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PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION

DOCUMENT IMAGING IMPLEMENTATION AND CONTENT

MANAGEMENT MIGRATION

PROJECT MANAGEMENT PLAN (PMP)

EXECUTIVE SPONSOR – TOM CHURCH, NMDOT CABINET SECRETARY

BUSINESS OWNER - NMDOTPROJECT MANAGER – BRUCE OAKELEY /DAVID CORIZ

ORIGINAL PLAN DATE: DECEMBER 22, 2013 REVISION DATE: JANUARY 14, 2014

REVISION: 1.0

REVISION: 1.0 DOIT-PMO-TEM-020 1 OF vi


TABLE OF CONTENTS

About This Documentv1.0 PROJECT OVERVIEW................................................................................................................................... 1

1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT................................................................................................11.2 FUNDING AND SOURCES...........................................................................................................................................21.3 CONSTRAINTS........................................................................................................................................................21.4 DEPENDENCIES.......................................................................................................................................................21.5 ASSUMPTIONS...................................................................................................................................................31.6 INITIAL PROJECT RISKS IDENTIFIED...........................................................................................................................3

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE.............................................................................4

2.1 STAKEHOLDERS......................................................................................................................................................52.2 PROJECT GOVERNANCE STRUCTURE...........................................................................................................................52.3 EXECUTIVE REPORTING............................................................................................................................................6

3.0 SCOPE........................................................................................................................................................... 6

3.1 PROJECT OBJECTIVES..............................................................................................................................................63.2 PROJECT EXCLUSIONS..............................................................................................................................................83.3 CRITICAL SUCCESS FACTORS.....................................................................................................................................8

4.0 PROJECT DELIVERABLES AND METHODOLOGY...............................................................................................9

4.1 PROJECT MANAGEMENT LIFE CYCLE..........................................................................................................................94.2 PRODUCT LIFE CYCLE.......................................................................................................................................21

5.0 PROJECT WORK........................................................................................................................................... 26

5.2 SCHEDULE ALLOCATION -PROJECT TIMELINE..............................................................................................................265.3 PROJECT BUDGET.................................................................................................................................................27

5.4.2 Project Team Roles and Responsibilities..................................................................................................295.5 STAFF PLANNING AND RESOURCE ACQUISITION................................................................................................305.6 PROJECT LOGISTICS.........................................................................................................................................32

6.0 PROJECT MANAGEMENT AND CONTROLS....................................................................................................33

6.1 RISK AND ISSUE MANAGEMENT..............................................................................................................................336.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V...........................................................................................366.3 SCOPE MANAGEMENT PLAN..................................................................................................................................366.4 PROJECT BUDGET MANAGEMENT............................................................................................................................376.5 COMMUNICATION PLAN........................................................................................................................................376.7 QUALITY OBJECTIVES AND CONTROL..............................................................................................................386.8 CONFIGURATION MANAGEMENT...................................................................................................................406.9 PROCUREMENT MANAGEMENT PLAN............................................................................................................40

7. 0 PROJECT CLOSE........................................................................................................................................... 40

ATTACHMENTS................................................................................................................................................. 41

APPENDIX A - SCOPE DEFINITION DOCUMENT.....................................................................................................1

DETAILED WORK BREAKDOWN STRUCTURE (WBS)..........................................................................................................1ECM Project Management WBS........................................................................................................................2Implementation WBS.........................................................................................................................................5



Supporting Organizational Infrastructure WBS.................................................................................................7

Revision History

REVISION NUMBER DATE COMMENT

December 22, 2013 Original Draft

1.0 January 14, 2014 Revision for PCC Certification

ABOUT THIS DOCUMENT This document is developed based on the State of New Mexico Department of Information Technology (DoIT) template for a Project Management Plan (PMP) - Revision: 1.0, July 27, 2007; 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.

The PMP is set up so that the body of the document continues to serve the needs of any future NMDOT Enterprise Content Management 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 “Documentum Implementation and FileNet Migration” Project Management Plan.

The term Enterprise Content Management (ECM) became the industry standard for a combination of functions that includes: document imaging, electronic document management, electronic records management, workflow, and web content management. 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 While AIIM is not changing their name, they are using a new byline, referring to themselves as the “Enterprise Content Management Association”.

1.0PROJECT OVERVIEW

1



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. 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 SUMMARY- RATIONALE FOR THE PROJECT Below is a diagram showing the various technology tools that are being included in Enterprise Content Management solutions offered by vendors.

