HomeMy WebLinkAboutWORK ORDER - RFP - 8225 MAXIMO CONSULTING SERVICES (8)DocuSign Envelope ID: 6158D890-B625-4203-8DA1-CE787933C8A6
1/18/2017
1/18/2017
1/23/2017
1/30/2017
DocuSign Envelope ID: 6158D890-B625-4203-8DA1-CE787933C8A6
DocuSign Envelope ID: 6158D890-B625-4203-8DA1-CE787933C8A6
DocuSign Envelope ID: 6158D890-B625-4203-8DA1-CE787933C8A6
A-I
City of Fort Collins
Utilities Maximo
Implementation Project
Project Execution Plan
Version 1.0
October 2016
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
Proprietary and Confidential -ii- Maximo Project―
Project Execution Plan
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Document Sign-off
This area is provided as a signature area on the document. Signing this document
ensures that Excergy and the Fort Collins Utilities have agreed to the contents of this
Project Execution Plan document. This signed version forms a point of departure (or
baseline) from which “changes” shall be proposed, assessed, and agreed on before
incorporation.
Kevin Gertig, Utilities Executive Director, Fort Collins Utilities Date
Jon Haukaas, Executive Project Sponsor Maximo Project, Fort Collins Utilities Date
Dennis Sumner, Maximo Project Manager, Fort Collins Utilities Date
Mary Evans, IT Application Services Manager, City of Fort Collins Utilities Date
Tim McCollough, Light & Power Operations Manager, Fort Collins Utilities Date
Lisa Rosintoski, Customer Connections Manager, Fort Collins Utilities Date
Lance Smith, Financial Planning Department Manager, Fort Collins Utilities Date
Carol Webb, Water Resources & Treatment Ops Manager, Fort Collins Utilities Date
Jim Ketchledge, Project Manager, Excergy Date
DocuSign Envelope ID: 33BFF088-FF73-4928-AF09-13186F51FEA1
11/3/2016
11/3/2016
11/3/2016
11/9/2016
11/10/2016
11/14/2016
11/16/2016
11/18/2016
11/21/2016
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Revision History
Date Version Description Author
7-5-2016 0.1 Internal Draft Excergy
7-20-2016 0.2 Internal Draft Excergy
8-2-2016 0.3 Core Team Review Excergy
8-10-2016 0.4 Executive Team Review Excergy
10-26-2016 1.0 Executive Team Comments Excergy
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Table of Contents
Executive Summary ......................................................................................................... ix
1 Introduction ............................................................................................................ 1-1
Purpose ............................................................................................................ 1-1
Intended Audience ........................................................................................... 1-1
Background ...................................................................................................... 1-1
Project Overview .............................................................................................. 1-3
Project Deliverables ......................................................................................... 1-5
Controlling Changes to the Project Execution Plan ......................................... 1-7
Referenced Documents ................................................................................... 1-7
Relationship of the Project Execution Plan to Other Documents ..................... 1-7
2 Project Approach .................................................................................................... 2-1
Maximo Project Organization ........................................................................... 2-1
Phasing Approach ............................................................................................ 2-2
Work Breakdown Structure .............................................................................. 2-4
Team Roles and Responsibilities ..................................................................... 2-4
3 Maximo Constraints, Assumptions, Risks, and Dependencies .............................. 3-1
Constraints ....................................................................................................... 3-1
Assumptions .................................................................................................... 3-2
Risks ................................................................................................................ 3-3
Dependencies .................................................................................................. 3-6
4 Project Management .............................................................................................. 4-1
Master Project Schedule .................................................................................. 4-1
Status Reporting and Tracking ........................................................................ 4-3
Technical Change Control Process ................................................................. 4-4
Risk Management ............................................................................................ 4-4
Risk Management Overview ............................................................................ 4-5
Project Management Tools .............................................................................. 4-7
Project Management Communication .............................................................. 4-8
5 Requirement Management Plan ............................................................................ 5-1
Requirements Management Plan .................................................................... 5-1
Requirement Artifacts, Requirement Types, Requirements
Categorization and Requirements Prioritization .............................................. 5-7
Requirement Attributes .................................................................................... 5-9
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Traceability Criteria ........................................................................................ 5-11
6 Configuration Management Plan ............................................................................ 6-1
Roles ................................................................................................................ 6-1
Responsibilities ................................................................................................ 6-1
Configuration Identification .............................................................................. 6-3
Configuration Change Management ................................................................ 6-6
Configuration Management Tools .................................................................. 6-15
Requirements Management ........................................................................... 6-16
7 Organizational Change Management .................................................................... 7-1
Introduction & Approach .................................................................................. 7-1
Assessment of Organizational Alignment ........................................................ 7-6
OCM Component Plans ................................................................................... 7-7
8 Process Improvement Plan .................................................................................... 8-1
Definitions ........................................................................................................ 8-1
Process Summary ............................................................................................ 8-1
Process and Procedure Inventory .................................................................... 8-2
9 Procurement Plan .................................................................................................. 9-1
Hardware.......................................................................................................... 9-1
Software ........................................................................................................... 9-1
10 Quality Assurance ................................................................................................ 10-1
Quality Assurance Process ............................................................................ 10-1
Quality Assurance Responsibilities ................................................................ 10-2
Testing ........................................................................................................... 10-3
Regression Testing ........................................................................................ 10-4
11 Budget & Costs .................................................................................................... 11-1
Budget ............................................................................................................ 11-1
Software Licensing ......................................................................................... 11-1
External Labor & Travel ................................................................................. 11-2
Fort Collins Utilities Internal Labor ................................................................. 11-5
Summary ........................................................................................................ 11-7
12 Acronyms ............................................................................................................. 12-9
Appendix A. Maximo Project Schedule ......................................................................... A-1
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Figures
Figure 1-1 Document Relationships .............................................................................. 1-8
Figure 2-1 Project Team Organization .......................................................................... 2-1
Figure 2-2 Summary of Phases ..................................................................................... 2-2
Figure 4-1 Status Cycle ................................................................................................. 4-3
Figure 4-2 Sample Status Report .................................................................................. 4-4
Figure 4-3 Project Communication Protocols ................................................................ 4-8
Figure 5-1 Requirement Baseline Process .................................................................... 5-2
Figure 5-2 Requirement Update Process ...................................................................... 5-5
Figure 6-1 RACI Definitions ........................................................................................... 6-1
Figure 6-2 Change Control Process Flow ................................................................... 6-11
Figure 7-1 Project Change Triangle .............................................................................. 7-1
Figure 7-2 Phases in Effective OCM ............................................................................. 7-2
Figure 7-3 Stages of Organizational Change ................................................................ 7-3
Figure 7-4 OCM Calibration to Project Lifecycle ........................................................... 7-3
Figure 7-5 OCM Plan Objectives ................................................................................... 7-4
Figure 7-6 Alignment Cycle Steps & Tasks ................................................................... 7-5
Figure 7-7 The Alignment Cycle .................................................................................... 7-6
Figure 7-8 Alignment Data ............................................................................................ 7-6
Figure 11-1 External Labor & Travel Expenses .......................................................... 11-4
Figure 11-2 External Labor & Travel Expenses Against Goal ..................................... 11-5
Figure 11-3 Internal Labor ........................................................................................... 11-6
Figure 11-4 Internal Labor Project Duration ................................................................ 11-6
Figure 11-5 Maximo Total Costs ................................................................................. 11-8
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Tables
Table 1-1 Maximo Project Documents .......................................................................... 1-6
Table 2-1 Team Roles and Responsibilities .................................................................. 2-5
Table 3-1 Initial Project Risk List ................................................................................... 3-3
Table 4-1 Required Communication Protocols .............................................................. 4-9
Table 5-1 Requirement Documentation Sources and Requirement Types ................... 5-9
Table 5-2 Required Attributes – Business / System ...................................................... 5-9
Table 5-3 Additional Attributes for Integration Requirements Only ............................. 5-11
Table 5-4 Requirements Traceability .......................................................................... 5-12
Table 6-1 CoM Accountability Matrix ............................................................................. 6-2
Table 6-2 Vendor Software Receipt and Release – Roles and Responsibilities ........... 6-4
Table 6-3 Change Control Roles and Responsibilities ................................................ 6-12
Table 7-1 Communications Roles & Responsibilities .................................................... 7-8
Table 7-2 Sponsorship Roles & Responsibilities ......................................................... 7-10
Table 7-3 Training & Performance Roles & Responsibilities ....................................... 7-12
Table 7-4 Reinforcement Roles & Responsibilities ..................................................... 7-14
Table 8-1 Initial Process and Procedure Inventory Framework and Assumptions ........ 8-2
Table 10-1 Quality Assurance Responsibilities ........................................................... 10-2
Table 11-1 Summary of Software Licensing Costs ..................................................... 11-2
Table 11-2 External Labor & Expenses ....................................................................... 11-3
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PEP Executive Summary
The Project Execution Plan (PEP) is a consolidated project document consisting of the
plans for project management and implementation activities. The PEP will serve as the
basis for project implementation and as a planning document to be periodically reviewed
and revised, subject to the configuration management process described herein. The
PEP identifies all project activities, organizations responsible for project management
and implementation activities, required resources, master schedule, and monitoring
mechanisms.
The PEP is designed to address all project elements in sufficient detail to provide clarity
on scope, schedule and cost for the project team, executive sponsors and others. As
such, the document starts with general background and approach information, including
constraints, assumptions, risks and dependencies, followed by seven components:
• Project Management
• Requirement Management
• Configuration Management
• Organizational Change Management
• Process Improvement
• Procurement
• Quality Assurance
The final section details budget and costs with the project schedule included in the
appendix.
Background, Project Approach, and Phasing
In 2011, Water Resources Treatment (WRT) undertook Maximo deployment, and mostly
completed the deployment in 2014. Following WRT deployment, a strategic pause in the
project enabled performance assessment of the overall team and approach. Utilities
determined that results to date were less than desired and sought a new approach,
which resulted in a project restart in Q2 2016.
The Maximo software includes six management modules in an enhanced service-
oriented architecture. Initially, the Fort Collins project focuses on the asset management,
work management, and materials management capability of Maximo. The three major
groups targeted for Maximo deployment: Water Resources Treatment (WRT), Water
Field Operations (WFO), and Light & Power Operations (LPO) will implement Maximo
sequentially.
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Due to the scope and scale of Maximo, clear project organization and governance are
critical. The organizational structure shown below specifies the teams and collaborations
that will be in place throughout the project lifecycle with staff and consultant roles
specified.
Project Team Organization
Key Maximo team member roles and responsibilities are further specified in Section 2.4
of this document.
Due to variability in needs and goals, resource constraints, and readiness across each of
the three operational units, Maximo will be implemented using a phased approach. A
detailed Microsoft Project Schedule has been developed and is included as Appendix A
to the PEP.
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Summary of Phases
Constraints, Assumptions, Risks, and Dependencies
Constraints, assumptions, risks, and dependencies capture the various factors that
affect the Maximo project scope or execution. These are important items for awareness
and the project management approach includes controls to continually manage these
factors; they are defined as follows with one example provided for each:
• Constraints: Limiting factors that will impact the project.
Example: Budgets beyond 2018 are unclear and may impact schedule for
completion of WRT and WFO, as well as LPO implementation.
• Assumptions: Factors that we are relying on for project success:
Example: The project timeline will be continuous with no interruptions of
major pauses.
• Risks: Direct project risks with impacts and mitigations noted.
Example: Maximo implementation is a personnel intensive project and FC
has a limited resource set with the skills needed.
• Dependencies: Critical interrelationships between groups and tasks.
Example: The detailed project schedule contains identified dependencies.
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Project Management
Fort Collins will maintain a disciplined, thorough, and persistent management oversight
process. The team will produce a series of project control documents and processes to
provide standards, guidance, and overall control for the project. To facilitate
communications and knowledge management, the project team will use a number of tools
to support project implementation including SharePoint, Trello – an online hosted tool that
provides visual representation of tasks – and Maximo’s resident ability to track and
monitor defects and related items.
Project Communication Protocols
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The project will be guided by the integrated Master Schedule, which incorporates the
major component tracks of the project. Based on a Work Breakdown Structure (WBS)
that provides an organized decomposition of all the work necessary to complete a
project, this schedule is reviewed and updated weekly in a series of status meetings.
Minor changes to the Master Schedule will be managed at the weekly review meeting;
any major changes will be managed through a disciplined change process. Establishing
a regular cadence in which progress to plan, status, risk management, and open action
items are managed is a primary function of project management.
Status Cycle
The Project Management Office (PMO) also has responsibility for risk management.
Risks will be monitored on a monthly basis according to an established ranking system,
which uses a scale of 1-5 for both probability and impact are multiplied together.
The purpose of risk evaluation is to do the following:
• Assess the acceptable level of each risk in commercial, technical/delivery,
and project terms using the risk estimation information determined above.
• Prioritize the risks.
• Determine risk mitigation alternatives for risks that are deemed unacceptable
(for example, risk avoidance measures and contingency measures).
• Document and cross-reference the selected alternative strategies.
Weekly Project
Activity
Project
Written Status
(Monday)
Weekly Team
Status Meeting
(Tues)
Configuration
Control Board or
Follow-Up if
Needed (Thurs)
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Requirement Management Plan
The Requirement Management Plan (RMP) presents detailed guidelines for
implementing a Requirements Traceability Matrix (RTM), and includes two requirement
management processes: (1) the process for baselining new requirements and (2) the
process for updating existing baselined requirements. Each is governed by a business
process flow diagram with participants and flows clearly delineated for each step.
Clear visibility as to the requirements being established for the Maximo project helps
both program stakeholders, users and external entities understand what the solution will
deliver. This is accomplished using business and system requirements categorization
methods, which are further categories using the RICE+W standard which includes
Reports, Integration, Conversion, Enhancements, and Workflow, respectively.
Further, requirements are prioritized using the MoSCoW method, which establishes the
criticality of each requirement. These priorities are assigned as (1) must deliver; (2)
should attempt to deliver; (3) could deliver if schedule/budget permits; (4) would deliver
but other requirements have higher priority. Each assigned priority is reviewed by the
Project Core Team for approval.
Further details to track requirements and the RTM are included in Section 5 of this
document and include Requirements Attributes and Traceability Criteria, which provide a
way to track the source and other information about that specific requirement type.
Configuration Management Plan
The Configuration Management (CoM) Plan defines the approach for orderly
management of requirements, software, hardware, and document baselines. This plan
describes how the Fort Collins Utilities project team applies CoM during project
implementation, including roles and responsibilities. The CoM responsibilities are
detailed in the CoM accountability matrix according to the RACI
(Responsible/Accountable/Consulted/Informed) methodology.
Configuration identification enables the user to understand what constitutes the
deliverable solution. Configuration identification tasks include identifying the deliverable
components, identifying established baselines, and ensuring that changes made to the
established baselines are identifiable. Configuration identification is accomplished by
labeling or uniquely naming or numbering deliverables, establishing baselines for the
deliverables, and controlling and documenting the authorized changes made to the
established baselines. Again using the RACI methodology, responsibilities for vendor
software receipt and release are clearly specified in matrix format.
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RACI Definititions
Configuration change management is another important aspect of CoM. An effective
CoM process must be consistently understood and implemented by the project team.
Having standardized and documented change management procedures helps ensure
that changes to the requirements, software, hardware, and documentation are logged
and managed consistently; and that the appropriate personnel are informed of the status
of changes and that any technical, cost, and schedule impacts are reviewed and
approved. Major elements of configuration change management include the following:
• Change Requests including enhancements, defect fixes, logging and tracking
• Change Control Board (CCB)—A committee charged with making decisions
on whether or not proposed changes to elements of the project baseline
should be implemented
• Executive Review Team (Exec Team) —Manages changes that are not
managed through the change control process, typically related to strategic
vision, staffing, budget or schedule
A variety of tools are used to conduct CoM tasks in order to control access, modification,
and archiving of deliverables and include:
• Requirements baseline control
• Software baseline control
• Documentation baseline control
• Hardware baseline control
• Change tracking
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Change Control Process Flow
Organizational Change Management
The Organizational Change Management (OCM) portion of the Maximo project will
employ a diverse, inclusive and multi-faceted approach to address the internal impacts
on the people and processes associated with the technology implementation. The
associated goal is to build understanding and acceptance of the benefits, resulting in
high-level organizational performance throughout the project lifecycle. Organizational
Change Management identifies and manages the internal changes associated with
Maximo with an overall goal of moving people from the current state to high performance
in the new environment as efficiently as possible.
The OCM development approach is divided into three phases.
• Phase 1: Prepare Strategy/Assess Change (orange)
• Phase 2: Manage/Implement Change (blue)
• Phase 3: Reinforce/Sustain Change (green)
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Phases in Effective OCM
The methods used for Maximo OCM will build on/augment existing Utilities practices to
achieve the OCM plan objectives (see opposite page).
Through the use of SchellingPoint alignment optimization methodology, we gained
insight into organizational readiness for Maximo implementation. At a high level, the
research revealed that there is low alignment and high confusion on the Case for Action;
that is, why are we doing this, why in this way, and why now? This is true between and
within Departments and Roles, including in relation to the software selection itself.
Notably, Supervisors show lower alignment in general. In addition, “Confusion” is very
apparent. Notable needs identified include leadership, vision and consistent
communications throughout all levels of the organization.
After OCM strategy and approach is developed, OCM planning has four major
implementation components: Internal Communications; Sponsorship & Engagement;
Training & Performance; and Measurement & Reinforcement. Roles and Responsibilities
for plan development and implementation are specified in Section 7.
