GSD ECM-EDMS Project Management Plan
New Mexico General Services Department
Enterprise Content Management
Project Management Plan (PMP)
GSD ECM-EDMS
____________________________________________
Executive Sponsors –
Arturo Jaramillo, GSD Secretary
Mike Wilson, GSD Risk Management Director
George McGeorge, Risk Management Deputy Director
Business Owners –
Nancy Bearce, State Benefits Manager
Ida Spence, GSD
Gerald Rodriguez, GSD
Velma Herrera, GSD
Peggy Martinez, GSD
Angela Lucero, SRCA
GSD ECM-EDMS Project Director, Karen Baltzley
Original Plan Date: November 18, 2008
Revision Date: December 8, 2008
Revision: 2.2 Second Draft
Prepared By: John Salazar and Jane Hamlet, Project Managers
Table of Contents
Revision History 5
About This Document 6
1 Project Overview 7
1.1 Executive Summary 7
1.2 Funding and Sources 10
1.3 Constraints 10
1.4 Dependencies 11
1.5 Assumptions 12
1.6 Initial Project Risks Identified 13
2 Project Authority and Organizational Structure 14
2.1 Stakeholders 14
2.2 Project Governance Structure 15
2.2.1 Project Organizational Structure 15
2.2.2 Project Steering Committee Roles and Members 16
2.3 Executive Reporting 16
3 Scope 18
3.1 Project Objectives 18
3.1.1 Business Objectives 18
3.1.2 Technical Objectives 18
3.2 Project Exclusions 19
3.3 Critical Success Factors 20
4 PROJECT DELIVERABLES AND METHODOLOGY 21
4.1 Project Management Life Cycle 22
4.1.1 Project Management Deliverables 22
4.1.2 Deliverable Approval Authority Designations 24
4.1.3 Deliverable Acceptance Procedure 24
4.2 Product Life Cycle 25
4.2.1 Technical Strategy 26
4.2.2 Product and Product Development Deliverables 27
4.2.3 Deliverable Approval Authority Designations 28
4.2.4 Deliverable Acceptance Procedure 33
5 Project Work 35
5.1 Work Breakdown Structure (WBS) 35
5.2 Schedule Allocation – Project Timeline 37
5.3 Project Budget 38
5.4 Project Team 39
5.4.1 Project Team Organizational Structure 39
5.4.2 Project Team Roles and Responsibilities 40
5.5 Staff Planning And Resource Acquisition 42
6 Project Management and Controls 45
6.1 Risk and Issue Management 45
6.1.1 Risk Management Strategy 45
6.1.2 Project Risk Identification 45
6.1.3 Project Risk Mitigation Approach 45
6.1.4 Risk Reporting and Escalation Strategy 45
6.1.5 Project Risk Tracking Approach 46
6.1.6 Issue Management 48
6.2 Independent Verification and Validation – IV&V 48
6.3 Scope Management Plan 49
6.3.1 Change Control Process 51
6.4 Project Budget Management 53
6.4.1 Budget Tracking 53
6.5 Project Communication Plan 53
6.5.2 Project Communication Matrix 54
6.5.3 Project Status Meetings 54
6.5.4 Project Status Reports 55
6.6 Performance Measurements (Project Metrics) 55
6.7 Quality Objectives And Control 55
6.7.1 Quality Standards 56
6.7.2 Agency/Customer Satisfaction 56
6.7.3 Product Deliverable Acceptance Process 57
6.8 Configuration Management 58
6.8.1 Version Control 58
6.8.2 Project Repository 58
6.9 Procurement Management Plan 58
7 Project Close 59
7.1.1 Administrative Close 59
7.1.2 Contract Close 59
APPENDIX A - Scope Definition Document 60
7.2 Detailed Work Breakdown Structure (WBS) 60
EDMS Project Management WBS 61
Application & Technology Infrastructure WBS 62
Business Process Reengineering WBS 63
Implementation WBS 64
Electronic Records Management Rules & Standards WBS 65
Supporting Organizational Infrastructure WBS 66
Enterprise Model WBS 67
APPENDIX B - Project Schedule/Gantt Chart 68
APPENDIX C - Project Budget 69
APPENDIX D - Risk Analysis 70
APPENDIX E - Project Library 71
APPENDIX F - Sample Project Forms 72
Project Change Request Form 72
Project Status Report 73
Sample issues report 74
APPENDIX G – GSD ECM-EDMS Project Definitions 75
APPENDIX H – GSD ECM-EDMS Project Acronyms 81
APPENDIX P - Project Management Definitions 82
APPENDIX R – References 86
Revision History
|Revision Number |Date |Comment |
|0.1 |November 17, 2008 |Work In Progress Draft, Format Status Report |
|2.0 |December 8, 2008 |Incorporate feedback from GSD staff |
|2.2 |December 8. 2008 |Incorporate updates from GSD staff |
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About This Document
This document – the GSD ECM-EDMS Project Management Plan is developed based on the State of New Mexico Department of Information Technology (DoIT) template for a Project Management Plan - Revision: 0.1, DoIT-PMO-TEM-020; a careful review of the template ensured all intended components are included. The document includes all of the industry-accepted guidelines to plan, execute, control, and close a project.
The Manual is set up so that the body of the document continues to serve the needs of any future GSD ECM-EDMS project with minimal modification, while the Appendices contain the dynamic components of the project plan that must be continually updated and managed, for example the project schedule and the budget. The document is being referred to as the ‘GSD ECM-EDMS Project Management Plan”.
Special note on the terminology used in this document: This project was conceived when the generally accepted industry terminology was Electronic Document Management System (EDMS.) As detailed in the “Industry Background, History and Market Trends” section below, during the years 1998 to present there continues to be significant volatility for vendors in the ECM-EDMS marketplace. Vendors are merging and/or acquiring related content management technology. The term Enterprise Content Management (ECM) has become the industry standard for a combination of functions that includes: document imaging, electronic document management, electronic records management, workflow, and web content management. While AIIM is not changing their name, they are using a new byline, referring to themselves as the “Enterprise Content Management Association. For over 60 years, AIIM (The Association for Information and Image Management) has been the leading international organization focused on helping users to understand the challenges associated with managing documents, content, and business processes.”[1]
Here is a diagram showing the various technology tools that are being included in Enterprise Content Management solutions offered by vendors.
The title of this document is “GSD ECM-EDMS Project Management Plan.” The term, Enterprise Content Management (ECM) is used in this document when referring to the enterprise framework for integrated Electronic Document Management and Electronic Records Management. Conceptually, ECM contains both EDMS and ERMS functionality. ERMS is used specifically in this document when referring to the Electronic Records Management component functionality. Similarly, the term, EDMS is used specifically to refer to the Electronic Document Management component of an ECM solution.
Project Overview
“It is estimated that more than 90% of the records being created today are electronic. Coupled with the overwhelming growth of electronic messages - most notably e-mail and instant messaging - the management of electronic records has become a critical business issue. How information is managed has significant business, legal, and technology ramifications.”[2] Determining when content is a record, and then how that record is managed throughout its lifecycle is essential, while the medium that is used to create, deliver, or store information is the secondary consideration.
1 Executive Summary
The GSD Risk Management Division (GSD/RMD) has identified opportunities to improve the management of paper business processes for six out of seven bureaus within the Risk Management Division. Those bureaus are workers’ compensation, contracts, loss control, legal, property and casualty, and employee benefits. All of these bureaus deal with paper documents, onsite file storage, as well as off site file storage.
GSD/RMD prioritizes their document imaging and management needs into planned phases:
• Phase I – Workers’ Compensation (Active & New);
• Phase II – Legal, Employee Benefits & Workers’ Compensation (Closed Onsite Files);
• Phase III – Loss Control, Workers’ Compensation (Closed Offsite Files );
• Phase IV – Property and Casualty Workers’ Compensation (Closed Offsite Files);
Worker’s Compensation deals with on the job injury claims. Claims involve forms, medical history, medical treatment notes, mediation, judge’s rulings and much more. Additionally, a claim can be closed but the file is stored for any future related injuries until the death of the claimant. Workers’ Compensation can be grouped into three categories described below; these are incorporated into the four phases outlined above:
• Closed Offsite Files – dates range from the 1970’s to 1994, with an estimated 1,000 boxes of files. These will be the most challenging to manage given the condition of the paper, type of paper and file organization that run the gamut of good to bad.
• Closed Onsite Files – dates range from 1995 to current, estimating 50-60 boxes per fiscal year, representing about 2200 cases each fiscal year, of which half are documents that need to be joined with files in offsite storage.
• Active Files – approximately 2000 files are active open cases, with 10 staff carrying an average caseload of 200. Additionally, this category involves new claims that are received daily. Active and New Workers’ Compensation business processes are priority for implementing document imaging, electronic document management and workflow management.
The GSD Risk Management Division (RMD) business processes are paper intensive. Substantial GSD/RMD business process improvements are achievable through implementing document scanning, electronic document management and electronic records management.
The State of New Mexico General Services Department submitted funding requests for an electronic document management system.
The benefits of implementing Enterprise Content Management solutions for the GSD Risk Management Division (GSD/RMD) include:
• Increased efficiency and productivity through a well managed records environment;
• Optimize business processes, decreasing number of steps, saving time;
• Lower the cost of government;
• Improved service delivery to constituency
This total cost estimate for the GSD/RMD FY08 ECM project is $1,100,000. The funding is to come from two sources:
A. The GSD Risk Management Division received legislative approval in January 2007 to transfer $1,000,000 from the Risk Management Reserves to provide for Enterprise Content Management solutions. This funding amount supports 1) hardware, 2) software and 3) ECM implementation services.
B. $100,000 from the General Fund which supports a portion of Enterprise ECM project management costs
Industry Background
The research on industry background, history and market trends is based primarily on three sources – AIIM, ARMA and Gartner Research. AIIM is using a new byline, referring to itself as the Enterprise Content Management Association and ARMA International “has adopted the tag line – The Association of Information Management Professionals, as a descriptor of the association.” Gartner, Inc. is the leading provider of research and analysis on the information technology industry.
Enterprise Content Management (ECM)
What is the definition for “content” as in “content management”? Content is a meta-concept that encompasses papers, books, maps, email, web sites, photographs, images, forms, audio, video, text, documents and reports.
During the last 2-4 years there has been significant volatility for vendors in the Enterprise Content Management marketplace. Gartner Research during 2002 and 2003 reported on Integrated Document Management (IDM) and Integrated Document Archive and Retrieval (IDARS) vendors. However Gartner is no longer providing detailed analysis on these types of vendor, instead they are now reporting on Enterprise Content Management (ECM) vendors. Gartner Strategic Planning Assumptions state that:
• “By 2005, all of the major stand-alone IDM vendors will have evolved into Content Management suite vendors (0.8 probability).”[3]
• “By 2007, the IDARS market will cease to be a stand-alone market and will merge into the ECM Category (0.7 probability).
