DATE



|Project Governance |

|Project Name |Centralized Electronic Records Repository (CERR) |

|Closeout |9-26-18 |

|Certification Date | |

|Lead Agency |36900 Commission of Public Records |

|Other Agencies |None |

|Executive Sponsor |Melissa Salazar, State Records Administrator |

|Agency Head |Melissa Salazar, State Records Administrator |

|Agency CIO/IT Lead |Pete Chacon, Chief Information Officer |

|Project Manager |Leo Lucero/ Susan Montoya |

|Project Abstract |

|Briefly state the business need, project objective, technical and procurement approach, and work completed vs. project objectives. |

|The State Records Administrator (SRA) is charged with establishing standards and procedures for the effective management of public records.|

|The Public Records Act defines public records as "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." |

|The SRA has statutory responsibility for carrying out the provisions of the Public Records Act (Sections 14-3-1 through 14-3-25 NMSA 1978) |

|by establishing records management programs that are the foundation for the application of efficient and economical management of public |

|records and by providing facilities and tools necessary for the execution of the powers conferred and duties imposed by the Public Records |

|Act.  Currently, the State Records Center and Archives (SRCA) is the central-services facility that provides a record center for the |

|storage, records management and disposition services of “physical” (inactive paper and microfilm records) records to all state executive, |

|judicial and legislative agencies, county government offices, and institutions of higher learning. |

|To meet statutory obligations related to electronic records, the SRA implemented the CERR to manage and store electronic public records, |

|with a specific emphasis on the classification of e-mail records.  |

|The primary objectives of the CERR project was to: |

|Provide a standardized method and tools for State agencies to capture, manage, store and provide retrieval of electronic records |

|Implement a standardized method and tools with agencies to effectively and efficiently manage electronic records throughout their |

|lifecycle. |

| |

|Appropriation History |

|Include All Funding Sources, e.g. Federal, State, County, Municipal Laws or Grants. |

|Fiscal Year |Funding Source |Amount |

|2013 |Laws of 2012, Chapter 19, Section 7, Item 9 |$450,000 |

|2015 |Laws of 2014, Chapter 63, Section 7, Item 8 | |

| |(Re-appropriation of funds) | |

|2014 |Laws of 2013, Chapter 227, Sec. 7 (9) |$822,400 |

|2016 |Laws of 2015, Chapter 10, Section 7 | |

| |(Re-appropriation of funds) | |

|Total Appropriation: |$1,272,400 |

|Total Appropriation Minus Certified Funds: |$0.00 |

|Certification History (Include This Request.) |

|Date |Certification Phase |Amount |Funding Source |

| | | |(Use specific citations matching preceding table.) |

|FY 2013 (8/10/2012) |Initiation |$75,000 |Laws 2012, Chapter 19, Section 7 |

|FY 2014 (7/26/2013) |Planning |$160,000 |Laws of 2012, Chapter 19, Sec. 7 –(9) |

|FY 2015 (3/25/2015) |Planning |$968,093 |Laws of 2013, Chapter 227, Sec. 7 (9) |

| | | |Laws of 2014, Chapter 63, Section 7, Item 8 |

|FY 2016 (3/23/2016) |Planning |$69,307 |Laws 2015, Chapter 10, Section 7 |

|FY 2019 (9/26/2018) |Closeout |$0.00 | |

|Total Certified: |$1,272,400 | |

|Project and Product Deliverables |

|If project and product deliverables changed since prior certification, please explain: |

