DATE



|Project Governance |

|Project Name |Electronic Document Management System (EDMS) Rollout |

|Date |December 15, 2010 |

|Lead Agency |Human Services Department (HSD) |

|Other Agencies |Tax and Revenue Department (TRD) and State Records Center and Archives (SRCA) |

|Executive Sponsor |Stephen Klump, Acting Director of HSD-CSED |

|Agency Head |Katie Falls, HSD Secretary |

|Agency CIO/IT Lead |Brian Pietrewiecz, Acting HSD ITD CIO |

|Project Manager |Debra Saiz, HSD ITD PM |

|Project Abstract (Provide a brief description and purpose for this project) |

|The purpose of the HSD Electronic Document Management Systems (EDMS) project is to convert paper files into electronic formats to enable |

|faster access by Child Support Enforcement Division staff. This project successfully reduced the time of access from a 3 to 5 day wait |

|(request file and deliver to staff person) to a few minutes (to access the application and reference the electronic version of the |

|document). |

| |

|The system has been opened to 340 Field Staff, 20 Call Center Staff, and 50 Correspondence Posting staff in 15 field offices. The system |

|processes over 40,000 pages of material per month. Staff may access the system from any Child Support Enforcement System (CSES) networked |

|computer. |

| |

|EDMS utilizes scanning imaging technology. EDMS was implemented for the processing of scanned documents such as the Child Support |

|Application, Court Orders, and Employer Verification.  CSED has now added the Acknowledgement of Paternity (AOP) Form. The ability to |

|electronically access these forms rather than having to manually create and pull files, provides the users the tools to process work |

|efficiently and effectively. |

| |

|HSD had initiated a C-2 funding request for and EDMS project in the July/August 2003 timeframe for FY2005. The State CIO’s received |

|similar requests from TRD and SRCA, and decided to organize the requests into a C-3 Multi-Agency request for funding. The January 2004 |

|Legislative session authorized and funded the project for FY2005, to begin in July 2004. The EDMS C-3 project was authorized and funded |

|through Law 2004, Chapter 114, Section 8, subsection 6. The project was allocated $1.9M. |

|Schedule and Budget |

|Planned Start Date |10/18/2004 |Actual Start Date |10/18/2004 |

|Planned End Date |06/30/2006 |Actual End Date |10/30/2010 |

|Planned Cost: (Budget) |$ 930,000 |Actual Cost: (Total) |$ 1,114,644 |

|Professional Services |$ 572,363 |Professional Services |$ 503,703 |

|Hardware |$ 127,475 |Hardware |$ 194,930 |

|Software |$ 230,003 |Software |$ 415,803 |

|Network |$ 0 |Network |$ 0 |

|Other |$ 159 |Other |$ 208 |

|Certification History |

|Date |Amount |Funding Source(s) (use specific citations to laws, grants, etc.) |

|10/19/2004 |$ 240,000.00 |Laws 2008, Chapter 3, Section 7, Item (25) |

|7/27/2005 |$ 960,000.00 |Laws 2008, Chapter 3, Section 7, Item (25) |

| | | |

|Scope Verification |

|Requirements Review |Yes |No |Explanation/Notes |

|Were the project objectives (expected outcomes) accomplished?|X | |Yes, the project objectives were met. |

|Were all Deliverables submitted and accepted? |X | |Yes, all deliverables submitted were accepted. |

|Did the IV&V vendor verify that all deliverables met the |X | |Yes, the IV&V Vendor verified all the deliverables and |

|requirements? | | |requirements were met. The final IV&V report was |

| | | |submitted on June 26, 2008. |

|Have all contracts been closed? |X | |Yes, all contracts have been closed. |

|Have all final payments been made (i.e., invoices paid) |X | |Yes, all final invoices have been paid. |

|Has adequate knowledge transfer been completed? |X | |Yes, transfer of knowledge to CSED and ITD was complete. |