Assess Readiness
& Define Change
Size/Scope &
Prepare
Develop
Alignment
Strategy
Develop OCM
Component Plans
Take Action/
Implement Plans
Diagnose Gaps &
Manage
Resistance
Monitor/Manage
Drift & Improve
Correct &
Celebrate Success
Transition to
Business as Usual
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Time Frame: 2016 – 2021
OCM Plan Objectives
Know Feel Do
All employees:
- Understanding/support of
Maximo benefits as an
important technology, and why
it’s important for Utilities’ future
Impacted Employees:
- Per above plus how the
changes specifically impact
daily work activities
- How I will be assisted
through the transition
- What training and support I
can expect; that I will have
time to learn the new skills
- That I will be recognized
(notably by management),
supported and treated right
- My opinion is taken into
consideration in planning
features and functionality of
Maximo
- Trust and confidence in
Utilities future as we adapt to
changing needs and
expectations of the Utilities,
the City and our customers
- Trust in the approach and
tools selected
- Confidence that I will be
provided the resources and
time necessary to perform
well to changing job
expectations
- Interest/enthusiasm about
the possibilities new
technology will bring
- Understand and support the
Maximo project
- View Maximo as an
opportunity
- Engage in Maximo events,
such as informational
sessions, training, surveys,
etc.
- Use resources provided to
build my personal
understanding and ability to
perform; move through the
change cycle
- Seek information to address
questions/concerns
- Adopt/use Maximo at an
optimal level for my job duties
Measurement
Staff engagement, acceptance, learning and demonstration of use of Maximo on the job.
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The details included in Section 8 also account for the pre-GIS and post-GIS
considerations as applicable for LPO.
Procurement Plan
After the vendors have been selected, additional information will be developed regarding
the hardware and software procurement plan and responsibilities.
Quality Assurance
Vendor Quality Assurance (QA) processes focus on delivering successful business
solutions, with predictability and predetermined capability, through the company’s
people, processes, methodologies, and tools. The specific objectives are as follows:
• Consistent application of approved methodologies and software development
practices
• Consistent and predictable level of quality of documentation and software
deliverables
• Maintained process control through applying control gates
• Early and cost-effective defect discovery and correction
• Timely feedback of lessons learned into training and work processes
• Operable business solutions that meet contractual requirements
• Continuous improvement in all activities
QA responsibilities for the various project team roles—Project Manager, Project
Engineer, Project Team, Document Quality Control, Test Engineering—are specified.
Testing
A key element of the software development lifecycle is the testing process. It starts at
the beginning of the project requirements analysis and is active all the way through
acceptance testing. An overall Test Strategy is developed and test plans implement the
strategy for individual components of the system, for example WFO Asset Management.
Test procedures provide structure to the actual tests. In addition to functional and
performance testing at the first substantiation of new capability, regression testing
verifies the overall integrity of the system following a change.
Through this standardized, systematic process, testing ensures that the various
iterations and the final built and delivered system reflect Fort Collins Utilities’ business
needs and satisfy all functional and non-functional requirements defined in the
requirement specifications.
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Budget and Costs
Costs for implementing the Maximo project have three components: software licensing,
external consulting/system implementation labor and travel, and internal Fort Collins
Utilities labor. As is the standard practice at Utilities, internal labor is not a direct charge
to the project except for the assigned project manager. Final costs for operating and
maintaining the Maximo solution once deployed will be developed as a project document
deliverable. Budget is presented below; details on both can be found in Section 11.
Project Costs Summary
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The internal staff needs for the project plan includes hours only for the implementation
tasks in the Master Schedule and do not include hours for internal governance, such as
the core team meeting on a weekly basis, attending status meetings, meeting to discuss
issues outside of project tasks, etc., nor do they include work orders already being
executed. Further details can also be seen in the resource loading of the Master
Schedule in MS-Project 2010 (delivered separately). Internal staff hours for the baseline
model are as follows.
Internal Labor Hours
Implementation tasks in the Master Schedule and do not include hours for internal governance, such as the core team
meeting on a weekly basis, attending status meetings, meeting to discuss issues outside of project tasks, etc.
2248
1440
5469.99
2088
416
1666
5144
40
40
5289.99
5649.99
1359.99
2671.99
456
0 1000 2000 3000 4000 5000 6000
FC - Althoff
FC - HR/Training Personnel
FC - IT
FC - LPO SME
FC - Morford
FC - OCM
FC - PM
FC - SME 1
FC - SME 2
FC - Steve D
FC - Terry
FC - WFO GIS SME
FC - WFO SME
FC - WRT SME
Total Hours
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DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
Maximo Project― 1-1 Proprietary and Confidential
Project Execution Plan
1 Introduction
The Project Execution Plan (PEP) is a consolidated project document consisting of the
plans for project management and implementation activities. Based on analysis, estimates
used at the time of creation, and re-estimation arrived at during project plan execution, the
PEP will serve as the basis for project implementation and as a planning document to be
periodically reviewed and revised, subject to the configuration management process
described herein.
Purpose
The PEP identifies all project activities, organizations responsible for project management
and implementation activities, required resources, master schedule, and monitoring
mechanisms. It is a planning and tracking document, forming the basis of project
execution.
Intended Audience
The intended audience of the PEP includes Fort Collins Utilities management, Utilities
staff, IT staff, the Fort Collins Utilities Maximo project team, and the Excergy project team.
Background
Fort Collins Utilities desires an asset management system to foster a climate of
operational excellence and maximize asset performance while lowering costs, particularly
maintenance costs. A well-executed asset management strategy reduces unnecessary
maintenance and downtime, tracks causes of failures, identifies repeat problems, provides
root-cause data and fault diagnosis, and recommends actions. It also detects failure
conditions in advance; eliminates manual actions, handoffs, and paperwork; and reduces
the time between problem identification and resolution.
In 2010, Fort Collins Utilities selected the Maximo solution from International Business
Machines Corporation (IBM) to be the enterprise asset management (EAM) solution.
Maximo is a comprehensive solution for managing physical assets on a common platform
in asset-intensive industries such as utilities. It offers “built-in” warehouse management,
crew management, and analytical insight. The software will allow Utilities to share and
enforce best practices, inventory, resources, knowledge management, and personnel.
Maximo helps manage all types of assets – including plant, production, infrastructure,
facilities, transportation, and communications.
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The Maximo software includes the following six management modules in an enhanced
service-oriented architecture.
1. Asset management – To more efficiently track and manage asset and location
data throughout the asset lifecycle
2. Work management – To manage both planned and unplanned work activities,
from initial request through completion and recording of actuals
3. Service management – Allowing the definition of more service offerings,
establishing service level agreements (SLAs), to more proactively monitor
service-level delivery and implement escalation procedures
4. Contract management – To gain complete support for purchase, lease, rental,
warranty, labor rate, software, master, blanket, and user-defined contracts
5. Inventory management – To provide knowledge of the details of asset-related
inventory and its usage including what, when, where, how many, and how
valuable
6. Procurement management – To support all the phases of enterprise-wide
procurement such as direct purchasing and inventory replenishment
Maximo allows Fort Collins Utilities to consolidate multiple work and asset management
solutions into a single platform and database. This includes bringing together assets
such as those managed by water and electric distribution utilities, water and wastewater
treatment, vehicle fleet, and facilities. Maximo helps utilities increase asset and resource
effectiveness by providing a platform to support all types of asset classes. Maximo also
features integrated work and asset management functionality on a modern, standards-
based platform including supply chain management, contact management, and SLAs.
Capabilities of the solution include:
• Improved productivity with Compatible Unit Estimating (CUE) and a multilevel
compatible unit library
• The ability to manage crew type and crew makeup with enhanced crew
management while tracking labor skills and certifications
• Support for the asset management lifecycle
• Ability to integrate with fixed-asset accounting, mobile workforce
management, and design tools based on service-oriented architecture
As a comprehensive solution, the Maximo software is extremely configurable and offers
capability across a number of asset intensive industries. As such, the principal
challenges in a Maximo implementation are to configure the software correctly to meet
the particular needs of Fort Collins Utilities and achieve, create the necessary business
processes, and achieve organizational acceptance.
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Initially, the Fort Collins Utilities project focuses on the asset management, work
management, and materials management capability of Maximo. The three major groups
targeted for Maximo deployment: Water Resources and Treatment (WRT), Water Field
Operations (WFO), and Light & Power Operations (LPO) will implement Maximo
sequentially.
In 2011, WRT launched Maximo deployment, and mostly completed the deployment in
2014. Following WRT deployment, a strategic pause in the project enabled performance
assessment of the overall team and approach. Utilities determined that results to date
were less than desired and sought a new approach, to include a change in external
consultants. Following an RFP process, new external support engaged in 2016 and the
project was re-launched with a priority to conduct fact finding and create this PEP that
will guide the Maximo implementation.
Project Overview
Key project information for the Fort Collins Utilities Maximo Project and other external
agencies involved in the project are summarized below.
1.4.1 Project Summary and Key Personnel
Project Name: City of Fort Collins Utilities Maximo Project
Utility Name: City of Fort Collins Utilities
Utility Contact Details: City of Fort Collins Utilities
700 Wood Street
Fort Collins, CO 80522
Key Project Contacts: Jon Haukaas, Executive Project Sponsor
Dennis Sumner, Project Manager
Kevin Gertig, Utilities Executive Director
Carol Webb, Water Resources & Treatment Ops Manager
Tim McCollough, Light & Power Operations Manager
Lance Smith, Financial Planning Department Manager
Lisa Rosintoski, Customer Connections Manager
Mary Evans, IT Application Services Manager
Coy Althoff, Maximo Core Team
Terry Croskery, Maximo Core Team
Steve Denoswski, Maximo Core Team
Rick Morford, Maximo Core Team
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Project Objectives: Deliver a configured Maximo software solution for Utilities
including field mobile capability that supports our overall
asset management strategy.
Level 2 & 3 Work
Breakdown Structure:
• Enterprise
o Project Execution Plan
o Mobile Solution Selection
o Maximo 7.6 Upgrade
o Organizational Change Management (OCM)
Planning
• Phase 1
o Project Management
o Business Policies
o WRT (Gap)
o WFO (Stormwater, Wastewater, Water)
o OCM (Phase 1)
• Phase 2
o Project Management
o Business Policies
o WRT (Gap & Enhancement)
o WFO (Meter Shop)
o OCM (Phase 2)
• Phase 3
o Project Management
o Business Policies
o LPO
o OCM (Phase 3)
Products to Deliver: Maximo Version 7.6
Mobile Software Product (Vendor TBD)
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1.4.2 Project Schedule Information
Project Start Date: April 4, 2016
Planned Phase Dates:
Phase 1 Start: 8/15/16
Phase 1 End: 6/1/18
Phase 2 Start: 6/1/18
Phase 2 End: 12/6/19
Phase 3 Start: 12/9/19
Phase 3 End: 6/10/22
Project Deliverables
1.5.1 Documentation
During the course of project implementation, many documents will be created that
describe plans, procedures, policies, etc. Table 1-1 lists the major documents planned
for the Maximo project. The Master Schedule has additional detail.
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Table 1-1 Maximo Project Documents
1.5.2 Software
Refer to Solution Architecture Document for information details on software oriented
project deliverables.
1.5.3 Hardware
Refer to Solution Architecture Document for information details on hardware oriented
project deliverables.
Document Author Projected Date
Project Charter Excergy 7/1/2016
Project Execution Plan Excergy 8/12/2016
Solution Architecture Document Excergy 2/1/2017 and updated periodically
Requirements Specification (Initial and updates by Phase
& Department)
Excergy 3/3/17 and updated periodically
Requirements Traceability Matrix (Initial and updates by
Phase & Department)
Excergy 3/3/17 and updated periodically
Business Policies Excergy 7/14/17 and 2/9/18
Organizational Change Management Plan
(Communications, Sponsorship, Training, &
Reinforcement)
Excergy 10/14/16 and updated
periodically
Standard Operating Procedures (SOPs) FC Prior to Business Policy start
(see Master Schedule)
Overall System Integration and Acceptance Test Plan Excergy 3/2017
Test Plans (Initial and updates by Phase & Department) Excergy 11/20/17 Initial and updated by
division
Test Procedures (Initial and updates by Phase &
Department)
Excergy 11/20/17 Initial and updated by
division
Test Results (Initial and updates by Phase &
Department)
Excergy 12/15/17 Initial and updated by
division
Training Materials (Process & Department) Excergy 7/24/2017 Initial and updated
by division
Deployment Plan (Initial and updates by Phase &
Department)
Excergy 11/20/17 Initial and updated by
division
Operational Transition Plan Excergy 11/20/17 and updated
periodically
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Maximo Project― 1-7 Proprietary and Confidential
Project Execution Plan
Controlling Changes to the Project Execution Plan
The Fort Collins Utilities Project Manager maintains and controls this PEP with
assistance from Excergy, reviewing updates with Fort Collins Utilities and Excergy staff
as appropriate.
1.6.1 Procedures for Controlling Changes
Prepare project plan: Project Plan phase
Prepare phase plans: Start of each phase as needed
Review and update project
plan and phase plans:
Throughout all phases as needed
Referenced Documents
The following referenced documents form a part of this document to the extent specified
where referenced herein:
• Vendor contracts and statements of work
• Project Charter
• Solution Architecture Document
• Overall System Integration and Acceptance Test Plan
• Maximo PEP Hours Details.xls
• FC Maximo Master Schedule Summary 8-1-2016.mpp
Relationship of the Project Execution Plan to Other Documents
The PEP describes the processes and techniques, both engineering and management,
to be applied during the project. The high-level document the PEP relates to is the
Statement of Work contained in the contract and the Project Charter.
Figure 1-1 Document Relationships provides an overview of how the PEP manages the
development of related documents. Ultimately, the PEP governs requirements definition
and management, and the implementation, test, training, and change management
associated with the delivery of the solution according to those requirements.
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Figure 1-1 Document Relationships
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Maximo Project― 2-1 Proprietary and Confidential
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2 Project Approach
Maximo Project Organization
Establishing an appropriate organizational structure with teams and collaborations
delineated will serve the project over its entire lifecycle. The Maximo Project Team
organization shown in Figure 2-1 below outlines the staff and consultant roles for the
major project components, including the Implementation Team with assignments
specified and the Operations Team roles.
Figure 2-1 Project Team Organization
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Phasing Approach
Excergy recommends a phased approach to the delivery of Maximo capability to each
organizational group. The inputs to determining the content of each phase were based
on many factors, including:
• Each organizational group’s current goals and existing use (or planned use)
of Maximo
• Inputs on desired timelines and schedules
• Existing resource constraints and ability of each organization to provide
support
• Budgetary constraints, timelines, and processes
• Organizational change readiness
Figure 2-2 captures the phase numbers and the summary objective for each phase.
Figure 2-2 Summary of Phases
The breakdown of the capability recommended for each phase by department, along
with justification is as follows:
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2.2.1 Phase 1: Stabilize & Reboot
Work to resolve WRT gap items and implement in production to satisfy existing users,
and restart requirements, design, development, and deployment for WFO to ensure a
successful program for Water, Wastewater, and Stormwater groups, improving the
perception of Maximo as a solution for Fort Collins Utilities.
WRT: Phase 1 for WRT includes the Gap implementation work to improve the original
deployment, and assist the deployed solution with OCM related activities and support for
Business Process change, SOP development, and deployment. Phase 1 also includes a
more comprehensive analysis of future requirements identified during the PEP discovery
process.
WFO: Phase 1 for WFO focuses on Business Process, OCM, and software deployment
activities to support the core implementation for Water, Wastewater, and Stormwater
implementation for Asset Management and Work Management capability including
Mobile implementation.
LPO: Phase 1 for LPO includes no core Maximo-related activity, although this period will
enable the development of the LPO schedule and timeline, which is a valuable input to
the Maximo schedule.
2.2.2 Phase 2: Expand and Enhance
Expand WFO capability to support the Water Meter Shop with additional data sources,
close additional WRT gaps, and enhance the WRT implementation.
WRT: Phase 2 for WRT will conclude the Gap implementation, including the
implementation of mobile and the additional requirements analyzed in Phase 1.
WFO: Phase 2 includes the Water Meter shop implementation, including mobile, and
incorporating additional data sources (i.e., GraniteNet, Backflow data) to better support
Asset management.
LPO: (Assuming Funds available before 1/1/2019) Phase 2 includes the construction of
a more detailed implementation plan based on output from the Enterprise Roadmap and
GIS schedules, and supports (where required) any GIS modeling and integration
workshops taking place that would guide the GIS implementation and Maximo planning.
2.2.3 Phase 3: Achieve Enterprise Benefits
Phase 3: Achieve Enterprise Benefits – Implement Warehouse and LPO capability,
providing enterprise-wide benefits from Maximo to Fort Collins Utilities as a whole.
Phase 3 includes the warehouse, mobile, and associated materials management
capability implementation for WRT, WFO, and LPO.
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WRT & WFO: Phase 3 for both WRT and WFO includes a transition to operations and
steady state, and the identification of opportunities benefits and additional areas and
data that may not have been identified in earlier phases.
LPO: Phase 3 includes the implementation of all areas of LPO, beginning with the
Electric Meter Shop and Substations, which represent the two most isolated groups in
terms of systems used (and therefore the easiest to transition). Phase 3 includes the
implementation of Maximo and mobile for Distribution, which will likely include GIS
integration. At the completion of this phase, Fort Collins Utilities will have implemented
Maximo enterprise-wide, and will be in position to benefit from economies of scale
across all areas of the utility. (Note: There is organizational benefit of doing substation
and meter deployments earlier; this possibility will be examined as funding resources
become available.)
