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New Mexico General Services Department Enterprise Content Management Project Management Plan (PMP) GSD ECM ____________________________________________ Executive Sponsors – Arturo Jaramillo, GSD Secretary Mike Wilson, GSD Risk Management Director George McGeorge, Risk Management Deputy Director Ed Romero, Risk Management Deputy Director Business Owners – Nancy Bearce, State Benefits Manager, GSD Claudia Melendrez-Rel, GSD Ida Spence, GSD Gerald Rodriguez, GSD Velma Herrera, GSD Peggy Martinez, GSD Mary Jo :Lujan, GSD Manuel Tijerina, GSD document.doc

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Page 1: GSD ECM-EDMS Project Management Plan - NM DoIT ECM/GSD ECM... · Web viewProject Management Plan (PMP) GSD ECM _____ Executive Sponsors – Arturo Jaramillo, GSD Secretary ... Metadata

New Mexico General Services Department Enterprise Content ManagementProject Management Plan (PMP)

GSD ECM____________________________________________

Executive Sponsors – Arturo Jaramillo, GSD Secretary

Mike Wilson, GSD Risk Management DirectorGeorge McGeorge, Risk Management Deputy Director

Ed Romero, Risk Management Deputy Director

Business Owners –

Nancy Bearce, State Benefits Manager, GSDClaudia Melendrez-Rel, GSD

Ida Spence, GSDGerald Rodriguez, GSD

Velma Herrera, GSDPeggy Martinez, GSDMary Jo :Lujan, GSDManuel Tijerina, GSD

Angela Lucero, SRCAGSD ECM Project Director, Karen Baltzley

Original Plan Date: November 18, 2008Revision Date: January 20, 2009Revision: 2.5Prepared By: John Salazar and Jane Hamlet, Project Managers

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Table of ContentsRevision History.................................................................................................5About This Document........................................................................................61 Project Overview...........................................................................................7

1.1 Executive Summary......................................................................................................7

1.2 Funding and Sources..................................................................................................10

1.3 Constraints..................................................................................................................10

1.4 Dependencies.............................................................................................................11

1.5 Assumptions................................................................................................................12

1.6 Initial Project Risks Identified.......................................................................................132 Project Authority and Organizational Structure.......................................14

2.1 Stakeholders...............................................................................................................14

2.2 Project Governance Structure.....................................................................................152.2.1 Project Organizational Structure.................................................................................................152.2.2 Project Steering Committee Roles and Members......................................................................16

2.3 Executive Reporting....................................................................................................163 Scope...........................................................................................................18

3.1 Project Objectives.......................................................................................................183.1.1 Business Objectives..................................................................................................................... 183.1.2 Technical Objectives....................................................................................................................18

3.2 Project Exclusions.......................................................................................................19

3.3 Critical Success Factors..............................................................................................204 PROJECT DELIVERABLES AND METHODOLOGY..................................21

4.1 Project Management Life Cycle...................................................................................224.1.1 Project Management Deliverables...............................................................................................224.1.2 Deliverable Approval Authority Designations............................................................................244.1.3 Deliverable Acceptance Procedure.............................................................................................24

4.2 Product Life Cycle.......................................................................................................254.2.1 Technical Strategy........................................................................................................................ 264.2.2 Product and Product Development Deliverables.......................................................................274.2.3 Deliverable Approval Authority Designations............................................................................284.2.4 Deliverable Acceptance Procedure.............................................................................................33

5 Project Work................................................................................................355.1 Work Breakdown Structure (WBS)..............................................................................35

5.2 Schedule Allocation – Project Timeline.......................................................................37

5.3 Project Budget.............................................................................................................38

5.4 Project Team...............................................................................................................395.4.1 Project Team Organizational Structure.......................................................................................395.4.2 Project Team Roles and Responsibilities...................................................................................39

5.5 Staff Planning And Resource Acquisition....................................................................42

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6 Project Management and Controls............................................................456.1 Risk and Issue Management.......................................................................................45

6.1.1 Risk Management Strategy..........................................................................................................456.1.2 Project Risk Identification............................................................................................................456.1.3 Project Risk Mitigation Approach................................................................................................456.1.4 Risk Reporting and Escalation Strategy.....................................................................................456.1.5 Project Risk Tracking Approach..................................................................................................466.1.6 Issue Management........................................................................................................................48

6.2 Independent Verification and Validation – IV&V..........................................................48

6.3 Scope Management Plan............................................................................................496.3.1 Change Control Process..............................................................................................................51

6.4 Project Budget Management.......................................................................................536.4.1 Budget Tracking............................................................................................................................ 53

6.5 Project Communication Plan.......................................................................................536.5.2 Project Communication Matrix....................................................................................................546.5.3 Project Status Meetings...............................................................................................................546.5.4 Project Status Reports................................................................................................................. 55

6.6 Performance Measurements (Project Metrics)............................................................55

6.7 Quality Objectives And Control....................................................................................556.7.1 Quality Standards.........................................................................................................................566.7.2 Agency/Customer Satisfaction....................................................................................................566.7.3 Product Deliverable Acceptance Process..................................................................................57

6.8 Configuration Management.........................................................................................576.8.1 Version Control............................................................................................................................. 576.8.2 Project Repository........................................................................................................................ 57

6.9 Procurement Management Plan..................................................................................577 Project Close...............................................................................................58

7.1.1 Administrative Close....................................................................................................................587.1.2 Contract Close.............................................................................................................................. 58

APPENDIX A - Scope Definition Document...................................................597.2 Detailed Work Breakdown Structure (WBS)................................................................59

EDMS Project Management WBS...............................................................................................................60Application & Technology Infrastructure WBS.........................................................................................61Business Process Reengineering WBS....................................................................................................62Implementation WBS.................................................................................................................................. 63Electronic Records Management Rules & Standards WBS.....................................................................64Supporting Organizational Infrastructure WBS........................................................................................65Enterprise Model WBS................................................................................................................................ 66

APPENDIX B - Project Schedule/Gantt Chart................................................67APPENDIX C - Project Budget........................................................................68APPENDIX D - Risk Analysis...........................................................................69APPENDIX E - Project Library.........................................................................70APPENDIX F - Sample Project Forms............................................................71

Project Change Request Form...................................................................................................................71Project Status Report.................................................................................................................................. 72Sample issues report.................................................................................................................................. 73

APPENDIX G – GSD ECM-EDMS Project Definitions....................................74document.doc

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APPENDIX H – GSD ECM-EDMS Project Acronyms.....................................80APPENDIX P - Project Management Definitions............................................81APPENDIX R – References..............................................................................85

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Revision History

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About This DocumentThis document – the GSD ECM Project Management Plan is developed based on the State of New Mexico Department of Information Technology (DoIT) template for a Project Management Plan - Revision: 0.1, DoIT-PMO-TEM-020; a careful review of the template ensured all intended components are included. The document includes all of the industry-accepted guidelines to plan, execute, control, and close a project.

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Revision Number Date Comment0.1 November 17, 2008 Work In Progress Draft, Format Status Report2.0 December 8, 2008 Incorporate feedback from GSD staff2.2 December 8. 2008 Incorporate updates from GSD staff2.5 January 20, 2009 Updates for Implementation

EnterpriseContent

Management

RecordsManagement

DocumentManagement

WorkflowManagement

Web ContentManagement

DocumentImaging

Document-centric

Collaboration

Digital AssetManagement

e-FormsProcessing Email Archiving

ECM Components

IntegratedDocument Archive

& Retrieval

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The Manual is set up so that the body of the document continues to serve the needs of any future GSD ECM-EDMS project with minimal modification, while the Appendices contain the dynamic components of the project plan that must be continually updated and managed, for example the project schedule and the budget. The document is being referred to as the ‘GSD ECM-EDMS Project Management Plan”.

Special note on the terminology used in this document: This project was conceived when the generally accepted industry terminology was Electronic Document Management System (EDMS.) As detailed in the “Industry Background, History and Market Trends” section below, during the years 1998 to present there continues to be significant volatility for vendors in the ECM-EDMS marketplace. Vendors are merging and/or acquiring related content management technology. The term Enterprise Content Management (ECM) has become the industry standard for a combination of functions that includes: document imaging, electronic document management, electronic records management, workflow, and web content management. While AIIM is not changing their name, they are using a new byline, referring to themselves as the “Enterprise Content Management Association. For over 60 years, AIIM (The Association for Information and Image Management) has been the leading international organization focused on helping users to understand the challenges associated with managing documents, content, and business processes.”1

Here is a diagram showing the various technology tools that are being included in Enterprise Content Management solutions offered by vendors.

The title of this document is “GSD ECM-EDMS Project Management Plan.” The term, Enterprise Content Management (ECM) is used in this document when referring to the enterprise framework for integrated Electronic Document Management and Electronic Records Management. Conceptually, ECM contains both EDMS and ERMS functionality. ERMS is used specifically in this document when referring to the Electronic Records Management component functionality. Similarly, the term, EDMS is used specifically to refer to the Electronic Document Management component of an ECM solution.

1 http://www.aiim.org/article-aiim.asp?ID=18274document.doc

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EnterpriseContent

Management

RecordsManagement

DocumentManagement

WorkflowManagement

Web ContentManagement

DocumentImaging

Document-centric

Collaboration

Digital AssetManagement

e-FormsProcessing Email Archiving

ECM Components

IntegratedDocument Archive

& Retrieval

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1 Project Overview“It is estimated that more than 90% of the records being created today are electronic. Coupled with the overwhelming growth of electronic messages - most notably e-mail and instant messaging - the management of electronic records has become a critical business issue. How information is managed has significant business, legal, and technology ramifications.”2 Determining when content is a record, and then how that record is managed throughout its lifecycle is essential, while the medium that is used to create, deliver, or store information is the secondary consideration.

1.1 Executive SummaryThe GSD Risk Management Division (GSD/RMD) has identified opportunities to improve the management of paper business processes for six out of seven bureaus within the Risk Management Division. Those bureaus are workers’ compensation, contracts, loss control, legal, property and casualty, and employee benefits. All of these bureaus deal with paper documents, onsite file storage, as well as off site file storage.

GSD/RMD prioritizes their document imaging and management needs into planned phases:

Phase I – Workers’ Compensation (Active & New);

Phase II – Legal, Employee Benefits & Workers’ Compensation (Closed Onsite Files);

Phase III – Loss Control, Workers’ Compensation (Closed Offsite Files );

Phase IV – Property and Casualty Workers’ Compensation (Closed Offsite Files);

Worker’s Compensation deals with on the job injury claims. Claims involve forms, medical history, medical treatment notes, mediation, judge’s rulings and much more. Additionally, a claim can be closed but the file is stored for any future related injuries until the death of the claimant. Workers’ Compensation can be grouped into three categories described below; these are incorporated into the four phases outlined above:

Closed Offsite Files – dates range from the 1970’s to 1994, with an estimated 1,000 boxes of files. These will be the most challenging to manage given the condition of the paper, type of paper and file organization that run the gamut of good to bad.

Closed Onsite Files – dates range from 1995 to current, estimating 50-60 boxes per fiscal year, representing about 2200 cases each fiscal year, of which half are documents that need to be joined with files in offsite storage.

Active Files – approximately 2000 files are active open cases, with 10 staff carrying an average caseload of 200. Additionally, this category involves new claims that are received daily. Active and New Workers’ Compensation business processes are priority for implementing document imaging, electronic document management and workflow management.

The GSD Risk Management Division (RMD) business processes are paper intensive. Substantial GSD/RMD business process improvements are achievable through implementing document scanning, electronic document management and electronic records management.

The State of New Mexico General Services Department submitted funding requests for an electronic document management system.

2 ARMA International, The Association of Records Management Professionals, www.arma.orgdocument.doc

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The benefits of implementing Enterprise Content Management solutions for the GSD Risk Management Division (GSD/RMD) include:

Increased efficiency and productivity through a well managed records environment;

Optimize business processes, decreasing number of steps, saving time;

Lower the cost of government;

Improved service delivery to constituency

This total cost estimate for the GSD/RMD FY08 ECM project is $1,100,000. The funding comes from the following source:

The GSD Risk Management Division received legislative approval in January 2007 to transfer $1,000,000 from the Risk Management Reserves to provide for Enterprise Content Management solutions. This funding amount supports 1) hardware, 2) software and 3) ECM implementation services.

Industry Background

The research on industry background, history and market trends is based primarily on three sources – AIIM, ARMA and Gartner Research. AIIM is using a new byline, referring to itself as the Enterprise Content Management Association and ARMA International “has adopted the tag line – The Association of Information Management Professionals, as a descriptor of the association.” Gartner, Inc. is the leading provider of research and analysis on the information technology industry.

Enterprise Content Management (ECM)

What is the definition for “content” as in “content management”? Content is a meta-concept that encompasses papers, books, maps, email, web sites, photographs, images, forms, audio, video, text, documents and reports.

During the last 2-4 years there has been significant volatility for vendors in the Enterprise Content Management marketplace. Gartner Research during 2002 and 2003 reported on Integrated Document Management (IDM) and Integrated Document Archive and Retrieval (IDARS) vendors. However Gartner is no longer providing detailed analysis on these types of vendor, instead they are now reporting on Enterprise Content Management (ECM) vendors. Gartner Strategic Planning Assumptions state that:

“By 2005, all of the major stand-alone IDM vendors will have evolved into Content Management suite vendors (0.8 probability).”3

“By 2007, the IDARS market will cease to be a stand-alone market and will merge into the ECM Category (0.7 probability).

“By 2007, IDARS will become integral components of ECM suites (0.7 probability).”4

“Several of the stand-alone markets that contribute functions to ECM (such as Web content management, records management and digital asset management) will disappear by 2008 (0.9% probability.)”5

The project team will develop the Selection Criteria for GSD ECM-EDMS using information from the Enterprise Content Management (ECM) marketplace. See the ECM Requirements Matrix at www.GSD ECM-EDMS.state.nm.us. The reasons for implementing ECM are most clearly stated in Gartner Analysis:

“Enterprise content management (ECM) will be the strategic foundation of a new model for the vendor and user communities. A profound shift in the document and content management markets will affect the way users make purchases. ECM has emerged after 10 years of market consolidation. Vendors from various areas have entered other markets by developing new functions, or by acquiring companies and

3 “The Reality Behind Enterprise Content Management,” GARTNER Research, Publication Date: 10 July 2002, page 3.4 “Review Your IDARS Plans as the Market Consolidates,” GARTNER Research, Publication Date: 12 November 2004, page 2.5 “ECM Suites Emerge From Industry Consolidation,” GARTNER Research; Publication Date: 11 November 2004, page 2.document.doc

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technology from related markets. As a result, few stand-alone vendors remain in some of these markets (for example, Web content management and records management).

“Today, ECM encompasses the following core components:o Document capture and document imaging for capturing and managing paper documents o Document management for check-in/check-out, version control, security and library services for

business documents o Web content management for automating the Webmaster bottleneck, and managing dynamic

content and user interaction o Records management for long-term archiving and the automation of retention and compliance

policies, and to ensure legal or regulatory record compliance o Document-centric collaboration for document sharing and supporting project teams o Workflow for supporting business processes and routing content, assigning work tasks and

states, and creating audit trails “ECM can also include:

o Integrated document archive and retrieval systems for documents and reports o E-forms for exchanging electronic content o Digital asset management for storing and managing rich media content o E-mail archiving and e-mail management for retaining electronic communications in support of

compliance “Although they're only options today, the four capabilities above will become core components of ECM suites within the next two years.”6

Here is a diagram showing the various technology tools that are being included in Enterprise Content Management solutions offered by vendors.

Clearly the ECM market trends are continuing to evolve. It seems prudent for the State of New Mexico General Services Department to select and implement a document management system component within an Enterprise Content Management solution that remains viable as the markets consolidate, and also includes extensible features and functions that can be added as the State moves toward an Enterprise Model.