The NMDOT project enables the Records Management Division to capture, manage and search electronic content/documents and to automate paper and manual processes. There are many vital records that NMDOT must maintain and make available to internal and external customers for many years to come. The purpose of this project is to

replace the existing document imaging system which is over 13 years old and has some major software and hardware issues. NMDOT plans to automate and maintain as many records it can in electronic format and in the future move to a paperless environment and convert paper records to electronic format for many areas in the agency. Also comply with the Inspection of Public Records Act when providing electronic information. Many of the NMDOT business processes are paper intensive. These improvements are achievable through implementing document scanning, electronic document management and electronic records management. NMDOT is working on finding another solution to replace the older system. The solution is to provide a system that the end users can continue to do their daily job duties and provide good customer service to the public and its internal users. The current system has over 4 terabytes of electronic information and records that are vital to the programs and the history of NMDOT that will need to be preserved for many years to come.


EnterpriseContent

Management

RecordsManagement

DocumentManagement

WorkflowManagement

Web ContentManagement

DocumentImaging

Document-centric

Collaboration

Digital AssetManagement

e-FormsProcessing Email Archiving

ECM Components

IntegratedDocument Archive

& Retrieval


1.2 FUNDING AND SOURCES

SOURCE AMOUNT ASSOCIATED RESTRICTIONS

NMDOT Road Fund (ONM) $1,272,468 None

1.3 CONSTRAINTSConstraints are factors that restrict the project by scope, resource, or schedule.

NUMBER DESCRIPTION1 Statutory requirement to keep vital records for long term.

2 Statutory requirement to preserve and maintain permanent records by law.

1.4 DEPENDENCIES Mandatory dependencies D- Discretionary dependencies E-External

NUMBER

DESCRIPTION TYPE M,D,E

1 Vendor On-going Software Support M

2 NMDOT Business Process M

3 System sized to scale to meet NMDOT demands M

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

5 Infrastructure scalability M

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 Maintain Operating Standards Maintenance standards manual. M

10 Forms management M

11 State Records Center and Archives Approval of NMDOT Imaging System Plan revisions M



1.5 ASSUMPTIONS

NUMBER DESCRIPTION1 System will integrate with DoIT Enterprise Architecture and with Central Electronic

Records Repository (CERR) 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 software5 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.

1.6 INITIAL PROJECT RISKS IDENTIFIED

For every phase of the project, the risks and issues are identified and managed through the length of the project cycle. As items are identified, they are assessed in terms of impact (scope, schedule, resources, cost) and magnitude. Items are then prioritized for mitigation.


Executive Sponsor, Tom Church

Business Owners,David Coriz

NMDOT Staff

Project Sponsor, Bruce Oakeley

Executive Steering CommitteeTom ChurchEric Roybal

Business Operations Review Team:BenefitsFinancial/TrainingLegalConstructionContractsRecords ManagementReports/HIPAA Regulations

Project Manager


2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE



2.1 STAKEHOLDERSList all of the major stakeholders in this project, and state why they have a stake. . Stakeholders are individuals 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.

NAME STAKE IN PROJECT ORGANIZATION TITLE

Tom Church Executive Sponsor NMDOT Cabinet Secretary

Eric Roybal Budget NMDOT CIO

Bruce Oakeley Budget Project Sponsor NMDOT Manager

2.2 PROJECT GOVERNANCE STRUCTURE2.2.1 DESCRIBE THE ORGANIZATIONAL STRUCTURE – ORG CHART

ROLE RESPONSIBILITY NAME FUNCTIONAL AREA

IT Manager Oversight of Project Bruce Oakeley IT

CIO Project certification Eric Roybal IT

Project Lead Oversight of project Adam Torab WAVE Technologies Solutions Group

Project Engineer Produce deliverables Usman Ghani WAVE Technologies Solutions Group

2.2.2 DESCRIBE THE ROLE AND MEMBERS OF THE PROJECT STEERING COMMITTEE

Bruce Oakeley- IT Project Manager

Jeff Woodman- IT Project Manager

David Coriz- IT Project Manager/Records Manager

Conce Fresquez- IT Manager

Eric Roybal- IT CIO



2.3 EXECUTIVE REPORTING

Meetings will be conducted with NMDOT 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 with frequency and length of those meetings to be defined. Project status updates reports will be verbally communicated to Business Owners conducted at weekly staff meetings. NMDOT 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.