Work Breakdown Structure
The Maximo project work breakdown is organized by logical groupings of work (phases)
at Level 2 and by organization (WRT, WFO, and LPO) at Level 3. There is also an
Enterprise category at Level 2 that captures activities that apply to all of Fort Collins
Utilities. The entire Master Schedule, is shown in Appendix A. The Microsoft Project
.mpp files is delivered separately as “FC Maximo Master Schedule Summary 8-1-
2016.mpp”.
Team Roles and Responsibilities
Table 2-1 identifies the key members of the Maximo team, their roles, and
responsibilities.
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Table 2-1 Team Roles and Responsibilities
Project Member Role
Backup Project
Member Responsibilities
Jon Haukaas Executive Project
Sponsor/WFO
Manager
Dennis Sumner Project Leadership &
Management (Executive
Team)/Sponsorship
Dennis Sumner Project Manager Jon Haukaas Project Management
(Executive Team)
Angel Anderson Project Admin &
Coordination
Project Admin
Kevin Gertig Executive Director [Acting] Executive Director
(Executive Team)/
Sponsorship
Carol Webb WRT Manager Rick Morford WRT Manager (Executive
Team)/Sponsorship
Mary Evans IT Applications
Services Manager
Steve Denowski Utilities IT Manager
(Executive Team)/
Sponsorship
Lance Smith Strategic Financial
Planning Manager
TBD Finance Manager
(Executive
Team)/Sponsorship
Tim McCollough Light & Power
Operations Manager
Coy Althoff LPO Department Manager
(Executive Team)/
Sponsorship
Asset Manager
[vacant]
Asset Management [vacant] (Executive Team)
Coy Althoff LPO Lead Tim McCollough LPO integration (Core
Team)
WFO Lead
[vacant]
WFO Lead Jon Haukaas WFO integration (Core
Team)
Rick Morford WRT Lead Carol Webb WRT integration (Core
Team)
Steve Denowski IT Application
Support
Terry Croskrey IT (Core Team)
Terry Croskrey IT Application
Support
Steve Denowski IT (Core Team)
GIS Lead
[TBD]
IT Application
Support
TBD IT (Core Team for WFO
and LPO)
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Project Member Role
Backup Project
Member Responsibilities
Change Ambassadors
[TBD]
Change
Ambassadors
Network
Division Managers OCM activities
TBD Internal
communications
Diana Royval Internal communications
Doreen Kemp
Lindsay Kuntz
HR/Training Support
(FC Career Connect)
Lindsay Kuntz
Doreen Kemp
Training Tracking &
Performance Support
Excergy Team
Jim Ketchledge Excergy Project
Manager
Adam Tonkin Excergy Project Manager
Adam Tonkin Excergy Solution
Architect
Mark Hatfield Excergy Solution Architect
Rick Crory Excergy Maximo
SME
Jim Ketchledge Excergy Maximo SME
Mark Hatfield Excergy Business
Process Lead
Adam Tonkin Excergy Executive
Consultant
Lynn Adams Organizational
Change Lead
Mark Hatfield Excergy Executive
Consultant
Andrew Tan Excergy Maximo
SME
Rick Crory Excergy Maximo
Maximo Training
[TBD]
Maximo Training
Specialist (vacant)
Rick Crory Excergy (TBD)
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3 Maximo Constraints, Assumptions, Risks, and Dependencies
This section describes the various factors that affect the Maximo project scope or
execution. The project management controls that continually manage these factors are
described in Section 6.
Constraints
Constraints are the limiting factors that will impact the project. Initial constraints identified
for the Maximo project are:
1. An incomplete Fort Collins Utilities Asset Management Strategy exists prior to the
development of the PEP. Maximo alone is not an Asset Management Strategy; it
is software that supports a Strategy.
2. 2017-2018 budgets will be determined through the City’s Budget for Outcomes
(BFO) process that will finish in the fall of 2016.
3. Budgets beyond 2018 are unclear and may impact the schedule for completion of
WRT and WFO, as well as LPO implementation.
4. Fort Collins Utilities personnel availability for the project is limited. An estimate of
resource needs is included in the PEP in Section 11. Resource availability could
impact schedule.
5. WRT business needs required work to be performed while the PEP was
developed and project budget was allocated before PEP delivery.
6. A mobile solution is essential for usability and must be in place for the WFO
implementation.
7. Internal staff capacity to launch and manage an extensive OCM implementation
required by Maximo is limited due to competing priorities in Customer
Connections Service Unit based on the project schedule. This includes staff
fulfilling designated roles in a timely manner, (e.g., to assigned duties/tasks and
schedule) and between Utilities and the consultant.
8. Positive outcomes will require ongoing and disciplined management.
Comprehensive, integrated Organizational Change Management is a key project
success factor; therefore, it is critical that the Excergy OCM approach selected
be utilized and aligned with other employee engagement information and
initiatives, e.g. culture survey, q14, etc.
9. The technical complexity, options, and final requirements related to integration to
systems identified as potential integration points with Maximo, including
specifically Granite.Net, LIMS and JD Edwards were not fully identified as part of
the PEP. The PEP includes tasks to capture requirements associated with these
integrations, but does not include design, development, testing and deployment
tasks, nor any additional third party licenses associated with these integrations.
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10. 2018 funding beyond Phase 1, anticipated mid-2018, has not yet been allocated.
This will be determined in early 2018 based on progress to that date, goals for
the remainder of 2018 and available funding.
Assumptions
Assumptions are factors that we are relying on to succeed in the Maximo project.
1. The number one project priority is a high-quality project implementation. The
second project priority is cost. Project planning reflects the goal of a configured
Maximo implementation that meets Fort Collin Utilities delivery and product
needs and is accepted by the organization. If necessary, project timelines will be
changed within reason to support a quality deliverable within budget.
2. The project timeline will be continuous with no interruptions or major pauses.
3. WRT deployment has occurred, but functionality gaps exist which will be
addressed in parallel with WFO work.
4. LPO deployment will follow WFO.
5. Fort Collins Utilities stakeholders will actively participate and make decisions, as
required.
6. Fort Collins Utilities management will actively participate in planning and
execution activities as required (i.e., working sessions/meetings and deliverable
reviews) and in defined steering committee meetings.
7. Fort Collins Utilities executive and management staff will set clear expectations
and accountability mechanisms so that Utilities staff participates in Maximo OCM
activities (e.g., training, surveys, and meetings).
8. Fort Collins Utilities’ executive and management staff will fulfill their critical
sponsorship and communications roles in a timely fashion, consistent with
direction established.
9. Responsibility, accountability, and authority will be clarified, aligned, and
reinforced as necessary by the Executive Sponsor, Executive Director and
reinforced by the entire Senior Management Team.
10. Discipline and accountability will be required and reinforced at all levels within the
organization, cascading from executives through management to staff.
11. Fort Collins Utilities core team will hold weekly meetings to review project status,
feedback, issue resolution, and budget update.
12. All IT infrastructure costs, including mobile devices, are borne by Fort Collins
Utilities IT or have already been incurred. No additional environments are
required.
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13. Fort Collins Utilities personnel and costs are accounted for in utility operations
and maintenance, and are not specifically assigned to the Maximo project, as is
standard Utility practice
14. Effective training is an essential part of a successful Maximo project.
15. All data security is handled by the native capabilities of Maximo and Fort Collins
Utilities IT infrastructure.
Risks
The starting risk list for the Maximo project is described in Table 3-1.
Table 3-1 Initial Project Risk List
No. Category Risk Description Probability Impact Impact/Mitigation
Comment
Score
1 Resources Maximo implementation
is a personnel intensive
project and FCU has a
limited resource set with
the skills needed.
5 5 Resource needs
assessed during PEP
development and need
to be supported by
management
assignments.
25
2 Leadership Constraints on
leadership time may
challenge the active
and visible support
required for the people/
process aspects of
project.
5 5 Project team will
provide succinct and
clear direction in an
effort to minimize time
required (however
cannot eliminate the
need).
25
3 OCM To date the project has
been plagued with false
starts, inadequate
resources, and weak
project direction. This
has resulted in
damaged acceptance
and confidence in the
project across all
employee levels.
Properly managed and
conducted OCM is
critical to the success of
this project.
5 5 We must keep focused
attention of OCM work.
Any short comings
must be identified early
and effectively
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No. Category Risk Description Probability Impact Impact/Mitigation
Comment
Score
5 Resources Maximo operation
requires new dedicated
roles for staff. Roles are
not currently budgeted.
4 5 Included in budget
requests. If roles are
not staffed, operations
will be constrained or
impossible.
20
6 Quality We need to keep the
current processes
running smoothly while
we are bringing up
Maximo.
5 4 The operational
transition planning must
address this change
from previous to new
ways of performing
work.
20
7 Quality Maximo is complicated
software and the unique
configuration necessary
for Fort Collins Utilities
introduces a greater
possibility of bugs and
defects.
5 4 We must make sure to
have a very robust set
of test plans and the
needed resources to
perform and verify the
testing and results.
20
8 Technology Existing method of cost
accounting in JDE will
have impact on the
Maximo LPO
implementation, as the
way General Ledger
(GL) items are modelled
is not conducive to take
advantage of Maximo
capability
5 4 Discuss in more detail
with parties involved
(LPO Procurement, City
IT, LPO Warehouse,
etc.) on the options to
better model GLs.
20
9 Resource LPO GIS system is
being implemented
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No. Category Risk Description Probability Impact Impact/Mitigation
Comment
Score
10 Resource Sustained staff time is
required over multiple
budget cycles for the
Maximo
Implementation.
Numerous new projects
will compete for these
resources.
4 4 Communicate critical
nature of work to
staffing managers.
20
11 Technology Potential LPO Electric
GIS project has key
integrations and
dependencies with
Maximo.
4 5 Working with LPO to
establish dependencies
and due dates. The
Maximo project may
have to implement
independently of a GIS
solution if not ready in
time or cause project
delays.
20
12 Financial Multi-year project
requires approved
funding in the bi-annual
budget process that
may be influenced by
changing leadership
and City Council.
3 5 Maximo Project is a
high budget priority.
Provide ongoing
communication to
stakeholders regarding
project benefits, project
status, and funding
requirements.
15
13 Technology Mobile devices may be
unreliable or prone to
failure.
3 5 The Project Team will
carefully evaluate the
track record of mobile
devices.
15
14 Technology Implementation of the
warehouse functionality
of Maximo is tightly
integrated into the
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No. Category Risk Description Probability Impact Impact/Mitigation
Comment
Score
16 Technology Delays to mobile
procurement process
could impact schedule.
2 4 The project team is
aware of the need for a
timely procurement per
their already developed
schedule.
8
17 Technology Complexity and impact
of future upgrades and
patches is unknown.
3 2 Thoroughly vet need
and timing of upgrades.
6
Dependencies
Critical dependencies between groups are identified and monitored. The project
schedule contains identified dependencies. The monitoring will be carried out through
reporting and periodic project reviews.
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4 Project Management
Fort Collins Utilities will maintain a disciplined, thorough, and persistent management
oversight process. The team will produce a series of project control documents and
processes to provide standards, guidance, and overall control for the project.
Master Project Schedule
The project team has developed a comprehensive integrated Master Schedule that
encompasses the major component tracks of the project. The project schedule will be
reviewed and updated weekly in a series of status meetings. Excergy will be responsible
for maintaining the schedule.
The project schedule is based on a Work Breakdown Structure (WBS) that provides an
organized decomposition of all the work necessary to complete a project. The goals of
developing the WBS are 1) for the project team to proactively and logically plan out the
Maximo project to completion, 2) to collect the information about work that needs to be
done for a project, and 3) to organize activities into manageable components that will
achieve project objectives. In a WBS, every level item has a unique assigned number so
that work can be identified and tracked over time. Arranged in a hierarchy of clear and
logical groupings, either by tasks or deliverables, the WBS represents the work identified
in the project scope and vendor contracts.
After all the tasks, subtasks, activities, etc. were defined for the scope of the project in
the WBS, durations were estimated and proper linkages to demonstrate dependencies
established. Time durations were established through expert opinion and other industry
knowledge sources and benchmarks.
Linkages between tasks (as opposed to hard coding) establish the critical path for the
project. Critical path tasks include tasks that cannot be delayed without affecting the
project finish date. In the Maximo project, many tasks have some slack, and can
therefore be delayed a little without delaying other tasks or affecting the project finish
date. The sequence of critical tasks, however, cannot be delayed without a
corresponding delay in the overall project finish date.
The critical path knowledge is extremely important as it helps the Maximo project team
focus on the right things to keep the project on schedule. Critical path analysis helps to
predict whether the project can be completed on time, identifying changes that may be
needed in the plan right at the beginning; for instance, changing the number of
resources devoted to a lengthy critical task. Critical path analysis helps to control the
project as it progresses, to keep the project's completion on track and ensure that
deliverables are ready on time.
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Focusing aggressively on the critical path to reduce project length may cause secondary
critical paths to become the primary critical path. In general, a balance is needed and it
is possible to overdo the critical path analysis while not doing enough to understand the
critical tasks and manage through dynamic conditions. Excergy will update the critical
path analysis on a weekly basis and review it at the project status meeting.
The final step to producing the master project schedule was to allocate resources. For
the tasks assigned to vendors and fully performed by them, the resource assignment is
simply the vendor name, as it is their responsibility to assign the right internal personnel
to get the job done. For utility tasks, specific individual(s) are assigned where known;
otherwise a functional position description is used. A single Fort Collins Utilities person
may perform multiple functional roles, as long as the total resource assignment does not
exceed the person’s bandwidth.
Excergy analyzed the schedule for resource allocation. If analysis identified an over-
allocated resource (e.g., a person is needed full time for multiple tasks occurring
simultaneously), action was taken to a) assign other resources, b) lengthen tasks, c)
modify tasks dependencies to remove the overlap, or d) delay tasks if there is slack.
Resource allocation used at the beginning of the project established a workable project
schedule, and continued use of the process will help to prepare for future scenarios. For
example, the project manager may put together a contingency plan that allows for the
redistribution of resources in the event that personnel are re-assigned by management.
The master project schedule incorporates all facets of the project internal to the utility
and for the various third parties such as vendors. It is the primary tool that will be used
for the entire project lifecycle to keep things under control. Since the Maximo project
spans several years, inevitably changes will happen that impact the schedule. Large
changes due to risks being realized may require a schedule re-plan and new review by
stakeholders. Some examples of these external forces that impact schedule are:
• Change in/loss of resources (re-assigned, employment status change)
• Defects discovered in testing that require more time to fix than estimated
• Development time lines taking longer than expected
• Unexpected outside influence changing priorities
Any major changes needed in the master schedule will be managed through the change
process in Section 6. Minor changes, such as small changes in a task duration that is
not on the critical path, will be managed by the agreement between the Fort Collins
Utilities and Excergy project managers at the weekly review.
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Status Reporting and Tracking
On a project as large and complex as this, it is important to establish a regular cadence
in which progress towards the plan, performance status, risk management, items of
concern, and open action items are managed regularly and consistently. As shown in
Figure 4-1, the status cycle is initiated with a written project status report, a sample of
which is shown below in Figure 4-2.
Figure 4-1 Status Cycle
The weekly status meeting assesses the overall health of the project and directs actions
as needed. If an action item or anticipated direction affects the scope of the project
(technical baseline, schedule, or cost), a separate Change Control Board (CCB) meeting
takes place. The CCB process is documented in Section 6.
The master schedule will be used to track overall progress towards plan at the weekly
status meeting and contains hundreds of lines of information. The amount of information
may seem overwhelming to manage. A very effective tool to use is called a two-week
look-ahead view of the schedule. In the two week look-ahead, a time filtered view of the
schedule is made that goes back in time a few weeks (to keep track of tasks that may
not have been completed on time) and goes two weeks in the future to give a “heads up”
on tasks that should start or complete soon. When involved in the throes of day to day
project execution, it is easy to lose sight of upcoming tasks so the two week look-ahead
keeps everyone cognizant of and performing to the master schedule.
Weekly Project
Activity
Project
Written Status
(Monday)
Weekly Team
Status Meeting
(Tues)
Configuration
Control Board or
Follow-Up if
Needed (Thurs)
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Figure 4-2 Sample Status Report
Technical Change Control Process
The Fort Collins Utilities Change Control Process is described in detail in Section 6. To
avoid confusion with Organizational Change Management (which is often shortened to
“Change Management”), the change control process affecting the project
documentation, hardware, and software baselines is referred to as Configuration
Control.
Risk Management
The Maximo project manages and documents these risks through a template on the MS
SharePoint project repository site, and reviews, edits, and closes these risks as part of
the PMO weekly status cycle described previously.
Risk factors include contractual risks, technological risks, risks because of project size
and complexity, risks in personnel acquisition and retention, and risks in achieving
customer satisfaction. Risks identified or unanticipated are documented and tracked,
and when they are encountered, this plan is then updated accordingly.
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The following three elements comprise risk management: Risk Identification, Risk
Prioritization, and Risk Mitigation. Risks are discovered and surfaced through vendors
and contractor weekly status, PMO, and other team members bringing forward at weekly
meetings, and executive input.
To prioritize risks, each is rated for possible impact on a five-point scale (5 - highest). A
probability of occurrence of risk is also assigned and rated between 0 and 5 (0 -
extremely unlikely, 5 - certain). The final risk score equals impact times probability (25 -
highest).