• “By 2007, IDARS will become integral components of ECM suites (0.7 probability).”[4]
• “Several of the stand-alone markets that contribute functions to ECM (such as Web content management, records management and digital asset management) will disappear by 2008 (0.9% probability.)”[5]
The project team will develop the Selection Criteria for GSD ECM-EDMS using information from the Enterprise Content Management (ECM) marketplace. See the ECM Requirements Matrix at GSD ECM-EDMS.state.nm.us. The reasons for implementing ECM are most clearly stated in Gartner Analysis:
“Enterprise content management (ECM) will be the strategic foundation of a new model for the vendor and user communities. A profound shift in the document and content management markets will affect the way users make purchases. ECM has emerged after 10 years of market consolidation. Vendors from various areas have entered other markets by developing new functions, or by acquiring companies and technology from related markets. As a result, few stand-alone vendors remain in some of these markets (for example, Web content management and records management).
“Today, ECM encompasses the following core components:
o Document capture and document imaging for capturing and managing paper documents
o Document management for check-in/check-out, version control, security and library services for business documents
o Web content management for automating the Webmaster bottleneck, and managing dynamic content and user interaction
o Records management for long-term archiving and the automation of retention and compliance policies, and to ensure legal or regulatory record compliance
o Document-centric collaboration for document sharing and supporting project teams
o Workflow for supporting business processes and routing content, assigning work tasks and states, and creating audit trails
“ECM can also include:
o Integrated document archive and retrieval systems for documents and reports
o E-forms for exchanging electronic content
o Digital asset management for storing and managing rich media content
o E-mail archiving and e-mail management for retaining electronic communications in support of compliance
“Although they're only options today, the four capabilities above will become core components of ECM suites within the next two years.”[6]
Here is a diagram showing the various technology tools that are being included in Enterprise Content Management solutions offered by vendors.
Clearly the ECM market trends are continuing to evolve. It seems prudent for the State of New Mexico General Services Department to select and implement a document management system component within an Enterprise Content Management solution that remains viable as the markets consolidate, and also includes extensible features and functions that can be added as the State moves toward an Enterprise Model.
2 Funding and Sources
|Source |Amount |Associated restrictions |
|Laws of 2007, Chap 28, Section 7, |2.3 – (Includes RMIS, ECM, |None |
|Subsection 8 |DataWarehouse) | |
| |ECM – estimated @$1.1 – RMD | |
| |Enterprise Funds | |
3 Constraints
|Number |Description |
|1 |Project budget for implementation of the base program is limited. Funding will not be re-authorized at the end|
| |of FY10. |
|2 |Large volumes of paper records |
|3 |Adequate resources to scan documents |
|4 |15,000 sq ft warehouse storage of paper documents |
|5 |Statutory requirement to keep records for life of claimant |
4 Dependencies
Types include the following and should be associated with each dependency listed.
• Mandatory dependencies are dependencies that are inherent to the work being done.
• D- Discretionary dependencies are dependencies defined by the project management team. This may also encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle.
• E-External dependencies are dependencies that involve a relationship between project activities and non-project activities such as purchasing/procurement
|Number |Description |Type M,D,E |
|1 |Vendor On-going Software Support |M |
|2 |RMD Business process Re-Engineering |M |
|3 |System sized to scale to meet GSD demands |M |
|4 |Department of Information Technology Project Oversight Committee approval of Project certification |M |
| |phases to support on-going project effort | |
|5 |Infrastructure design and availability. |E |
|6 |Contract Approval and purchase for software and maintenance. |E |
|7 |Funding for software maintenance, implementation and on-going support of system. |M |
|8 |Data conversion and defined Metadata requirements and standards |M |
|9 |Develop Operating Standards Maintenance standards manual. |M |
|10 |Application server procurement and installation |M |
|11 |Forms management |M |
|12 |Approval of GSD imaging plan by SRCA |M |
5 Assumptions
|Number |Description |
|1 |System will integrate with DoIT infrastructure and with Central Repository System selected by Records and |
| |Archives |
|2 |Data will be easily converted and without corruption or loss. |
|3 |Vendor will honor contractual obligations. |
|4 |Software will integrate with other system software |
|5 |Adequate Budget will be available. |
|6 |Adequate staffing levels with the proper skill sets necessary to ensure the system will perform at level |
| |expected. |
|7 |Staff is trained properly on the operation of the system to ensure continued success of the program. |
|8 |Vendor will continue to support software and release upgrades/patches on a regular basis. |
|9 |Business Requirements will have minimal change over the life cycle of the project. |
6 Initial Project Risks Identified
[pic]
Project Authority and Organizational Structure
1 Stakeholders
|name |Stake in Project |Organization |Title |
|Arturo Jaramillo, |Program financial responsibility |General services department |cabinet secretary |
| | |(GSD) | |
|Mike wilson |program administration responsibility |gsd, risk management division |division director |
|George McGeorge |program administration responsibility |gsd, risk management division |division Deputy |
| | | |director |
|Ed romero |program administration responsibility |gsd, risk management division |division Deputy |
| | | |director |
|Steve mindham |quality assurance management |gsd, risk management division |Bureau chief |
|ida spence |workers compensation administration |gsd, risk management division |Bureau chief |
| |responsibility | | |
|Gerald Rodriquez |ECM system administration |gsd, risk management division |Bureau chief |
|Velma Herrera |Property and Casualty Claims |Property and Casualty |Bureau chief |
|Jennifer Grogietsky |Disability payments |Disability |bureau chief |
|Claudia Melendrez-rel |Benefits enrollment and payments |benefits |bureau chief |
|nancy bearce |benefits enrollment and payments |benefits |bureau chief |
|gsd technology and system support |technical support of systems |technology and system support |Application Developer,|
| | | |Database |
| | | |Administration, System|
| | | |Administration |
2 Project Governance Structure
1 Project Organizational Structure
[pic]
2 Project Steering Committee Roles and Members
|Role |Responsibility |
|Executive Project Sponsor |The point person for the project within the highest level of the General Services Department. |
| |Responsibilities include: |
| |Champion the project. |
| |Consider potential changes facing the organization and assess the organizational impact |
| |Decide which changes will be instituted, communicate priorities and provide resources to ensure |
| |success |
| |Responsible for creating an environment that enables changes to be made on time and within budget. |
| |Participate in planning sessions |
| |Member of Steering Committee |
| |Ultimate project responsibility |
|Steering Committee Member |Is chartered to provide governance over the direction and support of the project. |
| |Responsibilities include: |
| |Attend and participate in meetings |
| |Review and accept deliverables |
| |Review and provide comment on presented documentation |
| |Balance larger picture versus details of the project |
| |Review project funding and expenditures |
| |Champion the project |
| |Contributes to lessons learned |
3 Executive Reporting
Meetings will be conducted with GSD Management and project teams on a regularly scheduled basis.
Whiteboard sessions outlining project task and resource assignment schedules and agendas are conducted throughout the process and transferred to Microsoft project.
Project team meetings are scheduled to coincide with the Vendor Implementation/Design teams for on-site implementation sessions. Frequency and length of meetings to be defined.
Project status updates reports will be verbally communicated to Business Owners conducted at weekly staff meetings by both Divisions
GSD management will be kept informed on progress of the project periodically throughout the project life cycle.
Special oral and written Project Management and IV&V reports will be given on project progress to the ECM Steering Committee.
The State of New Mexico General Services Department submitted funding requests for an electronic document management system.
The benefits of implementing Enterprise Content Management solutions for the GSD Risk Management Division (GSD/RMD) include:
• Increased efficiency and productivity through a well managed records environment;
• Optimize business processes, decreasing number of steps, saving time;
• Lower the cost of government;
• Improved service delivery to constituency
This total cost estimate for the GSD/RMD FY08 ECM project is $1,100,000. The funding is to come from two sources:
A. The GSD Risk Management Division received legislative approval in January 2007 to transfer $1,000,000 from the Risk Management Reserves to provide for Enterprise Content Management solutions. This funding amount supports 1) hardware, 2) software and 3) ECM implementation services.
B. $100,000 from the General Fund which supports a portion of Enterprise ECM project management costs
Scope
1 Project Objectives
1 Business Objectives
|Number |Description |
|Business Objective 1 |Increased efficiency and productivity through a well managed records environment |
|Business Objective 2 |Optimize business processes, decreasing number of steps, saving time |
|Business Objective 3 |Lower the cost of government, more effective Electronic Records Administration Management |
|Business Objective 4 |Improved service delivery to constituency |
|Business Objective 5 |Substantial GSD/RMD business process improvements are achievable through implementing document |
| |scanning, electronic document management and electronic records management. |
|Business Objective 6 |Streamline traditional claims inefficiencies and reduce manual, paper-based processes, which |
| |contribute to high claims costs and overhead expenses. |
|Business Objective 7 |Provide records management for long-term archiving and the automation of retention and compliance |
| |policies, and to ensure legal or regulatory record compliance |
|Business objective 8 |System will provide document management for check-in/check-out, version control, security and library |
| |services for business documents |
|Business objective 9 |Develop a document imaging plan approved by SRCA |
2 Technical Objectives
|Number |Description |
|Technical Objective 1 |Web-Based System - will be designed on a public facing network with a web based Java platform |
| |front-end to allow RMD staff and vendor remote access |
|Technical Objective 2 |Data will be easily converted and migrated. Metadata will be tagged and follow standards |
|Technical Objective 3 |Support portal architecture |
|Technical Objective 4 |System will have indexing and archiving functionality |
|Technical Objective 5 |System will integrate with the Centralized Electronic Records Repository managed by State Records and |
| |Archives |
|Technical Objective 6 |System Interface - Provide an architecture that will easily interface with SHARE and GSD RMIS systems |
|Technical Objective 7 |Open Architecture - Provide an open architecture infrastructure and scalable to allow for growth |
|technical objective 8 |IT Architecture – ensure system aligns with enterprise-wide IT architecture |
|technical objective 9 |Efficiency, High Performance – Application will be server independent and can be deployed on an open |
| |source application server such as Apache Tomcat |
|technical objective 10 |Authentication - System will support Microsoft Active Directory |
|technical objective 11 |Systems Integration - System will be connected to Hitachi SAN |
|technical objective 12 |Redundancy - System will be configured to support system fail over |
|technical objective 13 |Security/User Roles - System will support a secure front end user system log in and security role |
| |level authentication |
|technical objective 14 |Extensibility - ensure system is designed to easily allow the addition of new-features later,, using |
| |hooks, an application programming interface or plug-ins. |
|technical objective 15 |Include a Reports Writer module |
|Technical Objective 16 |System must support up to 100 concurrent users |
2 Project Exclusions
The following activities and deliverables are out of scope for this specific project:
• Enterprise IT Security Management Program - As soon as an Enterprise Content Management expands to serve multiple agencies' functions, an effective Enterprise IT Security Management Program needs to be in place. Identity Management and Directory Access Services will be recommended as essential components of an Enterprise Model. However, identity management and security will be built into the implementation of the ECM solution.