|Deliverable |Completion Date |Project Phase |

|Request for Proposals (RFP) for Support Services (FY14) |6/24/2014 |Planning |

|Request for Proposals (RFP) for Support Services (FY15) |12/31/2014 |Planning |

|Technical Architecture Document(s) |2/1/2016 |Planning |

|Test Plan |6/1/2016 |Planning |

|Training Plan |8/31/2016 |Planning |

|Operations & Support Plan |4/1/2016 |Planning |

|CERR Proof of Concept Deployment Plan |8/31/2016 |Planning |

|Communications and Outreach Plan |4/1/2016 |Planning |

|Procuring Agency Deployment Plan |8/1/2016 |Planning |

|Deployment of Model Agency Solution to Procuring Agency |2/28/2017 |Planning |

|IV&V Project Management Plan |2/23/2016 |Planning |

|Initial Risk Assessment |3/29/2016 |Planning |

|Abba Technologies Professional Service contract for Network and trusted |6/29/2017 |Planning |

|domain work for pilot agencies | | |

|Actual Project Cost (do not include maintenance and operations.) |

|Comments: |

| |Description |FY13/14 |FY15 |FY16 |FY17 |Total |

|Business Analysis |Information First – | |$10,700 | | |$10,700 |

|Services |System needs assessment | | | | | |

|Implementation Services |ABBA Technologies |$9,472 |$2,300 |$201,403 |$318,481 |$531,656 |

| |(Information First) | | | | | |

| |Implementation services | | | | | |

|Other Services |Request for Proposal |$4,246 |$1,122 | | |$5,368 |

| |Support Services, | | | | | |

|Other Services |Network Connectivity | | | |$6,712 |$6,712 |

| |Services | | | | | |

|IV&V |Cognosante | | |$8,450 |$71,400 |$79,850 |

| | | | | | | |

|Hardware |Servers, Storage, UPS, | | | |$81,280 |$81,280 |

| |Portable Electronic | | | | | |

| |Classroom (Laptops, | | | | | |

| |Projector, Hub) | | | | | |

| | | | | | | |

|Software |HPE Records Manager |$15,622 |$159,309 |$41,387 |$97,681 |$313,999 |

| |Licenses, HPE Workflow | | | | | |

| |Module, HPE Rendering | | | | | |

| |Module , HPE OCR Module,| | | | | |

| |HPE Auto-Classification | | | | | |

| |Module, HPE Advance | | | | | |

| |Disposal Module | | | | | |

|Internal Staff | | | | | | |

|(Only include staff | | | | | | |

|charged to project | | | | | | |

|funds.) | | | | | | |

|Total: | |$106,045 |$233,726 |$321,582 |$605,353 |$1,266,706 |

* NOTE: This column should show funding for current year, when Initiation certification requested, and any prior year funding that was used for the project.

|RFPs and Contracts |

|Comments: |

|RFP/ |Status |Vendor |Description |Total Value |

|Contract # | | | | |

|000000000014AA |Closed |Hewlett Packard Enterprise |HPE Rendering Module |$4,178 |

|14-369-P641-00001 |Closed |ABBA Technologies |Project Management Services |$24,677 |

|15-369-P641-00001 |Closed |ABBA Technologies |Implementation Services |$8,124 |

|A1 | | | | |

|15-369-P641-0001 |Closed |ABBA Technologies |Project Management Services |$112,324 |

|16-369-P641-00002 |Closed |ABBA Technologies |Implementation Services |$417,991 |

|16-369-P641-CPR04 |Closed |Cognosante |IV&V Services |$73,900 |

|16-369-P641-CPR04 |Closed |Cognosante |IV&V Services |$5,950 |

|01 | | | | |

|17-369-P641-00001 |Closed |ABBA Technologies |Network Configuration Services |$6,712 |

|200000000003 |Closed |Hewlett Packard Enterprise |HPE Workflow Module and |$18,189 |

| | | |Maintenance | |

|20-000-00-00003 |Closed |Hewlett Packard Enterprise |HPE User Licenses |$4,396 |

|300001300060 |Closed |Hewlett Packard Enterprise |HPE User Licenses, OCR Module, |$189,555 |

| | | |Auto-Classification Module, and| |

| | | |Advance Disposal Module | |

|500001500061 |Closed |Dell |System Hardware |$10,487 |

|600001500020AA |Closed |Hewlett Packard Enterprise |HPE User Licenses Maintenance |$97,681 |