6 “ECM Suites Emerge From Industry Consolidation,” GARTNER Research; Publication Date: 11 November 2004document.doc

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EnterpriseContent

Management

RecordsManagement

DocumentManagement

WorkflowManagement

Web ContentManagement

DocumentImaging

Document-centric

Collaboration

Digital AssetManagement

e-FormsProcessing Email Archiving

ECM Components

IntegratedDocument Archive

& Retrieval

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1.2 Funding and Sources

SOURCESOURCE AMOUNTAMOUNT ASSOCIATED ASSOCIATED RESTRICTIONSRESTRICTIONS

Laws of 2007, Chap 28, Section 7, Subsection 8

2.3 – (Includes RMIS, ECM, DataWarehouse)ECM – estimated @$1.1 – RMD Enterprise Funds

NONE

1.3 Constraints

NUMBERNUMBER DESCRIPTIONDESCRIPTION1 Project budget for implementation of the base program is limited. Funding will not

be re-authorized at the end of FY10. 2 Large volumes of paper records

3 Adequate resources to scan documents

4 15,000 sq ft warehouse storage of paper documents

5 Statutory requirement to keep records for life of claimant

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1.4 Dependencies

Types include the following and should be associated with each dependency listed.

Mandatory dependencies are dependencies that are inherent to the work being done. D- Discretionary dependencies are dependencies defined by the project management team. This may

also encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle.

E-External dependencies are dependencies that involve a relationship between project activities and non-project activities such as purchasing/procurement

NUMBERNUMBER DESCRIPTIONDESCRIPTION TYPE M,D,ETYPE M,D,E1 Vendor On-going Software Support M

2 RMD Business process Re-Engineering M

3 System sized to scale to meet GSD demands M

4 Department of Information Technology Project Oversight Committee approval of Project certification phases to support on-going project effort

M

5 Infrastructure design and availability. E

6 Contract Approval and purchase for software and maintenance. E

7 Funding for software maintenance, implementation and on-going support of system.

M

8 Data conversion and defined Metadata requirements and standards M

9 Develop Operating Standards Maintenance standards manual. M

10 Application server procurement and installation M

11 Forms management M

12 Approval of GSD imaging plan by SRCA M

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1.5 Assumptions

NUMBERNUMBER DESCRIPTIONDESCRIPTION1 System will integrate with DoIT infrastructure and with Central Repository System

selected by Records and Archives2 Data will be easily converted and without corruption or loss.

3 Vendor will honor contractual obligations.4 Software will integrate with other system software 5 Adequate Budget will be available.

6 Adequate staffing levels with the proper skill sets necessary to ensure the system will perform at level expected.

7 Staff is trained properly on the operation of the system to ensure continued success of the program.

8 Vendor will continue to support software and release upgrades/patches on a regular basis.

9 Business Requirements will have minimal change over the life cycle of the project.

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1.6 Initial Project Risks Identified

# Risk TitleDate

Opened Rating Prob Impact Description Effect Mitigation Trigger Event Contingency

1 GSD Resource Availability 12/3/2008 Medium High MediumLack of GSD resources to complete project activities Delays in project schedule

Ensure Senior Management Stakeholders are involved and support the project. Ensure EDMS implementation is a priority among GSD team members

Delays in project activities

Have 2nd layer of individauls defined w ho may able to cover task responsibilities

2DoIT SLA's and cost structure methods 12/3/2008 Medium Medium High

DoIT Service Level Agreements needs to be refined. Cost structure methods undefined and/or not clearly communicated.

Agency's experience system dow ntime and/or GSD cost surprises.

Continue to w ork w ith GSD to refine the SLA process and cost structure methods

System dow ntime not w ithin SLA criteria. Unexpected GSD charges to agency budget

Host systems w ithin each agency

3 Extended Procurement Process

12/3/2008 High Medium Medium Delays in the procurement process Extend the project scheduleDesignate a dedicated Procurement Manager to manage to the Procurement timeline

Delayed procurement events

None

7Enterprise Identity Management Program 12/3/2008 Medium Medium Medium

Greater access to documents leads to greater access to private / secure content. As soon as an Enterprise Content Management system expands to serve as a w eb content management system, an effective Enterprise IT Security Management Program needs to be in place.

Security Breach leading to Identity theft, non-compliance w ith HIPAA

Ensure the security components w ithin the EDMS are implemented effectively. Regularly audit the security system implementation during and after deployment

Breach of Security

Delay w eb content management system components of the ECM until the Statew ide Enterprise Identity Management Program is in place

8 Integration w ith Enterprise Architecture

12/3/2008 Medium Medium Medium

Connecting and configuring the ECM solution w ith the DoIT storage architecture w ill require extensive coordination and effective management

DoIT staff members time constraints and expertise w ith ECM solution

Evaluate possibility of contracting w ith a vendor to configure storage requirements

EDMS Architecture no longer complies w ith Enterprise Architecture design

None

9 Application Maintenance 12/3/2008 Medium Medium MediumEffective operations and maintenance of the EDMS after deployment may be a risk w ith COTS softw are.

Inadequately trained resources to effectively support EDMS after deployment

The implementation services contract must require detailed system documentation, training for all state resources, and a comprehensive transition plan.

Poor Transition phase None

10Extended Timeline caused by State Approval processes

12/3/2008 High High High

State requirements for oversight as w ell as the procurement process provide numerous opportunities for extended project delays.

Delays in project schedule Plan for Procurement delays

13 Funding Carryover 12/3/2008 Low Medium Low

EDMS Project Risk Management

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2 Project Authority and Organizational Structure

2.1 Stakeholders

NAMENAME STAKE IN PROJECTSTAKE IN PROJECT ORGANIZATIONORGANIZATION TITLETITLEARTURO JARAMILLO, PROGRAM FINANCIAL

RESPONSIBILITYGENERAL SERVICES DEPARTMENT (GSD)

CABINET SECRETARY

MIKE WILSON PROGRAM ADMINISTRATION RESPONSIBILITY

GSD, RISK MANAGEMENT DIVISION

DIVISION DIRECTOR

GEORGE MCGEORGE PROGRAM ADMINISTRATION RESPONSIBILITY

GSD, RISK MANAGEMENT DIVISION

DIVISION DEPUTY DIRECTOR

ED ROMERO PROGRAM ADMINISTRATION RESPONSIBILITY

GSD, RISK MANAGEMENT DIVISION

DIVISION DEPUTY DIRECTOR

STEVE MINDHAM QUALITY ASSURANCE MANAGEMENT

GSD, RISK MANAGEMENT DIVISION

BUREAU CHIEF

IDA SPENCE WORKERS COMPENSATION ADMINISTRATION RESPONSIBILITY

GSD, RISK MANAGEMENT DIVISION

BUREAU CHIEF

GERALD RODRIQUEZ ECM SYSTEM ADMINISTRATION

GSD, RISK MANAGEMENT DIVISION

BUREAU CHIEF

VELMA HERRERA PROPERTY AND CASUALTY CLAIMS

PROPERTY AND CASUALTY

BUREAU CHIEF

JENNIFER GROGIETSKY DISABILITY PAYMENTS DISABILITY BUREAU CHIEF

CLAUDIA MELENDREZ-REL BENEFITS ENROLLMENT AND PAYMENTS

BENEFITS BUREAU CHIEF

NANCY BEARCE BENEFITS ENROLLMENT AND PAYMENTS

BENEFITS BUREAU CHIEF

GSD TECHNOLOGY AND SYSTEM SUPPORT

TECHNICAL SUPPORT OF SYSTEMS

TECHNOLOGY AND SYSTEM SUPPORT

Application Developer, Database Administration, System Administration

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2.2 Project Governance Structure

2.2.1 Project Organizational Structure

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Executive Sponsor, Arturo Jaramillo

IV&V

Business Owners, Nancy Bearce,

Ed Romero

Technical Review Sujatha Seethapathi, Lead

Ryan Woodard, System SupportDoIT / DFA Tech Staff

Project Sponsor, Mike Wilson

Executive Steering Committee

Arturo JaramilloMike Wilson

George McGeorgeNancy BearceKaren Baltzley

Angela Lucero, Records Management Division

Director, SCRA

Business Operations Review Team:BenefitsFinancial/TrainingLegalDisabilityWorkers CompLoss ControlReports/HIPAA Regulations

Project ManagerCSW - Jane Hamlet

Project Director, Karen Baltzley

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2.2.2 Project Steering Committee Roles and Members

RROLEOLE RRESPONSIBILITYESPONSIBILITY

Executive Project Sponsor

The point person for the project within the highest level of the General Services Department. Responsibilities include:

Champion the project. Consider potential changes facing the organization and assess the

organizational impact Decide which changes will be instituted, communicate priorities and

provide resources to ensure success Responsible for creating an environment that enables changes to

be made on time and within budget. Participate in planning sessions Member of Steering Committee Ultimate project responsibility

Steering Committee Member

Is chartered to provide governance over the direction and support of the project. Responsibilities include:

Attend and participate in meetings Review and accept deliverables Review and provide comment on presented documentation Balance larger picture versus details of the project Review project funding and expenditures Champion the project Contributes to lessons learned

2.3 Executive Reporting

Meetings will be conducted with GSD Management and project teams on a regularly scheduled basis.

Whiteboard sessions outlining project task and resource assignment schedules and agendas are conducted throughout the process and transferred to Microsoft project.

Project team meetings are scheduled to coincide with the Vendor Implementation/Design teams for on-site implementation sessions. Frequency and length of meetings to be defined.

Project status updates reports will be verbally communicated to Business Owners conducted at weekly staff meetings by both Divisions

GSD management will be kept informed on progress of the project periodically throughout the project life cycle.

Special oral and written Project Management and IV&V reports will be given on project progress to the ECM Steering Committee.

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The State of New Mexico General Services Department submitted funding requests for an electronic document management system.

The benefits of implementing Enterprise Content Management solutions for the GSD Risk Management Division (GSD/RMD) include:

Increased efficiency and productivity through a well managed records environment;

Optimize business processes, decreasing number of steps, saving time;

Lower the cost of government;

Improved service delivery to constituency

This total cost estimate for the GSD/RMD FY09 ECM project is $1,100,000. The funding is to come from the following source:

The GSD Risk Management Division received legislative approval in January 2007 to transfer $1,000,000 from the Risk Management Reserves to provide for Enterprise Content Management solutions. This funding amount supports 1) hardware, 2) software and 3) ECM implementation services.

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3 Scope

3.1 Project Objectives

3.1.1 Business Objectives

NUMBERNUMBER DESCRIPTIONDESCRIPTIONBUSINESS OBJECTIVE 1

Increased efficiency and productivity through a well managed records environment

BUSINESS OBJECTIVE 2

Optimize business processes, decreasing number of steps, saving time

BUSINESS OBJECTIVE 3

Lower the cost of government, more effective Electronic Records Administration Management

BUSINESS OBJECTIVE 4 Improved service delivery to constituency

BUSINESS OBJECTIVE 5

Substantial GSD/RMD business process improvements are achievable through implementing document scanning, electronic document management and electronic records management.

BUSINESS OBJECTIVE 6

Streamline traditional claims inefficiencies and reduce manual, paper-based processes, which contribute to high claims costs and overhead expenses.

BUSINESS OBJECTIVE 7

Provide records management for long-term archiving and the automation of retention and compliance policies, and to ensure legal or regulatory record compliance

BUSINESS OBJECTIVE 8

System will provide document management for check-in/check-out, version control, security and library services for business documents

BUSINESS OBJECTIVE 9

Develop a document imaging plan approved by SRCA

3.1.2 Technical Objectives

NUMBERNUMBER DESCRIPTIONDESCRIPTIONTECHNICAL OBJECTIVE 1

Web-Based System - will be designed on a public facing network with a web based Java platform front-end to allow RMD staff and vendor remote access

TECHNICAL OBJECTIVE 2

Data will be easily converted and migrated. Metadata will be tagged and follow standards

TECHNICAL OBJECTIVE 3

Support portal architecture

TECHNICAL OBJECTIVE 4

System will have indexing and archiving functionality

TECHNICAL OBJECTIVE 5

System will integrate with the Centralized Electronic Records Repository managed by State Records and Archives

TECHNICAL OBJECTIVE 6

System Interface - Provide an architecture that will easily interface with SHARE and GSD RMIS systems

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NUMBERNUMBER DESCRIPTIONDESCRIPTIONTECHNICAL OBJECTIVE 7

Open Architecture - Provide an open architecture infrastructure and scalable to allow for growth

TECHNICAL OBJECTIVE 8

IT Architecture – ensure system aligns with enterprise-wide IT architecture

TECHNICAL OBJECTIVE 9

Efficiency, High Performance – Application will be server independent and can be deployed on an open source application server such as Apache Tomcat

TECHNICAL OBJECTIVE 10

Authentication - System will support Microsoft Active Directory

TECHNICAL OBJECTIVE 11

Systems Integration - System will be connected to Hitachi SAN

TECHNICAL OBJECTIVE 12

Redundancy - System will be configured to support system fail over

TECHNICAL OBJECTIVE 13

Security/User Roles - System will support a secure front end user system log in and security role level authentication

TECHNICAL OBJECTIVE 14

Extensibility - ensure system is designed to easily allow the addition of new-features later,, using hooks, an application programming interface or plug-ins.

TECHNICAL OBJECTIVE 15

Include a Reports Writer module

TECHNICAL OBJECTIVE 16

System must support up to 87 concurrent users

3.2 Project Exclusions

The following activities and deliverables are out of scope for this specific project:

Enterprise IT Security Management Program - As soon as an Enterprise Content Management expands to serve multiple agencies' functions, an effective Enterprise IT Security Management Program needs to be in place. Identity Management and Directory Access Services will be recommended as essential components of an Enterprise Model. However, identity management and security will be built into the implementation of the ECM solution.

Email Archiving - The capability to capture, manage, store and retrieve email must be selection criterion for the ECM Vendor; the implementation of this important functionality is out of scope for this phase of the ECM (EDMS/ERMS) project.

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3.3 Critical Success FactorsMetric are key to understanding the ability of the project to meet the end goals of the Executive Sponsor and the Business Owner, as well as the ability of the project team to stay within schedule and budget.

NUMBERNUMBER DESCRIPTIONDESCRIPTIONQUALITY METRICS 1 The project schedule, assigned tasks, resources and milestones are

met.QUALITY METRICS 2 Project does not exceed budget. QUALITY METRICS 3 System can provide reports that accurately track utilities by buildingQUALITY METRICS 4 All RMD operational and facility data information is successfully

converted and migrated onto a electronic records management platform

QUALITY METRICS 5 Applicable RMD Legislative Performance Measures as stated in GSD FY09-10 Strategic Business and IT plan are met

QUALITY METRICS 6 System is secure, operable and stable

QUALITY METRICS 7 Data integrity is maintainedQUALITY METRICS 8 Staff is adequately trainedQUALITY METRICS 9 Conforms to SRCA Records Management Policies

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4 PROJECT DELIVERABLES AND METHODOLOGYThe following four elements provide a summary of the project deliverables description and associated acceptance criteria. The elements include:

Planning DocumentsDescription – The Project Management Plan represents the project team’s plans for the acquisition, installation, testing and implementation of the ECM solution. It is a working document. It will be modified and updated (under revision control) as the project team learns more about the project, brings on support vendors and responds to changing or evolving conditions. On completion of the project, the Project Manual is envisioned to evolve into a Manual that can serve as a guide for agencies implementing the statewide EDMS in the future

Deliverable Acceptance Criteria – EDMS Executive Steering Committee (ESC) approval and DoIT approvalStandards for Content and Format – The State PMO provides templates for content. The standard is based on the Project Management Institute’s (PMI) Project Management Body of Knowledge (PMBOK) Quality Review – Review by EDMS ESC, the State PMO and PCC

Project Management & Control FunctionsDescription – Integrated Project Control Process, Change Control Process, Risk Management Plan, Internal Project Communication Plan, Quality Management Plan, Issue Management Process and the IV&V Plan. These are sections in the EDMS Project Manual.

Deliverable Acceptance Criteria – EDMS ESCStandards for Content and Format –The standard is based on the Project Management Institute’s (PMI) Project Management Body of Knowledge (PMBOK)Quality Review – Review by EDMS ESC, the State PMO and PCC

Procure ECM Solution and Implementation Services (RFP Process)Description – Procuring the ECM solution and Implementation Services (the RFP process) is estimated to require two months at the most. After the RFP is written, State Purchasing, the General Council & DoIT must approve it. Then the following steps and timeframes are required:

RFP must be open for proposals – 30 days Review proposals & decide - - - - - 30 days Contract negotiations - - - - - - - - - 30 days Contract Approval - - - - - - - - - 30–60 days.