• Email Archiving - The capability to capture, manage, store and retrieve email must be selection criterion for the ECM Vendor; the implementation of this important functionality is out of scope for this phase of the ECM (EDMS/ERMS) project.
3 Critical Success Factors
Metric are key to understanding the ability of the project to meet the end goals of the Executive Sponsor and the Business Owner, as well as the ability of the project team to stay within schedule and budget.
|Number |Description |
|Quality 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 building |
|Quality Metrics 4 |All RMD operational and facility data information is successfully converted and migrated onto a |
| |electronic records management platform |
|Quality Metrics 5 |Applicable RMD Legislative Performance Measures as stated in GSD FY09-10 Strategic Business and IT |
| |plan are met |
|Quality Metrics 6 |System is secure, operable and stable |
| | |
|Quality Metrics 7 |Data integrity is maintained |
|Quality Metrics 8 |Staff is adequately trained |
|Quality Metrics 9 |Conforms to SRCA Records Management Policies |
PROJECT DELIVERABLES AND METHODOLOGY
The following four elements provide a summary of the project deliverables description and associated acceptance criteria. The elements include:
Planning Documents
|Description – The Project Management Plan represents the project |Deliverable Acceptance Criteria – EDMS Executive Steering Committee |
|team’s plans for the acquisition, installation, testing and |(ESC) approval and DoIT approval |
|implementation of the ECM solution. It is a working document. It | |
|will be modified and updated (under revision control) as the project | |
|team learns more about the project, brings on support vendors and | |
|responds to changing or evolving conditions. On completion of the | |
|project, the Project Manual is envisioned to evolve into a Manual that| |
|can serve as a guide for agencies implementing the statewide EDMS in | |
|the future | |
| |Standards for Content and Format – The State PMO provides templates |
| |for content. The standard is based on the Project Management |
| |Institute’s (PMI) Project Management Body of Knowledge (PMBOK) |
| |Quality Review – Review by EDMS ESC, the State PMO and PCC |
Project Management & Control Functions
|Description – Integrated Project Control Process, Change Control |Deliverable Acceptance Criteria – EDMS ESC |
|Process, Risk Management Plan, Internal Project Communication Plan, | |
|Quality Management Plan, Issue Management Process and the IV&V Plan. | |
|These are sections in the EDMS Project Manual. | |
| |Standards for Content and Format –The standard is based on the Project|
| |Management Institute’s (PMI) Project Management Body of Knowledge |
| |(PMBOK) |
| |Quality Review – Review by EDMS ESC, the State PMO and PCC |
Procure ECM Solution and Implementation Services (RFP Process)
|Description – Procuring the ECM solution and Implementation Services |Deliverable Acceptance Criteria – EDMS ESC approval, signature |
|(the RFP process) is estimated to require two months at the most. |approval by Purchasing, Legal and the State CIO and then ACF approval |
|After the RFP is written, State Purchasing, the General Council & DoIT| |
|must approve it. Then the following steps and timeframes are | |
|required: | |
|RFP must be open for proposals – 30 days | |
|Review proposals & decide - - - - - 30 days | |
|Contract negotiations - - - - - - - - - 30 days | |
|Contract Approval - - - - - - - - - 30–60 days. | |
| |Standards for Content and Format – The contracts follow New Mexico |
| |standards for professional services contracts |
| |Quality Review – EDMS ESC |
Project Resource Management
|Description – Recruit and hire project labor resources to include, a |Deliverable Acceptance Criteria – EDMS ESC approval, signature |
|Project Manager, and IV&V services vendor. Specific Deliverables |approval by Purchasing, Legal and the State CIO |
|include: | |
|Project Manager Price Agreement | |
|IV&V Price Agreement. | |
| |Standards for Content and Format – The contracts follow New Mexico |
| |standards for professional services contracts |
| |Quality Review – EDMS ESC |
2 Project Management Life Cycle
|Phase |Summary of Phase |Key Deliverable |
|Initiating |Main elements include: Authorize the project; Commit organization to project or |Project Charter, Project Scope, |
| |phase; Set the overall direction; Define top-level project objectives; Secure |Business Requirements, Assumptions, |
| |necessary approvals and resources; Assign Project Manger; Integration Management. |Constraints, |
|Planning |Main elements include: Define Project scope; Refine Project objectives; define all |Project Plan, Critical success |
| |required deliverables; Create frame for project schedule; Provide forum for |factors, Work Break Down Structures,|
| |information sharing between project team members; Define all required activities; |Project Schedule |
| |Identify required skills and resources; Estimate work effort; Risk analysis and | |
| |avoidance; Define and estimate all required costs; Obtain project funding approval; | |
| |Communication Plan. | |
|Executing |Main elements include: Coordinate the resources, team development; Quality |Actual efforts, Project deliverables|
| |Assurance; Select subcontractors; Distribute Information; Work the plan. |completion |
|Controlling |Main elements include: Manage team, stakeholders and subcontractors; Measure |Performance status reports, |
| |progress and monitor performance (overall, scope, schedule, costs and quality); Take|Corrective Actions, Measurement |
| |corrective action if needed; Change request Management; Risk Management; Performance|Metrics, Plan Change Request, |
| |reports and Communications. |Product Change Request, Risk |
| | |Management, Issues Management |
|Closing |Main elements include: Finalize activities; Administrative close out (gather, |Deliverable Acceptance, Lessons |
| |distribute, archive information to formalize project completion, acceptance/signoff,|Learned |
| |evaluation, member, appraisals, lessons learned); Contract close out (completion of | |
| |the project contract including resolution of open items and final formal acceptance)| |
1 Project Management Deliverables
|Project Charter |The Project Charter for Certification sets the overall scope for the project, the |
| |governance structure, and when signed is considered permission to proceed with the |
| |project. The Project Charter for Certification is used to provide the Project |
| |Certification Committee with adequate knowledge of the project and its planning to |
| |certify the initiation phase of the project |
|Certification Form |The Request for Certification and Release of Funds form is submitted when a project goes |
| |for any of the certification phases. It deals with the financial aspects of the project, |
| |as well as other topics that indicate the level of planning that has gone into the |
| |project. Many of the questions have been incorporated into the preparation of the project|
| |charter |
|Project Management Plan |. “Project management plan” is a formal document approved by the executive sponsor and |
| |the Department and developed in the plan phase used to manage project execution, control,|
| |and project close. The primary uses of the project plan are to document planning |
| |assumptions and decisions, facilitate communication among stakeholders, and documents |
| |approved scope, cost and schedule baselines. A project plan includes at least other |
| |plans for issue escalation, change control, communications, deliverable review and |
| |acceptance, staff acquisition, and risk management. plan.” |
|IV&V Contract & Reports | “Independent verification and validation (IV&V)” means the process of evaluating a |
| |project to determine compliance with specified requirements and the process of |
| |determining whether the products of a given development phase fulfill the requirements |
| |established during the previous stage, both of which are performed by an organization |
| |independent of the lead agency. Independent verification and validation assessment |
| |reporting. The Department requires all projects subject to oversight to engage an |
| |independent verification and validation contractor unless waived by the Department. |
|IT Service Contracts |The Department of Information Technology and the State Purchasing Division of General |
| |Services have established a template for all IT related contracts. |
|Risk Assessment and management |The DoIT Initial PROJECT RISK ASSESSMENT template which is meant to fulfill the |
| |following requirement: |
| |“Prepare a written risk assessment report at the inception of a project and at end of |
| |each product development lifecycle phase or more frequently for large high-risk projects.|
| |Each risk assessment shall be included as a project activity in project schedule.” |
| |Project Oversight Process memorandum |
|Project Schedule |A tool used to indicate the planned dates, dependencies, and assigned resources for |
| |performing activities and for meeting milestones. The defacto standard is Microsoft |
| |Project |
|Monthly Project Status Reports to DoIT |Project status reports. For all projects that require Department oversight, the lead |
| |agency project manager shall submit an agency approved project status report on a monthly|
| |basis to the Department. |
|Project Closeout Report |This is the Template used to request that the project be officially closed. Note that |
| |project closure is the last phase of the certification process |
2 Deliverable Approval Authority Designations
|Deliverable Number |Deliverable |Approvers (Who can approve) |Date Approved |
|PRJ-DEL-001 |Project Management Plan (PMP) |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-002 |Business Assessment and Requirements Report |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-003 |IV&V Contract & Reports |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-004 |IT Service Contracts |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-005 |Risk Assessment and management reports |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-006 |Project Schedule |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-007 |Monthly Project Status Reports to DoIT |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-008 |Architecture Plan |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-009 |Hardware configuration and equipment |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-010 |Software licenses |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-011 |Implementation services |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-012 |Lessons Learned |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-013 |Close out reports and documentation |Project Director on behalf of | |
| | |Executive Steering Committee | |
3 Deliverable Acceptance Procedure
The Project Director shall present the deliverables along with a recommendation for approval to the Executive Steering Committee during a regularly scheduled steering committee meeting. The Executive Steering Committee must then vote to accept or reject the deliverable with the vote reflecting a majority decision.
If the deliverable is rejected, the Project Director must inform the vendor submitting the deliverable of the committee’s action and must also identify, in writing, why the deliverable was rejected, and what actions must be addressed by the vendor before the deliverable is presented for acceptance again.
3 Product Life Cycle
|Phase |Summary of Phase |Key Deliverables |
|Initiating |The requirements have been defined and |Requirements Documents |
| |documented. A Business Strategy Survey will be| |
| |conducted to define goals, business processes, | |
| |critical factors, current environment, sizing | |
| |requirements, current vendor environment, # of | |
| |users, work processing requirements, other | |
| |needs. | |
|Planning |The Vendor will be required to deliver design |Design Documents |
| |documents for authentication, reporting, and | |
| |the database feeds. | |
|Executing |EMC software will be an open source web |Systems Specifications |
| |application that will require no additional | |
| |desktop software to run and minimal | |
| |customization. It will have the ability to | |
| |interface with GSD systems at minimal cost. | |
|Executing |The system will be open architecture and be |Systems Architecture |
| |certified on standard operating platforms – | |
| |Windows or Unix. Architecture will be scalable | |
| |to allow for growth, provide interoperability | |
| |with other systems, have a secure web front | |
| |end, be security rules based and provide | |
| |multiple security layers for user | |
| |authentication. | |
|Executing |The Program users will test system |System and Acceptance Testing |
| |functionality, performance, reporting accuracy | |
| |and response times. | |
| |IT Technical Support Staff will test system | |
| |operational performance. | |
|Executing |The Vendor will be required to deliver design |Operations Requirements |
| |documents for authentication, Reporting, and | |
| |the Database feeds. Vendor will also integrate| |
| |data from legacy system. | |
1 Technical Strategy
Developing a project strategy is a process of choosing an approach to the work that maximizes strengths, minimizes weaknesses, takes advantage of opportunities and mitigates threats while balancing the anticipated cost and potential benefit. A good strategy will minimize risk while maximizing return on investment.
