins (FY11 Target = 95%)
4
Office of the State Engineer/Interstate Stream Commission Pecos Well Field and Surface Water Measurement SCADA System Project Business Case - FY12 IT Plan (Priority #4)
The Agency will need a high performing surface and ground water metering and measurement system (a.k.a. SCADA system) in order to meet these key performance targets in FY12 and future years. C.
Alignment with State IT Strategic Plan
The Pecos Well Field and Surface Water Measurement SCADA Project supports the strategic goals and objectives stated in the State of New Mexico IT Strategic Plan FY2010‐FY2013 . Goal 1 - Information Technology Must Drive Efficient Delivery of High Quality Government Services that will Benefit Constituents and Support Economic Development The Pecos Basin SCADA system will allow ISC staff to remotely regulate pumping of water from augmentation wells. Presently 11 of 31 possible wells in the Lower Pecos Basin are part of the SCADA system. These augmentation wells were developed to assist the State of New Mexico to achieve environmental flow targets associated with Federal Endangered Species Act requirements and support the Pecos Settlement Agreement and Pecos River Compact. The use of SCADA technology will significantly reduce well monitoring costs as the monitoring can be done remotely.
III.
Proposed Project Objectives:
The Office of the State Engineer (OSE) and Interstate Stream Commission (ISC) intends to improve the performance of the Agency water resource management activities and systems. Our key project objectives include the following: •
Improve Productivity of Staff –
The new Pecos Basin SCADA system will allow staff to operate and manage field operations and improve contractor oversight instantaneously. Increases in information transfer provide additional opportunities to improve communication and efficiency. •
Improve Data Quantity, Quality and Reliability –
In order to understand natural systems with greater precision it is imperative to have large, reliable quantities of measurements. The Pecos SCADA system is already providing important real-time management with information needed for daily management decision-making. By extending the Pecos SCADA infrastructure, increases in cost savings, efficient use of staff time and effective decisions will increase. A. Implementation Approach & Schedule The Agency issued a Request for Proposal in FY10 to evaluate alternative technology platforms and system implementation approaches costs from qualified radio-telemetry vendors to assure agency equipment remains on the cutting edge. Based on the information gathered from the RFP, the Agency is proceeding with the requirements and design phases of the project. The requirements and design deliverables will contain specifications for the following system components: 5
Office of the State Engineer/Interstate Stream Commission Pecos Well Field and Surface Water Measurement SCADA System Project Business Case - FY12 IT Plan (Priority #4)
• • • • • •
Radio-telemetry extension Seven Rivers ISC Wells Seven Rivers SRI Wells Lake Arthur Wells Surface Water Gages Data Management System
B. Implementation Approach & Schedule The Agency will take a phased approach to this project. The following table provides proposed schedule for project phases. Project Phase Complete RadioTelemetry Expansion
Complete Seven Rivers Wells
Complete Seven Rivers SRI Wells
Complete Lake Arthur Wells
Complete Surface Water Gages
Final Testing
Deliverables • Determine antennae locations • Order needed equipment • Install RTUs, etc. • Test signals • Order needed equipment • Install digital meter converters • Install RTUs, etc. • Connect transducers • Add Sites to Data Management System • Signal and System Tests • Order needed equipment • Install digital meter converters • Install RTUs, etc. • Signal and System Tests • Order needed equipment • Install RTUs, etc. • Add Sites to Data Management System • Signal and System Tests • Order needed equipment • Install RTUs, etc. • Add Sites to Data Management System • Signal and System Tests • Test controls and full system • Calibrate equipment • Update website
Start Date Jan. 2011
End Date Apr. 2011
May. 2011
Aug. 2011
Sept. 2011
Nov. 2011
Dec. 2011
Mar. 2012
Apr. 2011
June. 2012
July. 2012
Sep. 2012
6
Office of the State Engineer/Interstate Stream Commission Pecos Well Field and Surface Water Measurement SCADA System Project Business Case - FY12 IT Plan (Priority #4)
IV.
Business Risks:
Implementation Risks: •
Retention of qualified IT professionals to implement and support SCADA system
•
Adequate program and management support to maximize benefits
The business risks associated with not implementing this solution include: •
Increased costs for manual collection of surface and ground water information
•
Increased time and costs to repair malfunctions
•
Increased management of wells, gages, contractors or employees to obtain needed information
•
Loss of leased water revenue due to undiscovered leaks or equipment failure
•
Reduced oversight of water resources
•
Reduced response time and accuracy for accounting and auditing
•
Reduced water management flexibility especially during drought
V.