3.0 SCOPE

3.1 PROJECT OBJECTIVES3.1.1 BUSINESS OBJECTIVES

NUMBER DESCRIPTIONBUSINESS OBJECTIVE 1

Increased efficiency and productivity through a well-managed records environment

BUSINESS OBJECTIVE 2

Optimize business processes, decreasing number of steps, saving time


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

BUSINESS OBJECTIVE 4 Improved service delivery to constituency


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


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


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


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


Revisions to NMDOT Imaging System Plan are approved by SRCA



3.1.2 TECHNICAL OBJECTIVES

NUMBER DESCRIPTIONTECHNICAL OBJECTIVE 1

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

TECHNICAL OBJECTIVE 2

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


Support portal architecture


System will have indexing and archiving functionality


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


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


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


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


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


Authentication - System will support Microsoft Active Directory


Systems Integration - System will be connected to Hitachi SAN


Redundancy - System will be configured to support system fail over


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


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


Include a Reports Writer module


System must support up to 1,500 concurrent users

3.2 PROJECT EXCLUSIONSIn particular, the following items are out of scope for this Project:



Migration of FileNet P8 Integration with HR application Implementation/Integration of OIG Forms/Workflows. Database level migration – Consultant will extract only the content and metadata

information from the database. Network sizing, capacity analysis and performance considerations. Installation of Windows Operating System service packs or patches. NMDOT will perform Disaster Recovery and Daily Backups. Already in place

3.3 CRITICAL SUCCESS FACTORS

NUMBER DESCRIPTIONQUALITY METRICS 1

The project schedule, assigned tasks, resources and milestones are met.

QUALITY METRICS 2

Project does not exceed budget without proper authorization.

QUALITY METRICS 3

System can provide reports that accurately track document metrics

QUALITY METRICS 4

All NMDOT operational and facility data information is successfully converted and migrated onto an electronic records management platform

QUALITY METRICS 5

Applicable Legislative Performance Measures as stated in Strategic Business and IT plan are met.

QUALITY METRICS 6

System is secure, operable and stable

QUALITY METRICS 7

Data integrity is maintained

QUALITY METRICS 8

Staff is adequately trained

QUALITY METRICS 9

Conforms to SRCA Records Management Policies

4.0 PROJECT DELIVERABLES AND METHODOLOGYNMDOT will use our vendor’s WAVE Methodology Framework (WMF) for project management. This framework is based on years of consulting and project delivery knowledge in the field of Enterprise Content Management, has been field-tested and has proven successful. It consists of subdividing a larger project into smaller, more manageable phases, at the end of which NMDOT will review and approve the deliverables from one phase before commencing the next. This allows the Project Team to closely monitor the progress of a project and to ensure the needs and expectations of our customers are met.



4.1 PROJECT MANAGEMENT LIFE CYCLE



Phase Summary of Phase Key Deliverables

Initiate During initiate, the project manager of the delivery team will kick-off the project, validate the scope, facilitate the logistic, and initiate the project plan

Communication Plan

Escalation Plan

Timeline Schedule

Project collaboration eRoom

Analyze The delivery team will conduct the analysis of DOT’s requirements and define the architecture and design of the solution. The requirements include business requirements, functional requirements, and infrastructure requirements.

Enterprise Foundation Definition (Enterprise-wide Taxonomy)

Functional Requirements Definition (use-case specific).

Technical Architecture Definition (Infrastructure)

Solution Design Document (SDD)

Build In Build, the delivery team will actually build the proposed system. It includes the installation, development, and configuration, and testing of components and sub-systems comprising the proposed solution.

Out-of-the-box Documentum software installed

Configured Documentum environment with taxonomy and library services

Configured retention policies

Migrated content from FileNet Imaging Services to Documentum

Migration of Computer Output to Laser Disc (COLD) data

Utility to ingest content from Fileshare

Updated Kofax Capture



release scripts to export to Documentum

Completion of System Test Scripts procedure

Defect list tracking reports for User Acceptance Testing (UAT).

Execution of User Acceptance Testing (UAT).

Train In this phase, the delivery team will train the subject matter experts of each group for the end user training. The delivery team will also train the admin staff to prepare them for the system maintenance and the application support.

Completed Training.

Quick Reference Guide.

System as-built documentation

Deploy In this phase, the delivery team ports the system from a Test environment to Production environment and conduct the system roll out for successful “Go-Live”.

System Go-Live

Close In this phase, the delivery team ensures that every detail of the project has been addressed and proper closure is attained.

Project Closure

o Project Review Meeting.

o Project Archival Activities.

o Follow-up Activities.

4.1.1 PROJECT MANAGEMENT DELIVERABLES

Project Deliverables are work products or artifacts that are driven by the project management methodology requirements and standard project management practices regardless of the product requirements of the project.



4.1.1.1 Communication PlanDescription Defines the messages, communication

channels, frequency and target audience of project communications

Deliverable Acceptance Criteria Agreed Communication Plan in the meeting

Standards for Content and Format Wave Technology Solutions Group’s Communication Plan Template or Meeting Minutes

Quality Review Reviewed in meeting between WAVE Technology Solutions Group and NMDOT project management

4.1.1.2 Escalation PlanDescription Method, procedure and process to follow

should issues arise that requires escalation

Deliverable Acceptance Criteria Agreed Escalation Plan in the meeting will be posted in eRoom

Standards for Content and Format Meeting Minutes


4.1.1.3 Timeline ScheduleDescription A Timeline Schedule with specific dates for

each deliverable within a NM DOT provided template or as agreed upon between the WAVE Technology Solutions Group and NM DOT project managers.