Deliverable Acceptance Criteria – EDMS ESC approval, signature approval by Purchasing, Legal and the State CIO and then ACF approval Standards for Content and Format – The contracts follow New Mexico standards for professional services contractsQuality Review – EDMS ESC

Project Resource ManagementDescription – Recruit and hire project labor resources to include, a Project Manager, and IV&V services vendor. Specific Deliverables include:

o Project Manager Price Agreemento IV&V Price Agreement.

Deliverable Acceptance Criteria – EDMS ESC approval, signature approval by Purchasing, Legal and the State CIO Standards for Content and Format – The contracts follow New Mexico standards for professional services contractsQuality Review – EDMS ESC

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4.1 Project Management Life Cycle

Phase Summary of Phase Key DeliverableInitiating Main elements include: Authorize the project; Commit

organization to project or phase; Set the overall direction; Define top-level project objectives; Secure necessary approvals and resources; Assign Project Manger; Integration Management.

Project Charter, Project Scope, Business Requirements, Assumptions, Constraints,

Planning Main elements include: Define Project scope; Refine Project objectives; define all required deliverables; Create frame for project schedule; Provide forum for information sharing between project team members; Define all required activities; Identify required skills and resources; Estimate work effort; Risk analysis and avoidance; Define and estimate all required costs; Obtain project funding approval; Communication Plan.

Project Plan, Critical success factors, Work Break Down Structures, Project Schedule

Executing Main elements include: Coordinate the resources, team development; Quality Assurance; Select subcontractors; Distribute Information; Work the plan.

Actual efforts, Project deliverables completion

Controlling Main elements include: Manage team, stakeholders and subcontractors; Measure progress and monitor performance (overall, scope, schedule, costs and quality); Take corrective action if needed; Change request Management; Risk Management; Performance reports and Communications.

Performance status reports, Corrective Actions, Measurement Metrics, Plan Change Request, Product Change Request, Risk Management, Issues Management

Closing Main elements include: Finalize activities; Administrative close out (gather, distribute, archive information to formalize project completion, acceptance/signoff, evaluation, member, appraisals, lessons learned); Contract close out (completion of the project contract including resolution of open items and final formal acceptance)

Deliverable Acceptance, Lessons Learned

4.1.1 Project Management Deliverables

Project Charter The Project Charter for Certification sets the overall scope for the project, the governance structure, and when signed is considered permission to proceed with the project. The Project Charter for Certification is used to provide the Project Certification Committee with adequate knowledge of the project and its planning to certify the initiation phase of the project

Certification Form The Request for Certification and Release of Funds form is submitted when a project goes for any of the certification phases. It deals with the financial aspects of the project, as well as other topics that indicate the level of planning that has gone into the project. Many of the questions have been incorporated into the preparation of the project charter

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Project Management Plan “Project management plan” is a formal document approved by the executive sponsor and the Department and developed in the plan phase used to manage project execution, control, and project close. The primary uses of the project plan are to document planning assumptions and decisions, facilitate communication among stakeholders, and documents approved scope, cost and schedule baselines. A project plan includes at least other plans for issue escalation, change control, communications, deliverable review and acceptance, staff acquisition, and risk management. plan.”

IV&V Contract & Reports “Independent verification and validation (IV&V)” means the process of evaluating a project to determine compliance with specified requirements and the process of determining whether the products of a given development phase fulfill the requirements established during the previous stage, both of which are performed by an organization independent of the lead agency. Independent verification and validation assessment reporting. The Department requires all projects subject to oversight to engage an independent verification and validation contractor unless waived by the Department.

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

Risk Assessment and management

The DoIT Initial PROJECT RISK ASSESSMENT template which is meant to fulfill the following requirement:

“Prepare a written risk assessment report at the inception of a project and at end of each product development lifecycle phase or more frequently for large high-risk projects. Each risk assessment shall be included as a project activity in project schedule.” Project Oversight Process memorandum

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

Monthly Project Status Reports to DoIT

Project status reports. For all projects that require Department oversight, the lead agency project manager shall submit an agency approved project status report on a monthly basis to the Department.

Project Closeout Report This is the Template used to request that the project be officially closed. Note that project closure is the last phase of the certification process

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4.1.2 Deliverable Approval Authority Designations

DDELIVERABLEELIVERABLE NNUMBERUMBER

DDELIVERABLEELIVERABLE AAPPROVERSPPROVERS (W (WHOHO CANCAN APPROVEAPPROVE))

DDATEATE AAPPROVEDPPROVED

PRJ-DEL-001 Project Management Plan (PMP) Project Director on behalf of Executive Steering Committee

PRJ-DEL-002 Business Assessment and Requirements Report

Project Director on behalf of Executive Steering Committee

PRJ-DEL-003 IV&V Contract & Reports Project Director on behalf of Executive Steering Committee

PRJ-DEL-004 IT Service Contracts Project Director on behalf of Executive Steering Committee

PRJ-DEL-005 Risk Assessment and management reports

Project Director on behalf of Executive Steering Committee

PRJ-DEL-006 Project Schedule Project Director on behalf of Executive Steering Committee

PRJ-DEL-007 Monthly Project Status Reports to DoIT

Project Director on behalf of Executive Steering Committee

PRJ-DEL-008 Architecture Plan Project Director on behalf of Executive Steering Committee

PRJ-DEL-009 Hardware configuration and equipment Project Director on behalf of Executive Steering Committee

PRJ-DEL-010 Software licenses Project Director on behalf of Executive Steering Committee

PRJ-DEL-011 Implementation services Project Director on behalf of Executive Steering Committee

PRJ-DEL-012 Lessons Learned Project Director on behalf of Executive Steering Committee

PRJ-DEL-013 Close out reports and documentation Project Director on behalf of Executive Steering Committee

4.1.3 Deliverable Acceptance Procedure

The Project Director shall present the deliverables along with a recommendation for approval to the Executive Steering Committee during a regularly scheduled steering committee meeting. The Executive Steering Committee must then vote to accept or reject the deliverable with the vote reflecting a majority decision.

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If the deliverable is rejected, the Project Director must inform the vendor submitting the deliverable of the committee’s action and must also identify, in writing, why the deliverable was rejected, and what actions must be addressed by the vendor before the deliverable is presented for acceptance again.

4.2 Product Life Cycle

Phase Summary of Phase Key DeliverablesInitiating The requirements have been

defined and documented. A Business Strategy Survey will be conducted to define goals, business processes, critical factors, current environment, sizing requirements, current vendor environment, # of users, work processing requirements, other needs.

REQUIREMENTS DOCUMENTS

Planning The Vendor will be required to deliver design documents for authentication, reporting, and the database feeds.

DESIGN DOCUMENTS

Executing EMC software will be an open source web application that will require no additional desktop software to run and minimal customization. It will have the ability to interface with GSD systems at minimal cost.

SYSTEMS SPECIFICATIONS

Executing The system will be open architecture and be certified on standard operating platforms – Windows or Unix. Architecture will be scalable to allow for growth, provide interoperability with other systems, have a secure web front end, be security rules based and provide multiple security layers for user authentication.

SYSTEMS ARCHITECTURE

Executing The Program users will test system functionality, performance, reporting accuracy and response times.IT Technical Support Staff will test system operational performance.

SYSTEM AND ACCEPTANCE TESTING

Executing The Vendor will be required to deliver design documents for authentication, Reporting, and the Database feeds. Vendor will also integrate data from legacy system.

OPERATIONS REQUIREMENTS

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4.2.1 Technical Strategy

Developing a project strategy is a process of choosing an approach to the work that maximizes strengths, minimizes weaknesses, takes advantage of opportunities and mitigates threats while balancing the anticipated cost and potential benefit. A good strategy will minimize risk while maximizing return on investment.

The strategic direction is to select and implement an EDMS that fits within a greater Enterprise Content Management (ECM) solution using a Commercial-Off-the-Shelf (COTS) software product that has demonstrated its effectiveness in the marketplace. Using a package strategy rather than a custom development strategy has been proven effective in many situations, and is a common strategy in both the private and public sectors.

A package strategy however, is not without its own risks. As a whole, the Information Technology (IT) industry has found the implementation of Enterprise Resource Planning (ERP), Customer Relationship Management (CRM), Supply Chain Management (SCM) and other large-scale automation packages to be very difficult in many situations. Many of the high profile IT project disasters documented by the IT trade press over the years have involved the implementation of software packages. The question then is how to take advantage of a software package strategy while avoiding the potential pitfalls that have plagued so many other package implementations over the years?

The project strategy is based on the strategic direction established by the GSD ECM-EDMS Executive Steering Committee, and the lessons learned from others in the Information Technology industry that have implemented package software. Five principles guide the project strategy:

4.2.1.1 Project Management

One of the common factors identified, as a contributing cause of many information technology project failures is the lack of effective project management. The State of New Mexico Department of Information Technology is implementing project management programs both in their organization and in each state agency implementing IT projects. This project will adhere to project management standards of practice as being implemented within state government and specified by the Project Management Institute (PMI) in their Project Management Body of Knowledge (PMBOK) guidelines. According to the Project Management Body of Knowledge:

“Project Management is the application of knowledge, skills, tools and techniques to project activities to meet project objectives. Project Management is accomplished using the processes such as initiating, planning, executing, controlling, and closing. The project team manages the work of the projects, and the work typically involves:

Competing demands for: scope, time, cost, risk and quality. Stakeholders with differing needs and expectations. Identified requirements.

“It is important to note that many of the processes within project management are iterative in nature. This is in part due to the existence of and the necessity for progressive elaboration in a project throughout the project lifecycle, i.e., the more you know about your project, the better you are able to manage it.”

4.2.1.2 Rapid Implementation

Faster implementation is better than drawn out implementation. Solutions that require too long to implement, have a high risk of failure. Administrations change, business needs change and solution requirements change. Time is the enemy. Successful package implementations are fast implementations, even at the expense of some functionality. An 80% solution today is far superior to a 100% solution that requires 2 years to implement. Fast implementation allows for taking advantage of the Pareto Principal; 80% of the benefit comes from 20% of the solution. The additional 20% of the benefit that might be achieved comes at a dramatically higher price and extended schedules.

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4.2.1.3 Well-defined ObjectivesThe project must be tightly focused on a well-defined set of objectives. The “keep it simple” approach minimizes risk and implementation time. It empowers the team to concentrate on those objectives that offer the maximum return on the invested time and effort while allowing the team to spend adequate time and energy on validation, testing and documentation – tasks that are the first to be sacrificed in a more complex and drawn out implementation plan. The net result is a successful package implementation on which further development and enhancements are more likely and have a better chance of ultimate success.

4.2.1.4 Support ExtensibilityThe objective is to procure an Enterprise Content Management solution designed to easily allow the addition of new features later. This allows New Mexico agencies to start with a limited subset of functionality, and limiting initial costs, with the option to expand to greater functionality in the future.

4.2.2 Product and Product Development DeliverablesREQUIREMENTS DOCUMENTS The requirements have been defined and documented. A

Business Strategy Survey will be conducted to define goals, business processes, critical factors, current environment, sizing requirements, current vendor environment, # of users, work processing requirements, other needs.

DESIGN DOCUMENTS The Vendor will be required to deliver design documents for authentication, reporting, and the database feeds.

SYSTEMS SPECIFICATIONS EMC software will be an open source web application that will require no additional desktop software to run and minimal customization. It will have the ability to interface with GSD systems at minimal cost.

SYSTEMS ARCHITECTURE The system will be open architecture and be certified on standard operating platforms – Windows or Unix. Architecture will be scalable to allow for growth, provide interoperability with other systems, have a secure web front end, be security rules based and provide multiple security layers for user authentication.

SYSTEM AND ACCEPTANCE TESTING

The Program users will test system functionality, performance, reporting accuracy and response times.IT Technical Support Staff will test system operational performance.

OPERATIONS REQUIREMENTS

The Vendor will be required to deliver design documents for authentication, Reporting, and the Database feeds. Vendor will also integrate data from legacy system.

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4.2.3 Deliverable Approval Authority Designations

DDELIVERABLEELIVERABLE NNUMBERUMBER

DDELIVERABLEELIVERABLE AAPPROVERSPPROVERS (W (WHOHO CANCAN APPROVEAPPROVE))

DDATEATE AAPPROVEDPPROVED

PRJ-DEL-001 Project Management Plan (PMP) Project Director on behalf of Executive Steering Committee

PRJ-DEL-002 Business Assessment and Requirements Report

Project Director on behalf of Executive Steering Committee

PRJ-DEL-003 IV&V Contract & Reports Project Director on behalf of Executive Steering Committee

PRJ-DEL-004 IT Service Contracts Project Director on behalf of Executive Steering Committee

PRJ-DEL-005 Risk Assessment and management reports

Project Director on behalf of Executive Steering Committee

PRJ-DEL-006 Project Schedule Project Director on behalf of Executive Steering Committee

PRJ-DEL-007 Monthly Project Status Reports to DoIT

Project Director on behalf of Executive Steering Committee

PRJ-DEL-008 Architecture Plan Project Director on behalf of Executive Steering Committee

PRJ-DEL-009 Hardware configuration and equipment Project Director on behalf of Executive Steering Committee

PRJ-DEL-010 Software licenses Project Director on behalf of Executive Steering Committee

PRJ-DEL-011 Implementation services Project Director on behalf of Executive Steering Committee

PRJ-DEL-012 Lessons Learned Project Director on behalf of Executive Steering Committee

PRJ-DEL-013 Close out reports and documentation Project Director on behalf of Executive Steering Committee

Project CertificationDescription – Project Certification Committee (PCC) certification of the EDMS Project Manual is required for each phase of the EDMS project. PCC provides a recommendation to the ITC for certification and release of funds.

Deliverable Acceptance Criteria – Certification by PCC & ITC approval to release funds Standards for Content and Format – Provided by the State PMO and PMI methodologies.Quality Review – Review by EDMS ESC and the project management team.

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ECM Solution - Selection CriteriaDescription – Develop Functional and Technical Selection Criteria List for ECM solution. Rank each criterion in terms of A - Critical Need, B – Medium Need, C - Nice to Have. Rate Vendor solutions

Deliverable Acceptance Criteria – EDMS ESC approval Standards for Content and Format – N/AQuality Review – EDMS ESC

Infrastructure Analysis & Design (IA&D)Description – Infrastructure Design of the EDMS environments (Production, Development, Test and Training). Design will include:

o Document logistics analysis & designo Hardware specifications & sizing req.o System software requirementso Communication (network) requirementso Data interchange requirementso Cost estimates

Deliverable Acceptance Criteria – Approved infrastructure design capable of hosting all EDMS environments.Standards for Content and Format – Content and Format should follow GSD established standards for platform design.Quality Review – Review and approval by GSD technical architects.

Professional Services ProcurementDescription – Professional Services contract with a vendor to support the design, development and implementation of the ECM solution. An open RFP process will be used to garner proposals and select a vendor.

Deliverable Acceptance Criteria – Signed and approved professional services contractStandards for Content and Format – Contract follows NM standards for professional servicesQuality Review – GSD, State Purchasing & DFA.

Vendor Planning and DocumentationDescription – Vendor documentation required for successfully planning and managing all aspects of the EDMS development and implementation, including Quality Assurance plan and processes, Communications Plan, Change Management Plan, Issues & Risk Management Plan, Work Plan, Service Level Agreements (SLAs), product documentation, Security Plan, Transition Plan, and Metadata & Taxonomy Best Practices document.

Deliverable Acceptance Criteria – EDMS ESC ApprovalStandards for Content and Format – Content and Format should follow GSD established standards.Quality Review – Review and approval by EDMS Project Director. EDMS Project Director will route documentation to the appropriate project team members as required for review and approval.

System Hardware & Software ProcurementDescription – All necessary system hardware and software required to fully implement ECM solution for all system environments as designed

Deliverable Acceptance Criteria – Possession of all system hardware and software as designedStandards for Content and Format – Meets the design requirements specified Quality Review – GSD tech team

InfrastructureDescription – Installation and configuration of all necessary hardware and software necessary to fully implement the ECM solution for all system environments. Deliverable includes system documentation.

Deliverable Acceptance Criteria – Fully installed & configured infrastructure to support ECM Standards for Content and Format – GSD established standards.Quality Review – Review and approval by EDMS Project Director with GSD tech team.