|Total Value: |$974,164 |

|Independent Verification & Validation |

|(Include summary of the last IV&V Report.) |

|The intent of the project was to be a proof of concept showing that the CERR deployed at the model agency (CPR) could be replicated at |

|other state agencies. At least two to three pilot agencies were to be selected for the replication portion of the project (the proof of |

|concept). The first pilot installation of CERR has not yet occurred. CPR intends to move forward with implementing CERR at additional state|

|agencies but Cognosante has not seen a transition plan as to how the project will move forward. |

|Project management duties are being transferred from the contracted project manager to a member of the CPR project management team. CPR |

|will continue to work with Abba to resolve the connectivity and security issues in order to move forward. As of this date the proof of |

|concept has not been fully demonstrated. |

|CERR was successfully implemented at CPR. This success is largely the product of strong project management and Agency staff support. The |

|project was challenged by many issues that have been resolved for the most part. The inability to meet the schedule to roll out CERR to |

|pilot agencies is the primary deficiency and the basis for our finding that the overall effort remains at risk and the project status |

|“yellow”. We understand that the CERR effort is moving forward under its own steam without the benefit of Information First or Abba PM |

|contract support and hopes to add another State Agency to attain the broader POC intent. |

|The inability to meet the schedule to roll out CERR to pilot agencies is the main point of concern and why Cognosante finds the overall |

|status remains yellow. |

|Scope Verification |

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

|Were the project objectives (expected outcomes) accomplished? |X | |A centralized electronic records management tool was |

| | | |successfully implemented. |

|Were all Deliverables submitted and accepted? | |X |We terminated our contract with our integrator prior |

| | | |to completion of all deliverables. The remaining |

| | | |funds were going to expire prior to the estimated |

| | | |completion date for the remaining deliverables |

|Did the IV&V vendor verify that all deliverables met the | |X |IV&V verification was provided for deliverables that |

|requirements? | | |were completed. |

|Have all contracts been closed? |X | | |

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

|Have all project documents/records been appropriately stored |X | |All project records are retained by the project lead.|

|for future reference? | | | |

|Has adequate knowledge transfer been completed? |X | | |

|Schedule and Cost |

|Planned Start Date |8/1/2013 |Actual Start Date |8/1/2013 |

|Planned End Date |5/16/2016 |Actual End Date |9/6/2018 |

|Planned Cost (Budget) |$1,272,400 |Actual Cost |$1,266,706 |

|Transition to Operations |

| |Yes |No |Notes |

|Are there recurring maintenance and/or operational costs for the |X | |$97,681 for entire period of FY18-FY21 to |

|product/service? | | |include license and multiple module |

| | | |support. |

|Do you plan to implement any updates (e.g., software version, | |X | |

|hardware)? | | | |

|Do you plan to implement any enhancements (i.e., new | |X | |

|functionality)? | | | |

|Summary of agency plan for on-going support, including funding. |

|Operational budget will be used for maintenance and support |

| |

|Lessons Learned |

|(Identify elements that worked particularly well or that did not work well, and then state lesson learned for future projects for each |

|identified element.) |

|Accomplishments: |

|• The establishment of a Functional Records Retention and Disposition Schedule (FFRDS) that eliminated redundant records series. |

|• A repository for electronic records was created that addresses the need to preserve records for their legal retention while alleviating |

|agencies from retaining those records beyond their operational need. |

|• A framework for the governance of electronic records (e-mails) was created to give guidance to public entities. |

| |

| |

|Opportunities: |

|• The establishment of pilot agencies needs to happen early in the project. |

|• The launching of proactive change management trainings or activities was needed due to the large paradigm shift from Outlook to HPE |

|Records Manager as a repository. |

|• The estimate of contingency and management reserves was greatly under estimated. Both the known and unknown events impacted the project |

|schedule significantly. |

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