Alternative Solutions: 1. Do Nothing 2. Proceed with development and implementation of a Pecos Well Field and Surface Water Measurement SCADA System
7
Office of the State Engineer/Interstate Stream Commission Pecos Well Field and Surface Water Measurement SCADA System Project Business Case - FY12 IT Plan (Priority #4)
VI.
Cost-Benefit Analysis:
Alternative 1: Do Nothing COSTS (in thousands) NonRecurring
Item
Recurring (5 years)
Inefficiency Costs
$100.0 $100.0
Total
BENEFITS (in thousands) Total
Item
$100.0 None $100.0
Total
Recurring NonRecurring (5 years)
$0.0
$0.0
Total
$0.0
Alternative 2: Implement a Pecos Well Field and Surface Water Measurement SCADA System COSTS (in thousands) NonRecurring
Item Implementation Services SCADA Equipment
$100.0
Maintenance Cost Total
$300.0
Benefits
Recurring (5 years)
$200.0
$125.0 $125.0
Alternative 1 None
BENEFITS (in thousands) Total
Recurring NonRecurring (5 years)
Item
$200.0 Reduction in staff time to oversee operations $100.0 Reduction in field equipment maintenance and repair costs $125.0 $425.0 Total
Total
$100.0 $100.0 $250.0 $250.0
$350.0 $350.0
Alternative 2 • Reduced onsite monitoring costs • Reduced repair costs • Reduced time to conduct analysis
Tangible Benefits
• Increased response time and accuracy for accounting and auditing • Reduced staff time to oversee contractors
Intangible Benefits
VII.
None
• Reduce risk of compact non-compliance • Improved image of the Agency as effective water resource managers
Recommendation:
Alternative 2 – Proceed with the expansion of the Pecos Well Field and Surface Water Measurement SCADA system 8
Office of the State Engineer/Interstate Stream Commission Pecos Well Field and Surface Water Measurement SCADA System Project Business Case - FY12 IT Plan (Priority #4)
C2 Form Information Technology Data Processing - Computer Systems Enhancement Fund or Capital Outlay Agency Name: Project Name: Multi-Agency Project Project Type and Specifics:
Category or Account Description General Fund Other State Funds Interagency Transfers/ Internal Service Funds Federal Funds Total
0 0 0 0 0.0 0.0 0.0 300.0 Expenditure Categories (dollars in thousand s) FY09 & Prior FY10 Actual FY11 OpBud FY12 Request Actual
Personal Services & Employee Benefits Professional Services IT Other Services IT Services Travel/Lodging /Training IT Maintenance IT Supplies/Inv. Exempt IT Equip Capital Outlay Other Financing Uses Total
Print Name Signature Date Phone Email
550 OSE-ISC Agency Code: Pecos Well Field and Surface 5/1/2011 to Water Measurement SCADA Projected Start/End Date: 6/30/2012 Yes No List agencies participating: Computer Systems Enhancement Fund Please check one of the options below: or Existing Systems New System Development (Upgrade, Enhancement, Expansion) Revenue Project Cost (dollars in thousands) FY09 & Prior FY10 Actual FY11 Opus FY12 Request FY13 Estimate 0 0 0 300.0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0
0.0
0.0
0.0
0 0.0 FY13 Estimate
0 200.0 0 0
0 0 0 0
0 0 100.0 0 0 300.0
0 0 0 0 0 0
Agency Cabinet Secretary (mandatory)
CIO or IT Lead (mandatory)
Budget Director (mandatory)
John R. D’Antonio, Jr., P.E.
Renée Martínez
Curtis Eckhart
9/1/2010 827-6091
[email protected]
9/1/2010 827-6131
[email protected]
9/1/2010 476-0536
[email protected]
9
Office of the State Engineer/Interstate Stream Commission Pecos Well Field and Surface Water Measurement SCADA System Project Business Case - FY12 IT Plan (Priority #4) Investment Protection: Business Continuance & Disaster Recovery Plans
Compliance with IT Consolidation
x x x x x x
x
IT functions of the project have been or will be reviewed by the agency CIO or IT Lead to minimize duplication and redundancy. This project reports to or will report to a Secretary or Director who is a single point of accountability for IT within the agency. This project has been or will be reviewed by DoIT for participation in existing or future common IT functions usable across multiple agencies. Project has planned, will plan for or has conducted a pilot test of applicability and operability in an actual business environment. Project has planned or will plan for or conduct a proof of concept of the technology to be used. Project has addressed or will address governance to identify decision points and accountability to ensure successful implementation.