The strategic direction is to select and implement an EDMS that fits within a greater Enterprise Content Management (ECM) solution using a Commercial-Off-the-Shelf (COTS) software product that has demonstrated its effectiveness in the marketplace. Using a package strategy rather than a custom development strategy has been proven effective in many situations, and is a common strategy in both the private and public sectors.
A package strategy however, is not without its own risks. As a whole, the Information Technology (IT) industry has found the implementation of Enterprise Resource Planning (ERP), Customer Relationship Management (CRM), Supply Chain Management (SCM) and other large-scale automation packages to be very difficult in many situations. Many of the high profile IT project disasters documented by the IT trade press over the years have involved the implementation of software packages. The question then is how to take advantage of a software package strategy while avoiding the potential pitfalls that have plagued so many other package implementations over the years?
The project strategy is based on the strategic direction established by the GSD ECM-EDMS Executive Steering Committee, and the lessons learned from others in the Information Technology industry that have implemented package software. Five principles guide the project strategy:
1 Project Management
One of the common factors identified, as a contributing cause of many information technology project failures is the lack of effective project management. The State of New Mexico Department of Information Technology is implementing project management programs both in their organization and in each state agency implementing IT projects. This project will adhere to project management standards of practice as being implemented within state government and specified by the Project Management Institute (PMI) in their Project Management Body of Knowledge (PMBOK) guidelines. According to the Project Management Body of Knowledge:
“Project Management is the application of knowledge, skills, tools and techniques to project activities to meet project objectives. Project Management is accomplished using the processes such as initiating, planning, executing, controlling, and closing. The project team manages the work of the projects, and the work typically involves:
• Competing demands for: scope, time, cost, risk and quality.
• Stakeholders with differing needs and expectations.
• Identified requirements.
“It is important to note that many of the processes within project management are iterative in nature. This is in part due to the existence of and the necessity for progressive elaboration in a project throughout the project lifecycle, i.e., the more you know about your project, the better you are able to manage it.”
2 Rapid Implementation
Faster implementation is better than drawn out implementation. Solutions that require too long to implement, have a high risk of failure. Administrations change, business needs change and solution requirements change. Time is the enemy. Successful package implementations are fast implementations, even at the expense of some functionality. An 80% solution today is far superior to a 100% solution that requires 2 years to implement. Fast implementation allows for taking advantage of the Pareto Principal; 80% of the benefit comes from 20% of the solution. The additional 20% of the benefit that might be achieved comes at a dramatically higher price and extended schedules.
3 Well-defined Objectives
The project must be tightly focused on a well-defined set of objectives. The “keep it simple” approach minimizes risk and implementation time. It empowers the team to concentrate on those objectives that offer the maximum return on the invested time and effort while allowing the team to spend adequate time and energy on validation, testing and documentation – tasks that are the first to be sacrificed in a more complex and drawn out implementation plan. The net result is a successful package implementation on which further development and enhancements are more likely and have a better chance of ultimate success.
4 Support Extensibility
The objective is to procure an Enterprise Content Management solution designed to easily allow the addition of new features later. This allows New Mexico agencies to start with a limited subset of functionality, and limiting initial costs, with the option to expand to greater functionality in the future.
2 Product and Product Development Deliverables
|Requirements Documents |The requirements have been defined and documented. A Business Strategy Survey will be |
| |conducted to define goals, business processes, critical factors, current environment, |
| |sizing requirements, current vendor environment, # of users, work processing |
| |requirements, other needs. |
|Design Documents |The Vendor will be required to deliver design documents for authentication, reporting, |
| |and the database feeds. |
|Systems Specifications |EMC software will be an open source web application that will require no additional |
| |desktop software to run and minimal customization. It will have the ability to interface|
| |with GSD systems at minimal cost. |
|Systems Architecture |The system will be open architecture and be certified on standard operating platforms – |
| |Windows or Unix. Architecture will be scalable to allow for growth, provide |
| |interoperability with other systems, have a secure web front end, be security rules based|
| |and provide multiple security layers for user authentication. |
|System and Acceptance Testing |The Program users will test system functionality, performance, reporting accuracy and |
| |response times. |
| |IT Technical Support Staff will test system operational performance. |
|Operations Requirements |The Vendor will be required to deliver design documents for authentication, Reporting, |
| |and the Database feeds. Vendor will also integrate data from legacy system. |
3 Deliverable Approval Authority Designations
|Deliverable Number |Deliverable |Approvers (Who can approve) |Date Approved |
|PRJ-DEL-001 |Project Management Plan (PMP) |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-002 |Business Assessment and Requirements Report |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-003 |IV&V Contract & Reports |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-004 |IT Service Contracts |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-005 |Risk Assessment and management reports |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-006 |Project Schedule |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-007 |Monthly Project Status Reports to DoIT |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-008 |Architecture Plan |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-009 |Hardware configuration and equipment |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-010 |Software licenses |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-011 |Implementation services |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-012 |Lessons Learned |Project Director on behalf of | |
| | |Executive Steering Committee | |
|PRJ-DEL-013 |Close out reports and documentation |Project Director on behalf of | |
| | |Executive Steering Committee | |
Project Certification
|Description – Project Certification Committee (PCC) certification of |Deliverable Acceptance Criteria – Certification by PCC & ITC approval |
|the EDMS Project Manual is required for each phase of the EDMS |to release funds |
|project. PCC provides a recommendation to the ITC for certification | |
|and release of funds. | |
| |Standards for Content and Format – Provided by the State PMO and PMI |
| |methodologies. |
| |Quality Review – Review by EDMS ESC and the project management team. |
ECM Solution - Selection Criteria
|Description – Develop Functional and Technical Selection Criteria List|Deliverable Acceptance Criteria – EDMS ESC approval |
|for ECM solution. Rank each criterion in terms of A - Critical Need, B| |
|– Medium Need, C - Nice to Have. Rate Vendor solutions | |
| |Standards for Content and Format – N/A |
| |Quality Review – EDMS ESC |
Infrastructure Analysis & Design (IA&D)
|Description – Infrastructure Design of the EDMS environments |Deliverable Acceptance Criteria – Approved infrastructure design |
|(Production, Development, Test and Training). Design will include: |capable of hosting all EDMS environments. |
|Document logistics analysis & design | |
|Hardware specifications & sizing req. | |
|System software requirements | |
|Communication (network) requirements | |
|Data interchange requirements | |
|Cost estimates | |
| |Standards for Content and Format – Content and Format should follow |
| |GSD established standards for platform design. |
| |Quality Review – Review and approval by GSD technical architects. |
Professional Services Procurement
|Description – Professional Services contract with a vendor to support |Deliverable Acceptance Criteria – Signed and approved professional |
|the design, development and implementation of the ECM solution. An |services contract |
|open RFP process will be used to garner proposals and select a vendor.| |
| |Standards for Content and Format – Contract follows NM standards for |
| |professional services |
| |Quality Review – GSD, State Purchasing & DFA. |
Vendor Planning and Documentation
|Description – Vendor documentation required for successfully planning |Deliverable Acceptance Criteria – EDMS ESC Approval |
|and managing all aspects of the EDMS development and implementation, | |
|including Quality Assurance plan and processes, Communications Plan, | |
|Change Management Plan, Issues & Risk Management Plan, Work Plan, | |
|Service Level Agreements (SLAs), product documentation, Security Plan,| |
|Transition Plan, and Metadata & Taxonomy Best Practices document. | |
| |Standards for Content and Format – Content and Format should follow |
| |GSD established standards. |
| |Quality Review – Review and approval by EDMS Project Director. EDMS |
| |Project Director will route documentation to the appropriate project |
| |team members as required for review and approval. |
System Hardware & Software Procurement
|Description – All necessary system hardware and software required to |Deliverable Acceptance Criteria – Possession of all system hardware |
|fully implement ECM solution for all system environments as designed |and software as designed |
| |Standards for Content and Format – Meets the design requirements |
| |specified |
| |Quality Review – GSD tech team |
Infrastructure
|Description – Installation and configuration of all necessary hardware|Deliverable Acceptance Criteria – Fully installed & configured |
|and software necessary to fully implement the ECM solution for all |infrastructure to support ECM |
|system environments. Deliverable includes system documentation. | |
| |Standards for Content and Format – GSD established standards. |
| |Quality Review – Review and approval by EDMS Project Director with GSD|
| |tech team. |
Functional Analysis & Design
|Description – Functional Analysis & Design includes designing the |Deliverable Acceptance Criteria – Approved Functional Analysis and |
|content management structure, records management structure and |Design Document |
|designing the metadata and taxonomy | |
| |Standards for Content and Format – Best Practices document for |
| |metadata and taxonomy |
| |Quality Review – EDMS ESC and project team |
Disaster Recovery Planning
|Description – Develop Disaster Recovery Plan and Strategy for the ECM |Deliverable Acceptance Criteria – Approved Disaster Recovery Planning |
|solution |document for the ECM |
| |Standards for Content and Format – Industry Best Practices for |
| |Disaster Recovery |
| |Quality Review – EDMS ESC and Project Team |
Hosting Strategy and Service Level Agreements (SLA)
|Description – GSD will develop a hosting strategy for the ECM |Deliverable Acceptance Criteria – EDMS ESC Approval for Hosting |
|solution. Based on the approved hosting strategy, SLAs will be |Strategy document |
|developed | |
| |Standards for Content and Format – N/A |
| |Quality Review – EDMS ESC and Project Team |
System Development, Customization and Transition
|Description – These deliverable descriptions, Acceptance Criteria, |Deliverable Acceptance Criteria – N/A |
|Standards for Content and Format, as well as Quality Review are | |
|included in the RFP and the Professional Services Contract for the ECM| |
|solution & Implementation Services Vendor | |
| |Standards for Content and Format – N/A |
| |Quality Review – N/A |
Business Process Reengineering (BPR)
Business Process Reengineering (BPR) must proceed for the GSD Risk Management Division processes to achieve success. Deliverables consist of an approved BPR project team and BPR scope, a measurements document, detailing current performance metrics, an analysis document including AS-IS process diagram, a process improvement document, including TO-BE process diagram, and reengineered policies and procedures, and finally an approved control document. The EDMS Project Director will facilitate Business Process Reengineering, providing education & support for the HSD teams.