Risks that score above thirteen undergo further analysis and risk management plans and
strategies are developed.
Risk Management Overview
Fort Collins Utilities anticipates it will face a number of risks and challenges throughout
the project. The core team considered those events that could threaten the project’s
success. This section defines the process for how risks will be managed on this project.
These risks, and others that may be identified throughout the project, will be monitored
on a monthly basis during PMO meetings. The risk ranking status will be documented
and updated accordingly.
The ranking system is defined below:
Likelihood of Occurrence: 1: Do not expect to occur
2: More likely to not occur
3: Equal chance either way
4: More likely to occur
5: Expected to occur
Cost/Schedule Impact: 1: No impact
2: Immaterial impact
3: Material impact (failure to achieve a key milestone
or .5% impact on cost or benefit)
4: Significant impact (failure in acceptance testing or
three month or more delay)
5: Catastrophic impact (results in stopping project and
no realization of benefits)
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The risk evaluation assesses the acceptable level of each risk and monitors the
mitigation efforts. Monitoring risk is essential so that effort can be focused on the most
significant threats to the project’s success.
Risks will be reported as part of the regular project reporting process. Including risks in
the regular project reporting process ensures that risk monitoring and control is actually
undertaken and recorded adequately for quality. Where there is significant change to the
overall status of a risk, the overall project risk level will be reviewed.
The risk estimation process determines the following attributes of each identified risk in
the risk management system:
• Likelihood of the risk occurring
• Impact of the risk if it were to occur
• Priority of the risk (determined with a risk matrix using likelihood and impact)
• Time window within which the risk should occur and after which it can be
considered to have lapsed
The purpose of risk evaluation is to do the following:
• Assess the acceptable level of each risk in commercial, technical/delivery,
and project terms using the risk estimation information determined above.
• Prioritize the risks.
• Determine risk mitigation alternatives for risks that are deemed unacceptable
(for example, risk avoidance measures and contingency measures).
• Document and cross-reference the selected alternative strategies.
For each risk, there is a balance between the delivery costs if the risk occurs versus the
cost of implementing counter-measures. These costs are evaluated to determine what is
acceptable to the project/service.
Risk prioritization is essential so that effort can be focused on the most significant
threats to the success of the delivery. The priority categories established in the risk
estimation process enable risks to be ranked accordingly. Risks are reported on as part
of the regular project reporting process.
Monitoring and controlling risks and risk mitigation actions are combined with other
project management processes as far as possible. The standard progress reporting
procedures provide the following mechanisms:
• Project meetings
• Weekly progress reporting
• Highlight reports to Fort Collins Utilities
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These processes ensure that risk monitoring and control is actually undertaken and
reduces the need for additional resources. This approach ensures that the risk
monitoring process is recorded adequately for quality.
The risk management system monitors the risks. Established meetings enable the status
of risks to be monitored, checking that counter-measures are triggered as required and
that these measures are effective. Where there is significant change to the overall status
of a risk, the overall project/service risk level is reviewed.
The PM and appropriate personnel may take part in formal risk reviews, short meetings
focused on reducing the top priority risks and reviewing any new risks.
Project Management Tools
Excergy will make use of a number of tools to support the Maximo implementation, each
focused on supporting specific aspects of the program and users.
For the Maximo project, SharePoint, a Microsoft-based collaboration tool supported by
the City of Fort Collins Utilities IT, will provide the following functions:
• Official Project Document repository for all documents related to the project
implementation and operational material (i.e., Training Guides, Manuals, etc.)
• Official Maximo Project Calendar, providing a view of critical project dates and
meetings
• Location for general information regarding the project, background, contact
information, discussion topics
• Location for submission of general inquires and information requests regarding
the project
• Location for submission of Enhancement requests (see CCB section 6.4.2)
Users of SharePoint will likely include the Core/Implementation team, the Executive
Team, Maximo end-users, Fort Collins Utilities staff external to the project looking for
information on the project, and any potential vendors engaging with the project.
Trello is an online hosted tool that provides a visual representation of tasks/to-dos,
making use of drag-and-drop capability to easily move tasks from origination to
completion and any transitional states in between. For the Maximo project, Trello will
provide the capability to track tasks and “To Dos” tracked within and between Core and
Implementation team members.
Maximo, the core solution being implemented as part of this program, provides the ability
to track and monitor defects as “service requests,” and will be used as the defect
tracking tool for the solution, Maximo configuration, and related items.
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Project Management Communication
4.7.1 Reporting and Communication
Figure 4-3 illustrates the communication protocols to be followed in the project, including
the various levels of communication, their frequency, the medium of communication, and
the contents to be covered.
Figure 4-3 Project Communication Protocols
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Table 4-1 Required Communication Protocols
Reporting To Reported By Frequency Medium Contents
Excergy Project
Manager
Excergy Team Daily and Weekly Email,
teleconference,
meetings
Work status
Delayed Items
and reasons for
delay
Outstanding
issues
Fort Collins
Utilities Project
Manager
Excergy Project
Manager
Weekly Weekly Report by
email
Work status
Delayed items
and reasons for
delay
Plans
Risks/Issues
Pending inputs
Outstanding
issues
Fort Collins
Utilities Project
Manager
Excergy Project
Manager
Weekly Teleconference,
meetings
Work status
Delayed items
and reasons for
delay
Plans
Risks/Issues
Pending inputs
Outstanding
issues
Fort Collins
Utilities Project
Manager
Excergy Project
Manager
Weekly or As
Needed
Teleconference,
meetings
Advice and
implementation
services
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4.7.2 Information Repository
Information generated by the project is stored by Excergy in an MS SharePoint project
repository accessed by the internal computer network. The Excergy IT group backs up
these directories on a regular basis. All project records and deliverables are stored in the
repository, with the exception of financial or sensitive information. Authorized Fort Collins
Utilities and vendor personnel will be provided Internet access to this project document
repository.
Fort Collins Utilities will have access to sensitive project documents via password. All
project records and deliverables are stored in the repository, with the possible exception
of financial or sensitive information.
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5 Requirement Management Plan
The Requirement Management Plan (RMP) presents detailed guidelines for
implementing a Requirements Traceability Matrix (RTM), including the following
elements:
• Requirement artifact origination and type
• Strategy for capturing and baselining requirements
• Strategy for maintaining requirements throughout the project lifecycle
• RTM implementation details, including requirement types and attributes
• Methodology for traceability
Requirements Management Plan
This section includes two requirement management processes. The first (Section 5.1.1)
details the process for baselining new requirements. The second (Section 5.1.2) details
the process for updating existing baselined requirements.
5.1.1 Baselining Requirements
The process of baselining requirements involves participation from the Fort Collins
Utilities Core team and Excergy team members. This includes team members from both
teams whose roles include Project Managers (PMs), Subject Matter Experts (SMEs),
Solution Architects (SAs), Configuration Management, Maximo system engineers, and
test engineers. The baselining process applies to requirements derived from new
documentation sources, that is, not a modification to an existing source in which
requirements have been derived in the past, such as the operational WRT
implementation. Figure 5-1 presents the process flow for baselining the requirement into
an RTM.
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Figure 5-1 Requirement Baseline Process
The following defines and explains each step in the process, including a description of
the process, participants, and outgoing flows:
1. Description – This process starts with an internal review of the business
requirements and/or requirements specification (RS). This may be formal or informal
depending on the nature of the document and the review iteration. The main goal is
to present the documentation and to ensure that the team has the same
understanding.
Participants – The participants vary depending on the documentation. The following
participants initially review both high- and low-level documentation: the SMEs, SAs,
PM, Maximo software engineers, and test engineers.
Flows – Subsequent to review, the flow progresses to a decision point (Step 2).
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2. Description – At this decision point, the SA/SME(s) accept the Business
Requirements document or RS in the current state or requests the documentation to
be changed.
Participants – The participants vary, but the document producer must document any
requested changes, and the SA(s) must be present. Other participants vary
regarding the decision process.
Flows – If the documentation is acceptable in the current state, the flow progresses
to Step 3. If the documentation is not acceptable, the document producer implements
the documented changes, and the flow starts at the beginning.
3. Description – The external review allows Fort Collins Utilities to evaluate the
Business Requirements document or RS and to provide input. Additionally, external
reviewers may request changes based on their knowledge of Fort Collins Utilities
needs and so on. The document producer records all input and potential requests.
Participants – The participants vary, but it is anticipated that the project
documentation producer attends along with the SME(s) and the PM.
Flows – The exit point for this activity is to decide whether the documentation is
acceptable in the current state (Step 4).
4. Description – At this decision point, Fort Collins either accepts the documentation in
the current state or requests changes.
Participants – The participants include the SME(s), SA(s), project document
producer, and project manager(s).
Flows – If the documentation is acceptable in the current state, the flow progresses
to Step 5. If documentation modifications are necessary, the flow starts over from the
beginning.
5. Description – The requirements are updated inside the RTM. The requirement
attributes are populated if possible.
Participants – The participants vary depending on the documentation type;
however, it is anticipated that the SA(s) perform entry for the higher-level Business
Requirements document, and the SA(s) and the test engineers perform entry for the
lower-level RS.
Flows – Subsequent to entry into the RTM, the flow progresses to Step 6.
6. Description – The requirement depiction inside the RTM is validated. Whoever
enters the requirement then documents any modifications to the depiction.
Participants – The participants are likely to include the SME(s).
Flows – If the depiction is acceptable in the current state, the flow progresses to
Step 7. If the depiction needs any modifications, the flow progresses back to Step 5.
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7. Description – This is the final step in the process in which the requirement is
baselined. In this case, the requirement is given a label, and traceability is
established.
Participants – The participants vary but likely include the SME/SAs) and the test
engineers.
Flows – This is the final stage for baselining a requirement in the RTM.
8. Description – Once requirements are baselined, they are committed to the change
control process as defined in Section 6.
Participants – The Change Control Board (CCB) participants vary as described in
Section 6; however, a diverse representation of the project team is present.
Flows – See Section 6.
5.1.2 Updating Requirements
Because requirements are not static and may increase or decrease in number or
become modified, a process for managing the changing requirements is necessary. The
requirement baseline process addresses requirements that are derived from a source
that is new to the project. The requirement update process addresses newly introduced
requirements from existing sources, that is, revised versions and those requiring
modification. This process covers adding requirements, modifying requirements, and
retiring existing requirements. Figure 5-2 presents an overview.
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Figure 5-2 Requirement Update Process
This process begins when stakeholders create requirement entries in a change
management system. The following defines and explains each step in the process,
including a description of the process, participants, and outgoing flows. The CoM Plan of
Section 6 provides more detail.
1. Description – A CCB meeting is scheduled to review change request entries by
stakeholders. The purpose is to review all entries and to present action items based
on the entries. The action items range from performing modifications and providing
estimates, to changing the status in the change management system.
Participants – The CCB participants vary; however, a diverse representation of the
project team is present.
Flows – Subsequent to the CCB meeting, a decision is made about the entry
(Step 2).
2. Description – This is a decision point during a CCB meeting in which a direction
must be chartered regarding the change management system entries. There are
three options, depending on the entry: assign a resource to further investigate the
entry, reject the entry, or accept the entry and assign a resource to address it.
Participants – The SA(s) leads this CCB effort and assigns resources if applicable.
Other team members support the decision as needed.
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Flows – For entries requiring additional investigation, the flow progresses to Step 3.
If the entry is rejected, a defect is assigned to a software engineer for resolution that
does not require requirement modification, or the outcome requires a process
change, that is, non-technology, the flow progresses to Step 4. If the entry is
accepted, and a course of change with respect to lower-level RS is initiated, the flow
progresses to Step 5.
3. Description – This step requires a resource to investigate an entry to determine the
effort and scope necessary to fix it. The outcome of this is a recommendation to
support the next CCB meeting. This may be a formal CCB meeting or an informal
release of information.
Participants – The participants vary based on the entry. If it is a technical entry, the
SA/SME(s) or the software engineer lead does the investigative work. If it is process-
oriented, the SME(s) investigates it further.
Flows – Subsequent to investigation, the outcome is documented and supports the
next CCB meeting, that is, Step 1.
4. Description – This is a phase in which the change management system is updated
to reflect the entry’s current state. This is a termination point for the process because
the entry does not require a requirement depiction modification in the RTM.
Participants – The SA(s) updates the status in this situation.
Flows – This is a termination point.
5. Description – Stakeholders are notified of requirement updates through the change
management system.
Participants – The change management system updates stakeholders accordingly.
Flows – Subsequent to the notification, the flow progresses to Step 6.
6. Description – Requirements are updated or modified in this step. The goal is to
modify the requirement quickly and accurately to update the RTM and to resolve the
issue.
Participants – The participants are likely to include the SME(s) and the test
engineers.
Flows – Subsequent to the update, the flow progresses to Step 7.
7. Description – The requirement depiction inside the RTM is validated. Whoever
enters the requirement then documents any modifications to the depiction.
Participants – The participants are likely to include the SME(s).
Flows – If the depiction is acceptable in the current state, the flow progresses to
Step 8. If the depiction needs any modifications, the flow progresses back to Step 6.
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8. Description – This is the final step in the process in which the requirement is
baselined. In this case, the requirement is given a label, and traceability is
established.
Participants – The participants vary but likely include the SME(s) and the test
engineers.
Flows – This is the final stage for baselining a requirement in the RTM.
Requirement Artifacts, Requirement Types, Requirements
Categorization and Requirements Prioritization
5.2.1 Requirements Categorization
Excergy’s goal is to ensure clear visibility as to the requirements being established for
the Maximo project, and to help both program stakeholders, users and external entities
understand what the solution will deliver. Project resources should be able to easily find
and interpret requirements relevant to their organization and/or tasks on the program. To
this end, Excergy has defined the requirements categorization methods.
1. Business Requirements: These high-level and/or strategic objectives and goals
stated by the organization may not directly correspond to the Maximo project solution
itself (i.e., overall organization goals), or map to a ‘testable’ requirement, but may serve
a guideline with which to derive lower-level requirements and validate the solution as a
whole. Where possible, lower-level requirements may be ‘mapped’ to one or more of
these Business Requirements. Fort Collins Utilities Maximo project Business
Requirements will be categorized by the organization that requested them (WRT, WFO,
LPO, Finance, other).
2. System Requirements: Used to capture user and system goals and define the type
of effort required to deliver them, these requirements should be testable, and where
possible, support the ability to define what ‘type’ of testing would be used to validate the
requirements. System requirements will be categorized by organization (as per Business
Requirements), as well as by the Maximo project functional ‘area' on which the
requirements focus, including:
• Asset Management – Requirements focused on supporting functions related to
asset management.
• Work Management – Requirements focused on supporting functions related to
work management.
• Materials Management – Requirements focused on supporting functions related
to materials management.
• System/Organizational (Enterprise) – Requirements focused on supporting the
overall or ‘underlying’ Maximo project solution.
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Within each of the above categories, Excergy will also categorize the requirements by
their nature, to assist in the identification of documentation, effort, and testing
requirements required. The categories will be based on the RICE+W standard:
• R = Reports – requirements related to report generation
• I = Integration – requirements related to integration of Maximo project to
other systems
• C = Conversion – requirements related to data conversion or migration
activities to/from Maximo project
• E = Enhancements (or Extensions) – requirements related to custom code
or development to the core solution that is ‘not’ configuration
• W = Workflow (occasionally “F” for “Forms” is used in place of W) –
requirements related to configuration of the solution to meet user
needs/screens/capability.
As requirements are defined, Excergy will assign a preliminary categorization to
each, subject to review by the Fort Collins Utilities Core team.
5.2.2 Requirements Prioritization
Excergy’s goal is to easily communicate how critical each requirement is to the success
of the program. While at a high-level, Program phasing will determine when each
organizational objective will be targeted, prioritization of lower level requirements also
assists the configuration management process in dealing with unexpected changes to
the program scope, schedule or budget.
Excergy has employed many systems in the past to prioritize requirements (1-5, A-D),
but more recently has employed the “MoSCoW” method of prioritization requirements,
which uses plain English to establish the critical nature of each requirement:
• M = Must – the solution must deliver this requirement to be considered
successful.
• S = Should – the solution should attempt to deliver this requirement.
• C = Could – the solution could deliver this requirement, but only if
schedule/budget permits
• W = Would - the solutions would deliver the requirement, but other
requirements have taken higher priority
As requirements are defined, Excergy will assign a preliminary prioritization to each,
subject to review by the Fort Collins Utilities Core team.
Table 5-1 presents the requirement documentation sources and accompanying
requirement types. They are presented in a format that presents the document(s) of
origination, the requirement type, and a brief description of the requirement.
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Table 5-1 Requirement Documentation Sources and Requirement Types
Artifact (Document Type) Requirement Type Description
Business Requirements BR These high-level feature requirements
are derived from inputs from meetings
with Program Stakeholders, Sponsors
and affected parties.
Because Excergy’s Integrated Delivery
Methodology (IDM) uses an iterative
agile approach, the first release may not
satisfy all these requirements.
Requirements Specification RS This requirement type identifies detailed
required specifications.
Change Requests
Requirements
CHRQ This requirement type covers
stakeholder change requests. These
are CCB-approved changes.
Requirement Attributes
The following tables highlight required attributes and present attribute examples for each
requirement type; and represent the different information captured in the RTM.
The RTM will include ‘tabs’ for Business and System requirements as defined above.
Most of their attributes will be comment, and are described in Table 5-2.
Integration requirements will be listed as a System Requirement, but will also be listed in
a separate table containing integration specific information, described in Table 5-3.