Deliverable Acceptance Criteria Agreed Timeline schedule in the meeting will be posted in eRoom

Standards for Content and Format Wave’s Project Plan template

Quality Review NM DOT staff reviewing the draft deliverable and providing comments and suggested revisions on the timeline. NM DOT comments



will be synthesized and compiled into one document by the NM DOT and provided to WAVE Technology Solutions Group and will update the document and provide the updated draft.

4.1.1.4 Project Collaboration eRoomDescription Online repository and collaboration tool

utilized for the duration of the project implementation

Deliverable Acceptance Criteria eRoom Access to NMDOT project management

Standards for Content and Format eRoom Site

Quality Review Verify eRoom Access by NMDOT project management

4.1.1.5 Enterprise Foundation Definition (Enterprise-wide Taxonomy)Description An Enterprise Foundation is a design principle

that establishes repeatable standards to create a scalable Enterprise Content Management foundation across the enterprise

Deliverable Acceptance Criteria Signed off document

Standards for Content and Format WAVE Technology Solutions Group EFD Template

Quality Review NM DOT staff reviewing the draft deliverable and providing comments and suggested revisions. NM DOT comments will be synthesized and compiled into one document by the NM DOT and provided to WAVE Technology Solutions Group and will update the document and provide the updated draft.



4.1.1.6 Functional Requirements Definition (Use-Case Specific)Description Defines the functional requirements as

collected from business users within the scope of the project


Standards for Content and Format WAVE Technology Solutions Group’s FRD Template


4.1.1.7 Technical Architecture Definition (Infrastructure)Description Technical Architecture Document (TAD)

describes the specification and configuration of the system on infrastructure level


Standards for Content and Format TAD Template


4.1.1.8 Solution Design Document (SDD)Description Develop and prepare in a clear, concise written

format the design recommendations for the NM DOT’s Electronic Content Management System


Standards for Content and Format WAVE Technology Solutions Group’s SDD Template




4.1.1.9 Out-of-the-Box Documentum Software InstalledDescription Install Documentum components as per bill of

materials.

Deliverable Acceptance Criteria All the installed services and software are running

Standards for Content and Format Installations as per EMC’s best practices

Quality Review NMDOT Staff verifying the installed components

4.1.1.10 Configured Documentum Environment with Taxonomy and Library Services

Description Configure and customize the Documentum components to build taxonomy and library services for ECMS

Deliverable Acceptance Criteria Unit Tested Components, reported in Status Report

Standards for Content and Format WAVE Technology Solutions Group Status Report

Quality Review NMDOT staff will do the sanity check

User Acceptance Testing will be performed during Testing Phase

4.1.1.11 Configured Retention PoliciesDescription Configuring the retention policies in ECMS as

per functional requirements

Deliverable Acceptance Criteria Unit Tested Components, reported in Status Report



Standards for Content and Format WAVE Technology Solutions Group’s Status Report

Quality Review NMDOT staff will do the verification check

User Acceptance Testing will be performed during Testing Phase

4.1.1.12 Migrated Content from FileNet Imaging Services to Documentum

Description Set up Migration Utility to migrate the content and their metadata from a FileNet Imaging Services into Documentum repository

Deliverable Acceptance Criteria 10% of the total content of the Imaging Services repository to be migrated and then hand over the migration mechanism (or utility) to DOT, reported in Status Report

Standards for Content and Format WAVE’s Status Report

Quality Review Migration report will be reviewed

Verification check by NMDOT IT Staff

User Acceptance Testing will be performed in Testing Phase

4.1.1.13 Migration of Computer Output to Laser Disc (COLD) DataDescription Set up Migration Utility to migrate the content

and their metadata from a FileNet Imaging Services into Documentum repository

Deliverable Acceptance Criteria 100% of the COLD data to be migrated, reported in Status Report


Quality Review Migration report will be reviewed

Verification check by NMDOT IT Staff

User Acceptance Testing will be performed in Testing Phase



4.1.1.14 Utility to Ingest Content from FileshareDescription Set up a utility to ingest the content and their

metadata from an FTP site to Documentum repository

Deliverable Acceptance Criteria Unit tested, reported in Status Report


Quality Review Verification check by NMDOT IT Staff

User Acceptance Testing will be performed in Testing phase

4.1.1.15 Updated Kofax Release Scripts to Export to DocumentumDescription Update the existing Kofax release scripts such

that Kofax releases captured documents to Documentum

Deliverable Acceptance Criteria Working Kofax release to Documentum, reported in Status Report