Define BPR Project Team and BPR Scope
|Description – A BPR Project Team Charter and Stakeholders must be |Deliverable Acceptance Criteria – EDMS Executive Steering Committee |
|defined. The BPR Project Team members must be chosen based on their |(ESC) approval and Division Management approval |
|subject matter expertise, their demonstrated contributions as a team | |
|member, and their ability to champion the vision to all associates | |
|affected by the BPR and implementation. The BPR Scope document defines| |
|the boundaries for the BPR effort, which includes, defining at a high | |
|level, the issues and solutions, estimating the BPR impact, and | |
|creating a first draft AS-IS process map | |
| |Standards for Content and Format – BPR Industry Best Practices and the|
| |Project Management Institute’s (PMI) Project Management Body of |
| |Knowledge (PMBOK) |
| |Quality Review – Review by Project Team members, EDMS ESC and Division|
| |Managers |
Measurements Document
|Description – Developing a measurement document consists of collecting|Deliverable Acceptance Criteria – EDMS Executive Steering Committee |
|current baseline performance metrics based on identifying the Inputs, |(ESC) approval and Division Management approval |
|Processes & Outputs (IPO). Collect current policy and procedure | |
|manuals, detail the AS-IS process map and perform Strength, | |
|Weaknesses, Opportunities, Threats & Issues (SWOTI) analysis. | |
| |Standards for Content and Format – Industry Best Practices |
| |Quality Review – Review by Project Team members, EDMS ESC and Division|
| |Managers |
Detailed Analysis
|Description – Detailed analysis consists of various methods for |Deliverable Acceptance Criteria – EDMS Executive Steering Committee |
|separating the whole into its component parts. Based on specific |(ESC) approval and Division Management approval |
|needs, use appropriate analysis methods, including gap analysis, | |
|identifying root causes, comparative analysis, stratifying process and| |
|data, regression analysis. The SWOTI analysis will be refined | |
| |Standards for Content and Format – Industry Best Practices |
| |Quality Review – Review by Project Team members, EDMS ESC and Division|
| |Managers |
Improvement Document
|Description – The Improvement document consists of generating solution|Deliverable Acceptance Criteria – EDMS Executive Steering Committee |
|ideas, determining solution impacts &benefits, evaluating & selecting |(ESC) approval and Division Management approval |
|solutions, designing the TO-BE process map, & updating and/or | |
|developing policy & procedure manuals. Develop & present a Storyboard,| |
|communicating solutions to Stakeholders | |
| |Standards for Content and Format – Industry Best Practices |
| |Quality Review – Review by Project Team members, EDMS ESC and Division|
| |Managers |
Control Document
|Description – The control document details expected performance |Deliverable Acceptance Criteria – EDMS Executive Steering Committee |
|metrics, as well as policies and procedures to monitor, correct and |(ESC) approval and Division Management approval |
|control performance during and after the implementation of new systems| |
|and processes. Integrate and manage solutions in daily work processes.| |
|Integrate lessons learned | |
| |Standards for Content and Format – Industry Best Practices |
| |Quality Review – Review by Project Team members, EDMS ESC and Division|
| |Managers |
Implementation
The General Services Department is responsible for Implementation. This includes an approved implementation plan for reengineered business processes, training, system integration, content security and a content migration plan.
Implementation Plan for Reengineered Business Processes
|Description – The implementation plan consists of a process transition|Deliverable Acceptance Criteria – EDMS Executive Steering Committee |
|plan, a system cutover plan and a communication plan for stakeholders |(ESC) approval and Division Management approval |
|and all affected associates. | |
| |Standards for Content and Format – N/A |
| |Quality Review – Review by Project Team members, EDMS ESC and Division|
| |Managers |
Training
|Description – Training starts with an Approved Training Plan, to |Deliverable Acceptance Criteria – EDMS ESC approval and Division |
|develop and distribute Approved Training Documents, including user |Management approval |
|manuals and quick references | |
| |Standards for Content and Format – Best Practices and Standards for |
| |Training |
| |Quality Review – Review by Project Team members, EDMS ESC and Division|
| |Managers |
System Integration
|Description – System integration brings together work done while |Deliverable Acceptance Criteria – EDMS ESC approval and Division |
|developing the application and technology infrastructure, completing |Management UAT Sign-off |
|the functional interface design, technical interface design, interface| |
|development, unit, system & integration testing and finally User | |
|Acceptance Testing (UAT) | |
| |Standards for Content and Format – GSD established standards for |
| |functional & technical design documents. |
| |Quality Review – Review by Project Team members, EDMS ESC and Division|
| |Managers |
Content Security
|Description – Ensure the security features built into the Enterprise |Deliverable Acceptance Criteria – EDMS ESC approval and Division |
|Content Management solution are activated for content and documents. |Management UAT Sign-off |
|Test the security features | |
| |Standards for Content and Format – GSD established standards for |
| |document security |
| |Quality Review – Review by Project Team members, EDMS ESC and Division|
| |Managers |
Content Migration
|Description – Content Migration plans need to be developed giving |Deliverable Acceptance Criteria – EDMS ESC approval and Division |
|serious consideration to the costs & benefits of migrating paper |Management approval |
|documents or microfilm to the electronic document repository. | |
|Questions that need to be considered include the frequency or | |
|likelihood the documents will be accessed in the future, and the labor| |
|and time to scan the volume of documents. | |
| |Standards for Content and Format – N/A |
| |Quality Review – Review by Project Team members, EDMS ESC and Division|
| |Managers |
Implementation for GSD Release 1.0
|Description –Implementing Release 1.0is based on completing and |Deliverable Acceptance Criteria – EDMS ESC approval and Division |
|signing off on all prior deliverables included in Application and |Management approval |
|Technology Infrastructure and BPR | |
| |Standards for Content and Format – N/A |
| |Quality Review – Review by Project Team members, EDMS ESC and Division|
| |Managers |
Transition
|Description – Sign-off on transition document signaling the successful|Deliverable Acceptance Criteria – Signed transition document. |
|completion of transition to NM State staff for maintenance and | |
|operations of the ECM solution. | |
| |Standards for Content and Format – Content and Format should follow |
| |GSD established standards. |
| |Quality Review – Review and approval by Project Director. Internal |
| |review by GSD staff. |
Electronic Records Rules and Standards
The work breakdown structure for Electronic Records Rules and Standards includes a communication plan, clarifying content ownership, creating a content management strategy, establishing a Content Review Board for metadata standards, and planning & budgeting for ERMS administrative and operational support.
Communication Plan
|Description – Establish a formal communication plan for to assist |Deliverable Acceptance Criteria – GSD Management approval |
|agencies with buy-in, compliance and education for the ERMS | |
| |Standards for Content and Format – Electronic Records Management Best |
| |Practices |
| |Quality Review – Review by GSD Project Team members. |
Supporting Organizational Infrastructure
An organizational infrastructure needs to be set up to support the ECM product after the initial implementation project ends. This also includes training for new users, and administration of the system to support the existence of the product.
|Description – Establish and staff formal organizations for the |Deliverable Acceptance Criteria – EDMS Executive Steering Committee |
|operation, maintenance and ongoing staff support of the ECM solution. |(ESC) approval |
|GSD trained ECM Operations Staff | |
|GSD Trained ECM Administration Staff | |
|Trained End-Users | |
|Governance model approved by the Executive steering committee. | |
|Continuing ECM Executive Steering Committee (new formation) | |
|ECM User Group | |
| |Standards for Content and Format – N/A |
| |Quality Review – Review by Project Team members, EDMS ESC |
Enterprise Model
Enterprise Content Management and an Electronic Document and Records Management Systems framework is
just one component of an Enterprise Model allowing the State of New Mexico General Services Department to move towards a fully electronic services interface for technology enabled customers
|Description – Establishing an Enterprise Model involves research, |Deliverable Acceptance Criteria – EDMS Executive Steering Committee |
|creating an Enterprise Model document and promoting awareness and |(ESC) approval |
|acceptance of the Enterprise Model. | |
|Approved Enterprise Content Management Best Practices Documents | |
|Approved Survey of Other States Practices Document | |
|Approved Industry Trends Document | |
|Approved Blueprint for Enterprise Model | |
|Presentation to DoIT | |
| |Standards for Content and Format – N/A |
| |Quality Review – Review by Project Team members, EDMS ESC |
4 Deliverable Acceptance Procedure
The Project Director shall present the deliverables along with a recommendation for approval to the Executive Steering Committee during a regularly scheduled steering committee meeting. The Executive Steering Committee must then vote to accept or reject the deliverable with the vote reflecting a majority decision.
If the deliverable is rejected, the Project Director must inform the vendor submitting the deliverable of the committee’s action and must also identify, in writing, why the deliverable was rejected, and what actions must be addressed by the vendor before the deliverable is presented for acceptance again.
Project Work
1 Work Breakdown Structure (WBS)
The implementation plan provides an overview of the project by providing a description of the project in terms of the major categories of work, primary activities and responsibilities, milestones/deliverables and overall project timeline. A detailed Work Breakdown Structure (WBS) and deliverable descriptions are found in the Appendix A, while the detailed Project Schedule/Gantt Chart is in Appendix B and the Project Budget is in Appendix C.
[pic]
Note: The detailed Work Breakdown Structure is included as part of Appendix A: Scope Definition Document.
The project implementation strategy is developed from the perspective of products to be delivered. Each of the activities and tasks required to implement the GSD ECM (EDMS/ERMS) strategy has a specific associated deliverable. At a high level, the work is organized into seven separate work categories:
• Project Management
• Application & Technology Infrastructure
• Business Process Reengineering
• Implementation
• Enhance Electronic Records Management Governance Model
• Set up GSD ECM-EDMS Support Organizational Infrastructure
• Promote Enterprise Model
Each of these work categories is defined below and the detailed Work Breakdown Structure is included as part of Appendix A: Scope Definition Document.
1 Project Management
The discipline of the project management concept offers a variety of tools and techniques to deal with and control complex projects. The State of New Mexico Department of Information Technology is implementing the Project Management concepts at the state level and within each department as part of a strategy to better manage and coordinate the state’s information technology resources and budget.
2 Application & Technology Infrastructure
The strategy for designing the application and technology infrastructure for the GSD ECM/EDMD must necessarily consider the enterprise architecture. ECM is just one component of the overall enterprise model. Extensibility, flexibility and scalability are the criteria that must be used to ensure that the architecture for ECM that is implemented now can also support the enterprise architecture that is evolving over the next few years.
3 Business Process Reengineering (BPR)
Process reengineering is the most essential work of implementing Enterprise Content Management or an EDMS. A process is a group of tasks that together create a result of value to a customer or a state constituent. As the reengineering expert, Michael Hammer writes, “Processes are concerned with results, not with what it takes to produce them. The essence of process is its inputs and its outputs; what it starts with and what it ends with. Process work requires that everyone involved be directed toward a common goal; otherwise conflicting goals and parochial agendas impair the effort.”[7] Moving towards a process-oriented culture, is training everybody in habits of thinking and acting that allow the whole organization to work more smoothly and effectively. The question to be asked continuously is, “How do we improve our day to day process?”