Table 5-2 Required Attributes – Business / System
Attribute Label Description
Requirement
Source
Baseline, Workshop, Meeting, Discussion, Existing, Other (Explain)
Date Added (or
Change Date)
The date this requirement was added or most recently modified
Organization Which department generated this requirement?
(WRT = Water Resources & Treatment,
WFO = Water Field Operations, (Within WFO where required, other
categories are: WFO-Wastewater, WFO-Stormwater, WFO-Water, WFO-
General (for requirements that affect all three groups)),
LPO = Light & Power Operations,
Other)
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Attribute Label Description
Category
Asset Management - Requirements focused on supporting functions related
to asset management.
Work Management - Requirements focused on supporting functions related
to work management.
Materials Management - Requirements focused on supporting functions
related to materials management.
System/Organizational (Enterprise) - Requirements focused on supporting
the overall or ‘underlying’ Maximo project solution.
Sub-Category Any further categorization where required
Requirements ID Program Requirement ID - RTM Traceability
Requirements
Description
Description of the Requirement
Business
Requirement (if
Applicable) –
(System
Requirements
Only)
Which does this Business Requirement "Map to" (if applicable and an
appropriate 'direct link' exists)
Target Phase Proposed Phase for Delivery of this requirement
Requirement
Category
(RICE+W)
What type of Requirement is this?
- Reports (Including. other exports/maps/etc.)
- Interfaces (Including Integrations / Data exchanges)
- Conversion (Including Migration)
- Extensions (Including Customizations)
- Workflow (Including Configurations)
Categorization
Comments /
Notes
Any relevant details supporting/clarifying the RICE+W categorization
Target Module
(System
Requirements
Only)
What Module/Application within Maximo would this be targeted for?
Requirements
Specification
(System
Requirements
Only)
What Requirement Specification describes the detail for this requirement?
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Attribute Label Description
Requirement
Prioritization
(MoSCoW)
How Critical is this requirement?
- Must (Must be included for Program Success)
- Should (Ideally included in Program)
- Could (If straightforward include in Program)
- Would (Not necessary/mandatory to include)
- Workflow (Including Process)
Prioritization
Date
When this requirement was prioritized
Prioritization
Comments
Any relevant details supporting/clarifying the MoSCoW Prioritization
Table 5-3 Additional Attributes for Integration Requirements Only
Attribute Label Description
Requirement ID
(Same as System
Requirement)
Program Requirement ID - RTM Traceability – will be the same as the ID
listed for this requirement in the “System requirements” tab, which has the
other attributes described above.
Integration
Description
(Same as System
Requirement)
Description of Requirement
Source System What is the Source System for this Integration?
Target System What is the target system for this Integration
Frequency How Often will this transaction be formed?
Volume What is the size of the message or data transfer?
Format XML? File? API? Etc.
Security Encrypted? Y/N
Content Brief Description as to the nature of the data contained in this integration
Traceability Criteria
Each example table presented in previous sections provides a way to track the source
and other information about that specific requirement type. This includes traceability
from high-level business requirements down to implementation RS. As a standard,
“Traces To”, means upward, that is, from a lower-level document to a higher-level one.
Conversely, “Traces From” means downward, that is, from a higher-level requirement to
a lower-level one.
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5.4.1 Requirements Traceability
Table 5-4 presents where requirements trace to and from when applicable.
Table 5-4 Requirements Traceability
Artifact
(Document Type)
Requirement Type Traces To Traces From
Business
Requirements
BR N/A (This requirement is at
the highest level.)
RS
Requirements
Specification
RS Business Requirements
document
RS (This requirement
is at the lowest level.)
Change Requests
Requirements
CHRQ RS (when approved by the
CCB)
N/A (This request
comes from the
project stakeholders.)
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6 Configuration Management Plan
The Configuration Management (CoM) Plan defines the approach for orderly
management of requirements, software, hardware, and document baselines. This CoM
Plan describes how the Fort Collins Utilities project team applies CoM during project
implementation. Topics in this section include:
• The responsibilities of those accountable for CoM on the project and those
who support it,
• How the deliverable configuration is identified and the project baseline are
recorded,
• How the project baseline is maintained using tools, and change control
processes, and
• How CoM accounts for deliverable baseline components by maintaining
records for deliverable descriptions, change status, and change authorization.
Roles
CoM participants perform their responsibilities under the direction of the Fort Collins
Utilities Project Manager (PM) and assisted by the Excergy PM to ensure that CoM
processes are implemented as documented in this plan.
Responsibilities
CoM leaders establish and manage the processes for configuration identification and
control of deliverables. Figure 6-1 defines CoM responsibilities.
Figure 6-1 RACI Definitions
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The roles, activities, and responsibilities are assigned in the CoM Accountability Matrix
below Table 6-1.
Table 6-1 CoM Accountability Matrix
Role
Activity
Fort Collins
Utilities PM
Excergy
PM/Team Vendors
Fort Collins Utilities Business
System Owners, System
Engineers, Software
Engineers, Test Engineers
Generate CoM Plan A R I C
Establish baseline control
process and responsibilities A / R C - -
Identify the project baseline
and maintain an account of
deliverable requirements,
documentation, software,
hardware
A R C C
Train personnel on baseline
control and change-tracking
tools, as required
A / R C - C (attend training)
Perform requirements
baseline control using the
designated tools
A R - C
Perform documentation
baseline control using the
designated tools
A R - C
Perform software baseline
control using the
designated tools
A / R R - C
Perform hardware baseline
control using the
designated tools
A / R R - C
Establish the directories in
the baseline control tools A / R C - C
Establish Change Control
Board (CCB) process and
membership
A / R R I I
Change request logging
and tracking using the
designated tool(s)
A / R R C R
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Configuration Identification
Configuration identification enables the user to understand what constitutes the
deliverable solution. Configuration identification tasks include identifying the deliverable
components, identifying established baselines, and ensuring that changes made to the
established baselines are identifiable. Configuration identification is accomplished by
labeling or uniquely naming or numbering deliverables, establishing baselines for the
deliverables, and controlling and documenting the authorized changes made to the
established baselines.
6.3.1 Identification Methods
The configuration identification process establishes the project deliverables. These are
initially defined in the Scope of Work (SOW) and further defined in detail during project
planning and requirements analysis.
The project team verifies or determines the deliverables and when they will be ready or
released to be placed under baseline control. Deliverables must have unique identifiers
within the baseline control tools described in Section 6.
6.3.2 Requirements Identification
Requirements will be inventoried in a Requirements Traceability Matrix (RTM) in
accordance with processes described in Section 5. Any requirements that are not logged
in the RTM are baselined in the respective requirements specification document(s) that
must be referenced from the RTM. Requirements specification documents are managed
in SharePoint as described in Section 4.
6.3.3 Software Identification
Software baselines will be established upon vendor product delivery or as a result of
custom code configuration and release planning. Baseline identification will occur as
follows:
6.3.3.1 Vendor Software Receipt and Acceptance
The first delivery of each unique vendor software product contracted for delivery as a
part of the Fort Collins Utilities project will be inventoried in the project Software
Deliverables List and baseline-identification information will be recorded upon receipt
verification. Delivery identification information will include the vendor-provided version
number for the product, and the product’s installation location as verified against the
project’s Solution Architecture Document.
The Fort Collins Utilities IT Manager receives and verifies vendor software deliveries as
scheduled and coordinated with the Fort Collins Utilities Project Manager, and Excergy
team.
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6.3.3.2 Software Delivery Documentation
A list of components included in a software delivery will be documented by the vendor
and provided at the time of shipment. This documentation will provide a list of the
artifacts that constitute the delivered product along with the following information:
• Version description – including features (and any changes incorporated
since the last release if applicable)
• Installation instructions – detailed instructions for installing the software
and the procedures required to determine that the software has been
installed properly
• Known defects – a lists of any known defects in the software at the time of
release and the plans for resolution
6.3.3.3 Release to the Project Team
The Fort Collins Utilities IT Manager will notify the Maximo Fort Collins Utilities PM when
the vendor delivery is verified, installed, and is available for access by the project team.
The Fort Collins Utilities IT Manager controls the release of software baselines in an
effort to ensure that vendor deliverables are expected and installations are stable and
functional. Specific receipt and release responsibilities are listed by project team role in
Table 6-2 below.
Table 6-2 Vendor Software Receipt and Release – Roles and Responsibilities
Responsibility
Fort Collins
Utilities IT
Manager
Fort Collins
Utilities PM
Excergy
Team Vendors
Establish the project implementation
schedule delineating receipt and release
activities
C A R
Submit delivery request A / R
Generate required documentation with
each vendor software delivery A / R
Identify all components to be included in
the delivery; conduct the build and label the
components or use existing labels
R A C
Receive and verify software deliveries R A C
Notify team of delivery omissions R A C
Resolve delivery errors with the Vendor R A C
Install the software R A C
Notify the project team of availability R A C
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6.3.3.4 Configuration
As a comprehensive solution, the Maximo software is extremely configurable and a large
part of the Fort Collins Utilities project will entail configuring the software. These custom
configurations will be captured in requirements documentation.
6.3.4 Document Identification
All documents included in the project Document Deliverables List are subject to baseline
identification as follows.
The Fort Collins Utilities PM establishes documentation directories within the baseline
control tool. The SharePoint tool, described in Section 6.8 provides an information
architecture that offers document organization via the use of sites, libraries and
document folders. The Fort Collins Utilities Systems Manager works with the project
team to ensure that the directory structure - which establishes the path (URL) to each
document that is identified for control - is logical and intuitive for the project user, while
also complying with documentation management best-practice standards and
guidelines.
A document is initially baselined upon upload of the first approved version of that
document. Changes to that document are then managed via the change control process
as described in Section 3.5.
6.3.4.1 File Naming Conventions
The Fort Collins Utilities PM works with the Excergy team to define file-naming
conventions for document deliverables. The document filename will reflect both the
deliverable title as it appears in the respective SOW or project requirements
specification, and the version number.
6.3.4.2 Version Numbering
While SharePoint provides a document version numbering feature, the following applies
to the project version numbers indicated in the document filename and within the
document (on the title page and in the footer or header).
6.3.4.2.1 Draft Versions
Draft versions of documents, in review and not yet formally released, reflect a version
number 0.X. For example, the initial draft version number is 0.1.
In addition, a watermark stating “Draft” is placed on each page of the document, or
“Draft” may be indicated on the title page and footer or header of the document.
As the draft document is updated for incorporation of review comments, each
subsequent draft release version number increases by 0.1. When the document is ready
to be released as final, the version number rolls up to the whole number 1.0, and the
Draft marking is removed.
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6.3.4.2.2 Final Versions
Upon release of the document as final, the document is baselined as version 1.0.
Further updates to the baseline-controlled version are identified, assessed, and
incorporated as described in Section 6.4. Version numbers for final documents are
promoted as follows:
• For minor changes to the baselined, final version, the released version
number increases by 0.1. “Minor” in this case typically refers to revisions to
words, sentences or paragraphs within an existing document section. For
example, minor changes made to version 1.0 are released in document
version 1.1.
• For major changes to the baselined, final version, the released version
number increases to the next whole number. “Major” in this case typically
refers to a total re-write of one or more document sections, the addition of
new sections, or re-organization of the document outline. Major changes
made to version 1.1 are released in document version 2.0.
6.3.5 Hardware Identification
The project leadership team must maintain visibility, control, and traceability of systems
hardware and infrastructure equipment procured in support of the project. As such, once
the baselined hardware listing is established, the Fort Collins Utilities PM ensures that
this material listing is controlled as part of the deliverable configuration. This listing will
be included as an integral part of, or will otherwise be referenced from, the Architecture
Document.
6.3.6 Project Deliverable Baselines
Project deliverable baselines are established in association with milestone activities that
identify when the artifacts will come under baseline control. These project milestones
may include events such as completion of the final solution architecture review or user
acceptance testing. The Fort Collins Utilities and Excergy team will establish these
milestones as a part of detailed task and schedule planning activities.
Configuration Change Management
An effective CoM process must be consistently understood and implemented by the
project team. Having standardized and documented change management procedures
helps ensure that changes to the requirements, software, hardware, and documentation
are logged and managed consistently; and that the appropriate personnel are informed
of the status of changes and that any technical, cost, and schedule impacts are reviewed
and approved.
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6.4.1 Change Requests
6.4.1.1 Enhancements
Enhancements are requests for additional solution features, functions or design changes
that fall outside the contracted SOW or baselined requirements. Enhancement requests
are often submitted as a result of findings during the testing phase of a project, but may
also be requested for non-testing related reasons such as a change in business
requirements, or discovery of a previously unknown business process need.
Some enhancement requests may result in an impact to the contracted SOW and
baselined requirements. In these cases, a detailed description of the change including a
description of the impacts and associated level of effort or estimated cost will be
required. In some cases, these changes may require business case justification.
6.4.1.2 Defect Fixes
Defects are errors discovered in requirements, software, hardware, or documents that
must be corrected to comply with contractual requirements.
A requirement defect may be reported if the requirement is found to be ‘un-testable’ due
to, for example, an unclear or incomplete description. If the issue is discovered during
testing activities, it will be logged as a defect and the respective change (fix) request will
follow the defect management process described below. If a requirements change is
requested outside of the testing phase, the change will be tracked and managed via the
general change control process (i.e., without submittal via the defect-tracking tool).
Defects are reported and categorized in accordance with the defect/deficiency reporting
process described in the Test Plan(s). The action(s) required to resolve a defect is
considered a change request that is submitted and managed in accordance with the
change control process.
6.4.1.3 Logging and Tracking
Changes to established baselines are systematically logged for review and approval
before they are implemented into requirements, software, hardware, and documents.
Each change opportunity that is raised may result from a reported defect or request for
enhancement and will be logged as an individual change record in either the defect-
tracking tool or the change-tracking tool and are subject to the CCB process described
below.
6.4.2 Change Control Board (CCB)
6.4.2.1 Responsibilities
The CCB provides a committee to make decisions on whether or not proposed changes
to elements of the project baseline should be implemented. The CCB also reviews and
approves or rejects proposed changes to contract SOWs, milestones and configuration
management processes.
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The CCB will convene based on agreed meeting times and frequency. Pre-approval of
some open requests may be delegated to a sub-set of CCB members that form a
technically-qualified quorum capable of determining, for example, that a defect fix is low
risk and necessary to address a request for which there is no other solution that will
support achievement of successful test results. This form of “technical” CCB will typically
be led by the Excergy PE or delegate system engineering lead. Decisions made outside
of the standing CCB meeting are reviewed at the next scheduled session.
During the review of requests, the CCB will assess whether more information about the
change is required, such as additional technical research to further explore all options for
resolution or to ensure impacts of the potential change have been thoroughly
considered. The CCB may also question the assigned priority of the change, the judged
severity of the associated issue, or the proposed action plan or staffing to implement the
change. The CCB may also reject changes and request they be closed with no further
action.
6.4.2.2 Membership
The following personnel form the CCB:
• Fort Collins Utilities PM
• Excergy PM
• Excergy technical SME’s as needed
• Fort Collins Utilities IT managers
• Business System Owners
• System Engineering Leads
• Testing Leads
Other project stakeholders who will participate in CCB meetings over the course of
project implementation will include:
• Vendor PMs
• Vendor system and software engineering leads
• System Engineers
• Software Engineers
• Test Engineers
Representatives from other organizations (e.g., Procurement), may be invited to
participate in a meeting as deemed necessary by the CCB meeting facilitator or
may be invited by another CCB member who is aware that a change or set of
change requests subject to board review, will be of interest to or be known to
have impact on, the added representative.
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6.4.2.3 Scheduled Meetings
The following Ground Rules provide guidance for conducting CCB meetings:
Facilitation
• CCB meetings will be facilitated by the Fort Collins Utilities PM or designee.
Scheduling
• Meetings will be scheduled via email invitation.
Agenda
• The current change request lists contained in the change and defect tracking
tools will form the basis of the meeting agenda. The agenda will also include
review of previously assigned action items and authorization of baseline
releases.
Preparation
• The change list will be distributed or made available to all meeting
participants at least one day prior to the meeting. Members may access the
tools directly to familiarize themselves with the list at any time prior to the
meeting.
• CCB members or their designees should come prepared to discuss the
change list.
Walk-on Agenda Items
• Defect reports and enhancement requests that are initiated after the list is
distributed are designated as walk-on agenda items and are eligible for
immediate review.
Attendance/Quorum
• The specific members, their delegates and/or number of meeting participants
required to form a CCB quorum will be defined during the first CCB meeting if
the quorum requirement has not already been confirmed and documented
herein.
• If the quorum is not available for a regularly scheduled CCB meeting, the
meeting will be re-scheduled
• Any quorum exceptions to be made for emergency CCB purposes will be
approved by the Fort Collins Utilities PM or in their absence, may be
escalated to the Change Advisory Board (CAB) described in Section 3.5.3 for
authorization.
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Action Items
• Action items assigned during the CCB meeting are logged and maintained in
a master CCB action item list.
• Action items will form a part of the CCB meeting agenda to ensure they’ve
been assigned, started and ultimately brought to closure, and that closure
status has been communicated respectively.
Minutes
• The CCB facilitator or delegate will compile and distribute meeting minutes.
• Minutes will be published within three working days after the CCB meeting is
held. Meeting minutes are archived in SharePoint.