Quality Review Verification check by NMDOT IT Staff

User Acceptance Testing will be performed in Testing phase



4.1.1.16 Completion of System Test Scripts procedureDescription Define the script to test the solution from a

functional standpoint in order to verify that all of the features outlined in the Solution Design Document are functioning as documented

Deliverable Acceptance Criteria Sign off the document

Standards for Content and Format WAVE Technology Solutions Group’s Test Script Template


4.1.1.17 Defect list tracking reports for User Acceptance Testing (UAT)Description Maintains a list of the issues and changes

identified during the Testing

Deliverable Acceptance Criteria After the review, the list will be updated in eRoom. Reported in Status Report

Standards for Content and Format WAVE Technology Solutions Group’s Defect Tracking Template




4.1.1.18 Execution of User Acceptance Testing (UAT)Description Provide support to NMDOT to execute the

Test scripts for User Acceptance Testing

Deliverable Acceptance Criteria Signed off completion of UAT, reported in Status Report

Standards for Content and Format WAVE Technology Solutions group Status Report

Quality Review WAVE Technology Solutions group will provide support in running the test scripts. The test scripts will be reviewed before the execution of UAT.

4.1.1.19 Completed TrainingDescription Provide the end-user training that will include

the basic operational procedures for:

Navigating with the DCTM client application.

Search use-cases

Retention management

Provide the training for system administration (IT and Application administrators) personnel on the maintenance, operations, and troubleshooting aspects of the new solution

Deliverable Acceptance Criteria Completed training of end users and IT, reported in Status Report.

Standards for Content and Format Training will be held in Classroom or online.

Quality Review The training material will be provided to assist the trainees in retaining the information.

4.1.1.20 Quick Reference GuideDescription Quick Reference Guide is a training material

provided to the end users for reference on how to run their common use cases in the new system

Deliverable Acceptance Criteria Uploaded on eRoom approved version of



Quick Reference Guide, reported in Status Report

Standards for Content and Format WAVE Technology Solutions group Quick Reference Guide Template

Quality Review Reviewed in meeting between WAVE Technology Solutions group and NMDOT project management

4.1.1.21 System As-Built DocumentationDescription The documentation of the system as built. It

has the configuration information of the system.

Deliverable Acceptance Criteria Uploaded on eRoom approved version of Quick Reference Guide, reported in Status Report

Standards for Content and Format WAVE Technology Solutions group template

Quality Review Reviewed in meeting between WAVE Technology Solutions group and NMDOT project management

4.1.1.22 System Go-LiveDescription Ports the system from a Test environment to

Production environment and conduct the system roll out for successful “Go-Live”.

Deliverable Acceptance Criteria Signed off ‘Completion of Deployment’

Standards for Content and Format NA

Quality Review Validation of the system by NMDOT Staff

4.1.1.23 Project ClosureDescription To ensure that every detail of the project has

been addressed and proper closure is attained. It consists of:

Project Review Meeting

Project Archival Activities

Follow-up activities



Deliverable Acceptance Criteria Execution of Project Review Meeting

Standards for Content and Format Meetings between WAVE Technology Solutions group and NMDOT project management and Status Reports

Quality Review Meetings between WAVE Technology Solutions group And NMDOT project management

4.1.2 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS

Complete the following table to identify the deliverables this project is to produce, and to name the person or persons who have authority to approve each deliverable.

DELIVERABLE NUMBER

DELIVERABLE APPROVERS (WHO CAN APPROVE)

DATE APPROVED

PRJ-DEL-001 Project Management Plan (PMP) Tom Church

4.1.3 DELIVERABLE ACCEPTANCE PROCEDURE

The Department will use a project milestone document and the deliverables described in the executed contract. The agency project manager will sign of on all completed deliverables in the contract.

4.2 PRODUCT LIFE CYCLE “During the project management lifecycle, agencies shall select and implement a phase product development lifecycle methodology approved by the Department.” PROJECT OVERSIGHT PROCESS Memorandum

Phase Summary of Phase Key Deliverables

I – Electronic Content Management System

Implement a comprehensive Electronic Content Management System (ECMS) centered on the technologies provided by EMC and migrate the Filenet content.

Communication Plan

Escalation Plan

Timeline Schedule

Project collaboration eRoom



I – Electronic Content Management System (continued, 2 of 3)

Enterprise Foundation Definition (EFD) document

Functional Requirements Document (FRD).

Technical Architecture Document (TAD).

Solution Design Document (SDD).

Out-of-the-box Documentum software installed.