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Functional Analysis & DesignDescription – Functional Analysis & Design includes designing the content management structure, records management structure and designing the metadata and taxonomy

Deliverable Acceptance Criteria – Approved Functional Analysis and Design DocumentStandards for Content and Format – Best Practices document for metadata and taxonomyQuality Review – EDMS ESC and project team

Disaster Recovery PlanningDescription – Develop Disaster Recovery Plan and Strategy for the ECM solution

Deliverable Acceptance Criteria – Approved Disaster Recovery Planning document for the ECMStandards for Content and Format – Industry Best Practices for Disaster RecoveryQuality Review – EDMS ESC and Project Team

Hosting Strategy and Service Level Agreements (SLA)Description – GSD will develop a hosting strategy for the ECM solution. Based on the approved hosting strategy, SLAs will be developed

Deliverable Acceptance Criteria – EDMS ESC Approval for Hosting Strategy document Standards for Content and Format – N/AQuality Review – EDMS ESC and Project Team

System Development, Customization and TransitionDescription – These deliverable descriptions, Acceptance Criteria, Standards for Content and Format, as well as Quality Review are included in the RFP and the Professional Services Contract for the ECM solution & Implementation Services Vendor

Deliverable Acceptance Criteria – N/AStandards for Content and Format – N/AQuality Review – N/A

Business Process Reengineering (BPR)Business Process Reengineering (BPR) must proceed for the GSD Risk Management Division processes to achieve success. Deliverables consist of an approved BPR project team and BPR scope, a measurements document, detailing current performance metrics, an analysis document including AS-IS process diagram, a process improvement document, including TO-BE process diagram, and reengineered policies and procedures, and finally an approved control document. The EDMS Project Director will facilitate Business Process Reengineering, providing education & support for the HSD teams.

Define BPR Project Team and BPR ScopeDescription – A BPR Project Team Charter and Stakeholders must be defined. The BPR Project Team members must be chosen based on their subject matter expertise, their demonstrated contributions as a team member, and their ability to champion the vision to all associates affected by the BPR and implementation. The BPR Scope document defines the boundaries for the BPR effort, which includes, defining at a high level, the issues and solutions, estimating the BPR impact, and creating a first draft AS-IS process map

Deliverable Acceptance Criteria – EDMS Executive Steering Committee (ESC) approval and Division Management approvalStandards for Content and Format – BPR Industry Best Practices and the Project Management Institute’s (PMI) Project Management Body of Knowledge (PMBOK)Quality Review – Review by Project Team members, EDMS ESC and Division Managers

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Measurements DocumentDescription – Developing a measurement document consists of collecting current baseline performance metrics based on identifying the Inputs, Processes & Outputs (IPO). Collect current policy and procedure manuals, detail the AS-IS process map and perform Strength, Weaknesses, Opportunities, Threats & Issues (SWOTI) analysis.

Deliverable Acceptance Criteria – EDMS Executive Steering Committee (ESC) approval and Division Management approvalStandards for Content and Format – Industry Best Practices Quality Review – Review by Project Team members, EDMS ESC and Division Managers

Detailed AnalysisDescription – Detailed analysis consists of various methods for separating the whole into its component parts. Based on specific needs, use appropriate analysis methods, including gap analysis, identifying root causes, comparative analysis, stratifying process and data, regression analysis. The SWOTI analysis will be refined

Deliverable Acceptance Criteria – EDMS Executive Steering Committee (ESC) approval and Division Management approvalStandards for Content and Format – Industry Best Practices Quality Review – Review by Project Team members, EDMS ESC and Division Managers

Improvement DocumentDescription – The Improvement document consists of generating solution ideas, determining solution impacts &benefits, evaluating & selecting solutions, designing the TO-BE process map, & updating and/or developing policy & procedure manuals. Develop & present a Storyboard, communicating solutions to Stakeholders

Deliverable Acceptance Criteria – EDMS Executive Steering Committee (ESC) approval and Division Management approvalStandards for Content and Format – Industry Best Practices Quality Review – Review by Project Team members, EDMS ESC and Division Managers

Control DocumentDescription – The control document details expected performance metrics, as well as policies and procedures to monitor, correct and control performance during and after the implementation of new systems and processes. Integrate and manage solutions in daily work processes. Integrate lessons learned

Deliverable Acceptance Criteria – EDMS Executive Steering Committee (ESC) approval and Division Management approvalStandards for Content and Format – Industry Best Practices Quality Review – Review by Project Team members, EDMS ESC and Division Managers

ImplementationThe General Services Department is responsible for Implementation. This includes an approved implementation plan for reengineered business processes, training, system integration, content security and a content migration plan.

Implementation Plan for Reengineered Business ProcessesDescription – The implementation plan consists of a process transition plan, a system cutover plan and a communication plan for stakeholders and all affected associates.

Deliverable Acceptance Criteria – EDMS Executive Steering Committee (ESC) approval and Division Management approvalStandards for Content and Format – N/AQuality Review – Review by Project Team members, EDMS ESC and Division Managers

TrainingDescription – Training starts with an Approved Training Plan, to develop and distribute Approved Training Documents, including user manuals and quick references

Deliverable Acceptance Criteria – EDMS ESC approval and Division Management approvalStandards for Content and Format – Best Practices and Standards for TrainingQuality Review – Review by Project Team members, EDMS ESC and Division Managers

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System IntegrationDescription – System integration brings together work done while developing the application and technology infrastructure, completing the functional interface design, technical interface design, interface development, unit, system & integration testing and finally User Acceptance Testing (UAT)

Deliverable Acceptance Criteria – EDMS ESC approval and Division Management UAT Sign-offStandards for Content and Format – GSD established standards for functional & technical design documents.Quality Review – Review by Project Team members, EDMS ESC and Division Managers

Content SecurityDescription – Ensure the security features built into the Enterprise Content Management solution are activated for content and documents. Test the security features

Deliverable Acceptance Criteria – EDMS ESC approval and Division Management UAT Sign-offStandards for Content and Format – GSD established standards for document securityQuality Review – Review by Project Team members, EDMS ESC and Division Managers

Content MigrationDescription – Content Migration plans need to be developed giving serious consideration to the costs & benefits of migrating paper documents or microfilm to the electronic document repository. Questions that need to be considered include the frequency or likelihood the documents will be accessed in the future, and the labor and time to scan the volume of documents.

Deliverable Acceptance Criteria – EDMS ESC approval and Division Management approvalStandards for Content and Format – N/AQuality Review – Review by Project Team members, EDMS ESC and Division Managers

Implementation for GSD Release 1.0Description –Implementing Release 1.0is based on completing and signing off on all prior deliverables included in Application and Technology Infrastructure and BPR

Deliverable Acceptance Criteria – EDMS ESC approval and Division Management approvalStandards for Content and Format – N/AQuality Review – Review by Project Team members, EDMS ESC and Division Managers

TransitionDescription – Sign-off on transition document signaling the successful completion of transition to NM State staff for maintenance and operations of the ECM solution.

Deliverable Acceptance Criteria – Signed transition document.Standards for Content and Format – Content and Format should follow GSD established standards.Quality Review – Review and approval by Project Director. Internal review by GSD staff.

Electronic Records Rules and StandardsThe work breakdown structure for Electronic Records Rules and Standards includes a communication plan, clarifying content ownership, creating a content management strategy, establishing a Content Review Board for metadata standards, and planning & budgeting for ERMS administrative and operational support.

Communication PlanDescription – Establish a formal communication plan for to assist agencies with buy-in, compliance and education for the ERMS

Deliverable Acceptance Criteria – GSD Management approvalStandards for Content and Format – Electronic Records Management Best PracticesQuality Review – Review by GSD Project Team members.

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Supporting Organizational InfrastructureAn organizational infrastructure needs to be set up to support the ECM product after the initial implementation project ends. This also includes training for new users, and administration of the system to support the existence of the product.

Description – Establish and staff formal organizations for the operation, maintenance and ongoing staff support of the ECM solution.

o GSD trained ECM Operations Staffo GSD Trained ECM Administration Staffo Trained End-Userso Governance model approved by the

Executive steering committee.o Continuing ECM Executive Steering

Committee (new formation)o ECM User Group

Deliverable Acceptance Criteria – EDMS Executive Steering Committee (ESC) approval Standards for Content and Format – N/AQuality Review – Review by Project Team members, EDMS ESC

Enterprise ModelEnterprise Content Management and an Electronic Document and Records Management Systems framework is just one component of an Enterprise Model allowing the State of New Mexico General Services Department to move towards a fully electronic services interface for technology enabled customersDescription – Establishing an Enterprise Model involves research, creating an Enterprise Model document and promoting awareness and acceptance of the Enterprise Model.

o Approved Enterprise Content Management Best Practices Documents

o Approved Survey of Other States Practices Document

o Approved Industry Trends Documento Approved Blueprint for Enterprise Modelo Presentation to DoIT

Deliverable Acceptance Criteria – EDMS Executive Steering Committee (ESC) approval Standards for Content and Format – N/AQuality Review – Review by Project Team members, EDMS ESC

4.2.4 Deliverable Acceptance Procedure

The Project Director shall present the deliverables along with a recommendation for approval to the Executive Steering Committee during a regularly scheduled steering committee meeting. The Executive Steering Committee must then vote to accept or reject the deliverable with the vote reflecting a majority decision.

If the deliverable is rejected, the Project Director must inform the vendor submitting the deliverable of the committee’s action and must also identify, in writing, why the deliverable was rejected, and what actions must be addressed by the vendor before the deliverable is presented for acceptance again.

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5 Project Work

5.1 Work Breakdown Structure (WBS)

The implementation plan provides an overview of the project by providing a description of the project in terms of the major categories of work, primary activities and responsibilities, milestones/deliverables and overall project timeline. A detailed Work Breakdown Structure (WBS) and deliverable descriptions are found in the Appendix A, while the detailed Project Schedule/Gantt Chart is in Appendix B and the Project Budget is in Appendix C.

Note: The detailed Work Breakdown Structure is included as part of Appendix A: Scope Definition Document.

The project implementation strategy is developed from the perspective of products to be delivered. Each of the activities and tasks required to implement the GSD ECM (EDMS/ERMS) strategy has a specific associated deliverable. At a high level, the work is organized into seven separate work categories:

Project Management Application & Technology Infrastructure Business Process Reengineering Implementation Enhance Electronic Records Management Governance Model Set up GSD ECM-EDMS Support Organizational Infrastructure Promote Enterprise Model

Each of these work categories is defined below and the detailed Work Breakdown Structure is included as part of Appendix A: Scope Definition Document.

5.1.1.1 Project ManagementThe discipline of the project management concept offers a variety of tools and techniques to deal with and control complex projects. The State of New Mexico Department of Information Technology is implementing the Project Management concepts at the state level and within each department as part of a strategy to better manage and coordinate the state’s information technology resources and budget.

5.1.1.2 Application & Technology InfrastructureThe strategy for designing the application and technology infrastructure for the GSD ECM/EDMD must necessarily consider the enterprise architecture. ECM is just one component of the overall enterprise model. Extensibility, flexibility and scalability are the criteria that must be used to ensure that the architecture for ECM that is implemented now can also support the enterprise architecture that is evolving over the next few years.

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5.1.1.3 Business Process Reengineering (BPR)Process reengineering is the most essential work of implementing Enterprise Content Management or an EDMS. A process is a group of tasks that together create a result of value to a customer or a state constituent. As the reengineering expert, Michael Hammer writes, “Processes are concerned with results, not with what it takes to produce them. The essence of process is its inputs and its outputs; what it starts with and what it ends with. Process work requires that everyone involved be directed toward a common goal; otherwise conflicting goals and parochial agendas impair the effort.”7 Moving towards a process-oriented culture, is training everybody in habits of thinking and acting that allow the whole organization to work more smoothly and effectively. The question to be asked continuously is, “How do we improve our day to day process?”

5.1.1.4 ImplementationThe strategy is to implement an ECM package using external resources. Under the guiding principles, the initial implementation will be completed as quickly as possible. This initial ECM implementation will be used to gain additional knowledge about the product, its operational environment and to help the project team develop a department model for the State of New Mexico General Services Department.

5.1.1.5 Supporting Organizational InfrastructureThe effective operation and support of a large software application requires formal organizational thought and structure. Enterprise Content Management will require more organizational thought than most because it is one component of an enterprise model. The strategy is to provide department resources as the organizational staff necessary to support the ECM application while working to refine the Enterprise Content Management governance model.

5.1.1.6 Electronic Records Governance ModelThe General Services Department already has a records governance model in place to deal with paper-based documents. With the GSD ECM (EDMS/ERMS) implementation, a new electronic records environment is to be created. The strategy here is to align the current governance model to the effective ongoing management of electronic records and archives within the new Enterprise Content Management environment.

5.1.1.7 Enterprise ModelEnterprise Content Management, and an Integrated Electronic Document and Records Management Systems framework is just one component of an Enterprise Model allowing the State of New Mexico General Services Department to move towards a fully electronic services interface for technology-enabled customers. Another component of an enterprise model includes Enterprise IT Data Interchange capability, to allow instant online access to information across multiple application systems. A pre-requisite to any type of department-wide access to applications and data is an Enterprise IT Security Management Program, which includes Identity Management, and Access Directory Services. A third component is the Business Process Platform, “As enterprises emphasize business processes, they need to establish a business process platform, specific to their needs, to enable business process creation, deployment and monitoring using service-enabled applications.”8 Service Oriented Architecture (SOA) is the foundation supporting the enterprise model.

7 Michael Hammer, Beyond Reengineering (HarperCollins, 1996), 11-128 “Flexibility Drives the Emergence of the Business Process Platform” GARTNER Research, Publication Date: 26 April 2005

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5.2 Schedule Allocation – Project TimelineGSD ECM Project Timeline By Quarter ResourceDeliverable 4 QTR 08 1 QTR 09 2 QTR 09 3 QTR 09 Name

Develop Project Management Plan PM VendorApprove PMP DoITDevelop Worker's Comp Business Assessment PM VendorImplementation Project Cert DoITDevelop Contract for PM Implement Phase GSD CIOSelect software solution GSD Business Owners, PM vendor

Develop CVR/RFP for Implementation Services PM VendorDraft and Award IV & V services contract PM Vendor, GSD CIO

Develop architectural standards for hardware, software, data interchange, and records management

PM Vendor, GSD CIO, GSD Business Owners, DoIT

Procure GSD ECM-EDMS hardware and software PM Vendor, GSD CIOInstall and customize COTS system to meet requirements Integration VendorActivate COTS Security features to meet requirements

GSD IT staff, DoIT staff, Integration Vendor

Business Process Reengineering w/ software solution

PM Vendor, GSD Business Owners, Integration Vendor

Training

PM Vendor, GSD Business Owners, Integration Vendor, GSD IT Staff, DoIT staff

Develop Interfaces with existing systems

GSD IT staff, DoIT staff, Integration Vendor

Develop hosting strategy and SLAs PM Vendor, GSD CIOTest and validate solution

PM Vendor, GSD Business Owners, Integration Vendor

Phase 1 Implementation Cutover

PM Vendor, GSD Business Owners, Integration Vendor, GSD IT Staff, DoIT staff

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5.3 Project Budget

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5.4 Project Team

5.4.1 Project Team Organizational Structure

5.4.2 Project Team Roles and Responsibilities

The State Department of Information Technology (DOIT) will provide project management oversight and the GSD ECM-EDMS Executive Steering Committee will provide strategic direction for the project.

The GSD ECM-EDMS Executive Steering Committee (ESC) provides strategic, high-level guidance with regard to procedures, progress, and risks. The Steering Committee is charged with taking a department view to ensure this project supports the delivery of an enterprise/department model. The project team reports status and progress to the Steering Committee on a regular basis. The GSD ECM-EDMS ESC will also review, and approve deliverables, monitor the activities of the Project Team, assure adherence to the project plan and ensure involvement of participants in order to meet deadlines.

The GSD ECM-EDMS project team will handle the day-to-day tasks and decisions brought to the attention of the Steering Committee. The workgroup is comprised of staff members from the different GSD divisions. Tasks performed by the team include: project management and planning, analyzing requirements, data gap analysis and data mapping, making program specific decisions, helping determine the system and operational processes, business process reengineering, training and deployment.