6.4.2.4 Emergency CCB Meetings
Occasionally, there may be a need to hold an emergency CCB meeting. Emergency
CCB meetings are held for items normally covered in the weekly CCB meeting which
cannot wait until the regularly scheduled time. Such items are typically associated with
defect reports and kept to a minimum. However, when an emergency CCB meeting is
deemed necessary, as much notice and coordination as possible is provided to support
the meeting. At the conclusion of the emergency CCB meeting, the meeting facilitator
sends an email message to all CCB members, providing the details of the emergency
meeting. This message includes addressed defects, problem details, and the determined
action and/or resolution.
6.4.3 Executive Review Team (Exec Team)
The Exec Team addresses issues and change requests that are not managed through
the configuration change control process. These items are typically related to strategic
vision, staffing, budget and or schedule. This Exec Team may also be called upon to
address baseline change requests that cannot be resolved at the lower-level CCB
meetings.
Exec Team members include the:
• Jon Haukaas, Executive Project Sponsor
• Dennis Sumner, Project Manager
• Kevin Gertig, Utilities Executive Director
• Carol Webb, Water Resources & Treatment Ops Manager
• Tim McCollough, Light & Power Operations Manager
• Lance Smith, Financial Planning Department Manager,
• Lisa Rosintoski, Customer Connections Manager
• Mary Evans, IT Application Services Manager
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6.4.4 Change Control Process
6.4.4.1 Process Flow
Configuration change management begins with establishing the first requirements
baseline and continues through delivering the final products. After each baseline is
identified and established as described in Section 3.4, the change control process flow is
initiated. The general process flow is illustrated below (Figure 6-2).
Figure 6-2 Change Control Process Flow
6.4.4.2 Roles and Responsibilities
Roles and responsibilities associated with the processing of a single change request are
marked in the following table. Note that a “project stakeholder” is any member of Fort
Collins Utilities or the project implementation team. Roles and responsibilities associated
with specific types of changes are described in the sections following this table.
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Table 6-3 Change Control Roles and Responsibilities
Role
Responsibility
Project
Stakeholder CCB
Fort Collins
Utilities PM,
Excergy
Team
System
Engineer,
Software
Engineer
Test Engineer,
Fort Collins
Utilities
Business
System
Owners
Submit change
request
A / R A / R
Approve change for
assignment and
implementation
A / R
Determine if the
change should not
have been opened
and reject and close it
A / R
Determine if the
change needs further
research or detailed
technical review
outside the CCB
A / R
Assign the change to
resources for work off
A / R
Lead research or
technical discussion
as needed for more
detailed understanding
of change
requirements and/or
impacts
R C
Forward results of
research of
investigation to the
CCB
R C
Perform the change A / R R
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Role
Responsibility
Project
Stakeholder CCB
Fort Collins
Utilities PM,
Excergy
Team
System
Engineer,
Software
Engineer
Test Engineer,
Fort Collins
Utilities
Business
System
Owners
Verify successful
completion of the
change
A R
Update change
requests status
A / R R R
Review and approve
the change for closure
A / R
Close the change in
the tracking tool(s)
A / R
6.4.5 Requirements Changes
Requirements are updated and managed by the Excergy team who are responsible for
maintaining the RTM for the project in accordance with the change control process
described above.
6.4.6 Document Changes
After the author creates a document deliverable, it is initially baselined upon approved
release of version number 1.0.
6.4.6.1 Change Review Prior to First Release
Prior to the first release of a deliverable document:
• The required approvers for each document in the project Document
Deliverable List are identified and agreed between the Fort Collins Utilities
Project Manager, Excergy team, and Vendor PMs.
• Approvers may delegate review responsibilities to other members of their
team. It is the approver's responsibility to ensure the document has been
sufficiently reviewed prior to approval.
• Document approvals are recorded as agreed between the Fort Collins
Utilities Project Manager, Excergy PM and Vendor PMs. These may be
captured via email or with hardcopy signature added to a printed copy of the
final version.
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6.4.6.2 Change Review Following First Release
Document changes and release of the next version must be processed in accordance
with the following:
• As document changes are made, all revisions to a prior version are clearly
marked using the tools provided by the application that was used to create
the document file. These may include features such as MS Word “track
changes” and the ability to insert and updates comments, or font color,
strikethrough and/or other highlighting capabilities.
• Once a document change is approved, the author accesses the document in
SharePoint from where it is either ‘checked out’ for editing or saved as a copy
(downloaded) for future upload to SharePoint.
• As changes to the document are made they are marked for review and
approval before the document is finalized for next release.
• Upon release the version number is updated on the title page and/or footer or
header of the document, and the new version number is included in the
filename and/or indicated in comments upon SharePoint check-in (if the
document was checked out for changes).
• If revisions are made to a copy of the original file, a copy of the approved
revisions (redlines) and a copy of the final approved document are uploaded
to SharePoint. If changes are made while the document is checked out,
revisions may be saved with interim check-in of the file to ensure they form a
part of the SharePoint document version history. For more information
regarding the version history feature of SharePoint, contact your SharePoint
administrator.
• The required approver(s) for updated documents are identified and agreed
between the Fort Collins Utilities Project Manager, Excergy PM, and Vendor
PMs.
• Document approvals are recorded as agreed between the Fort Collins
Utilities Project Manager, Excergy PM,PE and Vendor PMs. These may be
captured via email or with hardcopy signature added to a printed copy of the
final version.
6.4.7 Software Changes
6.4.7.1 Vendor Software
The receipt of vendor software updates as a result of approved changes, whether
delivered in the form of minor or major version upgrade or patch will be managed in
accordance with the receipt and release procedures as described in Section 6.3.3.
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6.4.7.2 Configuration
Upon approval of changes, Configuration will be updated and managed in accordance
with standard Fort Collin Utilities IT build and release procedures.
6.4.7.3 Custom Code
Upon approval of changes, Custom Code will be updated and managed in accordance
with standard Fort Collin Utilities IT build and release procedures.
6.4.8 Hardware Changes
System hardware and infrastructure equipment baselines are updated and managed by
the Fort Collins Utilities PM and Excergy team in accordance with the change control
process described above.
Configuration Management Tools
The Fort Collins Utilities Project uses the tools described in this section to conduct CoM
tasks. These tools are used to control access, modification, and the archiving of
configuration-controlled deliverables.
6.5.1.1 Requirements Baseline Control
The requirements baseline for the project will be recorded and controlled using the
Requirements Traceability Matrix (RTM) for the project. Refer to Section 5 for more
information regarding this requirements management and baseline control tool.
6.5.1.2 Software Baseline Control
If readily available tools are not available, the project will employ SharePoint functionality
to close the gap.
6.5.1.3 Documentation Baseline Control
Microsoft SharePoint is used to support document baseline control. Documents will be
continuously maintained in SharePoint through contract completion. All deliverable
documents reside in SharePoint upon receipt from a vendor or from initial generation
through final release/acceptance.
6.5.1.4 Hardware Baseline Control
Standard City of Fort Collins Utilities IT asset and inventory management procedures
and tools will be used for hardware baseline control.
6.5.1.5 Change Tracking
Change-tracking tools enable the project to create, track, and prioritize reported defects
and enhancement requests. These tools assist the Fort Collins Utilities and Excergy
team to plan for change implementation, effectively allocating project team resources
and accurately determining release dates.
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Using privileges assigned by the CoM tools administrator(s), project personnel process
defects using the Maximo product. Change-tracking tools also provide a reporting
capability to retrieve information regarding change status.
During testing, the Fort Collins Utilities project team will use Maximo as the defect-
tracking tool. This tool will track and manage software defects that are found as or are a
result of testing activities. SharePoint will be used for hardware problems,
communication problems, requirements or technical documentation issues, or
enhancement suggestions. Project change requests will be logged and tracked using
this tool as described in Section 6.4.
Requirements Management
The Requirements Traceability Matrix (RTM) allows stakeholders and the project team to
trace whether requirements are supported throughout the project lifecycle. The RTM is
more fully described in Section 5.
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7 Organizational Change Management
Introduction & Approach
The Organizational Change Management (OCM) portion of the Maximo project will
employ a diverse, inclusive and multi-faceted approach to address the internal impacts
on the people and processes associated with the technology implementation. The
associated goal is to build understanding and acceptance of the benefits, resulting in
high-level organizational performance throughout the project lifecycle. Organizational
Change Management identifies and manages the internal changes associated with
Maximo with an overall goal of moving people from the current state to high performance
in the new environment as efficiently as possible.
Fort Collins Utilities has experienced challenges related to Maximo implementation over
the past several years. This experience provides insight into best practices (i.e., what
worked) and lessons learned (i.e., areas of improvement) to support a project of the
magnitude of Maximo.
Over the past few years, effective Organizational Change Management (OCM) has been
recognized as a critical success factor for technology project implementation. The job of
change management is to
fundamentally manage the dynamic
tension between restraining and driving
forces in order to assist both the
organization as a whole – and notably
impacted functions and individuals –
transition from the current state to the
desired future state. The goal is to work
as efficiently and productively as
possible throughout the disruptive
middle phases of transition to a new
equilibrium and ‘business as usual.’
Moreover, current change management
theory holds that change management
is a core element of project success as
illustrated by Figure 7-1, the ‘Project
Change Triangle1.’
1 Copyright Prosci®. Used with permission under single user license.
Figure 7-1 Project Change Triangle
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7.1.1 Change Management Approach
OCM will apply tools and practices to prepare the Fort Collins Utilities organization for
the new Maximo technologies and processes, many of which will ultimately change how
Fort Collins Utilities does business.
The OCM development approach is divided into three phases. Figure 7-2 presents the
steps in OCM planning and implementation.
• Phase 1: Prepare Strategy/Assess Change (orange)
• Phase 2: Manage/Implement Change (blue)
• Phase 3: Reinforce/Sustain Change (green)
The focus in the PEP is OCM Phase 1: Strategy & Scope of Change. The content
assesses organizational alignment, details impacts and outlines the overall OCM
approach including Roles & Responsibilities for the component plans.
OCM implementation will include development of the following component plans:
• Communications Plan
• Sponsorship & Engagement Plan
• Training & Performance Plan
• Reinforcement Plan
For OCM efforts to be effective, staff must move along a development curve from initial
understanding to demonstration of mastery in the new environment as efficiently and
effectively as possible. Figure 7-3 summarizes these steps.
Assess Readiness
& Define Change
Size/Scope &
Prepare
Develop
Alignment
Strategy
Develop OCM
Component Plans
Take Action/
Implement Plans
Diagnose Gaps &
Manage
Resistance
Monitor/Manage
Drift & Improve
Correct &
Celebrate Success
Transition to
Business as Usual
Figure 7-2 Phases in Effective OCM
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Figure 7-3 Stages of Organizational Change
Moreover, communications must be calibrated and timed for relevance to the audience;
this is essential to avoid “tune-out” and “burnout,” or worse yet, outright irrelevance (e.g.,
training provided too early to put into immediate practice). Therefore, OCM efforts are
driven by the master project schedule. This is particularly important given the staged
deployment from WRT, to WFO and, later, LPO. Figure 7-4 shows the calibration of
OCM efforts to project lifecycle.
Figure 7-4 OCM Calibration to Project Lifecycle
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The methods used for Maximo OCM will build on/augment existing Utilities practices.
Figure 7-5 summarizes the OCM plan objectives.
Figure 7-5 OCM Plan Objectives
Time Frame: 2016 – 2021
OCM Plan Objectives
Know Feel Do
All employees:
- Understanding/support of
Maximo benefits as an
important technology, and why
it’s important for Utilities’ future
Impacted Employees:
- Per above plus how the
changes specifically impact
daily work activities
- How I will be assisted
through the transition
- What training and support I
can expect; that I will have
time to learn the new skills
- That I will be recognized
(notably by management),
supported and treated right
- My opinion is taken into
consideration in planning
features and functionality of
Maximo
- Trust and confidence in
Utilities future as we adapt to
changing needs and
expectations of the Utilities,
the City and our customers
- Trust in the approach and
tools selected
- Confidence that I will be
provided the resources and
time necessary to perform
well to changing job
expectations
- Interest/enthusiasm about
the possibilities new
technology will bring
- Understand and support the
Maximo project
- View Maximo as an
opportunity
- Engage in Maximo events,
such as informational
sessions, training, surveys,
etc.
- Use resources provided to
build my personal
understanding and ability to
perform; move through the
change cycle
- Seek information to address
questions/concerns
- Adopt/use Maximo at an
Maximo Project― 7-5 Proprietary and Confidential
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7.1.2 Assessment Methodology
The fundamental challenge for change management is how to achieve vertical and
horizontal alignment of the organization throughout the project lifecycle. We use both
traditional change management interactive processes, combined with SchellingPoint
Alignment Optimization software, to combine both qualitative and quantitative analysis to
address the stated need of engaging, understanding and aligning around Maximo. We
have used a technology enabled analysis via Alignment Optimization (AO) – an asset
based consulting tool that allows input from a broader cross section of the organization
and a gap identification, prioritization and endorsement sequence. This methodology has
allowed us to gather broader, more accurate and forthright input from staff while
eliminating hours of workshop time.
For Phase 1 work and as input to the PEP, we have conducted the first several steps in
the AO process as shown in Figure 7-6:
• Conducted 24 seed interviews
• Developed the Opinion Survey (OS)
• Sent the OS to 70 staff and received an 79% response rate
• Solicited reasoning and conducted convergence to understand alignment;
80% response rate
Through this assessment, we have been able to pinpoint the necessary conversations
and actions, and drive alignment related to the requested outcomes, which will feed into
a more effective implementation approach. In addition, we will conduct alignment cycles
at intervals throughout Maximo project implementation, so ensure continued alignment
with the direction established at the outset, or, alternatively, adjust as necessary based
on data from a cross section of the organization.
Figure 7-6 Alignment Cycle Steps & Tasks
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Assessment of Organizational Alignment
Initial assessment of organizational alignment provided insight to organizational
readiness and specific input regarding Utilities’ experience, perspectives and goals
related to Maximo, which directs OCM efforts.
7.2.1 Strategy & Scope of Change
Based on research and information gathered to date, it is clear that the OCM strategy
must be comprehensive and the scope of change is extensive. To be clear, this is not
always the case. Where there is more inherent, pre-existing organizational alignment
and consistency, the strategy recommendation often features a lighter touch. Bottom
Line: There is a weak and not-well shared Case for Action. As an essential building
block for change, this needs to be addressed as the foremost strategy element.
The Alignment Cycle (AC) specifically measures the degree of organizational alignment.
This revealed the following overall result where the targets indicating that most can/do
agree – and therefore endorse – a direction are >80 Alignment Index (AI) and >35
Sentiment Index (SI). Figure 7-7 illustrates this concept.
Figure 7-7 The Alignment Cycle
Moreover, the same indices for component drivers of action and inaction – Goals,
Unintended Consequences, Barriers and Assumptions (GUBA) – indicate higher
alignment on goals than on the current state assumptions. A healthier starting point from
an OCM perspective would be current state alignment, which drives a common
understanding and agreed-to Case for Action. The data shown in Figure 7-8 supports
the recommendation for comprehensive strategy and extensive scope.
Figure 7-8 Alignment Data
The Alignment Optimization cycle both confirmed the sense of significant need related to
the people/process aspects of the Maximo project, as well as provided insight into
specifics as to what is driving that need, what roles and departments are most
aligned/not aligned, and where we can take action to start to mitigate the situation.
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At a high level, the research revealed that there is low alignment and high confusion on
the Case for Action; that is, why are we doing this, why in this way and why now? This is
true both between and within Departments and Roles, including in relation to the
software selection itself. Notably, Supervisors show lower alignment in general. In
addition, “Confusion” is very apparent,. Notable needs identified include leadership,
vision and consistent communications throughout all levels of the organization.
The following outlines the strategy implications:
• Critical need for strong comprehensive OCM – communication; sponsorship;
etc.
• Managers have communicated; have not been heard
• Higher alignment on goals can help define the compelling end point
• Need for consistent, visible and aligned leadership
• Need for a clear vision/mission, and a sense of urgency
• Low alignment on assumptions related to the current state, which create the
Case for Action – they “why”
• Before moving to the future, acknowledge, align and communicate on
assumptions to avoid divergent paths to the future
There is low alignment by roles – Managers/executives; managers; supervisors; non-
supervisory – with a notable gap at the supervisory level. Therefore, a key element of
the Maximo strategy must be to get supervisors involved and bought in in a meaningful
way. In addition, Managers and Executives generally see less need for communication,
or indicate that communication has already occurred.
A presentation of the Alignment Optimization analytics, which provides further detail and
supporting data, is available.
OCM Component Plans
Phase 2 starts with development of the following OCM component plans based on the
assessment completed to date:
• Internal Communications Plan
• Sponsorship & Engagement Plan
• Training Plan
• Reinforcement Plan
The following outlines the approach to development and implementation of the OCM
component plans, with Roles & Responsibilities specified.
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7.3.1 Internal Communications Plan
The Communications Plan focuses on the approach for engaging impacted stakeholder
groups, as well as the organization at large. This includes the following elements, which
will be further developed in the tactical Communications Plan:
• Messages about the business today – assumptions and drivers as to why
Maximo is being implemented
• Messages about the change – vision and goals
• Messages about how the change impacts employees – benefits, barriers and
how we will address them
• Status updates and progress reports – commitment to keep staff informed on
a regular basis
• Communication regarding training (e.g., when, where, why it is important to
attend) is covered under the Training Plan, although there is obvious overlap
Table 7-1 outlines the Roles and Responsibilities for the Communications Plan
development and implementation.