Configured Documentum environment with taxonomy and library services

Configured retention policies

Migrated content from FileNet Imaging Services to Documentum

Migration of Computer Output to Laser Disc data

Utility to ingest content from Fileshare

Updated Kofax release scripts to export to Documentum

Completion of System Test Scripts procedure

Defect list tracking reports for User Acceptance Testing



I – Electronic Content Management System (continued, 3 of 3)

(UAT)

Execution of User Acceptance Testing (UAT)

Completed Training

Quick Reference Guide


System Go-Live

Project Closure

4.2.1 TECHNICAL STRATEGY

This project will be subdivided into small, more manageable phases, at the end of which Vendor and DOT will review the deliverables from one phase before commencing the next. This allows the Project Team to closely monitor the progress of a project and to ensure the needs and expectations of our customers are met.

More specifically, during the technical implementation of the project, it will be identified in the phases of Analysis, Build, and Test.

The Analyze phase will help ensure that the design put in place for NM DOT that will scale appropriately to meet their long term ECMS needs. A thorough analysis of infrastructure, business requirements, and functional requirements is done. Based on the analysis, WAVE defines the Technical Architecture Specifications and Solution Design Specifications of the system.

The build phase constitutes the installation of software and the development and configuration of the components. The build starts with out of the box EMC products and not from the scratch. The emphasis is to achieve maximum results with configuration (UI or XML) and minimize the customization (java language code). This procedure provides greater scalability, reduced time of development, easy maintenance, and reduced cost. During build, every component is unit tested and iterative prototyping checkpoints are scheduled with the customer to ensure that requirements are correctly translated into the design.

Testing phase is also divided into different areas that include component testing, integration testing, and user acceptance testing. Component testing validates each component of the system is functioning. Integration testing validates that various subsystems and external systems interface with ECMS as defined in the requirements. The User Acceptance Testing validates all the use cases and functional requirements of the system.



TECHNICAL STRATEGY OF MIGRATION

The migration strategy is derived from the combination of Industry’s best practices and Vendors past migration implementations. The process is defined for Extraction, Transformation, and Load of the content from FileNet to Documentum. The validation and reporting of migration is provided for each implementation to ensure the successful data migration and report the data loss, if any. The document transformation can be used as needed, for example, converting tiff documents from FileNet to searchable PDFs in Documentum so full-text searching can be done on the migrated documents.

4.2.2 PRODUCT AND PRODUCT DEVELOPMENT DELIVERABLES

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 NMDOT project.

When the project team identifies an issue, it will be added to a document called ECM 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 ECM 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.

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.



5.0 PROJECT WORK

The complete Work Breakdown Structure is attached as Appendix A

5.2 SCHEDULE ALLOCATION -PROJECT TIMELINE

PAGE | 29


5.3 PROJECT BUDGET

PROPOSED CERTIFICATION SCHEDULE FOR CURRENT FISCAL YEAR (AGENCY TO COMPLETE FOR ALL PHASES)

Phases Amount Requested

Major Deliverable(s) / Performance Measure(s) Due Dates

Implementation:

$1,336,091 Conduct Business Process Mapping, Configure software and hardware interfaces with existing systems; User Acceptance Testing, End user training and Production Cutover for:

System development (software and hardware)

Data migration System testing Training Production

Cost Breakdown:

Software License total $595,824 Consulting Services $525,099 Training $17,325 First year maintenance $134,220 Contingency Reserve (5%) $63,623

Total Project $1,336,091

3/31/146/31/148/31/14

10/31/1412/31/14

Closeout: $-0- Customer Acceptance, Transition to Operations

12/31/2014

PAGE | 30

Project Director Bruce Oakeley

Project team memberDavid CorizProject Team Member

Jeff Woodman

Technical Review DoIT / NMDOT Tech Staff

Project Manager

Executive Steering CommitteeTom ChurchEric Roybal

Business Operations Review Team:BenefitsFinancial/TrainingLegalConstructionContractsRecords ManagementReports/HIPAA Regulations


5.4 PROJECT TEAM

5.4.1 PROJECT TEAM ORGANIZATIONAL STRUCTURE

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5.4.2 PROJECT TEAM ROLES AND RESPONSIBILITIES

ROLE RESPONSIBILITY NAME FUNCTIONAL AREA

IT Manager Oversight of Project Bruce Oakeley IT

Team member Work with Vendor David Coriz IT Records Management

Team Member Work with vendor Jeff Woodman IT Web

SYS ADMIN Work with vendor Gabriel Vigil IT Records Management

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5.5 STAFF PLANNING AND RESOURCE ACQUISITION

5.5.1 PROJECT STAFF

Role Responsibilities

Executive 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

Executive Steering Committee

(continued)

Review and approve expenditures of funds Represent the point of view of key stakeholders including

technology-enabled customers and state government executives

NM DOIT Provide project implementation oversight Ensure proper project management and cost reporting Certify and approve funding prior to each phase of the project

Project Sponsor Report to ESC on project status, issues, budget, and activities Address, review, and submit deliverables to ECM from the NMDOT

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 NMDOT Project Team, assuring adherence to the project plan, budget and schedule.