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Executive Sponsor, Arturo Jaramillo

IV&V

Business Owner, Ed Romero

Nancy Bearce

Technical Review, Sujatha Seethapathi, Lead

Ryan Woodard, System

SupportDoIT/DFA Tech Staff

Project Sponsor, Mike Wilson

Executive Steering Committee

Arturo JaramilloMike WilsonEd Romero

Nancy BearceKaren Baltzley

Angela Lucero, Records Management Division Director,

SCRA

Business Operations Review Team:BenefitsFinancial/TrainingLegalDisabilityWorkers CompLoss ControlReports/HIPAA Regulations Project Manager

CSW- Jane Hamlet

Project Director, Karen Baltzley

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The Department of Information Technology Office will provide increased emphasis on strategic information technology planning and management. This ensures the proper and efficient administration of all Information Technology projects in the state.

An implementation vendor will be contracted through an open procurement process (RFP/CVR) to install, and assist in the deployment of the ECM. Additional resources are to be contracted through the competitive vendor request (CVR) process to implement IV&V.

Given in the table below are the roles and responsibilities of each of the team members.

Role ResponsibilitiesExecutive Steering Committee (ESC)

Meet at least once monthly Provide strategic direction and promote the vision for Enterprise Content

Management Advise project on policy issues Review, evaluate, and provide direction to the Project Director and Project

Team Members on implementation and deployment strategies Monitor the project progress Provide recommendations on issues escalated to the committee Assist in mitigating strategic project risks Direct the Project Director on issues and risks Address, review, and approve all deliverables, such as project structure

and team activities Monitor the project activities, assuring adherence to the project plan Ensure involvement of participants in order to meet deadlines Review and approve expenditures of funds Represent the point of view of key stakeholders including technology-

enabled customers and state government executivesNM DOIT Provide project implementation oversight

Ensure proper project management and cost reporting Certify and approve funding prior to each phase of the project

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Role ResponsibilitiesProject Director Report to ESC on project status, issues, budget, and activities

Address, review, and submit deliverables to ESC from the GSD Project Team members

Prepare Steering Committee meeting agenda and meeting materials Establish and maintain a coordinated project manual that includes all IT

and non-IT tasks and activities necessary to fully execute the project and to achieve project goals

Monitor and report the activities of the GSD Project Team, assuring adherence to the project plan, budget and schedule

Ensure involvement of participants in order to meet deadlines Ensure mitigation of project issues and risks Maintain a current copy of the project budget Facilitate development of ECM selection criteria Prepare the RFP/CVR for ECM Implementation Services Vendor Procure hardware and software for GSD ECM (EDMS/ERMS) Comply with approved IT Infrastructure policies & procedures Lead Business Process Reengineering efforts Facilitate defining document metadata and setting up document taxonomy Plan system interfaces and document migration processes Manage testing and validating GSD ECM (EDMS/ERMS) solution Provide contract and Vendor oversight Assure Vendor deliverables meet the business & system requirements Monitor the project and contract to ensure delivery of complete, accepted

deliverables on schedule Serve as a contact for the Vendor Team Manager, review and accept

weekly status reports, project milestones, deliverables, and issues logs Advise the Vendor Team(s) on issues and risks Review and approve all Vendor documentation Document Enterprise Content Management Model Work closely with SRCA team to create an approved, published electronic-

records management framework Provide a road map for Agencies to automate records management

SRCA Project Team Members

Provide subject matter expertise for records management requirements Participate in workgroups and status meetings to determine best course of

action, options, and alternatives Review ITC PCC documentation for certification Participate in developing EDMS selection criteria Make recommendations to EDMS Project Director concerning the project

deliverables Review any necessary interim and final APD documentation for approval Assist with project coordination and issues where escalation is necessary Review Vendor deliverables and participate in test walk-through Approve and sign off on project documentation for HSD and TRD Work closely with Project Director to create an approved, published

electronic-records management framework Advise the Project Director in developing an EDMS Enterprise Model

GSD Team Members Participate in Hosting Strategy Development Support installation of hardware and technology infrastructure Participate in SLA development

IT Specialists (Programmers, GSD Imaging System Administrators, GSD System Experts and Developers

Provide IT subject matter expertise Share expertise on Document Imaging and Key from Image (KFI) systems Work with Project Director to determine hardware, software, network and

technical requirements. Work with Project Director to define technical system interface

requirements. Provide IT perspective and guidance for technology issues

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Role ResponsibilitiesVendor(s) Ensure compliance with the Contract and the approved work plan.

Develop and submit all deliverables as required by the Contract. Meet the Project schedule and milestones as defined in the Work Plan and

the Contract.

5.5 Staff Planning And Resource Acquisition

The responsibility assignment matrix (RAM) is a table that relates the project organization structure to the work breakdown structure to ensure that each element of the project’s scope of work is assigned to a responsible organization or individual. Larger projects may define responsibility assignment matrices at multiple levels. A high-level RAM may define which group or organizational unit is responsible for each component of the work breakdown structure, while lower-level RAM’s are used within the groups to assign roles and responsibilities for specific activities to specific individuals. The codes are defined as follows: A = Approval, O = Oversight, R = Responsible, S = Provide Support, W = Does the Work.

Responsible Organization

WBS Task

DoITECM

ProjectTeam

ESC Project Management

Vendor

Implement ServicesVendor

IV&VVendor

Project ManagementPlanning Project Charter -- R A R -- --Business Requirements -- R A S -- --EDMS Project Manual - Project Management Plan including Scope & WBS Project Schedule

S R A R -- --

Software Selection Criteria Checklist

-- R A S -- -- RFP Development -- R A S -- --Risk Management S R A S S SCommunication S R A S S SControl Establish Controls S R A R -- -- Project Process Review -- R A R -- --Resource Management Project Manager r Hiring -- S R -- -- -- IV&V Services Contract R/A A S S Procure Vendor Services For Implementation (RFP Process)

S R A S - --

Vendor Services Contract

R A S RFundingNM DoIT Project Certification Committee DoIT Approval Phase 1 – Planning

-- R A -- -- -- DoIT Approval Phase 2 - Implementation

-- R A R -- -- PCC Approval Phase 3 - Closeout -Transition

S R A R -- --App/Tech Infrastructure.

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Responsible Organization

WBS Task

DoITECM

ProjectTeam

ESC Project Management

Vendor

Implement ServicesVendor

IV&VVendor

Select ECM Vendor R A R Sign License Agreement & Acquire ECM Solution Package

-- R A S -- O

(Select GSD Document Imaging Vendor)

-- R A S -- -- Infrastructure Analysis & Design

S R A S S O Hardware/Software Procurement

S R A s S O Functionality Analysis & Design

S R A S S O System Development & Customization

S R A S W O Disaster Recovery Planning

W R A S S O Transition S R A S W OBusiness Process Reengineering Define -- R/W A S S -- Measure -- R/W A S S -- Analyze -- R/W A S S -- Improve -- R/W A S S -- Control -- R/W A S S --Implementation Implementation Plan for Reengineered Business Processes

R R/W A S S O

Training Plan Training Manuals

S R/W A S S O System Integration S R/W A S S O Content Migration S R/W A S S O Development & Implementation

S R/W A S W OElectronic Records Management System (ERMS) Rules & Standards ERMS Framework S R A S S O ERMS Roadmap S R A S S O ERMS Standards S R A S S O ERMS Rules S R A S S OSupporting Organizational Infrastructure Trained Operational Staff R/W R A -- S O Trained Admin Staff S R A -- S O Trained End-Users S R A -- S O ECM User Group S R A -- S -- ECM Governance Body S R A -- -- --Enterprise Model Enterprise Model Document

-- R A -- S O Champion Enterprise Model

-- R A -- -- --

A = Approval, R = Responsible, S = Provide Support, W = Does the Work. O = Oversight

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6 Project Management and Controls

6.1 Risk and Issue Management Information technology (IT) projects have many inherent risks associated with them. The technology itself, risks associated with introduction of new and/or innovative ideas, organizational change issues, internal project issues, external issues such as politics and the economy not to mention social concerns around the introduction of technology. The list of potential risks is almost limitless.

Risk management is the process of identifying potential project risk, assessing the probability and severity of risk events, and planning appropriate responses. Risk management is a priority task on any IT project and is managed just like cost, schedule, scope and quality.

6.1.1 Risk Management StrategyThe best way to deal with a large amount of data/information is to categorize it in such a way to begin understanding the relationships between the data and start to see structure. The Software Engineering Institute (SEI) has developed a Taxonomy of Software Project Risk that offers a way to systematically think about the potential risks that are faced by software development/implementation projects. This taxonomy is used to stimulate thinking about the potential risks that the EDMS Project faces.

6.1.2 Project Risk IdentificationTo ease the documentation and tracking of identified risks, a risk evaluation tool is used, built with an excel spreadsheet. This is the primary tool to be used to list and categorize EDMS project risks. The Risk Analysis is shown in Appendix D. The sequence of activity is as follows:

1. Risk Identification – The process of identifying potential risks and documenting the specific characteristics of each.

2. Risk Analysis – The process of determining the impact and likelihood of the identified risks. This process may employ both qualitative and quantitative techniques as deemed necessary to objectively evaluate potential risks to the project.

6.1.3 Project Risk Mitigation ApproachThe process of mitigating the possibility of the risk and assigning responsible individuals to identified risks. All identified risks will have appropriate mitigation strategies/plans. For those risks that are highly probable and have, significant impact to the project will develop contingency plans.

6.1.4 Risk Reporting and Escalation StrategyRisk Monitoring and Control – The process of tracking, evaluating and responding to ongoing developments relative to project plans, risk mitigation plans and specific contingency plans. Risk management is an integral component of integrated project control. This is an ongoing process for the duration of the project and will be part of every project status meeting.

Risk identification is the responsibility of all members of the project team. The Project Director and Project Managers are responsible for tracking risks and for developing mitigation strategies and contingency plans that address the risks identified by the team.

The EDMS project will follow a continuous risk management strategy. Risk will be assessed routinely to ensure that identified risks are being dealt with appropriately and that new risks are identified and dealt with as early as possible

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6.1.5 Project Risk Tracking Approach

Business Risks The following table identifies the risk, estimated level, mitigation note and explanatory comment.

Risk Level Mitigation Comment

Insufficient funding Low

Prioritize each agency’s funding request and develop contingency plans to allocate funds

Insufficient funding allocation means that either some agencies requesting funds will receive $0 or agencies will not have enough to purchase hardware, software and implementation services

Agency resource availability

High

Ensure Stakeholders are involved and support the project. Ensure ECM-EDMS implementation is a priority among agency Project team members

Lack of resources to complete project activities can lead to delays in project schedule

Extended Timeline caused by State Approval processes

High Plan for

State requirements for oversight as well as the procurement process provide numerous opportunities for extended project delays. For example:

The HSD/TRD procurement process for the ECM Architecture Design Contract took five (5) months to approve a $26,000 contract

An ECM increases accessibility to the State’s content

High

A Statewide Identity Management program is a pre-requisite to rolling out ECM so that personal information is safeguarded.

Keys to Identity Management are –

Authentication - proving that you are who you say you are

Authorization - now that we know who you are, determine permissions for the content you are allowed to access

Delegated Administration – Leaders in each agency are responsible for securing access to their content. The task of assigning permissions is delegated to associates that know who is allowed access to what content.

NM DoIT SLA's and cost structure methods

Medium

Continue to work with NM DoIT to refine the SLA process and cost structure methods

NM DoIT processes for Service Level Agreements that need to be refined:

Cost structure methods undefined and/or not clearly communicated.

System downtime not within SLA criteria Unexpected charges to agency budget

Limited Funding Medium

Ensure the project scope is defined within funding limits

Insufficient funds to purchase a system to meet enterprise requirements – the project has not yet been funded adequately to build a Statewide infrastructure, merely to ensure we build a baseline that is scalable

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# Risk TitleDate

Opened Rating Prob Impact Description Effect Mitigation Trigger Event Contingency

1 GSD Resource Availability 12/3/2008 Medium High MediumLack of GSD resources to complete project activities Delays in project schedule

Ensure Senior Management Stakeholders are involved and support the project. Ensure EDMS implementation is a priority among GSD team members

Delays in project activities

Have 2nd layer of individauls defined w ho may able to cover task responsibilities

2DoIT SLA's and cost structure methods 12/3/2008 Medium Medium High

DoIT Service Level Agreements needs to be ref ined. Cost structure methods undefined and/or not clearly communicated.

Agency's experience system dow ntime and/or GSD cost surprises.

Continue to w ork w ith GSD to refine the SLA process and cost structure methods

System dow ntime not w ithin SLA criteria. Unexpected GSD charges to agency budget

Host systems w ithin each agency

3 Extended Procurement Process

12/3/2008 High Medium Medium Delays in the procurement process Extend the project scheduleDesignate a dedicated Procurement Manager to manage to the Procurement timeline

Delayed procurement events

None

7Enterprise Identity Management Program 12/3/2008 Medium Medium Medium

Greater access to documents leads to greater access to private / secure content. As soon as an Enterprise Content Management system expands to serve as a w eb content management system, an effective Enterprise IT Security Management Program needs to be in place.

Security Breach leading to Identity theft, non-compliance w ith HIPAA

Ensure the security components w ithin the EDMS are implemented effectively. Regularly audit the security system implementation during and after deployment

Breach of Security

Delay w eb content management system components of the ECM until the Statew ide Enterprise Identity Management Program is in place

8 Integration w ith Enterprise Architecture

12/3/2008 Medium Medium Medium

Connecting and conf iguring the ECM solution w ith the DoIT storage architecture w ill require extensive coordination and effective management

DoIT staff members time constraints and expertise w ith ECM solution

Evaluate possibility of contracting w ith a vendor to configure storage requirements

EDMS Architecture no longer complies w ith Enterprise Architecture design

None

9 Application Maintenance 12/3/2008 Medium Medium MediumEffective operations and maintenance of the EDMS after deployment may be a risk w ith COTS softw are.

Inadequately trained resources to effectively support EDMS after deployment

The implementation services contract must require detailed system documentation, training for all state resources, and a comprehensive transition plan.

Poor Transition phase None

10Extended Timeline caused by State Approval processes

12/3/2008 High High High

State requirements for oversight as w ell as the procurement process provide numerous opportunities for extended project delays.

Delays in project schedule Plan for Procurement delays

13 Funding Carryover 12/3/2008 Low Medium Low

EDMS Project Risk Management

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6.1.6 Issue Management

With any project, no matter how comprehensive the planning process, issues arise that need to be addressed. This section of the project manual addresses how this process will be managed for the NM EDMS project.

When the project team identifies an issue, it will be added to a document called EDMS Project Issues.doc stored in the project library. An issue can also be identified by anyone affiliated with the project although the project team will be primarily responsible for tracking issues through to resolution. The project team will review the issues list twice a month. Issues, which could negatively affect the project, will be brought to EDMS ESC attention according to the change control process in section 7.4. The process of tracking an issue is outlined here:

1) An issue is identified.

2) It is added to the issue document, assigned an issue number with a brief explanation of the issue and date entered.

3) The issue is assigned to someone and potential action to be taken.

4) As action is taken, it is noted with the issue.

5) If possible, an estimated completion date is entered.

6) Upon completion of an issue, the actual completion date is noted with the resolution.

Listed below are examples of how an issue can be resolved:

An issue can become a task added to the project plan with proper approval, if new, or within scope of the project. See section 7.2 and 7.4 for further details of these processes.

It could be resolved by an action taken.

A document can be created which addresses the issue.

A resolution could create new issues that need to be addressed.

A new policy could be created which addresses the issue.

The project team is primarily responsible to resolve issues or follow-up to be sure action is being taken to resolve an issue.

6.2 Independent Verification and Validation – IV&VIndependent Verification and Validation (IV&V) is a risk mitigation strategy designed to provide management with project oversight through an independent evaluation a project’s product and process quality. The New Mexico Electronic Document Management System project has adopted a low risk implementation strategy by using a package solution that is currently implemented in multiple commercial and government sites. Given that the project has adopted a package solution strategy, its IV&V plan will be tailored to address the unique risks associated with package implementation projects.