|Major Project Deliverables and Performance Measures Met |

|(Include explanation if a Deliverable or Performance Measure was not met.) |

|Major Project Deliverable and Performance Measure (Include |Budget |Date |Project Phase |

|explanation if Deliverable or Performance Measure was not met.) | | | |

|Developed the project definition and project feasibility |0.00 |SFY 2004 |Initiation |

|Identified and analyzed business needs | | | |

|Procured funding, and evaluated the risks | | | |

|Initiated the Enterprise Content Management framework for the |$105,585 |SFY 2006 |Planning |

|integration of Electronic Document Management System (EDMS) and | |through | |

|Electronic Records Management System (ERMS) | |SFY 2009 | |

|Requested approval of HSD IT Infrastructure | | | |

|Develop the Technical and functional requirements for an Enterprise | | | |

|Content Management (ECM) EDMS/ERMS | | | |

|Established a document database | | | |

|Established the Service Level Agreement for GSD/Agencies | | | |

|Created operational electronic records retention and management | | | |

|standards | | | |

|Standardized security methodology | | | |

|Deployed the pilot within HSD at the Santa Fe and Albuquerque CSED |$1,009,060 |SFY 2009 through |Implementation |

|Offices | |SFY 2010 | |

|Tested and validated the pilot | | | |

|Functionality Enhancement | | | |

|Deployed statewide access to 14 HSD CSED Field Office Sites | | | |

|Transition to Operations and Maintenance |$0 |SFY 2010 into |Closeout |

|Project Closeout Report | |SFY 2011 | |

|Lessons Learned | | | |

|Update Administrative Guides and Training Guides | | | |

|Independent Verification & Validation (Include summary of the Last IV & V report) |

|The final report was complete on June 28, 2008. |

|The report, titled “HSD-CSED.ECM-EDMS.IVV.PD003d. IV&V Periodic Review #4,” constitutes the final deliverable for Electronic Content |

|Management -Electronic Document Management System (ECM-EDMS) Project by Productive Data Solutions (PDS). The following is a summary of |

|the Project status as of the date of the report, June 28, 2008. |

|Significant Achievements |

|The Project achieved Go-Live on June 16th and 17th for Santa Fe and Albuquerque Offices, respectively, with some minor issues that PDS |

|expects to be resolved by (or soon after) this report’s publication date. Furthermore, the Project met its planned implementation which |

|was to occur on or before June 30th deadline. |

|Training and UAT completed |

|Project administrative close-out tasks remain. |

|Documentation for Softech deliverables # 5 and 8 were submitted to and accepted by HSD. |

|As of June 25th, there are two (2) open and thirty-two (32) closed Project issues. PDS expects the remaining two (2) open issues will be |

|resolved by the time this IV&V report is submitted. The Issues Log well documents and tracks various concerns and/or problems throughout. |

| |

|PDS received twelve (12) documents addressing Softech Deliverables #5 and #8. These documents address system administration; disaster |

|recovery; configuration management; technical design for image capture, poster process; and mainframe integration. |

|In previous reports, PDS expressed concern regarding the quality of some of the Project documentation reviewed such as the Software |

|Requirements Specification (SRS). Though PDS only had time to perform a quick high level review, the documentation concerns expressed |

|previously appear to have been addressed. In particular, PDS feels that the issues identified by PDS for the SRS have been addressed. PDS|

|is pleased with the detail and quality of this documentation. |

|Change Request #2 between HSD and PDS altered this report’s due date to June 26, 2008. |

|For completion of the IV&V reports, the PM, Mr. Tim Patterson, communicated frequently with PDS, and worked to ensure his project |

|management practices and documentation was in order. Mr. Patterson demonstrated the knowledge and skill needed to manage this Project. |

|Transition to Operations: (Describe agency plan to support project solution in production. include agency plans to fund and maintain this |

|project. ) |

| |Yes |No |Explanation/Notes |

|Are there recurring maintenance/operational costs for the product/service?|X | |Yes, there will be recurring maintenance |