Table 7-1 Communications Roles & Responsibilities
Project Role Communications Phase & Responsibilities
Communications
Planning
Communications
Implementation
(WRT & WFO)
Communications
Implementation (LPO)
Project Sponsor
(Haukaas)
~ supported by ~
Utilities Senior
Managers
(Maximo Executive
Team)
Review/approve plan;
provide inputs
Participate in Alignment
Cycles and provide other
inputs as requested
Active & visible
support on planned
and as-needed basis
Active & visible support
Staff – Maximo
OCM Lead
(Sumner/TBD)
Review plan; provide
inputs
Approve direction and
tactical details
Resource allocation
and active support on
planned and as-
needed basis
Resource allocation and
active support
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Project Role Communications Phase & Responsibilities
Communications
Planning
Communications
Implementation
(WRT & WFO)
Communications
Implementation (LPO)
Excergy –
Planning &
Content
Management
(Adams)
Draft plan based on
research and best
practices – focus on
WRT & WFO
Finalize plan based on
staff inputs
Development of
communications
content and
approaches
Management of plan
implementation and
calibration to project
schedule
[Role TBD; likely
diminished]
Staff – Internal
Communications
Lead
(Royval)
Provide background on
Utilities’ internal
communications
practices
Review and provide input
on communications plan
Offer input on best
Utilities practices
Build on
Communications Plan
developed previously;
tailor/refresh for LPO
Direct and visible role
in plan
implementation
Contribution to and
development of
communications
content and
approaches
Management of
production and
logistics (lead role)
Development/tailoring of
communications content
Proprietary and Confidential 7-10 Maximo Project―
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The following table outlines the Roles and Responsibilities for the Sponsorship Plan
development and implementation by organizational and/or project role. As is evident,
sponsorship is a shared responsibility at several levels of the organization. Unlike
communications, which is more of informational and educational based largely on a one-
way flow, Sponsorship & Engagement is where effective two-way engagement happens.
Note that the “LPO” column has been eliminated. We anticipate that the same approach
will hold for LPO as for WRT/WFO, including the diminished role for consultants with
staff implementing based on approaches and templates established and experience
gained during Phase 1 work.
Table 7-2 Sponsorship Roles & Responsibilities
Project Role Sponsorship Phase & Responsibilities
Sponsorship
Planning
Sponsorship Implementation (WRT &
WFO)
Project Sponsor
(Haukaas)
~ supported by ~
Utilities Senior
Managers
(Maximo Executive
Team)
Review/approve plan;
provide inputs
Participate in Alignment
Cycles and provide
other inputs as
requested
Provide executive leadership and guidance
Provide visible and consistent project support,
and aligned communications based on
information provided by project team
Respond to project team needs in a timely
manner
Set clear direction and expectations
Build/maintain a coalition of ongoing support for
the project as a high priority for the organization’s
future
Fulfill role as lead change agent; liaison with all
departments
Assist in resolving issues
Remove barriers to project success; manage
resistance
Hold the program team accountable
Staff – Maximo
OCM Lead
(Sumner/TBD)
Review plan; provide
inputs
Approve direction and
tactical details
Resource allocation and active support on
planned and as-needed basis
Regular status report to Project Sponsor and
Utilities Senior Managers; identify gaps and
mitigations
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Project Role Sponsorship Phase & Responsibilities
Sponsorship
Planning
Sponsorship Implementation (WRT &
WFO)
Staff – Project Core
Team
Review plan; provide
inputs
Participate in Alignment
Cycles and provide
other inputs as
requested
Fulfill role as primary or secondary Change Agent;
liaison with assigned departments
Excergy – Planning
& Content
Management
(Adams)
Draft plan based on
research and best
practices
Finalize plan based on
staff inputs
Development of Sponsorship content and
approaches
Management of plan implementation and
calibration to project schedule
Staff – Managers –
Cascading through
Impacted
Departments
Participate in Alignment
Cycles and provide
other inputs as
requested
Provide visible and consistent project support,
and aligned communications based on
information provided by project team
Build/maintain a coalition of ongoing support for
the project as a high priority for the organization’s
future
Fulfill role as primary or secondary change
agents
Support key communication and change events
Allocate staff time to support Maximo
Remove barriers to project success; manage
resistance
Staff – Others Implementation support as requested
7.3.3 Training & Performance Plan
The efforts involved in the development of the Maximo Training plan include activities
such as:
• Build from the Business Process Transformation work to map impacted
departments, functions and individuals.
• Leverage Fort Collins Utilities/City Human Resource Department training
resources, including tracking and training support infrastructure.
• Consolidate the above into an overall Training Plan.
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Training is widely recognized as a critical element of Maximo success. Previous
experience within Utilities was much less than satisfactory and has resulted in some
issues to overcome on this implementation, thus making the communications and
sponsorship engagement related to training highly critical as well.
The following table outlines the Roles and Responsibilities for the Training Plan
development and implementation by organizational and/or project role.
Again, note that the “LPO” column has been eliminated. We anticipate that the same
approach will hold for LPO as for WRT/WFO with staff implementing based on
approaches and templates established and experience gained during Phase 1 work. We
do, however, anticipate that external Maximo training resources will be used at a similar
level for LPO as for WFO/WRT.
Table 7-3 Training & Performance Roles & Responsibilities
Project Role Training Phase & Responsibilities
Training Planning Training Implementation (WRT & WFO)
Project Sponsor
(Haukaas)
~ supported by ~
Utilities Senior
Managers
(Maximo Executive
Team)
Review/approve plan;
provide inputs
Provide executive leadership and guidance
Provide active and visible support to Training
implementation (connects to Communications
and Sponsorship Plan responsibilities)
Allocate staff resources for training and any
necessary follow up
Staff – Maximo OCM
Lead
(Sumner/TBD)
Review
recommendation on
Training Consultant
Review Training Plan;
provide inputs
Approve direction and
tactical details
Resource allocation
Regular status report to Project Sponsor and
Utilities Senior Managers; identify gaps and
mitigations
Staff – Project Core
Team
(including Croskrey)
Review
recommendation on
Training Consultant
Review Training Plan;
provide inputs
Possible training development/implementation
role (e.g., Super Users);
continuation/expansion from previous approach
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Project Role Training Phase & Responsibilities
Training Planning Training Implementation (WRT & WFO)
Excergy – Planning
(Adams; Crory)
Identify/recommend
training consultant
(preferred) or manage
RFP process
Define method to
manage training
logistics
Work with Training Consultant to support
Training Plan development.
Oversight of plan implementation and
calibration to project schedule
Maximo Training
Consultant
(TBD)
Develop detailed
Training Plan including
modules, timeline,
participants,
communications,
evaluations and testing
Provide high impact and effective training per
plan.
Evaluate effectiveness and modify as
indicated.
[currently vetting Denver-based Technology,
Training & Consulting as training vendor]
City Human
Resources
(Kemp/Kuntz)
Provide input
regarding FC3 and
other roles
Track and support Maximo training
implementation using City tools and processes
[FC3 – FC Career Connect]
Staff – Managers –
Cascading through
Impacted
Departments
Participate in
Alignment Cycles and
provide other inputs as
requested
Support Training Plan and schedule
Allocate staff time for Maximo training
Staff – Others Participate in training per plan
Surface barriers to training
Provide feedback to increase training
effectiveness
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7.3.4 Reinforcement Plan
This last step in the process outlines the necessary follow up required to support
sustainable change. Reinforcing change starts with meaningful recognition. In addition,
there is a need to identify gaps in group and/or individual performance and remediate as
necessary. In addition, this phase closes the accountability loop and builds expectations
into the performance management system.
Steps in this final stage of the organizational change cycle include:
• Feedback Collection & Analysis
• Support & Assistance
• Recognition
• Performance Measurement
There are four primary mechanisms for gaining employee feedback:
• Alignment cycles; surveys
• Individual assessments – supervisors and Change Agents
• Staff meetings (regular) and/or focus groups (specific purpose)
• Informal input and discussion
To reinforce changed business processes and performance requirements, it is important
to examine and revise job performance metrics to align with the new direction. This
element will align with the existing Utilities performance management system (e.g., goal
setting and performance assessment).
Table 7-4 Reinforcement Roles & Responsibilities
Project Role Reinforcement Phase & Responsibilities
Sponsorship
Planning
Sponsorship Implementation (WRT &
WFO)
Project Sponsor
(Haukaas)
~ supported by ~
Utilities Senior
Managers
(Maximo Executive
Team)
Review/approve plan;
provide inputs as
requested (ongoing)
Provide executive leadership and guidance
Provide visible and consistent project support, and
aligned communications based on information
provided by project team
Support approach, actively participate/model
implementation
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Project Role Reinforcement Phase & Responsibilities
Sponsorship
Planning
Sponsorship Implementation (WRT &
WFO)
Staff – Maximo
OCM Lead
(Sumner/TBD)
Review plan; provide
inputs
Approve direction
and tactical details
Resource allocation and active support on planned
and as-needed basis
Regular status report to Project Sponsor and
Utilities Senior Managers; identify gaps and
mitigations
Staff – Project
Core Team
Review plan; provide
inputs as requested
(ongoing)
Fulfill role as primary or secondary Change Agent;
liaison with assigned departments
Participate in implementation
Staff – Change
Agents
Review plan; provide
inputs as requested
(ongoing)
Conduct assessments; highlight performance for
recognition or assistance
Excergy –
Planning &
Content
Management
(Adams)
Draft plan based on
input and best
practices
Finalize plan based
on staff inputs
Support to plan implementation and calibration to
project schedule
Staff – Managers –
Cascading
through Impacted
Departments
Review plan; offer
inputs. Endorse plan
Work with staff to build understanding /
acceptance of performance management aspects
of plan.
Implement within department.
Staff – Internal
Communications
Lead
(Royval)
Proprietary and Confidential 7-16 Maximo Project―
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Project Role Reinforcement Phase & Responsibilities
Sponsorship
Planning
Sponsorship Implementation (WRT &
WFO)
Utilities/City
Human Resources
(TBD)
Actively participate in
plan development
Provide input
regarding recognition
and performance
management system
Lead on plan implementation
Track and support aligned performance
management
Staff – Managers –
Cascading
through Impacted
Departments
Provide input as
requested
Conduct assessments; highlight performance for
recognition or assistance
Support performance recognition and
performance management
Staff – Others Participate in recognition programs
Comply with performance management
requirements
Provide feedback to increase effectiveness
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Process Execution Plan
8 Process Improvement Plan
The Process Improvement Plan (PIP) presents how the hundreds of Maximo and
Maximo Mobile requirements and configuration decisions will be summarized and
communicated to end users. The PIP is also a feeder document to organizational
change management, testing, and training activities.
Definitions
The following definitions apply throughout this section:
8.1.1 Maximo Mobile
Fort Collins Utilities is in the process of selecting a mobile solution to use with Maximo.
This application will be used by field and office staff to simplify daily work processes that
use Maximo functionality. Eventually a specific vendor or product name may be used.
Until that time, the application will be referred to generically as Maximo Mobile.
8.1.2 Processes versus Procedures
A business process is an activity that spans multiple groups and/or systems from
beginning to end. An example of this would be a design process that will use AutoCAD
or GIS, different Utilities’ databases, Maximo, and eventually integrates with JD Edwards
from the time a design is started until it is approved from construction. Processes focus
on high-level steps, the systems used to perform each step, and the transition between
groups and/or systems to complete the process.
A business procedure, by contrast, spans a single group and/or system. For example,
many of the field activities will be procedures – controlled in a single group using
Maximo Mobile to view, execute, and close the work order. Procedures focus on the
modules within Maximo or Maximo Mobile used to complete the procedure.
Some processes may use both processes and procedures to communicate the overall
flow. Processes communicate the overall flow. Procedures provide the details of specific
steps within the process.
Process Summary
As Utilities implements Maximo and Maximo Mobile through WFO, WRT, and LPO, the
process and procedure diagrams will be created during the requirements definition work.
These diagrams will be included in the requirements documentation.
Once the diagrams are complete, they will be available to be used in later activities –
organizational change management, testing, and training teams as needed. The
Excergy staff that built the processes and procedures will be integrated into these
activities as needed.
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Process and Procedure Inventory
Table 8-1 below summarizes the framework and assumptions driving the initial process
and procedure inventory. The rows (plan/design, create, etc.) fit the high-level asset
management lifecycle. Asset Management, Work Management, and Materials
Management correspond to the interview approach used in creating the Project
Execution Plan. WFO, WRT, and LPO each have a column summarizing the overall
process and procedure assumptions. Key assumptions used to build the inventory
include the following:
• WFO, water, storm water, and wastewater will share processes and
procedures.
• For WRT, both plants will share processes and procedures.
• LPO, Meters, Substations, and the Distribution will have different processes
and procedures. This is driven by timing (Meters and Substations going first)
and the unknowns regarding GIS implementation.
• Utilities will be responsible for documenting procedures in other applications
(Utilities’ databases, AutoCAD, GIS, etc.), if they so choose.
These assumptions can be revisited during implementation.
Table 8-1 Initial Process and Procedure Inventory Framework and Assumptions
Process WFO WRT LPO
Plan/ Design
(Asset
Management)
No change to current
process; no process or
procedure diagrams will
be created.
No change to current
process; no process or
procedure diagrams
will be created.
Pre-GIS: No change to
current process; no
process or procedure
diagrams will be created.
Post-GIS: New process
using GIS design tool;
new process diagram
will be created.
Create
(Asset
Management)
New spatial assets will
be created in GIS and
new non-spatial assets
will be created in
Maximo; procedure
diagram will be created.
All new assets will be
created in Maximo;
procedure diagram will
be created.
Pre-GIS: Nothing
changes for Distribution.
Substations and Meters
need new process and
procedure diagrams.
Post-GIS: If Distribution
process changes, new
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Process WFO WRT LPO
Operate/
Maintain
(Work, Asset &
Material
Management)
Updates will be done in
Maximo and GIS.
Procedure diagrams
will be created.
All updates will be
done in Maximo.
Procedure diagrams
will be created.
Pre-GIS: Nothing
changes for Distribution.
Substations and Meters
need new process and
procedure diagrams.
Post-GIS: All updates
will be done in Maximo.
Procedure diagrams will
be created.
Modify/
Upgrade
(Work, Asset &
Material
Management)
Updates will be done in
Maximo and GIS.
Procedure diagrams
will be created. If a
design is required, this
portion is addressed by
Plan/ Design row.
All updates will be
done in Maximo.
Procedure diagrams
will be created. If a
design is required, this
portion is addressed
by Plan/ Design row.
Pre-GIS: Nothing
changes for Distribution.
Substations and Meters
need new process and
procedure diagrams.
Post-GIS: All updates
will be done in Maximo.
Procedure diagrams will
be created.
Dispose
(Asset
Management)
All retirement/
decommissioning will
be done in Maximo.
Procedure diagram will
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9 Procurement Plan
Hardware
Major purchased hardware includes the hosting computer equipment and mobile devices
for field or in plant use. After the vendors have been selected, additional information will
be added to this section to document the procurement plan and responsibilities.
Software
After the vendors have been selected, additional information will be added to this section
to document the procurement plan and responsibilities.
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10 Quality Assurance
Quality Assurance Process
The following paragraphs provide an overview of the Quality Assurance Plan (QAP)
process.
Vendor QA processes focus on delivering successful business solutions, with
predictability and predetermined capability, through the company’s people, processes,
methodologies, and tools. The specific objectives are as follows:
• Consistent application of approved methodologies and software development
practices
• Consistent and predictable level of quality of documentation and software
deliverables
• Maintained process control through applying control gates
• Early and cost-effective defect discovery and correction
• Timely feedback of lessons learned into training and work processes
• Operable business solutions that meet contractual requirements
• Continuous improvement in all activities
Vendor QA processes do not involve an intended change to or assessment of the
inherent quality of any commercial product incorporated in the solution. Commercial
products and their configuration provide satisfaction of required system capability and
are assessed only to deliver the functional capability and configured behavior that
product specifications define.
Vendors will deliver their products to Fort Collins Utilities for field acceptance testing and
integrated system testing. The testing process is described in the Overall System
Integration and Acceptance Test Plan.
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Quality Assurance Responsibilities
The Maximo project team implements QA processes for Fort Collins Utilities project
deliverables; Table 10-1 outlines the QA responsibilities for the project team roles.
Table 10-1 Quality Assurance Responsibilities
Position QA Responsibilities
Project Manager (PM) Implement QA standards and use QA processes to produce Maximo
deliverables and services specified by the contract.
Identify training and mentoring requirements for project team members.
Adhere to the project plans.
Conduct and participate in lifecycle and management reviews.
Ensure that QA standards and requirements are communicated to
subcontractors and vendors that support contract deliverables.
Monitor the QA processes against the PEP, taking corrective action as
required.
Immediately respond to and take steps to identify defects and prevent
known defects or deficiencies from reoccurring.
Receive and review deficiency reports and corrective action requests
and assign responsibility for resolution.
Review and approve corrective action plans and track status through
completion.
Coordinate Fort Collins Utilities satisfaction surveys.
Project Engineer (PE)
Implement QA standards and use QA processes to produce Maximo
deliverables and services specified by the contract.
Mentor the engineering team in engineering standards and tools.
Adhere to the project plans.
Conduct and participate in lifecycle and management reviews.
Ensure that the engineering team adheres to the established QA
standards, processes, procedures, and control gates for the project’s
duration for requirements definition, design, development, test, and
deployment.
Immediately respond to and take steps to identify defects and prevent
known defects or deficiencies from reoccurring.
Receive and review deficiency reports and corrective action requests
and concur with resolutions.