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Role Responsibilities

Project Sponsor 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 EMC selection criteria Prepare the RFP/CVR for EMC Implementation Services Vendor Procure hardware and software for NMDOT 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 NMDOT ECM 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.

IT Specialists (Programmers, NMDOT Imaging System Administrators, NMDOT System Experts and Developers)

Provide IT subject matter expertise Share expertise on Document Imaging 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

Vendors 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.

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5.5.2 NON-PERSONNEL RESOURCES

Resource Cost EstimateEstimated units/hours Availability Source Work Product/Deliverable

WAVE Technologies $595,824 2 weeks Vendor Software Installation

WAVE Technologies $525,099 3 months Vendor Professional services- Build Develop

WAVE Technologies $17,325 2 weeks Vendor Training

EMC $134,220 Annually Vendor System Maintenance

5.6 PROJECT LOGISTICS

Phase Deliverables

Initiate Communication Plan. Escalation Plan. Timeline Schedule. Project collaboration eRoom.

Analyze Enterprise Foundation Definition (EFD) document. Functional Requirements Document (FRD). Technical Architecture Document (TAD). Solution Design Document (SDD).

Build | Hardware Installation Installed infrastructure hardware components. Installed storage infrastructure. Installed virtualization and Operating System Software components.

Build | Software Installation Documentum Platform Bundle Installed. Out-of-the-box Documentum software installed.

Build | Development Configured Documentum environment with taxonomy and library services Configured retention policies Migrated content from FileNet Imaging Services to Documentum Migration of COLD data Utility to ingest content from Fileshare Updated Kofax release scripts to export to Documentum

Build | Test Completion of System Test Scripts procedure. Defect list tracking reports for User Acceptance Testing (UAT). Execution of User Acceptance Testing (UAT).

Train Completed Training. Quick Reference Guide.

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Deploy System Go-Live

Close Project Review Meeting. Project Archival Activities. Follow-up Activities.

5.6.1 PROJECT TEAM TRAINING

Describe training if any needed by project team members. This is not to include training for end users, system administrators or business owners; those should be handled within a training document or part of the transition to operations planning.

Resource Cost EstimateEstimated Hours Availability Skill Set Work Product/Deliverable

WAVE Technologies and Solutions Group

$17,325 2 weeks Upon request

Technical experts

Training will be part of contract deliverables

6.0 PROJECT MANAGEMENT AND CONTROLS

6.1 RISK AND ISSUE MANAGEMENT6.1.1 RISK MANAGEMENT STRATEGY

Description – Funds will not readily be available to support the project

Probability: VERY LOW Impact: LOW

Mitigation Strategy: Allocate funding in excess of projected funding needs.Contingency Plan: If this occurs, NMDOT Staff will need to implement solution independently without vendor assistance or guidance.

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 ECM project risks. The Risk Analysis is shown in Appendix D. The sequence of activity is as follows: Risk Identification – The process of identifying potential risks and documenting the specific characteristics of each.

1. 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.

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6.1.3 PROJECT RISK MITIGATION APPROACH

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 STRATEGY

Risk monitoring and control will be part of every project status meeting. Risk identification will be the responsibility of all members of the project team. The Project Director and Project Managers will be responsible for tracking risks and for developing mitigation strategies and contingency plans that address the risks identified by the team.

This 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.

6.1.5 PROJECT RISK TRACKING APPROACH

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 software, hardware and implementation services.

Agency Resource availability

High Ensure stakeholders are involved and support the project team members

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

Extended timeline caused by state approval process

High Plan for State requirements for oversight as well as the procurement process provide numerous opportunities for project delays.

An ECM increases accessibility to the states content

High Ensure Electronic document Management is a priority among agency project team members.

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

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6.1.6 ISSUE MANAGEMENT

6.1.6.1 Internal Issue Escalation and Resolution ProcessNMDOT Project team will work together to address and provide a resolution to any issues that may come up during the project.

6.1.6.2 External Issue Escalation and Resolution ProcessNMDOT Project team will work with vendor to address and provide a resolution to any issues that may come up during the project. 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 GSD ECM project.

When the project team identifies an issue, it will be added to a document called ECM 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 ECM ESC attention according to the change control process in section 7.4. The process of tracking an issue is outlined here:

7) An issue is identified.8) It is added to the issue document, assigned an issue number with a brief explanation of the issue and date

entered.9) The issue is assigned to someone and potential action to be taken.10) As action is taken, it is noted with the issue.11) If possible, an estimated completion date is entered.12) 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.

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.

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6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V 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 NMDOT 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.

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 NMDOT 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 – NMDOT project quality management will be established for each deliverable based on the quality mechanisms of the responsible organization, and the GSD ECM 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.

6.3.1 CHANGE CONTROL

6.3.1.1 Change Control Process Any significant changes in the project will likely cause changes to others tasks. 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.