4 Implementation
The strategy is to implement an ECM package using external resources. Under the guiding principles, the initial implementation will be completed as quickly as possible. This initial ECM implementation will be used to gain additional knowledge about the product, its operational environment and to help the project team develop a department model for the State of New Mexico General Services Department.
5 Supporting Organizational Infrastructure
The effective operation and support of a large software application requires formal organizational thought and structure. Enterprise Content Management will require more organizational thought than most because it is one component of an enterprise model. The strategy is to provide department resources as the organizational staff necessary to support the ECM application while working to refine the Enterprise Content Management governance model.
6 Electronic Records Governance Model
The General Services Department already has a records governance model in place to deal with paper-based documents. With the GSD ECM (EDMS/ERMS) implementation, a new electronic records environment is to be created. The strategy here is to align the current governance model to the effective ongoing management of electronic records and archives within the new Enterprise Content Management environment.
7 Enterprise Model
Enterprise Content Management, and an Integrated Electronic Document and Records Management Systems framework is just one component of an Enterprise Model allowing the State of New Mexico General Services Department to move towards a fully electronic services interface for technology-enabled customers. Another component of an enterprise model includes Enterprise IT Data Interchange capability, to allow instant online access to information across multiple application systems. A pre-requisite to any type of department-wide access to applications and data is an Enterprise IT Security Management Program, which includes Identity Management, and Access Directory Services. A third component is the Business Process Platform, “As enterprises emphasize business processes, they need to establish a business process platform, specific to their needs, to enable business process creation, deployment and monitoring using service-enabled applications.”[8] Service Oriented Architecture (SOA) is the foundation supporting the enterprise model.
2 Schedule Allocation – Project Timeline
[pic]
3 Project Budget
[pic]
4 Project Team
1 Project Team Organizational Structure
[pic]
2 Project Team Roles and Responsibilities
The State Department of Information Technology (DOIT) will provide project management oversight and the GSD ECM-EDMS Executive Steering Committee will provide strategic direction for the project.
The GSD ECM-EDMS Executive Steering Committee (ESC) provides strategic, high-level guidance with regard to procedures, progress, and risks. The Steering Committee is charged with taking a department view to ensure this project supports the delivery of an enterprise/department model. The project team reports status and progress to the Steering Committee on a regular basis. The GSD ECM-EDMS ESC will also review, and approve deliverables, monitor the activities of the Project Team, assure adherence to the project plan and ensure involvement of participants in order to meet deadlines.
The GSD ECM-EDMS project team will handle the day-to-day tasks and decisions brought to the attention of the Steering Committee. The workgroup is comprised of staff members from the different GSD divisions. Tasks performed by the team include: project management and planning, analyzing requirements, data gap analysis and data mapping, making program specific decisions, helping determine the system and operational processes, business process reengineering, training and deployment.
The Department of Information Technology Office will provide increased emphasis on strategic information technology planning and management. This ensures the proper and efficient administration of all Information Technology projects in the state.
An implementation vendor will be contracted through an open procurement process (RFP/CVR) to install, and assist in the deployment of the ECM. Additional resources are to be contracted through the competitive vendor request (CVR) process to implement IV&V.
Given in the table below are the roles and responsibilities of each of the team members.
|Role |Responsibilities |
|Executive Steering Committee |Meet at least once monthly |
|(ESC) |Provide strategic direction and promote the vision for Enterprise Content Management |
| |Advise project on policy issues |
| |Review, evaluate, and provide direction to the Project Director and Project Team Members on implementation|
| |and deployment strategies |
| |Monitor the project progress |
| |Provide recommendations on issues escalated to the committee |
| |Assist in mitigating strategic project risks |
| |Direct the Project Director on issues and risks |
| |Address, review, and approve all deliverables, such as project structure and team activities |
| |Monitor the project activities, assuring adherence to the project plan |
| |Ensure involvement of participants in order to meet deadlines |
| |Review and approve expenditures of funds |
| |Represent the point of view of key stakeholders including technology-enabled customers and state |
| |government 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 Director |Report to ESC on project status, issues, budget, and activities |
| |Address, review, and submit deliverables to ESC from the GSD Project Team members |
| |Prepare Steering Committee meeting agenda and meeting materials |
| |Establish and maintain a coordinated project manual that includes all IT and non-IT tasks and activities |
| |necessary to fully execute the project and to achieve project goals |
| |Monitor and report the activities of the GSD Project Team, assuring adherence to the project plan, budget |
| |and schedule |
| |Ensure involvement of participants in order to meet deadlines |
| |Ensure mitigation of project issues and risks |
| |Maintain a current copy of the project budget |
| |Facilitate development of ECM selection criteria |
| |Prepare the RFP/CVR for ECM Implementation Services Vendor |
| |Procure hardware and software for GSD ECM (EDMS/ERMS) |
| |Comply with approved IT Infrastructure policies & procedures |
| |Lead Business Process Reengineering efforts |
| |Facilitate defining document metadata and setting up document taxonomy |
| |Plan system interfaces and document migration processes |
| |Manage testing and validating GSD ECM (EDMS/ERMS) solution |
| |Provide contract and Vendor oversight |
| |Assure Vendor deliverables meet the business & system requirements |
| |Monitor the project and contract to ensure delivery of complete, accepted deliverables on schedule |
| |Serve as a contact for the Vendor Team Manager, review and accept weekly status reports, project |
| |milestones, deliverables, and issues logs |
| |Advise the Vendor Team(s) on issues and risks |
| |Review and approve all Vendor documentation |
| |Document Enterprise Content Management Model |
| |Work closely with SRCA team to create an approved, published electronic-records management framework |
| |Provide a road map for Agencies to automate records management |
|SRCA Project Team Members |Provide subject matter expertise for records management requirements |
| |Participate in workgroups and status meetings to determine best course of action, options, and |
| |alternatives |
| |Review ITC PCC documentation for certification |
| |Participate in developing EDMS selection criteria |
| |Make recommendations to EDMS Project Director concerning the project deliverables |
| |Review any necessary interim and final APD documentation for approval |
| |Assist with project coordination and issues where escalation is necessary |
| |Review Vendor deliverables and participate in test walk-through |
| |Approve and sign off on project documentation for HSD and TRD |
| |Work closely with Project Director to create an approved, published electronic-records management |
| |framework |
| |Advise the Project Director in developing an EDMS Enterprise Model |
|GSD Team Members |Participate in Hosting Strategy Development |
| |Support installation of hardware and technology infrastructure |
| |Participate in SLA development |
|IT Specialists (CSES PM and |Provide IT subject matter expertise |
|Programmers, GSD Imaging System |Share expertise on Document Imaging and Key from Image (KFI) systems |
|Administrators, GSD System |Work with Project Director to determine hardware, software, network and technical requirements. |
|Experts and Developers |Work with Project Director to define technical system interface requirements. |
| |Provide IT perspective and guidance for technology issues |
|Vendor(s) |Ensure compliance with the Contract and the approved work plan. |
| |Develop and submit all deliverables as required by the Contract. |
| |Meet the Project schedule and milestones as defined in the Work Plan and the Contract. |
5 Staff Planning And Resource Acquisition
The responsibility assignment matrix (RAM) is a table that relates the project organization structure to the work breakdown structure to ensure that each element of the project’s scope of work is assigned to a responsible organization or individual. Larger projects may define responsibility assignment matrices at multiple levels. A high-level RAM may define which group or organizational unit is responsible for each component of the work breakdown structure, while lower-level RAM’s are used within the groups to assign roles and responsibilities for specific activities to specific individuals. The codes are defined as follows: A = Approval, O = Oversight, R = Responsible, S = Provide Support, W = Does the Work.
| Responsible | | | | | | |
|Organization | |ECM/EDMS | | | | |
| |DoIT |Project |ESC |Project Management |Implement |IV&V |
| | |Team | |Vendor |Services |Vendor |
|WBS Task | | | | |Vendor | |
|Business Requirements |-- |R |A |S |-- |-- |
|EDMS Project Manual - |S |R |A |R |-- |-- |
|Project Management | | | | | | |
|Plan including | | | | | | |
|Scope & WBS | | | | | | |
|Project Schedule | | | | | | |
| Software Selection |-- |R |A |S |-- |-- |
|Criteria Checklist | | | | | | |
| RFP Development |-- |R |A |S |-- |-- |
|Risk Management |S |R |A |S |S |S |
|Communication |S |R |A |S |S |S |
|Control | | | | | | |
| Project Process Review |-- |R |A |R |-- |-- |
|Resource Management | | | | | | |
| IV&V Services Contract | |R/A |A |S | |S |
| Procure Vendor Services |S |R |A |S |- |-- |
|For Implementation | | | | | | |
|(RFP Process) | | | | | | |
| Vendor Services | |R |A |S |R | |
|Contract | | | | | | |
|Funding | | | | | | |
| DoIT Approval Phase 1 |-- |R |A |-- |-- |-- |
|– Planning | | | | | | |
| DoIT Approval Phase 2 |-- |R |A |R |-- |-- |
|- Implementation | | | | | | |
| PCC Approval Phase 3 |S |R |A |R |-- |-- |
|- Closeout -Transition | | | | | | |
|App/Tech Infrastructure. | | | | | | |
| Sign License Agreement |-- |R |A |S |-- |O |
|& Acquire ECM | | | | | | |
|Solution Package | | | | | | |
| (Select GSD Document |-- |R |A |S |-- |-- |
|Imaging Vendor) | | | | | | |
| Infrastructure Analysis & |S |R |A |S |S |O |
|Design | | | | | | |
| Hardware/Software |S |R |A |s |S |O |
|Procurement | | | | | | |
| Functionality Analysis & |S |R |A |S |S |O |
|Design | | | | | | |
| System Development & |S |R |A |S |W |O |
|Customization | | | | | | |
| Disaster Recovery |W |R |A |S |S |O |
|Planning | | | | | | |
| Transition |S |R |A |S |W |O |
|Business Process Reengineering | | | | | | |
| Measure |-- |R/W |A |S |S |-- |
| Analyze |-- |R/W |A |S |S |-- |
| Improve |-- |R/W |A |S |S |-- |
| Control |-- |R/W |A |S |S |-- |
|Implementation | | | | | | |
| Training Plan |S |R/W |A |S |S |O |
|Training Manuals | | | | | | |
| System Integration |S |R/W |A |S |S |O |
| Content Migration |S |R/W |A |S |S |O |
| Development & |S |R/W |A |S |W |O |
|Implementation | | | | | | |
|Electronic Records Management | | | | | | |
|System (ERMS) Rules & Standards| | | | | | |
| ERMS Roadmap |S |R |A |S |S |O |
| ERMS Standards |S |R |A |S |S |O |
| ERMS Rules |S |R |A |S |S |O |
|Supporting Organizational | | | | | | |
|Infrastructure | | | | | | |
| Trained Admin Staff |S |R |A |-- |S |O |
| Trained End-Users |S |R |A |-- |S |O |
| ECM User Group |S |R |A |-- |S |-- |
| ECM Governance Body |S |R |A |-- |-- |-- |
|Enterprise Model | | | | | | |
| Champion Enterprise |-- |R |A |-- |-- |-- |
|Model | | | | | | |
A = Approval, R = Responsible, S = Provide Support, W = Does the Work. O = Oversight
Project Management and Controls
1 Risk and Issue Management
Information technology (IT) projects have many inherent risks associated with them. The technology itself, risks associated with introduction of new and/or innovative ideas, organizational change issues, internal project issues, external issues such as politics and the economy not to mention social concerns around the introduction of technology. The list of potential risks is almost limitless.