Review and concur with corrective action plans.
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Position QA Responsibilities
Project Team Implement QA standards and use QA processes to produce Maximo
deliverables and services specified by the contract.
Adhere to the project plans.
Participate in the lifecycle reviews as required.
Use approved engineering standards and tools.
Immediately respond to and take steps to identify defects and prevent
known defects or deficiencies from reoccurring.
Document Quality
Control
Prepare and maintain documentation quality standards, processes, and
procedures.
Test Engineering Execute test procedures to identify discrepancies between the software
and the expected behavior.
Record discrepancies using the defect and change tracking system.
Regression test software using established test procedures in support of
defect correction or software upgrades.
Immediately respond to known defects or deficiencies and take steps to
prevent them from reoccurring.
Participate in the lifecycle reviews as required.
Support acceptance and business context tests at Fort Collins Utilities to
ensure quality deliveries and customer acceptance.
Testing
The project shall use a standardized, systematic testing process. The testing process
ensures that the various iterations and the final built and delivered system reflect Fort
Collins Utilities’ business needs and satisfy all functional and non-functional
requirements defined in the requirement specifications. This section defines the testing
process as it relates to the software development lifecycle from requirements analysis
through acceptance testing and summarizes the test activities that are more clearly
defined in the project’s Test Plan(s).
Each application will undergo unit testing to ensure that each software unit has been
implemented correctly based on the agreed software design as documented in the
requirement specifications. This is the lowest level of testing performed on the software
in the test process. The project team performs unit testing, which validates the software
implementation. Subsequent to component-level unit testing, individual components are
integrated, and the Software Engineering team performs a unit integration test. It is
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important to ensure that the various units interact with each other and with previously
baselined software as expected and that they function as specified and designed.
Discovered defects are handled informally for expediency and may include several
cycles of unit testing. When Software Engineering successfully completes unit testing
and unit integration testing, the software is installed in the test environment and
proceeds to requirements verification testing. The Solutions Team will develop test
scripts for these testing tasks. The Solutions Team will package the software up for
delivery into the Fort Collins Utilities test environment, including the production of a
software turnover document, detailing installation instructions for the solution.
The Fort Collins Utilities team will conduct integrated testing supported by Excergy using
the test plans and scripts developed in previous tasks. Any application or interface
defects uncovered during this testing will be fixed and regression testing will occur. The
presence of system administration staff for the installation, and their availability to
subsequently support integrated testing will be critical to the installation and testing
phase of the project being completed on schedule. Acceptance of the solution will be
based on the successful completion of the System Integration and Acceptance Test
Plan.
Regression Testing
Throughout the project, the need to execute regression testing may occur. The test
engineer executes this testing for two distinct reasons—to verify that a change or fix to
the software actually functions as intended and to verify that changes to the software do
not break or disturb other portions of the software to test the overall integrity of the
system following a change. The test engineer normally accomplishes both types of
regression tests using existing test procedures or portions of those procedures;
however, in some instances, he/she develops a new procedure or a new test to
accommodate this type of testing. Discovered defects are formally logged, managed,
and resolved as appropriate per the CM Plan, and several cycles of testing may occur as
a result.
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11 Budget & Costs
Costs for implementing the Maximo project have three components: software licensing,
external consulting/system implementation labor & travel, and internal Fort Collins
Utilities labor. As is the standard practice at Utilities, internal labor is not a direct charge
to the project except for the project manager, however estimated hours are provided in
Section 11.4. Final costs for operating and maintaining the Maximo solution once
deployed will be developed as a project document deliverable.
Budget
A few Maximo project activities had to be started in parallel with the PEP development
due to the critical nature of the work, mostly driven by the fact that WRT has already
deployed the software into operations and the recent decision to include Mobile
capability as an enterprise requirement. These work orders were funded from Utility
operating funds from the WRT, WFO, and LPO departments. The work started prior to
PEP completion includes:
• Project Execution Plan Development (Work Order #1) – $152,002
• Critical Gap Closure for WRT (Work Order #2) – $57,010
• Mobile Solution Vendor Selection (Work Order #3) – $128,899
• Maximo 7.6 Upgrade (Work Order #4) – $68,650
After PEP acceptance, the next project step is to follow the plan and implement the
solution. Approximately $1.8M has been allocated from existing department budgets for
the start of implementation. The Maximo Project budget for years 2017 and 2018 was
determined through the Budget for Outcomes (BFO) process to be $1.305M, therefore
the available funds from PEP defined project start to December 2018 is approximately
$3.1M. This funding is projected to be adequate to complete Phase 1 in mid-2018. It is
anticipated that (1) 2018 funding beyond Phase 1, will be determined in early 2018
based on progress to that date, goals for the remainder of 2018 and available funding
and (2) another request will be made in the 2019-2020 BFO cycle. It is possible, but not
certain, that other funds may come from operating budgets during the project lifecycle
Software Licensing
Software licensing costs originate from three software products, Maximo, Geoworx, and
the mobile solution. The mobile solution is currently being selected, but an estimate
based on similar projects at other utilities is provided. The licensing also includes one-
time services cost for Geoworx and the mobile solution. Table 11-1 summarizes these
costs.
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Table 11-1 Summary of Software Licensing Costs
External Labor & Travel
Utilities sought external consulting and implementation assistance for the Maximo
project through the Maximo Consulting Services RFP #8225. Excergy Corporation was
selected to provide that assistance. Utilities’ goal is to keep this cost below
$250k/quarter.
To determine costs over the project lifecycle, a bottom’s up approach was used where
the project schedule (Appendix A) was resource loaded with external personnel and the
resulting hours exported to Excel and converted to cost based on the negotiated rate
table.
Two cycles were run in this process due to the fact that the fastest Maximo
implementation plan exceeded Utilities’’ budget goal of $250k/quarter. In the first
pass, spikes of high cost were found that correspond to the design, development,
test, and deployment cycle that occurs during each Division’s roll-out. Further
analysis showed that these spikes were independent of the requirements and
business process activities. As high quality and functionality is the paramount
project goal, reducing the scope of the project such as eliminating one or more
Division’s deployment was not considered. Therefore, the only way to reduce the
spend rate was to increase the length of tasks which in effect spreads the same
amount of work over a greater time. A second pass was made that increased the
duration of the design, development, test, and deployment tasks starting Q22017
when the first spike occurs. This latter pass yielded the external costs
summarized in
Table 11-2. The result is also shown graphically in Figure 11-1.
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Table 11-2 External Labor & Expenses
Qtr Labor Expenses Total
Q32016 $144,310 $13,680 $157,990
Q42016 $264,032 $27,360 $291,392
Q12017 $243,012 $27,360 $270,372
Q22017 $232,162 $27,360 $259,522
Q32017 $272,075 $27,360 $299,435
Q42017 $229,469 $27,360 $256,829
Q12018 $237,537 $27,360 $264,897
Q22018 $218,994 $27,360 $246,354
Q32018 $246,723 $27,360 $274,083
Q42018 $174,204 $27,360 $201,564
Q12019 $209,272 $27,360 $236,632
Q22019 $295,264 $27,360 $322,624
Q32019 $214,122 $27,360 $241,482
Q42019 $238,957 $27,360 $266,317
Q12020 $221,990 $27,360 $249,350
Q22020 $208,698 $27,360 $236,058
Q32020 $206,408 $27,360 $233,768
Q42020 $186,886 $27,360 $214,246
Q12021 $209,878 $27,360 $237,238
Q22021 $312,147 $27,360 $339,507
Q32021 $301,547 $27,360 $328,907
Q42021 $271,333 $27,360 $298,693
Q12022 $256,403 $27,360 $283,763
Q22022 $177,147 $27,360 $204,507
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Figure 11-1 External Labor & Travel Expenses
The plan incurs $2.52M of external costs through 2018, at a quarterly average of $252k
through 2018, meeting the near term spend goal. However, there are spikes of cost in
the April-May 2019 timeframe due to the simultaneous WRT enhancements test,
deployment, and training activities with WFO requirements & business process work, as
well as during LPO development due to the volume of work. Further optimization could
reduce those spikes as well with the consequence of extending the project end date
further. In addition, the available budget will be expended at the end of Phase 1, which
means that work will need to be halted around June 1, 2018 if no additional funds are
found.
A negative aspect of leveling the work is that the project extends an additional 1½ years
and the overall costs increase $1.04M to $6.22M. The increase in costs are due
primarily to level of effort activities (such as project management) that extend longer,
escalating labor rates, inefficiency in travel (inability to combine meetings and work due
to stretched out durations), etc. Note that monthly travel expenses are reduced on
average, but not halved. The average quarterly spend rate is shown graphically in Figure
11-2. Further details can also be seen in the resource loading of the Master Schedule in
MS-Project 2010 (delivered separately).
$0
$50,000
$100,000
$150,000
$200,000
$250,000
$300,000
$350,000
$400,000
Q32016
Q42016
Q12017
Q22017
Q32017
Q42017
Q12018
Q22018
Q32018
Q42018
Q12019
Q22019
Q32019
Q42019
Q12020
Q22020
Q32020
Q42020
Q12021
Q22021
Q32021
Q42021
Q12022
Q22022
External Labor & Travel Expenses
Labor Expenses
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Figure 11-2 External Labor & Travel Expenses Against Goal
Fort Collins Utilities Internal Labor
The Maximo project is labor intensive on Fort Collins Utilities staff. As with external
labor, a bottom’s up approach was used where the project schedule (Appendix A) was
resource loaded with Forts Collins Utilities personnel and the resulting hours exported
for analysis. Where a particular person was known, due for example by being part of the
Core Team and having a particular function on the team, that person was assigned by
name. If a name wasn’t known, but the particular group was (for example, WRT), that
was noted. If none of that was known, a generic Subject Matter Expert (SME) was
identified. These assignments should be reviewed and validated with Utilities managers.
The internal staff needs for the plan is shown in Figure 11-3 and Figure 11-4. Note that
these hours are just for the implementation tasks in the Master Schedule and do not
include hours for internal governance, such as the core team meeting on a weekly basis,
attending status meetings, meeting to discuss issues outside of project tasks, etc, except
for the project manager. Nor do they include work orders already being executed.
Further details can also be seen in the resource loading of the Master Schedule in MS-
Project 2010 (delivered separately).
$0
$20,000
$40,000
$60,000
$80,000
$100,000
$120,000
$140,000
AUG- 16
NOV- 16
FEB- 17
MAY- 17
AUG- 17
NOV- 17
FEB- 18
MAY- 18
AUG- 18
NOV- 18
FEB- 19
MAY- 19
AUG- 19
NOV- 19
FEB- 20
MAY- 20
AUG- 20
NOV- 20
FEB- 21
MAY- 21
AUG- 21
NOV- 21
FEB- 22
MAY- 22
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Implementation tasks in the Master Schedule and do not include hours for internal governance, such as the core team
meeting on a weekly basis, attending status meetings, meeting to discuss issues outside of project tasks, etc.
Figure 11-3 Internal Labor
Figure 11-4 Internal Labor Project Duration
0
100
200
300
400
Q32016
Q42016
Q12017
Q22017
Q32017
Q42017
Q12018
Q22018
Q32018
Q42018
Q12019
Q22019
Q32019
Q42019
Q12020
Q22020
Q32020
Q42020
Q12021
Q22021
Q32021
Q42021
Q12022
Q2022
FC Resources Over Time
FC - Althoff FC - HR/Training Personnel
FC - IT FC - LPO SME
FC - Morford FC - OCM
FC - PM FC - SME 1
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Summary
The total project costs known are summarized in Figure 11-5. The Maximo project has
competing pressures of the desire for high quality as well as near term and potential long
term spending constraints. The high quality desire stems from a disappointing previous
project which evaporated good will in the internal organization and the realization that
the second attempt needs to be successful to achieve organizational acceptance. High
quality also drives scope; for example, a smoothly working enterprise solution across
multiple departments and divisions requiring everyone to participate. Another example is
the realization that a deployment without a mobile solution will not meet fully Utilities
daily needs and requirements.
Additional budget pressure comes from a reduced BFO bid. These two pressures
(quality and cost) from a project planning perspective leave only one variable
unconstrained, which is schedule, so the project duration is longer than if the budget was
not a consideration. If additional funds cannot be found in the second half of 2018 and in
the 2019-2020 BFO and beyond, then the project end date has to extend further which
has negative consequences such as overall increased costs and disappointed
stakeholders and workforce.
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Figure 11-5 Maximo Total Costs
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12 Acronyms
.
AM Asset Management
CCB Change Control Board
CIS Customer Information System
CM Configuration Management
FACTA Fair and Accurate Credit Transaction Act
FC Fort Collins
FCU Fort Collins Utilities
GIS Geographic Information System
GS General Service Rate
GS750 General Service 750 Rate
IDM Integrated Delivery Methodology (IDM)
IP Internet Protocol
IT Information Technology
LAN Local Area Network
LPO Light & Power Operations
L&P Light and Power
MS Microsoft
MW Megawatt
MWh Megawatt Hour
NAC Network Access Control
NAM Network Access Monitor
OMS Outage Management System
PEP Project Execution Plan
PM Project Management or Project Manager
PRPA Platte River Power Authority
QA/QC Quality Assurance/Quality Control
RFP Request for Proposal
RMP Requirements Management Plan
RS Requirements Specification
RTM Requirements Traceability Matrix
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SA Solutions Architect
SAN Storage Area Network
SAT Systems Acceptance Test
SCADA Supervisory Control and Data Acquisition
SME Subject Matter Expert
Sr Senior
WAN Wide Area Network
WAPA Western Area Power Authority
WBS Work Breakdown Structure
WFO Water Field Operations
WRT Water Resource Treatment
WLAN Wireless Local Area Network
WBS Work Breakdown Structure
WOMS Work Order Management System
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Appendix A. Maximo Project Schedule
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Maximo Project― A-9 Proprietary and Confidential
Process Execution Plan
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
Proprietary and Confidential A-10 Maximo Project―
Project Execution Plan
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
Maximo Project― A-11 Proprietary and Confidential
Process Execution Plan
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
be created.
All retirement/
decommissioning will
be done in Maximo.
Procedure diagram
will be created.
Pre-GIS: Nothing
changes for Distribution.
Substations and Meters
need new process and
procedure diagrams.
Post-GIS: If process
changes, new process
and procedure diagrams
will be created.
Warehouse
(Material
Management)
Work will be done in
Maximo; procedure
diagram will be created.
Work will be done in
Maximo; procedure
diagram will be
created.
Work will be done in
Maximo; procedure
diagrams will be created.
(Note: May need
process diagram
depending on how JD
Edwards fits into the
process.)
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
process and procedure
diagram will be created.
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
Provide background
on Utilities’ internal
recognition practices
Review and provide
input on plan
Offer input on best
Utilities practices
Direct and visible role in plan implementation
Contribution to and development of recognition
content and approaches
Management of production and logistics (lead role)
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
and approaches from
WRT/WFO experience.
Management of plan
implementation and
calibration to project
schedule
7.3.2 Sponsorship & Engagement Plan
National research2 conducted by Prosci has revealed that active and engaged
sponsorship is the number one contributor to successful change. The same leaders who
have make decisions and allocate resources to doing the technology project must also
lead the people side of change by building and maintaining coalitions while also acting
as primary communicators. By cascading sponsorship through the organization, staff
receives support from someone close to their daily work activities with whom they have a
more direct relationship and perceive a higher degree of understanding.
2 Prosci® 2012 Best Practices in Change Management benchmarking report.
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
optimal level for my job duties
Measurement
Staff engagement, acceptance, learning and demonstration of use of Maximo on the job.
Alignment with goals, direction, and benefits as measured by Alignment Cycles.
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
procurement process.
As warehouse and
procurement have
separate management
chains, these groups
may have different
desires in the approach.
5 3 Planning and
operational transition
must focus on this area
extensively and the
OCM process used to
align both groups on
the new way of doing
business.
15
15 Deployment PEP schedule was
developed without input
on seasonal work
spikes and cycles that
could affect timelines.
3 4 Address during
requirements sessions
and take to CCB if
necessary.
12
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
during Maximo project
execution. The
schedule, resourcing,
and related work
product and effort could
substantially impact
completion of LPO
Maximo
implementation.
4 5 Invite GIS
representatives to
Maximo weekly status
meeting and establish
good lines of
communication.
20
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
addressed. All Senior
Management must
actively model and
repeatedly demonstrate
high level support and
engagement in the
success of this project.
25
4 Resource Continuity of staff over
the project duration is a
serious concern given
turnover during the PEP
development.
5 5 Communicate critical
nature of work to
staffing managers.
25
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
Dennis Sumner OCM Lead TBD: Michelle
Finchum
OCM activities (Core Team)
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6
Alignment with goals, direction, and benefits as measured by Alignment Cycles.
Process Improvement Plan
The Process Improvement Plan (PIP) presents how the hundreds of Maximo and
Maximo Mobile requirements and configuration decisions will be summarized and
communicated to end users. The PIP is also a feeder document to organizational
change management, testing, and training activities. Processes are specified by the
three operations departments—Water Field Operations (WFO), Water Resources and
Treatment (WRT), and Light & Power Operations (LPO)—as follows:
• Plan/Design – Asset Management
• Create – Asset Management
• Operation/Maintain – Work, Asset & Material Management
• Modify/Upgrade – Work, Asset & Material Management
• Dispose – Asset Management
• Warehouse – Material Management
DocuSign Envelope ID: 33BFF088-6158D890-B625-FF73-4203-4928-8DA1-AF09-13186F51FEA1 CE787933C8A6