The IV&V plan will:1. Evaluate and verify that processes, contracts, and system designs

comply with the specified requirements of the Enterprise Architecture and Standards

2. Evaluate and validate that products and deliverables of a given development phase fulfill the requirements and performance outcomes set forth in the scope and project plan

3. Provide a “close-out” report to the Executive Board at the end of project.

A Competitive Vendor Request (CVR) will be submitted to the GSD EDMS Executive Steering Committee for approval. Once the CVR has been approved, the project team will initiate contact with approved IV&V vendors. The IV&V vendor will develop a complete IV&V plan in conjunction with the project team.

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6.3 Scope Management Plan

Project control is the mechanism by which the Project Director in conjunction with the project team assesses progress relative to the project plan. The project control process is implemented through a weekly project status meeting. The meeting will be designed to identify variances from the project plan and to identify and initiate corrective actions where appropriate.

Cost Control –The project director maintains a copy of the current budget and is to notify GSD of budget variances as they are identified.

Schedule Control – The project team is responsible for establishing and maintaining a project schedule. The project team will assess the current project schedule status and report variances as they are identified. Additionally, the team will identify and implement the appropriate corrective actions to eliminate or minimize schedule variances.

Scope Control – The project scope is defined and documented in the Appendix 6.1 of the Project Manual. The detailed scope definition contained in Appendix 6.1 will be used to evaluate project scope issues. Significant variances from scope will be submitted to a formal project change control mechanism (Section 7.4 Change Control Process).

Quality Management – GSD ECM (EDMS/ERMS) project quality management will be established for each deliverable based on the quality mechanisms of the responsible organization, and the GSD ECM (EDMS/ERMS) Quality Management Plan (Section 7.6) of this document.

Risk Management – Risk management is an ongoing process of identification and assessment. Risk Assessment is included as part of the routine status process of the project. This maintains an awareness of risk and the associated risk assessment and monitoring tasks required to manage the project effectively.

These five parameters of the project are integrally linked and any significant change in one will likely cause changes in the others. Project control establishes the mechanism to routinely track and report on these parameters. If issues arise that result in significant variances in these parameters, the project team will prepare and submit a Project Change Request form through the Project Change Control process.

The process below is designed to capture project status information on a weekly basis. The information is then used to trigger corrective action, risk mitigation and a variety of reporting processes. This process is critical to successful project communication and is the foundation on which a successful project control system will be built. The process should allow for flexibility in dealing with project control issues while ensuring that project status information is captured and documented.

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6.3.1 Change Control Process

A formal change control process is an essential component of a successful IT project. The key to controlling project change, is managing the impact to the project plan, budget, and implementation schedule.

Some changes are unavoidable – instances where changes have to be made to comply with legal, federal/state regulations, policy changes, compliance with changes in the business direction of the enterprise, or where technology may dictate change. Other non-essential changes can be avoided through management of a formal change control process.

Scope changes (sometimes referred to as scope creep) are the continual addition of functional enhancements to the product requirements throughout the project life cycle. Excessive scope changes are directly related to poorly defined product requirements and specifications. A well thought out change control process will assist the project management team in controlling “scope creep”.

Three (3) steps are necessary to control scope changes:

1. Establish the baseline product.

2. Obtain agreement from the project “approvers”.

3. Enforce a formal change control process.

6.3.1.1 Establish the baseline productThe EDMS project plan is developed around a “package” strategy. Further, the strategy specifically specifies minimal modifications to the package. No functional modifications are to be made to the selected EDMS product. The package plus the Work Breakdown Structure and product descriptions in section 6.1 of this document represents the baseline product and therefore the criteria for determining the approved scope.

6.3.1.2 Agreement from the EDMS ESCThe baseline product described above and strategy for implementation is to be reviewed and approved by the EDMS Executive Steering Committee. Requests to change the scope will also be reviewed and approved by the EDMS ESC.

6.3.1.3 Enforce a formal change control processThe software package/implementation process is never static. Some changes are to be expected during the EDMS implementation, and a formal process has been defined and is to be followed to make sure all changes to the product are made in an orderly manner. As scope change requests are made, a change control process ensures

Only necessary changes are made,

Changes are communicated to all affected parties, and

Changes are implemented in an orderly fashion.

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6.4 Project Budget Management

6.4.1 Budget TrackingThe Risk Management Division’s Financial Services Bureau will be responsible for managing the ECM-EDMS budget, and will be a member of the EDMS Executive Steering Committee. The FSB employee will provide a budget update at each Steering Committee Meeting, identifying past expenditures, encumbrances, future encumbrances, personnel costs, and any other expense associated with the project budget.

6.5 Project Communication Plan

Communication is fundamental to effective project management. The Communications Plan outlines the roles and responsibilities of participants in the dissemination, review and approval of project information. A communications plan that is well implemented will help manage expectations of the project, assure appropriate levels of communication with internal and external project stakeholders, provide relevant, accurate, consistent information at all times and help generate and sustain enthusiasm and support for the project.

The communication strategy covers all the informational needs of the project stakeholder community. Many will receive routine information about the project. Others will be able to visit the project website and obtain the specific information that they are seeking and all may receive ad hoc communication from the project team at any time depending on the need.

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6.5.1.1 Project Stakeholders

General Services Department (GSD) GSD Cabinet Secretary GSD Deputy Cabinet Secretary GSD Risk Management Division Director GSD Risk Management Deputy Division Directors GSD Chief Information Officer GSD Subject Matter Experts Project Manager Project personnel

EDMS Executive Steering Committee Committee Chairperson Committee at large

State Records and Archives Center

Implementation Vendor Account Executive Project Manager Project Personnel

6.5.2 Project Communication Matrix

Stakeholders (PD = Project Director, PMs = Project ManagerDeliverable/Description Target

AudienceDelivery Method

Frequency Responsible Party

GSD / EDMS Project Status GSD CIO Face-to-Face Weekly GSD PMGSD / EDMS Project Status GSD Team Face-to-Face As needed PD/PMSRCA / ERMS Project Status SRCA Team Face-to-Face As needed PD/PMWeekly PD Status GSD PD Email Weekly PMEDMS Project Status EDMS ESC Email 2nd & 4th Monday PD/PMEDMS ESC Meeting EDMS ESC Face-to-Face 2nd & 4th Weds. PD/PMEDMS ESC Meeting Minutes EDMS ESC Email 2nd & 4th Fri. PMDOIT EDMS Project Status DOIT Email Monthly PDProject Web Page As needed Web Page As needed PM TeamAd hoc As needed As needed As needed As needed

6.5.3 Project Status MeetingsThe Executive Steering Committee will meet at a minimum on a monthly basis in order to review project progress, deliverables/milestones, provide direction to the Project Director, and team. The Project Director is required to provide formal status reports to the ESC and will present the report during the ESC meetings. The Project Director is also required to report on the overall status of the project on a monthly basis, per standard DoIT procedures.

Specific requests for expenditure authorization should be forwarded to the ESC representatives for the agencies. If funding approval is an agenda item on the regular ESC meeting, the request and associated justification for spending should be circulated to committee members at least seven (7) days in advance of the ESC meeting. If document.doc

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funding approval is required in a timeframe that does not coincide with the ESC meeting schedule, it is the responsibility of the Project Director to send a request and justification directly to the ESC committee members. A reminder notice should be sent out after seven (7) days if there has been no response from ESC committee members. A final attempt to contact ESC members should be made at fourteen (14) days if there has been no response. Summary of any such action should be documented in team status reports and reported to the ESC at the next meeting.

6.5.4 Project Status ReportsThe Project Manager provides a monthly summary project status report to all Project Stakeholders.

6.6 Performance Measurements (Project Metrics)

Metric are key to understanding the ability of the project to meet the end goals of the Executive Sponsor and the Business Owner, as well as the ability of the project team to stay within schedule and budget.

NUMBERNUMBER DESCRIPTIONDESCRIPTIONQUALITY METRICS 1 The project schedule, assigned tasks, resources and milestones are met.QUALITY METRICS 2 Project does not exceed budget. QUALITY METRICS 3 System can provide reports that accurately track utilities by buildingQUALITY METRICS 4 All RMD operational and facility data information is successfully converted

and migrated onto a electronic records management platform QUALITY METRICS 5 Applicable RMD Legislative Performance Measures as stated in GSD

FY09-10 Strategic Business and IT plan are met QUALITY METRICS 6 System is secure, operable and stable

QUALITY METRICS 7 Data integrity is maintainedQUALITY METRICS 8 Staff is adequately trainedQUALITY METRICS 9 Conforms to SRCA Records Management Policies

6.7 Quality Objectives And Control

Quality Management includes the processes required to ensure that the project will satisfy the needs for which it was undertaken. It includes all activities of the overall management function that determine the quality policy, objectives, quality assurance, quality control, and quality improvement, within the quality system

Quality Management is an important aspect of any project to ensure that the product delivered is accepted and works as designed. Each functional organization is responsible for the quality of its contribution to the project and will apply its internal quality standards to project products and services. The project team will assess the projects products and services based on the standards established by the functional organizations represented on the project.

There are number of ways that quality has been built into this project. The first is IV&V, which will make sure the project meets its expected requirements through a third party evaluation of the project. Please see section 7.7 for more details.

The second is the integrated project control process and change control process, which assure that any changes that are made to the project are executed in a structured manner. The most important of these is the change control process to minimize the change of scope to the project and if scope does change, it is done knowing the impact to the project. Please see sections 7.2 and 7.4 for more details.

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The third process for quality management is the risk management plan, which measures, mitigates and includes contingency plans for each risk. Please see section 7.5 for more details.

The project team will also create lessons learned at the end of each phase of the project. These lessons learned will be incorporated into the next phase of the project and be part of the project library that will be available for future projects to use.

All of these processes combined will create a product that has quality that is built in not tested in after the fact. This will provide an environment that maximizes opportunities to control quality.

6.7.1 Quality Standards

Describe the agency, industry or regulatory project performance standards that will be followed and assessed by the project. These quality standards will be used to assess whether the quality objectives were achieved.Identify each of the project quality standards that are directly related to the project and not to the performance of the actual product and/or service. For each quality standard, identify the tracking tool or measure such as number of project reviews or Project Status.

No. Quality Standard Tracking Tool or Measure

1 Project phase is completed by the established finish date. • Project Schedule• Project Status

2 Project is completed within budget. • Project Charter• Project Status

3 Quarterly project reviews show contractors deliver requirements specified in the contract by due dates or pay penalties.

• Vendor Contract• Final Customer

Acceptance

4 Project issues are resolved and documented within 10 calendar days of identification or extensions are justified.

• Issues Tracking

5 Project will be completed based on the original project scope and approved scope changes.

• Project Charter• Project Plan• Control Change

Request

6.7.2 Agency/Customer Satisfaction

The project manager should assess the on-going sense of the customer agency about how they feel the project is going, and how team members are acting on the project. This feedback would be helpful to the success of the project and the professional growth of the project team members.

Areas of feedback When How OftenAgency awareness Business Owner Meetings MonthlyQuality of communications ESC Steering committee

meetingsMonthly

Manages project tasks ESC Steering committee meetings

Monthly

Productive Meetings ESC Steering committee meetings

Quarterly

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6.7.3 Product Deliverable Acceptance Process

The General Services Department’s Chief Information Officer (GSD CIO) will take delivery of media; manuals; contracts; licenses; services agreements; configuration settings; status of patches to COTS products; in-house or vendor developed code; test cases, routines, and scripts; and other items required for the project. The GSD CIO will take delivery of such products only after the product deliverables have been accepted by the GSD EDMS Executive Steering Committee.

6.8 Configuration Management

Configuration Management determines how project information (files, reports, designs, memos, documents, etc.) will be managed (tracked, approved, stored, secured, accessed, version control, etc.) and owned by (e.g., Agency managing the project or the Customer). Standards and team awareness are critical.

6.8.1 Version Control

GSD will implement a software solution to manage version controls for documentation and products. The software will secure or lock documents and products for access by a single individual. The proposed software will have the ability to also merge changes to a central repository.

6.8.2 Project Repository

A project repository, consisting of a shared server with multiple folders and a project web site will be developed by GSD IT staff members as a means to provide a central repository for all project documentation and deliverables.

6.9 Procurement Management Plan

All procurement for project goods and services must be performed under the guidance and direction of New Mexico State Procurement Statues, which will be made available from the EDMS project website.

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7 Project Close

Project Close will always consist of administrative project activities and possibly contractual project activities and an external vendor is employed. Completing both sets of activities is a mandatory step in the project life cycle. Administrative activities complete the internal needs for the Agency/Unit that is responsible for managing the project, such as lessons learned, recording the last hours against the project, and providing transition for the staff to other assignments. Contractual activities meet the contractual needs, such as executing a procurement audit and formal acceptance of the project work products.

7.1.1 Administrative CloseAdministrative Close occurs at both the end of phase and end of project. This closure consists of verification that objectives and deliverables were met. Acceptance is formalized and phase activities are administratively closed out. Administrative closure occurs on a “by-phase” basis in accordance with the WBS and should not be delayed to project end. At that point, the burden of closing is too great and audits inaccurate. The specific project close activities for a given project are contingent on the project’s complexity and size. Project managers should work with the project’s project management consultant to tailored Project Close procedures to compliment the project’s objectives

7.1.2 Contract CloseContract close is similar to administrative close in that it involves product and process verification for contract close.

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APPENDIX A - Scope Definition Document

7.2 Detailed Work Breakdown Structure (WBS)

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ECM (EDMS/ERMS) ProjectWork Breakdown Structure

ECM(EDMS/ERMS)

Project

BusinessProcess

Reengineering

Application &Technology

InfrastructureImplementation

ElectronicRecords

Governance

SupportingOrganizationalInfrastructure

ProjectManagement

EnterpriseModel

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EDMS Project Management WBS

Application & Technology Infrastructure WBSdocument.doc

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Federal Financial Participation - APDU - RFP - Implementation Vendor Contract Approval PCC Certification - PIR - PIR Certification - EDMS Project Manual - Implementation Report - Implementation Certification - Close-out Report - Close-out CertificationECM (EDMS/ERMS) FY07 C3 FundingRequest

ECM (EDMS/EDMS) Project ManagementWork Breakdown Structure

ECM(EDMS/ERMS)

Project

BusinessProcess

Reengineering

Application &Technology

InfrastructureImplementation

ElectronicRecords

Governance

SupportingOrganizationalInfrastructure

ProjectManagement

EnterpriseModel

Funding

Project CharterNeeds AssessmentProject Control PlansScope DocumentWBSProject ScheduleSoftware Selection CriteriaChecklistProject Manual Document

Planning

Communication PlanTwice Monthly ESC MeetingsBi-weekly ESC Status ReportsMonthly OCIO Status ReportMeeting Notes

Communication

Project Manual DocumentRisk Management PlanIssue Management PlanQuality Control PlanCommunication PlanChange Control PlanBudgetPlanning Phase - Lessons LearnedImplementation - Lessons LearnedProject Overall - Lessons Learned

Control

Risk Management Plan - Mitigation Plans - Contingency Plans IV&V Reports

RiskManagement

Project Director Price AgreementNeeds Assessment Price AgreementRFP for Implementation ServicesImplementation Vendor ContractIV&V Price Agreement

ResourceManagement

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Finalize Selection Criteria Set up Vendor DemonstrationsSelect VendorReview & Approve Vendor

Application & Technology InfrastructureWork Breakdown Structure

ECM(EDMS/ERMS)

Project

Business Process

Reengineering

Application & Technology

InfrastructureImplementation

Electronic Records

Governance

Supporting Organizational Infrastructure

Project Management

Enterprise Model

Select ECM Vendor

Transition

Development & Implementation

Build Infrastructure

System Development & Customization

Execute TransitionSign-off Deliverables

Select Document Imaging Vendor

Finalize Selection CriteriaVerify Inter-operability Set up Vendor DemonstrationsSelect VendorReview & Approve Vendor

Obtain Vendor QuotesReview & ApprovalIT Consolidation Exceptions ProcessPurchase Hardware & Software

Procure Hardware & Software

Develop Hosting SLADevelop Technical Hardware & Software Architecture DocumentDevelop Technical Communication Architecture DocumentDevelop Configuration Specification & Systems Administration DocumentDevelop Installation & Configuration DocumentDevelop Configuration Management PlanInstall & Configure Hardware, Software & Network for Production EnvironmentInstall & Configure Hardware & Software for Dev. Test & Training Environments