x
Project is or will actively address security and data integrity issues.
x x
Project is or will actively address disaster recovery and business continuance issues and records retention Project is or will actively address privacy issues.
x
Project is or will actively address regulatory compliance issues.
x
A risk profile has been created or will be created and will be updated at the start of each phase of the project.
x
Project is or will, wherever possible, act as a supplier and user of shared technical resources with the State. Project is or will work with other state agencies to maximize savings through participating in bulk purchases and licensing of standardized components and solutions. If already in service, the project manager has performed a recent gap analysis against current state security, privacy, architecture, DR and BC requirements and standards.
Compliance with the Enterprise IT Strategic Plan An IV&V provider has been selected or will x be selected and is ready to provide independent quality assurance. project “uses” or will use existing x This common IT functions from other agencies.
x
x x
This project could benefit from common IT functions usable across multiple agencies.
x
x
Project has or will identify common (shareable) business functions and data.
x
x
Project is or will use middleware, where appropriate, to enhance access to all data.
x
x
Any common services to be “provided” by this project to other agencies or external parties are provided at competitive rates.
x
Compliance with the Framework For Enterprise Architecture Plan Project is or will be in compliance with the current Enterprise IT Architecture Standards for the state. Data and information managed by the project are or will be handled and protected as an enterprise asset. Project is or will, wherever possible, participate as a supplier or user of reusable enterprise architecture components. Project is or will assess risks and engineering security into every layer of project implementation. Project has or will plan for or conduct a proof of concept of the technology to be used. Project is or will collaborate between IT and business leaders during analysis and review to provide advice on technologies.
10
Office of the State Engineer/Interstate Stream Commission Pecos Well Field and Surface Water Measurement SCADA System Project Business Case - FY12 IT Plan (Priority #4) Compliance with the Enterprise IT Strategic Plan is or will actively address security x Project and data integrity issues.
x x x x x x
x
Project has or will give thorough and appropriate consideration to common hosting and data center models. Project has or will give thorough and appropriate consideration to open source components.
x
Project has or will give thorough and appropriate consideration to common, distributed and remote support models. Project is or will implement and participate in state-wide approaches to business continuity and disaster recovery solutions. Project is or will actively participate in any appropriate statewide or group purchases of products, software or services to minimize costs. Project is or will comply with business case and other project planning and ROI evaluations appropriate to the size and cost of the project.
x
x
Compliance with the Framework For Enterprise Architecture Plan Project owners are or will take responsibility for initiating analysis and review. Project has or will consider application of COTS (commercial off-the-shelf). Project is or will manage a separation of presentation logic, business logic and data access to maximize reusability of components. Project is or will actively address system management issues.
11
Appendix F IT Customer Satisfaction Survey Results and Trends
OSE/ISC IT Customer Satisfaction Survey - 2010
1. Please specify which part of the organization you currently work in.
OSE-ISC Planning &
Response
Response
Percent
Count
4.4%
8
WRAP Administrative Support
1.1%
2
WRAP Dam Safety Bureau
2.2%
4
WRAP Hydrology Bureau
4.4%
8
1.7%
3
7.2%
13
WRAP District I
7.2%
13
WRAP District II
8.8%
16
WRAP District III
3.3%
6
WRAP District IV
6.1%
11
WRAP District V
1.1%
2
WRAP District VI
5.0%
9
WRAP District VII
2.2%
4
LAP Administrative Support
3.3%
6
LAP Lower Rio Grande Bureau
3.9%
7
LAP Northern New Mexico Bureau
3.3%
6
LAP Pecos Bureau
3.3%
6
LAP Hydrographic Survey Bureau
2.8%
5
LAP Administration Litigation Unit
1.7%
3
ISC Administrative Support
1.7%
3
ISC General Counsel
1.1%
2
Communication
WRAP Water Use & Conservation Bureau WRAP Water Rights Abstracting Bureau
1 of 5
ISC Colorado/San Juan Basin
0.6%
1
ISC Pecos Basin Bureau
2.8%
5
ISC Rio Grande Basin Bureau
3.9%
7
ISC Special Water Projects Bureau
2.2%
4
Program Support Hearing Unit
1.7%
3
3.3%
6
1.7%
3
1.1%
2
1.7%
3
1.7%
3
3.9%
7
answered question
181
skipped question
0
Bureau
Program Support IT Services Bureau Program Support Financial Services Bureau Program Support Budget Bureau Program Support Human Services Bureau State Engineer's Office Administration Other