Risk management is the process of identifying potential project risk, assessing the probability and severity of risk events, and planning appropriate responses. Risk management is a priority task on any IT project and is managed just like cost, schedule, scope and quality.
1 Risk Management Strategy
The best way to deal with a large amount of data/information is to categorize it in such a way to begin understanding the relationships between the data and start to see structure. The Software Engineering Institute (SEI) has developed a Taxonomy of Software Project Risk that offers a way to systematically think about the potential risks that are faced by software development/implementation projects. This taxonomy is used to stimulate thinking about the potential risks that the EDMS Project faces.
2 Project Risk Identification
To ease the documentation and tracking of identified risks, a risk evaluation tool is used, built with an excel spreadsheet. This is the primary tool to be used to list and categorize EDMS project risks. The Risk Analysis is shown in Appendix D. The sequence of activity is as follows:
1. Risk Identification – The process of identifying potential risks and documenting the specific characteristics of each.
2. Risk Analysis – The process of determining the impact and likelihood of the identified risks. This process may employ both qualitative and quantitative techniques as deemed necessary to objectively evaluate potential risks to the project.
3 Project Risk Mitigation Approach
The process of mitigating the possibility of the risk and assigning responsible individuals to identified risks. All identified risks will have appropriate mitigation strategies/plans. For those risks that are highly probable and have, significant impact to the project will develop contingency plans.
4 Risk Reporting and Escalation Strategy
Risk Monitoring and Control – The process of tracking, evaluating and responding to ongoing developments relative to project plans, risk mitigation plans and specific contingency plans. Risk management is an integral component of integrated project control. This is an ongoing process for the duration of the project and will be part of every project status meeting.
Risk identification is the responsibility of all members of the project team. The Project Director and Project Managers are responsible for tracking risks and for developing mitigation strategies and contingency plans that address the risks identified by the team.
The EDMS project will follow a continuous risk management strategy. Risk will be assessed routinely to ensure that identified risks are being dealt with appropriately and that new risks are identified and dealt with as early as possible
5 Project Risk Tracking Approach
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6 Issue Management
With any project, no matter how comprehensive the planning process, issues arise that need to be addressed. This section of the project manual addresses how this process will be managed for the NM EDMS project.
When the project team identifies an issue, it will be added to a document called EDMS Project Issues.doc stored in the project library. An issue can also be identified by anyone affiliated with the project although the project team will be primarily responsible for tracking issues through to resolution. The project team will review the issues list twice a month. Issues, which could negatively affect the project, will be brought to EDMS ESC attention according to the change control process in section 7.4. The process of tracking an issue is outlined here:
1) An issue is identified.
2) It is added to the issue document, assigned an issue number with a brief explanation of the issue and date entered.
3) The issue is assigned to someone and potential action to be taken.
4) As action is taken, it is noted with the issue.
5) If possible, an estimated completion date is entered.
6) Upon completion of an issue, the actual completion date is noted with the resolution.
Listed below are examples of how an issue can be resolved:
❖ An issue can become a task added to the project plan with proper approval, if new, or within scope of the project. See section 7.2 and 7.4 for further details of these processes.
❖ It could be resolved by an action taken.
❖ A document can be created which addresses the issue.
❖ A resolution could create new issues that need to be addressed.
❖ A new policy could be created which addresses the issue.
The project team is primarily responsible to resolve issues or follow-up to be sure action is being taken to resolve an issue.
2 Independent Verification and Validation – IV&V
Independent Verification and Validation (IV&V) is a risk mitigation strategy designed to provide management with project oversight through an independent evaluation a project’s product and process quality. The New Mexico Electronic Document Management System project has adopted a low risk implementation strategy by using a package solution that is currently implemented in multiple commercial and government sites. Given that the project has adopted a package solution strategy, its IV&V plan will be tailored to address the unique risks associated with package implementation projects.
The IV&V plan will:
1. Evaluate and verify that processes, contracts, and system designs comply with the specified requirements of the Enterprise Architecture and Standards
2. Evaluate and validate that products and deliverables of a given development phase fulfill the requirements and performance outcomes set forth in the scope and project plan
3. Provide a “close-out” report to the Executive Board at the end of project.
A Competitive Vendor Request (CVR) will be submitted to the GSD EDMS Executive Steering Committee for approval. Once the CVR has been approved, the project team will initiate contact with approved IV&V vendors. The IV&V vendor will develop a complete IV&V plan in conjunction with the project team.
3 Scope Management Plan
Project control is the mechanism by which the Project Director in conjunction with the project team assesses progress relative to the project plan. The project control process is implemented through a weekly project status meeting. The meeting will be designed to identify variances from the project plan and to identify and initiate corrective actions where appropriate.
• Cost Control –The project director maintains a copy of the current budget and is to notify GSD of budget variances as they are identified.
• Schedule Control – The project team is responsible for establishing and maintaining a project schedule. The project team will assess the current project schedule status and report variances as they are identified. Additionally, the team will identify and implement the appropriate corrective actions to eliminate or minimize schedule variances.
• Scope Control – The project scope is defined and documented in the Appendix 6.1 of the Project Manual. The detailed scope definition contained in Appendix 6.1 will be used to evaluate project scope issues. Significant variances from scope will be submitted to a formal project change control mechanism (Section 7.4 Change Control Process).
• Quality Management – GSD ECM (EDMS/ERMS) project quality management will be established for each deliverable based on the quality mechanisms of the responsible organization, and the GSD ECM (EDMS/ERMS) Quality Management Plan (Section 7.6) of this document.
• Risk Management – Risk management is an ongoing process of identification and assessment. Risk Assessment is included as part of the routine status process of the project. This maintains an awareness of risk and the associated risk assessment and monitoring tasks required to manage the project effectively.
These five parameters of the project are integrally linked and any significant change in one will likely cause changes in the others. Project control establishes the mechanism to routinely track and report on these parameters. If issues arise that result in significant variances in these parameters, the project team will prepare and submit a Project Change Request form through the Project Change Control process.
The process below is designed to capture project status information on a weekly basis. The information is then used to trigger corrective action, risk mitigation and a variety of reporting processes. This process is critical to successful project communication and is the foundation on which a successful project control system will be built. The process should allow for flexibility in dealing with project control issues while ensuring that project status information is captured and documented.
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1 Change Control Process
A formal change control process is an essential component of a successful IT project. The key to controlling project change, is managing the impact to the project plan, budget, and implementation schedule.
Some changes are unavoidable – instances where changes have to be made to comply with legal, federal/state regulations, policy changes, compliance with changes in the business direction of the enterprise, or where technology may dictate change. Other non-essential changes can be avoided through management of a formal change control process.
Scope changes (sometimes referred to as scope creep) are the continual addition of functional enhancements to the product requirements throughout the project life cycle. Excessive scope changes are directly related to poorly defined product requirements and specifications. A well thought out change control process will assist the project management team in controlling “scope creep”.
Three (3) steps are necessary to control scope changes:
1. Establish the baseline product.
2. Obtain agreement from the project “approvers”.
3. Enforce a formal change control process.
1 Establish the baseline product
The EDMS project plan is developed around a “package” strategy. Further, the strategy specifically specifies minimal modifications to the package. No functional modifications are to be made to the selected EDMS product. The package plus the Work Breakdown Structure and product descriptions in section 6.1 of this document represents the baseline product and therefore the criteria for determining the approved scope.
2 Agreement from the EDMS ESC
The baseline product described above and strategy for implementation is to be reviewed and approved by the EDMS Executive Steering Committee. Requests to change the scope will also be reviewed and approved by the EDMS ESC.
3 Enforce a formal change control process
The software package/implementation process is never static. Some changes are to be expected during the EDMS implementation, and a formal process has been defined and is to be followed to make sure all changes to the product are made in an orderly manner. As scope change requests are made, a change control process ensures
▪ Only necessary changes are made,
▪ Changes are communicated to all affected parties, and
▪ Changes are implemented in an orderly fashion.
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4 Project Budget Management
1 Budget Tracking
The Risk Management Division’s Financial Services Bureau will be responsible for managing the ECM-EDMS budget, and will be a member of the EDMS Executive Steering Committee. The FSB employee will provide a budget update at each Steering Committee Meeting, identifying past expenditures, encumbrances, future encumbrances, personnel costs, and any other expense associated with the project budget.
5 Project Communication Plan
Communication is fundamental to effective project management. The Communications Plan outlines the roles and responsibilities of participants in the dissemination, review and approval of project information. A communications plan that is well implemented will help manage expectations of the project, assure appropriate levels of communication with internal and external project stakeholders, provide relevant, accurate, consistent information at all times and help generate and sustain enthusiasm and support for the project.
The communication strategy covers all the informational needs of the project stakeholder community. Many will receive routine information about the project. Others will be able to visit the project website and obtain the specific information that they are seeking and all may receive ad hoc communication from the project team at any time depending on the need.
1 Project Stakeholders
General Services Department (GSD)
▪ GSD Cabinet Secretary
▪ GSD Deputy Cabinet Secretary
▪ GSD Risk Management Division Director
▪ GSD Risk Management Deputy Division Directors
▪ GSD Chief Information Officer
▪ GSD Subject Matter Experts
▪ Project Manager
▪ Project personnel
EDMS Executive Steering Committee
▪ Committee Chairperson
▪ Committee at large
State Records and Archives Center
Implementation Vendor
▪ Account Executive
▪ Project Manager
▪ Project Personnel
2 Project Communication Matrix
Stakeholders (PD = Project Director, PMs = Project Manager
|Deliverable/Description |Target Audience |Delivery Method |Frequency |Responsible Party |
|GSD / EDMS Project Status |GSD CIO |Face-to-Face |Weekly |GSD PM |
|GSD / EDMS Project Status |GSD Team |Face-to-Face |As needed |PD/PM |
|SRCA / ERMS Project Status |SRCA Team |Face-to-Face |As needed |PD/PM |
|Weekly PD Status |GSD PD |Email |Weekly |PM |
|EDMS Project Status |EDMS ESC |Email |2nd & 4th Monday |PD/PM |
|EDMS ESC Meeting |EDMS ESC |Face-to-Face |2nd & 4th Weds. |PD/PM |
|EDMS ESC Meeting Minutes |EDMS ESC |Email |2nd & 4th Fri. |PM |
|DOIT EDMS Project Status |DOIT |Email |Monthly |PD |
|Project Web Page |As needed |Web Page |As needed |PM Team |
|Ad hoc |As needed |As needed |As needed |As needed |
3 Project Status Meetings
The 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.