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6.3.1.2 Change Control Board (CCB)Insert a graphic or textual description identifying the Change Control Board (or function) for this project. The CCB may be an individual or group of individuals authorized to approve changes to the project plan.

6.4 PROJECT BUDGET MANAGEMENTCosts estimates are the costs applied to an activity in a project by assigning resources with associated rates or fees. Resources can include equipment, material, technology, processing cycles, or people. The total cost is critical and should be consistent with the proposal; include breakdowns as needed. Match these cost estimates with the actual billed amounts. Use an appropriate format for the project size and customer requirements (e.g., by WBS, milestone, or deliverable).

6.4.1 BUDGET TRACKING

BUDGET WILL BE TRACKED BY CONTRACT DELIVERABLES AND PROJECT TIMELINE. The NMDOT’s project Manager will be responsible for managing the ECM budget, and will be a member of the ECM Executive Steering Committee. The Project Manager 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 COMMUNICATION PLAN

6.5.1 COMMUNICATION MATRIX

Deliverable/Description Target Audience

Delivery Method

Frequency Responsible Party

NMDOT / ECM Project Status NMDOT CIO Face-to-Face Weekly NMDOT Project Manager

NMDOT / ECM Project Status NMDOT Team Face-to-Face As needed NMDOT Project Director

SRCA / ECM Project Status SRCA Team Face-to-Face As needed PD/PMWeekly PD Status NMDOT PD Email Weekly PMECM Project Status ECM ESC Email Weekly PD/PMECM ESC Meeting ECM ESC Face-to-Face Weekly PD/PMECM ESC Meeting Minutes ECM ESC Email Weekly PMDOIT ECM 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

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6.5.2 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 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.

6.5.3 PROJECT STATUS REPORTS- SEE MATRIX 6.5.1 ABOVE

6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)

NUMBER DESCRIPTIONQUALITY 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 NMDOT operational and facility data information is successfully converted

and migrated onto an electronic records management platformQUALITY METRICS 5 Applicable NMDOT Legislative Performance Measures as stated in IT plan are

metQUALITY METRICS 6 System is secure, operable and stableQUALITY 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 CONTROLQuality 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. The second is the integrated project control process and change control process, which assure that any changes that are made to the project are

PAGE | 41


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. The third process for quality management is the risk management plan, which measures, mitigates and includes contingency plans for each risk.

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

No. Quality Standard Tracking Tool or Measure

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

2 Project is completed within budget. Project CharterProject Status

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

Vendor ContractFinal 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 CharterProject PlanControl Change Request

6.7.2 PROJECT AND PRODUCT REVIEW AND ASSESSMENTS

Review Type Quality Standard Tools Reviewer Reports

Requirements Project is completed within budget.

Contract deliverables Project Manager

Produce by vendor

Plans All plans must meet contract deliverables

Scope of work by vendor

Project Manager

Produce by vendor

Milestones Project phase is completed by the established finish date.

Contract Deliverables Project Manager

Milestone checklist from vendor

Testing Execution of User Acceptance Testing (UAT).

System Test Scripts procedure.for User Acceptance Testing (UAT).

Project Manager

Produced by Vendor

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6.7.3 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 meetings MonthlyManages project tasks ESC Steering committee meetings MonthlyProductive Meetings Quarterly

6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS The NMDOT Chief Information Officer 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 NMDOT CIO will take delivery of such products only after the product deliverables have been accepted by the NMDOT ECM 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.

6.8.2 PROJECT REPOSITORY (PROJECT LIBRARY)A project repository, consisting of a shared server with multiple folders and a project web site will be developed by NMDOT 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.

7. 0 PROJECT CLOSEProject 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.

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Contractual activities meet the contractual needs, such as executing a procurement audit and formal acceptance of the project work products.

7.1 ADMINISTRATIVE CLOSE

Administrative 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

7.2 CONTRACT CLOSE

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

ATTACHMENTS Appendix A: Scope Definition Document with Detailed Work Breakdown Structure

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APPENDIX A - Scope Definition DocumentDetailed Work Breakdown Structure (WBS)

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ECM Project Management WBS

PAGE | 2

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


Finalize Selection Criteria Set up Vendor DemonstrationsSelect VendorReview & Approve Vendor

Application & Technology InfrastructureWork Breakdown Structure

ECM(EDMS/ERMS)

Project

Business Process

Reengineering

Application & Technology


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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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)



ElectronicRecords

Governance


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


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


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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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



ElectronicRecords

Governance


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



Supporting Organizational Infrastructure WBSEnterprise Model

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Enterprise ModelWork Breakdown Structure

ECM(EDMS/ERMS)

Project

BusinessProcess

Reengineering



ElectronicRecords

Governance


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