2 of 5
2. Please rate the following aspects of our work.
Understanding your business requirements Communicating clearly and effectively
Keeping you informed of progress
Meeting timescales
Working with you and your team
Providing services in a courteous, professional and helpful manner Providing solutions that save time and effort
Responding promptly to problems
Meeting overall program-bureaudistrict objectives
Excellent
Good
Adequate
Poor
27.5%
46.1%
21.9%
3.4%
(49)
(82)
(39)
(6)
32.0%
44.2%
18.8%
3.3%
(58)
(80)
(34)
(6)
32.4%
46.4%
16.8%
2.2%
(58)
(83)
(30)
(4)
24.6%
45.8%
20.1%
3.9%
(44)
(82)
(36)
(7)
35.8%
39.1%
17.9%
4.5%
(64)
(70)
(32)
(8)
43.6%
39.8%
13.3%
2.2%
(79)
(72)
(24)
(4)
24.6%
43.6%
21.8%
5.6%
(44)
(78)
(39)
(10)
35.8%
36.9%
20.5%
5.7%
(63)
(65)
(36)
(10)
23.1%
42.8%
24.3%
2.3%
(40)
(74)
(42)
(4)
Unacceptable
0.6% (1)
1.7% (3)
1.1% (2)
1.7% (3)
1.1% (2)
1.1% (2)
2.2% (4)
1.1% (2)
1.7% (3)
N/A
0.6%
Rating
Response
Average
Count
2.03
178
1.98
181
1.92
179
2.09
179
1.94
179
1.77
181
2.15
179
1.99
176
2.12
173
Comments
29
answered question
181
(1) 0.0% (0) 1.1% (2) 3.9% (7) 1.7% (3) 0.0% (0) 2.2% (4) 0.0% (0) 5.8% (10)
skipped question
3 of 5
3. Overall, how do you rate the quality of products and services we provide? Response
Response
Percent
Count
Excellent
23.9%
43
Good
56.7%
102
Adequate
15.6%
28
Poor
3.3%
6
Unacceptable
0.6%
1
Comments
7
answered question
180
skipped question
1
4. What level of confidence do you have in us to deliver the products and services that you require? Response
Response
Percent
Count
Complete
25.7%
46
A lot
49.7%
89
Some
19.6%
35
Little
4.5%
8
None
0.6%
1
Comments
6
answered question
179
skipped question
2
4 of 5
5. Overall, is our performance ... Response
Response
Percent
Count
Getting much better?
20.7%
37
Getting better?
50.8%
91
Staying at about the same level?
25.1%
45
Getting worse?
3.4%
6
Getting much worse?
0.0%
0
Comments
19
answered question
179
skipped question
2
6. If you have any suggestions regarding how we could improve the services we provide to you, please enter them in the box below. Response Count 14
5 of 5
answered question
14
skipped question
167
IT Customer Satisfaction Survey (Please Rate the Following Aspects of Our Work)
100%
95% 90%
96% 88%
85% 80%
95%
97%
96%
93%
93%
91%
88%
85%
90%
90% 84%
80% 76%
75%
73%
70% 65% 60%
60%
55% 50%
2010 (Excellent‐Good‐Adequate)
2009 (Excellent‐Good‐Adequate) 2009 (Excellent‐Good‐Adequate)
IT Customer Satisfaction Survey (Overall, how do you rate the quality of products and services we provide?) 60.0%
56.7% 50.0%
45.2%
Response Percent (2009)
40.0%
Response Percent (2010)
30.0%
20.0%
23.9% 20.2%
21.0% 15.6% 12.1%
10.0%
3.3% 0.0%
Excellent
Good
Adequate
Poor
1.6% 0.6%
Unacceptable
IT Customer Satisfaction Survey (What level of confidence do you have in us to deliver the products and services that you require?) Response Percent (2009)
Response Percent (2010)
49.7%
25.7%
19.6% 39.5% 26.6%
24.2%
8.1%
None
Little
Some
A lot
Complete
4.5%
1.6% 0.6%
IT Customer Satisfaction Survey (Overall, is our performance …) 60.0% 50.8%
50.0%
40.8%
40.0%
37.5%
30.0% Response Percent (2009)
25.1% 20.0%
Response Percent (2010)
20.7% 18.3%
10.0% 3.4% 2.5%
0.0% Getting much much better?
Getting better?
Staying at about the about the same level?
Getting worse?
0.8% 0.0% Getting much much worse?
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