Infrastructure Analysis & Design (IA&D)Document Logistics Analysis & DesignHardware RequirementsSystem Software RequirementsCommunication (Network) RequirementsData Interchange RequirementsReview & Approve IA&DArchitecture Committee Approval

Infrastructure Analysis &

Design

GSD RMD Release 1.0 - Functional Design - Technical Design - Build - Unit, System, Integration Test - User Acceptance Testing

Implementation Services Vendor

PlanningDevelop Quality Assurance PlanDevelop Quality Assurance Process DocumentDevelop Communication PlanDevelop Change Management PlanDevelop Issue & Risk Management PlanDevelop Project Work PlanDevelop Acceptance / Exit Criteria DocumentDevelop Deployment / Support SLADevelop Metadata / Taxonomy Best Practices DocumentDevelop Security PlanDevelop Data Interchange PlanDevelop Transition Plan

Design Content Management StructureDesign Records Management StructureDesign Metadata & Taxonomy

Functional Analysis & Design

Disaster Recovery Planning

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Business Process Reengineering WBS

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What are the steps to improve theprocess?Generate Solution IdeasDetermine Solution Impacts - BenefitsEvaluate & Select SolutionsDesign "TO-BE" process mapUpdate policy & procedure manualsDevelop & present StoryboardCommunicate Solutions to all StakeholdersDevelop Pilot Plan & Pilot Solution

How might we improve our day to day process?Define Scope and BoundariesDefine Issues and SolutionsTeam Charter and ChampionEstimate BPR ImpactCreate "AS-IS" process mapIdentify "Quick Hits" solutions

ECM(EDMS/ERMS)

Project

Business ProcessReengineering

(BPR)

Application &Technology

InfrastructureImplementation

ElectronicRecords

Governance

SupportingOrganizationalInfrastructure

ProjectManagement

EnterpriseModel

Business Process Reengineering (BPR)Work Breakdown Structure

Define Improve Control

Champion Continuous Process ImprovementProvide BPR TrainingGuide Process Reengineering effortsEstablish communication processesUtilize Best Practices such as Six Sigma

Establish BPRLeadership

Establish EnterpriseBusiness Process

Management

Support "end-to-end" process optimizationCross-functional process improvementSupport Cross-Departmental BPRContinuous Process ImprovementEnterprise Business Process Management

How do we guarantee performance?Verify Improvement Resulted from SolutionIdentify whether additional solutions are needed to achieve goalIdentify & Develop Standardization & Replication OpportunitiesIntegrate and Manage Solutions in daily work processesIntegrate Lessons LearnedIdentify teams next steps and plans for remaining opportunities

Analyze

What are the methods to separate the whole into component parts ?Stratify ProcessStratify Data & Identify specific problemsIdentify Root CausesValidate Root CausesComparative AnalysisRegression AnalysisDesign of ExperimentsRefine SWOTI Analysis

How can we gather performance measurements for our day to day process now?Identify Input, Process & OutputsDefine Operational VisionDevelop Measurement PlanCollect Baseline Measurement DataCollect current policy & procedure manualsDetail "AS-IS' process mapPerform SWOTI Analysis

Measure

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Implementation WBS

Content Migration PlansCost/Benefit for Imaging for "backlog" documentsIdentify EDMS export / import criteria

Training PlanTraining Documents - User Manuals - Quick Reference Guides

System Integration PlansFunctional Interface RequirementsTechnical Interface RequirementsInterface DevelopmentUnit & System TestingIntegration TestingUser Acceptance Testing

ECM ImplementationWork Breakdown Structure

ECM(EDMS/ERMS)

Project

Business Process

Reengineering

Application & Technology

InfrastructureImplementation

Electronic Records

Governance

Supporting Organizational Infrastructure

Project Management

Enterprise Model

Content Migration

System IntegrationTraining

Implementation Plan for Reengineered

Business Processes

Development & Implementation

GSD RMD Release 1.0 - Functional Design - Technical Design - Build - Unit & System Testing - Integration Test - User Acceptance Testing

Activate Security features for contentTest Security

ContentSecurity

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Electronic Records Management Rules & Standards WBS

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Use ECM solution to enforce Lifecycle for ContentDefine components of a compliance architecture - intelligent metadata editingWeb-site Content - Define strategies to address the unique challenges of integrating web-based applications with the ECM (ERMS/EDMS) -- informational web content -- transactional web contentE-mail & Text Messaging ContentERMS Standards for State agency EDMS IntegrationStrategies for Shared ContentSet up Content Collaboration - virtual team spaces for shared unstructured "working" contentStrategy for migration of content as technology changes

Ensure content is properly categorized & metadata taggedEnsure adherence to records retention policiesEnsure content management polices are enforcedSet up methods for auditing metadataDefine ERMS operational staffing requirementsDefine ERMS administrative staffing requirements

Review Board to work with - SRCA Statutory Responsibility - input from State AgenciesApprove changes to the EDMS/ERMS metadata structurePeriodically realign content library to business process

Educate State Agencies on Content Ownership ResponsibilitiesModify existing rules for ERMSModify Retention SchedulesManagement of Public Records created through electronic meansDefine metadata requirements - based on record series - thresholds

Electronic Records Governance ModelWork Breakdown Structure

ECM(EDMS/ERMS)

Project

BusinessProcess

Reengineering

Application &Technology

InfrastructureImplementation

ElectronicRecords

Governance

SupportingOrganizationalInfrastructure

ProjectManagement

EnterpriseModel

Enhance Electronic RecordsRules & Standards

Clarify or RestateContent Ownership

Establish ContentReview Board for

Metadata Standards

Plan & Budget forERMS Operational &

Administrative Support

Create ContentManagement StrategyCommunication

For ERMS buy-inFor complianceFor education

SupportingOrganizationalInfrastructure

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Supporting Organizational Infrastructure WBS

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Enterprise Model WBS

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Enterprise ModelWork Breakdown Structure

ECM(EDMS/ERMS)

Project

BusinessProcess

Reengineering

Application &Technology

InfrastructureImplementation

ElectronicRecords

Governance

SupportingOrganizationalInfrastructure

ProjectManagement

EnterpriseModel

Enterprise IT DataInterchange Capability

Enterprise BusinessProcess Management

Enterprise Portal

Enterprise ContentManagement

ResearchPromote Enterprise

ModelCreate EnterpriseModel Document

Industry TrendsBest PracticesSurvey Other States

Increase Awareness for Enterprise Content ManagementCoordinate with other AgenciesPresentations to CIO Council

Blueprint for Enterprise EDMS

Service OrientedArchitecture (SOA)

Enterprise IT SecurityManagement Program

Identity ManagementAccess Directory ServicesLDAP

Enterprise Content Management, and anElectronic Document and Records Management Systems frameworkis just one component of an Enterprise Model allowing the State of New Mexicoto move towards a fully electronic services interfacefor our technology-enabled customers

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APPENDIX B - Project Schedule/Gantt ChartIf you would like a current soft copy of the MS Project file, please send an email to [email protected]

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APPENDIX C - Project BudgetIf you would like a current soft copy of the Project Budget, please send an email to [email protected]

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APPENDIX D - Risk Analysis For the most up to date EDMS Project Risk report, please email the GSD ECM-EDMS Project Manager at [email protected].

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APPENDIX E - Project LibraryThe project library is an electronic storage place where all documentation relating to the project is stored and updated. GSD ECM-EDMS project website provides project specific information. See www.GSD ECM-EDMS.state.nm.us . This is a single source of project information for all stakeholders. The website includes Information:

Project Objectives Project Organization Project Status Governance, including project status reports and meeting minutes Project Manual Project Background and Definitions ECM Requirements Matrix ECM Architecture Design

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APPENDIX F - Sample Project FormsProject Change Request FormThis is the form to initiate the Change Control process.

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Project Status ReportTo request a copy of the current project status report, send an email to [email protected]

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Sample issues reportFor the most up to date EDMS Project Issues report, please email the GSD ECM Project Manager at [email protected]

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APPENDIX G – GSD ECM-EDMS Project Definitions"Administrator" means the state records administrator (Section 14-3-2 NMSA 1978).

"Agency" means any state agency, department, bureau, board, commission, institution or other organization of the state government, the territorial government and the Spanish and Mexican governments in New Mexico (Section 14-3-2 NMSA 1978).

“Application” means a software program designed for end user to do work, such as word processing, accounting, or illustrating.  Software programs such as WordPerfect, Excel, and PageMaker are examples of end user applications.

“Archives” Archives has three meanings:1. Documents preserved because of their historical or informational value.2. “Archives” means the building or part of a building where archival materials are located, also

referred to as an archival repository.3. The agency or program responsible for selecting, preserving, and making available archival

material. Archives and Historical Services is a Division of the State Commission of Public Records (General Services Department). This Division is responsible for selecting, preserving, and making available permanent records, historical manuscripts, photographs and other materials that contribute to the understanding of New Mexico history.

“Audit” means a periodic examination of an organization to determine whether appropriate procedures and practices are followed.

“C-1” means a project request for a base budget

“C-2” is a single agency project request for funding

“C-3” is a multi-agency project request for funding

"Commission" means the state commission of public records (Section 14-3-2 NMSA 1978)

“COMMISSION OF PUBLIC RECORDS” means the governing body of the NM General Services Department

“Computer” This includes, but is not limited to, mainframe computers, minicomputers, and microcomputers, personal computers, portable computers, pocket computers, tablet computers, telephones capable of storing information, PDAs, and other devices.

“Content” is a metadata concept that encompasses document images, papers, books, maps, email, web sites, HTML, XML, photographs, forms, audio, video, text, and reports.

“Content Taxonomy” see the definition for Taxonomy“Custodial agency” means the agency responsible for the maintenance, care, or keeping of public records,

regardless of whether the records are in that agency’s actual physical custody and control.

“Data” is the plural for “datum” which means a single piece of information. Data refers to a collection of information, electronic or non-electronic.  Data can also refer to raw facts, figures, or symbols.

“Database” means a collection of information stored in magnetic or hardcopy form (with or without any particular structure).

“Destruction” means the disposal of records of no further value by shredding, burial, incineration, pulping, electronic overwrite, or some other process, resulting in the obliteration of information contained on the record.

“Digital asset management (DAM)” is the process of digitizing, cataloging, enabling search, retrieval, management, repurposing, delivery, and secure sale of media assets, which could be a combination of audio, video, text, and images. DAM systems are used to manage, store and retrieve rich media. DAM vendors offer:

Asset cataloging — done using the closed caption of a video or through the assignment of attributes.

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Asset retrieval — provides indexing and search capabilities for rich media. Assets can be retrieved through their attributes, full text indexes or visual characteristics such as pattern recognition or scene changes of a video.

Workflow — includes being able to distribute and incorporate assets into tasks. Content distribution is based on its type, such as streaming for video and audio.

Content rendering — content can be rendered to different output types of resolutions, such as MP3 for audio or "thumbnails" for photos. This feature lends itself well to multi-channel (print, video, Web) marketing campaigns.

As the use of rich media increases in intranet and Internet applications, partnerships and mergers will proliferate among vendors of DAM, WCM and document management applications. (From Gartner Research).

“Disposition” means final action that puts into effect the results of an appraisal decision for a series of records (i.e., transfer to archives or destruction).

“Electronic records” means records whose informational content has been encoded and recorded on a medium like magnetic tape, drums, discs, or punched paper tape and can be retrieved by finding aids known as software documentation.  The encoded information is retrievable only with the help of a computer.

“Electronic records management” Records management technology enables an enterprise to assign a specific life cycle to individual pieces of corporate information. The information classified as records can come from many applications, including e-mail, Web pages, scanned documents, enterprise resource planning, homegrown applications, fax documents and paper. Some records management systems rely on Integrated Document Management systems to work while others can be used stand-alone.

o “The stand-alone records management market is small, with about $50 million in software revenue worldwide. However, the interest in records retention has surged, as accounting scandals and lawsuits have made headlines.

o All the major Enterprise Content Management players will build or buy records management functionality by 2004 (0.8 probability). The stand-alone records management market is being relegated to niche status. (From Gartner Research)”

“Enterprise Content Management (ECM)” is generally considered to be an amalgamation of a number of distinct but interrelated applications:

Integrated Document Management (IDM) Web Content Management (WCM) Digital Asset Management (DAM) Enterprise Records & Retention Management (ERRM) Collaboration Content Management (CCM), Collaboration technology, a subset of ECM, is

becoming increasingly important in organizations, allowing the participants in a business process to come together to optimize the process to mutual benefit. This brings partners, suppliers, customers and agencies together in a controlled way, manages, and leverages collaboration content such as discussion threads, voting results, and documents.

“Enterprise Records & Retention Management (ERRM)” is a process that monitors documents (for example, papers, books, maps, e-mail, Web site content, photographs and messages) throughout their life cycle; from the time they are created to the time they are destroyed. Records are documents used to maintain information created or received while conducting an organization's activities. They are held for several reasons, including business continuity, legal or statutory requirements, or as permanent records of the enterprise. In many cases, ERRM is a mandatory program, and enterprises have no choice but to spend money to meet legal or regulatory requirements. Penalties for lack of compliance can range from censure to fines or, in extreme cases, to suspension of business activities. (From Gartner Research)

(Note: see also the definition for “Public Record,” and note the distinction for record destruction vs. record disposition.)

“Forms capture and processing” Forms-capture and forms-processing software apply recognition technologies such as OCR, ICR and bar code against an electronic document (such as scanned paper and electronic fax) to increase the data entry throughput with a lower labor component. In the simplest case, a document is scanned, and key fields (for example, name, account number, age, purchase amount, tax owed) are recognized and translated, verified and passed to a database or line-of-business

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application. The leading forms processing and capture vendors are providing multichannel, multiprotocol (paper, Web, fax, e-mail) capture and export capabilities.

“Through 2005, the leading forms-processing vendors will be those with strong product and channel relationships with the major document imaging vendors and integrators (0.8 probability) (From Gartner Research).”

“General schedule” means a records retention and disposition schedule that specifies the disposition of support records common to many offices or agencies within government.  See also:  records retention and disposition schedule.

“Human readable form” means information that can be recognized and interpreted without the use of technology.

“Integrated document archive & retrieval system (IDARS)” serve as an archive repository for large volumes of fixed content while enabling access to, and delivery of, that content through multiple output channels. This "fixed content" includes report print streams, such as customer statements and related communications, and images of scanned documents, such as invoices, checks and contracts. IDARS also fulfill the reporting needs of enterprise applications, such as enterprise resource planning (ERP) and CRM.o IDARS provides consolidated storage, access, management and viewing of data that is often print-

stream-originated, such as line data, advanced function presentation, Metacode, PostScript and Printer Control Language (PCL). IDARS is a mature market segment that has the potential for significant growth, particularly related to bill presentment opportunities

o Through 2005, the IDARS software market will be dominated by the top eight vendors (0.7 probability). It will then cease to be a stand-alone market as content/IDM vendors will move in and acquire or offer these capabilities.

o By 2007, the IDARS market will cease to be a stand-alone market and will merge into the ECM Category (0.7 probability). By 2007, IDARS will become integral components of ECM suites (0.7 probability).

o By 2005, all of the major stand-alone IDM vendors will have evolved into Content Management suite vendors (0.8 probability) (From Gartner Research).

“Integrated Document Management (IDM)” systems contain document/file creation and management tools that organize, import/export, provide version control, security, logs, text search, storage management and more.o “IDM software is an infrastructure service for securely organizing and managing electronic

documents, routing documents, automating related tasks and facilitating document distribution. Core IDM functionality includes library services (check-in/checkout, version control and document-level security), cross-repository searching and common system administration. IDM and Web Content Management (WCM) vendors have taken up the Enterprise Content Management message. For the IDM vendors, this means adding richer support for Web technologies and standards — HTML, XML, Web Distributed Authoring and Versioning (WebDAV) — as well as greater functionality around Web publishing. Many IDM vendors are also incorporating enhanced search-and-retrieval capabilities, along with support for compound documents and document component management.’

o “IDM software architectures are evolving from repositories designed to handle specific types of information to integrated repositories designed to handle many types of unstructured information (for example, text, images, Web pages, video, audio and report data). These integrated repositories will add functionality required not only to manage the information, but also to understand the information content and structure. These expanded repository capabilities are key to the broader Content Management concept.”

o “By 2005, all of the major stand-alone IDM vendors will have evolved into Content Management suite vendors or smart enterprise suite vendors (0.8 probability) (From Gartner Research).”