| | | |cost of approximately $95,256 per year.  |

|Are there any recommended enhancements or updates? |X | |Yes, in order to upgrade and improve the |

| | | |security and virus patches there will be a|

| | | |FileNet P8 Upgrade from 3.5 to 4.5x in |

| | | |SFY2011. Estimated cost is $42,000 |

|Funding source for maintenance/operational costs? ITD’s IT Operating Budget |

|Summary: |

|HSD ITD Plan to support the project solution in production includes the following: |

|The CSED Help Desk will be the first point of contact. |

|The Systems Administration Bureau (SAB) will maintain and support the hardware, analyze problems and monitor the network. |

|Softech Technologies will maintain and support the IBM FileNet Software specifically designed for CSES EDMS. |

Lessons Learned:

1. Set a Realistic Timescale: It was estimated that HSD’s rollout of the EDMS project would take at least 2 years to achieve. HSD ITD underwent staff changes and at one point this project was temporarily on hold. During the life cycle of this project the project manager changed seven different times. The requirements for completions of the project were revisited. It was decided to reinvest in new resources to support the functionality enhancement and the deployment to complete the project. The project took approximately six years to complete rather than 2 years.

2. Track the Budget Plan: As a result of HSD’s rollout of the EDMS not being completed in the two year estimated schedule, the funding for this project was also at risk. During the six-year time frame there were changes in estimated costs. In addition, by the end of SFY 2010, HSD faced the deadline to allocate the remaining General Funds and Federal Funds. However, due to uncertainties of the remaining available funds, the funds were not allocated within the given timeframe and had to be reverted back to the State General Funds. ARRA funds were used as a contingency to cover remaining eventualities to complete the project.

3. Develop and Update a Project Library: The project suffered from changing multiple project managers who had varying methods of tracking and archiving project information. Developing and updating a project library will capture and catalogue historical information for both immediate and long-term usage. A single project library would enable the project manager to pass information to the next project manager in a more streamlined fashion. The benefit allows the capture and traceability of historical information and improved communication if the project manager changes.

4. Identify Roles and Responsibilities: Before system requirements are started, the actual business “Roles and Responsibilities” must be understood by both the business and technical groups involved in the project. The benefit is to better clarify the tasks and work of every position involved in the work process.

5. Identify Communication Requirements: When implementing a project of this type, organize both business and technical groups to communicate requirements and technical opportunities. This iterative loop enables both groups to evolve more defined requirements and business process opportunities.

6. Understand the EDMS Project Technology: For an EDMS project, technology still relies on accurate human character entry. The system can recognize most written characters, but still relies on human intervention for some easily confused characters.

|ASD's EDMS Project Financial Records |  |  |  |  |

|SFY |

| |

| | | | |

|ARRA Funds Expenditure for EDMS Project SFY10-11 |

|Description |SFY10 |SFY11 |SFY10 & SFY11 Combined |

|  |  |  |  |

|FileNet Enhancement Support Services Softech | $ 12,968 | $ 11,887 | $ 24,855 |

|Contract | | | |

|Hardware Deployment Contract |  | $ 5,497 | $ 5,497 |

|Sub Total | $ 12,968 | $ 17,384 | $ 30,352 |

|  |  |  |  |

|  |  |  |  |

|Scanner Albuq. N. |  | $ 5,944 | $ 5,944 |

|Scanner Warranties |  | $ 30,911 | $ 30,911 |

|Sub Total | $ - | $ 36,855 | $ 36,855 |

|  |  |  |  |

|  |  |  |  |

|Capture Scanning Lic. Albuq. N. |  | $ 7,069 | $ 7,069 |

|ADR Fixed Forms Software Lic. |  | $ 5,912 | $ 5,912 |

|FileNet ADR Software Lic. |  | $ 60,190 | $ 60,190 |

|Sub Total |  | $ 73,171 | $ 73,171 |

|  |  |  |  |

|  |  |  |  |

|TOTAL | $ 12,968 | $ 127,410 | $ 140,378 |

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