“Information system” means an electronic framework by which hardware and software resources are coordinated to manipulate and convert inputs into outputs in order to achieve the objective of an enterprise.

“Life cycle” means the life span of a record from its creation or receipt to its final disposition.

“Medium, media” means the physical material on which information can be recorded.

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“Microforms” means microfilm media, including reels, fiche, jackets, and computer output microfilm (COM) containing micro images.

“NARA” – National Archives and Records Administration

“Network Attached Storage (NAS)” is a LAN-attached storage server with a small, optimized system software package dedicated to performing storage related tasks. It includes preconfigured disk capacity that can be quickly installed on popular network platforms. NAS provides this expanded capacity without sacrificing either file access speed or system throughput, which would be affected by network storage add-ons such as tape libraries, CD towers, or optical jukeboxes. Instead, NAS storage devices are usually magnetic disks or RAID arrays that provide seamless, high performance file access and filing by operating at full hard disk speed. And the cost in time, resources, and inconvenience is far less than that of increasing internal storage space within the server or implementing a SAN. (See Storage Area Network (SAN).)

“Non-record” means extra copies of documents kept solely for convenience of reference, stocks of publications, records not usually included within the scope of the official records of an agency or government entity, and library material intended only for reference or exhibition. The following specific types of materials are non-records: materials neither made nor received in pursuance of statutory requirements nor in connection with the functional responsibility of the officer or agency; extra copies of correspondence; preliminary drafts or other material summarized in final or other form and which have no value once action has been taken; blank

“Operating system,” means the master control software that runs a computer.  When the computer is turned on, the operating system is the first program that gets loaded into the memory of the machine.

“Paper scanning, optical character recognition/intelligent character recognition (OCR/ICR) and imaging” One of the oldest Enterprise Content Management technologies, document imaging is more than 20 years old. It has evolved from proprietary stand-alone systems to standards-based applications. Imaging is used heavily in the financial service industries, banking and insurance. Government agencies are also heavy users of scanning technology. Because of its longevity, imaging technology has become highly commoditized and, therefore, presents a difficult market for stand-alone imaging vendors to succeed in. Imaging is now most often paired with integrated document management (IDM) solutions. Imaging applications are distinguished by their volume requirements. Although most imaging applications are more modest, high-volume scanning and imaging systems process more than 100,000 images per day. “The few remaining stand-alone imaging vendors will be acquired or will exit the market by 2004 (0.9 probability) (From Gartner Research).”

“Pending litigation” means a proceeding in a court of law whose activity is in progress but not yet completed.

“Program” means a coded set of instructions, written by humans, that directs a computer’s functions.  The program can be stored on disk (in which case the program is software) or in a chip (which is firmware).

“Public record” means all books, papers, maps, photographs or other documentary materials, regardless of physical form or characteristics, made or received by any agency in pursuance of law or in connection with the transaction of public business and preserved, or appropriate for preservation, by the agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the government, or because of the informational and historical value of data contained therein.

“Records custodian” means the statutory head of the agency or his or her designee.

“Records Liaison Officer (RLO)” means the individual in the custodial agency designated by the records custodian to cooperate with, assist, and advise the General Services Department in creating efficient and effective records management programs. The RLO in an agency is responsible for implementing the records retention and disposition schedules within his or her agency.  The records liaison is also responsible for authorizing the storage and or destruction of his or her agency’s records.

“Records management” means the systematic control of all records from creation or receipt through processing, distribution, maintenance and retrieval, to their ultimate disposition.

“Records retention period” means the period of time during which records must be maintained by an organization because they are needed for operational, legal, fiscal, historical or other purposes.

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“Records retention and disposition schedules,” means document that specifies actions for the retention and disposition of current, inactive, and non-current records series of an organization or agency.

“Records series” means file units, documents, or electronic records arranged according to a filing system or maintained as a unit because they relate to a particular subject or function, result from the same activity, have a particular form, or share some other relationship arising from their creation, receipt, or use.

“Storage” The State Commission of Public Records (SRCA) provides secure storage for in-active public records maintained by state agencies. The SRCA maintains two records center facilities; the Albuquerque facility has a storage capacity of 45,000 cubic feet and the records center in Santa Fe has a storage capacity of 75,000 cubic feet. The Record Center Services Bureau staff monitors and handles the transfer, receipt, storage, and withdrawal of in-active records housed in the record facilities for state agencies. When those records have met their legal retention, the staff executes the disposition of the records. The disposition would be one of two situations, 1) transfer to Archives or 2) destruction.

“Storage Area Network (SAN)” is a technology designed to overcome throughput and data-sharing issues that are common in existing data networks. SANs are fully scalable, fault-resilient shared data repositories providing unlimited mixing and matching of storage devices, storage space, and even files (under certain conditions) across the network. They are fast becoming the architecture of choice for centrally managed network storage tasks. SANs are high-speed, high-bandwidth I/O channels (usually Fibre Channel) that connect to the back end of local area network (LAN) servers. They remove cumbersome storage functions from the server, thus improving overall LAN and WAN performance. A typical SAN includes a blend of storage devices (such as automated tape libraries or RAID) capable of communicating with multiple hosts and with each other over a fast, fault-tolerant storage pipeline (the SAN). The SAN is actually a dedicated storage access I/O channel (containing network properties) optimized for handling storage tasks.

“Scheduling” means the action of establishing retention periods for records and providing for their proper disposition at the end of active use.

“Taxonomy” - A taxonomy is a classification scheme. Content Taxonomy is a classification of all unstructured content (document images, papers, books, maps, email, web sites, HTML, XML, photographs, forms, audio, video, text, and reports). The taxonomy automatically controls the attribution and organization of enterprise content based on information extraction, conceptual classification, business analysis, and taxonomy and metadata management capabilities. The taxonomy enables advanced search, easier navigation, and more effective personalization to facilitate content reuse.

“Transfer” means moving inactive records to a records center or archives.  Moving records into the state archives also includes the transfer of custody from the custodial agency to the state archives.

“TIFF" means tagged image file format, a standardized format for storage of digitalized images, which contains a header or tag that defines the exact data structure of the associated image.

“Vital records” means records essential to the continuing operation of an agency. They are either intrinsically irreplaceable or irreplaceable because copies do not have the same value as the originals.  They are essential to the continuity of services during a disaster or to the restoration of daily business when it has been interrupted.  They are the records that would be required to protect the legal and financial interests of an agency, preserve the rights of the people, and resume operations after a major disaster like fire or flood.

“Voice mail” means a telecommunication message that is digitized and can be stored and subsequently retrieved in audio or visual format.

“Web Content Management (WCM)” addresses the content creation, review and approval, and publishing processes. Typical applications rely on XML/XSL technology through templates and stylesheets to enable highly flexible output of content to multiple channels. Through year-end 2002, the WCM market will continue to consolidate.o “From the vendor perspective, IDM and WCM vendors are moving into each other's markets, and

this represents an evolution of both technologies. There is some natural overlap of functionality related to document production and management. Users had balked at the high cost required to bring up two separate systems. Vendors offering both sets of functionality include Gauss Interprise, FileNET, Documentum, Interwoven and Hyperwave.

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o By 2006, WCM functionality will become commoditized into infrastructure applications, including Content Management suites, portals and other applications (0.7 probability). (From Gartner Research)”

“Website” means a presence on the internet or intranet containing information that represents an agency or presents information on specific subjects or allows transactions to be conducted through the use of links or web pages. A website is normally hosted and maintained by an agency or by another entity sharing internet resource or through an internet service provider.

“Work process management” - aka workflow, work management, process automation or e-process management software — is a tool for automating business processes and handling the interrelationships between the components of a business process, participants, procedures, information, tasks and management. Document-centric workflow was pioneered in the 1980s as a means of routing images of documents through a processing or approval cycle in an organization. The goal is to create an ideal document route through an enterprise, not simply to automate an established paper-based process.o Most Integrated Document Management (and Enterprise Content Management) software includes

some workflow functionality. At a minimum, document versions can be sent along predefined routes for review or approval. At the higher end is workflow that includes task assembly, task assignment and task tracking to completion. IDM software products generally contain ad hoc workflow features such as routing and e-mail notification, but may permit integration of third-party workflow packages when greater processing and control features are required. (From Gartner Research)”

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APPENDIX H – GSD ECM-EDMS Project Acronyms

APD – Advance Planning DocumentCIO – Chief Information OfficerCRM – Customer relationship managementDAM – Digital Asset ManagementDFA – Department of Finance and AdministrationDoIT – Department of Information TechnologyERP – Enterprise Resource PlanningESC – Executive Steering CommitteeGSD – General Services DepartmentHIPAA - Health Insurance Portability and Accountability Act of 1996GSD – General Services DepartmentIT – Information TechnologyITC – IT Commission, a State CIO sponsored commissionMAG – Multi Agency teamPD – Project directorPMBOK – Project Management Book of Knowledge PMI – Project Management Institute PT – Project teamRFP – Request for proposalVR – Vital Records WBS – Work breakdown structure

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APPENDIX P - Project Management DefinitionsBelow is a list of project management terms. These definitions were supplied by the NM Department of Information Technology office.

Acceptance CriteriaThe criteria that a system or component must satisfy in order to be accepted by a user, customer, or other authorized entity. [IEEE-STD-610]

Acceptance TestingFormal testing conducted to determine whether or not a system satisfies its acceptance criteria and to enable the customer to determine whether or not to accept the system. [IEE-STD-610]

AssumptionsPlanning factors that for planning purposes, will be considered true, real, or certain. Assumptions generally involve a degree of risk. They may be documented here, or converted to formal risks.

BaselineA specification or product that has been formally reviewed and agreed upon that thereafter serves as the basis for further development, and that can be changed only through formal change control procedures. [IEEE-STD-610]

CommitmentA commitment is a pact that is freely assumed, visible, and expected to be kept by all parties.

Configuration Management (CM)A discipline applying technical and administrative direction and surveillance to identify and document the functional and physical characteristics of a configuration item, control changes to those characteristics, record and report change processing and implementation status, and verify compliance with specified requirements. [IEEE-STD-610]

Configuration Management Library SystemThese are the tools and procedures needed to access the contents of the software baseline library.

ConstraintsFactors that will (or do) limit the project management team’s options. Contract provisions will generally be considered constraints.

Contingency PlanningContingency Planning is the development of a management plan that identifies alternative strategies to be used to ensure project success, if specified risk events occur.

CrashingCrashing is taking action to decrease the total duration after analyzing a number of alternatives to determine how to get the maximum duration compression for the least cost.

Critical PathCritical Path is a series of activities that determines the duration of the project. The critical path usually defined as those activities with float less than or equal to specified value often zero. It is the longest path through the project.

Dependencies, DiscretionaryDependencies defined by the project management team. They should be used with care and usually revolve around current Best Practices in a particular application area. They are sometimes referred to as soft logic,

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preferred logic, or preferential logic. This may also encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle.

Dependencies, MandatoryDependencies inherent to the work being done. In some cases, they are referred to as hard logic.

Dependency ItemA product, action, piece of information, etc., that must be provided by one individual or group to a second individual or group so they can perform a planned task.

DeliverableAny measurable, tangible, verifiable outcome, result, or item that must be produced to complete a project or part of a project that is subject to approval by the project sponsor or customer.

DurationThe number of work periods (not including holidays or other nonworking periods) required to complete an activity or other project element.

Duration CompressionShortening the project schedule without reducing the project scope. Often increases the project cost.

End UserThe individual or group who will use the system for its intended operational use when it is deployed in its environment.

EffortThe number of labor units required to complete an activity or other project element, usually expressed as staff hours, staff days, or staff weeks.

Fast TrackingCompressing the project schedule by overlapping activities that would normally be done in sequence, such as design and construction.

FloatThe amount of time that an activity may be delayed from its early start without delaying the project finished date.

Formal ReviewA formal meeting at which a product is presented to the end user, customer, or other interested parties for comment and approval. It can also be a review of the management and technical activities and of the progress of the project.

Integrated Project PlanA plan created by the project manager reflecting all approved projects and sub-projects.

Lessons LearnedThe learning gained from the process of performing the project. Lessons learned may be identified at any point during the execution of the project.

MethodMethod is a reasonably complete set of rules and criteria that establish a precise and repeatable way of performing a task and arriving at a desired result.

MethodologyA collection of methods, procedures, and standards that defines an integrated synthesis of engineering approaches to the development of a product.

Milestone

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A scheduled event for which some individual is accountable and that is used to measure progress.

Non-technical RequirementsAgreements, conditions, and/or contractual terms that affect and determine the management activities of an architectural and software project.

Performance ReportingCollecting and disseminating performance information. This includes status reporting measurement, and forecasting.

Procurement PlanningDetermining what to procure and when.

Product ScopeThe features and functions that characterize a product or service.

Project Leader (Technical)The leader of a technical team for a specific task, who has technical responsibility and provides technical direction to the staff working on the task.

Project ManagementThe application of knowledge, skills, tools, and techniques to project activities to meet the project requirements. Project Management is also responsible for the oversight of the development and delivery of the architecture and software project.

ProgramA group of related projects managed in a coordinated way. Programs include an element of ongoing work.

Program Management OfficeAn organizational entity responsible for management and oversight of the organization’s projects. As a specific reference in this document, the Office of the Chief Information Officer.

Project ManagerThe role with total business responsibility for an entire project. The individual who directs, controls, administers, and regulates a project. The project manager is the individual ultimately responsible to the customer.

Project CharterA document issued by senior management that formally authorizes the existence of a project. It provides the project manager with the authority to apply organizational resources to project activities.

Project Management PlanA formal, approved document used to guide both project execution and project control. The primary uses of the project plan are to document planning assumptions and decisions, facilitate communication among stakeholders, and documents approved scope, cost, and schedule baselines. The Project Management Plan (PMP) is a project plan.

Project ScheduleA tool used to indicate the planned dates, dependencies, and assigned resources for performing activities and for meeting milestones. Software products such as ABT’s Workbench and Microsoft Project are tools used to develop project schedules.

Project ScopeThe work that must be done to deliver a product with the specified features and functions.

Project Sponsor

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The individual that provides the primary sponsorship for an approved project. This individual will play a key role in securing funding, negotiating for resources, facilitating resolution of critical organizational issues, and approving key project deliverables.

QualityThe degree to which a system, component, or process meets specified requirements.

The degree to which a system, component, or process meets customer or user needs or expectations. [IEEE-STD-610]

Quality ManagementThe process of monitoring specific project results to determine id they comply with relevant standards and identifying ways to eliminate causes of product non-compliance.

RiskPossibility of suffering loss.

Risk ManagementAn approach to problem analysis, which weighs risk in a situation by using risk probabilities to give a more accurate understanding of, the risks involved. Risk Management includes risk identification, analysis, prioritization, and control. Risk mitigation seeks to reduce the probability and/ or impact of a risk to below an acceptable threshold.

Risk Management PlanThe collection of plans that describes the Risk Management activities to be performed on a project.

Scope ChangeAny change to the project scope. A scope change almost always requires an adjustment to the project cost or schedule.

Software Life CycleThe period of time that begins when a software product is conceived and ends when the software is no longer available for use. The Software Life Cycle typically includes a concept phase, requirements phase, design phase, implementation phase, test phase, installation, and checkout phase, operation and maintenance phase, and, sometimes, retirement phase.

StakeholderIndividuals and organizations that are actively involved in the project, or whose interests may be positively or negatively affected as a result of project execution or project completion. They may also exert influence over the project and its results.

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APPENDIX R – References

1. “ECM Suites Emerge From Industry Consolidation,” GARTNER Research; Publication Date: 11 November 2004/Number: G00122995

2. Hammer, Michael. Beyond Reengineering, How the Process-Centered Organization is Changing Our Work and Our Lives. New York: HarperCollins Publishers, Inc., 1996.

3. “Review Your IDARS Plans as the Market Consolidates,” GARTNER Research; Publication Date: 12 November 2004/Number: G00124414

4. “Technical Report – Framework for Integration of Electronic Document Management Systems and Electronic Records Management Systems,” ANSI/AIIM/ARMA TR48-2004, Copyright 2004 by AIIM www.aiim.org; ARMA www.arma.org; July 4, 2004

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