4 Project Status Reports
The Project Manager provides a monthly summary project status report to all Project Stakeholders.
6 Performance Measurements (Project Metrics)
Metric are key to understanding the ability of the project to meet the end goals of the Executive Sponsor and the Business Owner, as well as the ability of the project team to stay within schedule and budget.
|Number |Description |
|Quality 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 building |
|Quality Metrics 4 |All RMD operational and facility data information is successfully converted and migrated onto a |
| |electronic records management platform |
|Quality Metrics 5 |Applicable RMD Legislative Performance Measures as stated in GSD FY09-10 Strategic Business and IT |
| |plan are met |
|Quality Metrics 6 |System is secure, operable and stable |
| | |
|Quality Metrics 7 |Data integrity is maintained |
|Quality Metrics 8 |Staff is adequately trained |
|Quality Metrics 9 |Conforms to SRCA Records Management Policies |
7 Quality Objectives And Control
Quality Management includes the processes required to ensure that the project will satisfy the needs for which it was undertaken. It includes all activities of the overall management function that determine the quality policy, objectives, quality assurance, quality control, and quality improvement, within the quality system
Quality Management is an important aspect of any project to ensure that the product delivered is accepted and works as designed. Each functional organization is responsible for the quality of its contribution to the project and will apply its internal quality standards to project products and services. The project team will assess the projects products and services based on the standards established by the functional organizations represented on the project.
There are number of ways that quality has been built into this project. The first is IV&V, which will make sure the project meets its expected requirements through a third party evaluation of the project. Please see section 7.7 for more details.
The second is the integrated project control process and change control process, which assure that any changes that are made to the project are executed in a structured manner. The most important of these is the change control process to minimize the change of scope to the project and if scope does change, it is done knowing the impact to the project. Please see sections 7.2 and 7.4 for more details.
The third process for quality management is the risk management plan, which measures, mitigates and includes contingency plans for each risk. Please see section 7.5 for more details.
The project team will also create lessons learned at the end of each phase of the project. These lessons learned will be incorporated into the next phase of the project and be part of the project library that will be available for future projects to use.
All of these processes combined will create a product that has quality that is built in not tested in after the fact. This will provide an environment that maximizes opportunities to control quality.
1 Quality Standards
Describe the agency, industry or regulatory project performance standards that will be followed and assessed by the project. These quality standards will be used to assess whether the quality objectives were achieved.
Identify each of the project quality standards that are directly related to the project and not to the performance of the actual product and/or service. For each quality standard, identify the tracking tool or measure such as number of project reviews or Project Status.
|No. |Quality Standard |Tracking Tool or Measure |
|1 |Project phase is completed by the established finish date. |Project Schedule |
| | |Project Status |
|2 |Project is completed within budget. |Project Charter |
| | |Project Status |
|3 |Quarterly project reviews show contractors deliver requirements specified in the |Vendor Contract |
| |contract by due dates or pay penalties. |Final Customer Acceptance |
|4 |Project issues are resolved and documented within 10 calendar days of identification or |Issues Tracking |
| |extensions are justified. | |
|5 |Project will be completed based on the original project scope and approved scope |Project Charter |
| |changes. |Project Plan |
| | |Control Change Request |
2 Agency/Customer Satisfaction
The project manager should assess the on-going sense of the customer agency about how they feel the project is going, and how team members are acting on the project. This feedback would be helpful to the success of the project and the professional growth of the project team members.
|Areas of feedback |When |How Often |
|Agency awareness |Business Owner Meetings |Monthly |
|Quality of communications |ESC Steering committee meetings |Monthly |
|Manages project tasks |ESC Steering committee meetings |Monthly |
|Productive Meetings |ESC Steering committee meetings |Quarterly |
3 Product Deliverable Acceptance Process
The General Services Department’s Chief Information Officer (GSD CIO) will take delivery of media; manuals; contracts; licenses; services agreements; configuration settings; status of patches to COTS products; in-house or vendor developed code; test cases, routines, and scripts; and other items required for the project. The GSD CIO will take delivery of such products only after the product deliverables have been accepted by the GSD EDMS Executive Steering Committee.
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.
1 Version Control
GSD will implement a software solution to manage version controls for documentation and products. The software will secure or lock documents and products for access by a single individual. The proposed software will have the ability to also merge changes to a central repository.
2 Project Repository
A project repository, consisting of a shared server with multiple folders and a project web site will be developed by GSD IT staff members as a means to provide a central repository for all project documentation and deliverables.
9 Procurement Management Plan
All procurement for project goods and services must be performed under the guidance and direction of New Mexico State Procurement Statues, which will be made available from the EDMS project website.
Project Close
Project Close will always consist of administrative project activities and possibly contractual project activities and an external vendor is employed. Completing both sets of activities is a mandatory step in the project life cycle. Administrative activities complete the internal needs for the Agency/Unit that is responsible for managing the project, such as lessons learned, recording the last hours against the project, and providing transition for the staff to other assignments. Contractual activities meet the contractual needs, such as executing a procurement audit and formal acceptance of the project work products.
2 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
3 Contract Close
Contract close is similar to administrative close in that it involves product and process verification for contract close.
APPENDIX A - Scope Definition Document
1 Detailed Work Breakdown Structure (WBS)
EDMS Project Management WBS
Application & Technology Infrastructure WBS
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Business Process Reengineering WBS
Implementation WBS
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Electronic Records Management Rules & Standards WBS
Supporting Organizational Infrastructure WBS
Enterprise Model WBS
APPENDIX B - Project Schedule/Gantt Chart
If you would like a current soft copy of the MS Project file, please send an email to John.Salazar@state.nm.us
APPENDIX C - Project Budget
If you would like a current soft copy of the Project Budget, please send an email to John.Salazar@state.nm.us
APPENDIX D - Risk Analysis
For the most up to date EDMS Project Risk report, please email the GSD ECM-EDMS Project Manager at John.Salazar@state.nm.us.
APPENDIX E - Project Library
The project library is an electronic storage place where all documentation relating to the project is stored and updated. GSD ECM-EDMS project website provides project specific information. See GSD ECM-EDMS.state.nm.us . This is a single source of project information for all stakeholders. The website includes Information:
▪ Project Objectives
▪ Project Organization
▪ Project Status
▪ Governance, including project status reports and meeting minutes
▪ Project Manual
▪ Project Background and Definitions
▪ ECM Requirements Matrix
▪ ECM Architecture Design
APPENDIX F - Sample Project Forms
Project Change Request Form
This is the form to initiate the Change Control process.
Project Status Report
Please see the status reports on the website at GSD ECM-EDMS.state.nm.us under the Governance link, or the Project Status link
Sample issues report
For the most up to date EDMS Project Issues report, please email the GSD ECM-EDMS Project Manager at John.Salazar@state.nm.us
APPENDIX G – GSD ECM-EDMS Project Definitions
"Administrator" means the state records administrator (Section 14-3-2 NMSA 1978).
"Agency" means any state agency, department, bureau, board, commission, institution or other organization of the state government, the territorial government and the Spanish and Mexican governments in New Mexico (Section 14-3-2 NMSA 1978).
“Application” means a software program designed for end user to do work, such as word processing, accounting, or illustrating. Software programs such as WordPerfect, Excel, and PageMaker are examples of end user applications.
“Archives” Archives has three meanings:
1. Documents preserved because of their historical or informational value.
2. “Archives” means the building or part of a building where archival materials are located, also referred to as an archival repository.
3. The agency or program responsible for selecting, preserving, and making available archival material. Archives and Historical Services is a Division of the State Commission of Public Records (General Services Department). This Division is responsible for selecting, preserving, and making available permanent records, historical manuscripts, photographs and other materials that contribute to the understanding of New Mexico history.
“Audit” means a periodic examination of an organization to determine whether appropriate procedures and practices are followed.
“C-1” means a project request for a base budget
“C-2” is a single agency project request for funding
“C-3” is a multi-agency project request for funding
"Commission" means the state commission of public records (Section 14-3-2 NMSA 1978)
“COMMISSION OF PUBLIC RECORDS” means the governing body of the NM General Services Department
“Computer” This includes, but is not limited to, mainframe computers, minicomputers, and microcomputers, personal computers, portable computers, pocket computers, tablet computers, telephones capable of storing information, PDAs, and other devices.
“Content” is a metadata concept that encompasses document images, papers, books, maps, email, web sites, HTML, XML, photographs, forms, audio, video, text, and reports.
“Content Taxonomy” see the definition for Taxonomy
“Custodial agency” means the agency responsible for the maintenance, care, or keeping of public records, regardless of whether the records are in that agency’s actual physical custody and control.
“Data” is the plural for “datum” which means a single piece of information. Data refers to a collection of information, electronic or non-electronic. Data can also refer to raw facts, figures, or symbols.
“Database” means a collection of information stored in magnetic or hardcopy form (with or without any particular structure).
“Destruction” means the disposal of records of no further value by shredding, burial, incineration, pulping, electronic overwrite, or some other process, resulting in the obliteration of information contained on the record.
“Digital asset management (DAM)” is the process of digitizing, cataloging, enabling search, retrieval, management, repurposing, delivery, and secure sale of media assets, which could be a combination of audio, video, text, and images. DAM systems are used to manage, store and retrieve rich media. DAM vendors offer:
• Asset cataloging — done using the closed caption of a video or through the assignment of attributes.
• Asset retrieval — provides indexing and search capabilities for rich media. Assets can be retrieved through their attributes, full text indexes or visual characteristics such as pattern recognition or scene changes of a video.
• Workflow — includes being able to distribute and incorporate assets into tasks. Content distribution is based on its type, such as streaming for video and audio.
• Content rendering — content can be rendered to different output types of resolutions, such as MP3 for audio or "thumbnails" for photos. This feature lends itself well to multi-channel (print, video, Web) marketing campaigns.
As the use of rich media increases in intranet and Internet applications, partnerships and mergers will proliferate among vendors of DAM, WCM and document management applications. (From Gartner Research).
“Disposition” means final action that puts into effect the results of an appraisal decision for a series of records (i.e., transfer to archives or destruction).
“Electronic records” means records whose informational content has been encoded and recorded on a medium like magnetic tape, drums, discs, or punched paper tape and can be retrieved by finding aids known as software documentation. The encoded information is retrievable only with the help of a computer.
“Electronic records management” Records management technology enables an enterprise to assign a specific life cycle to individual pieces of corporate information. The information classified as records can come from many applications, including e-mail, Web pages, scanned documents, enterprise resource planning, homegrown applications, fax documents and paper. Some records management systems rely on Integrated Document Management systems to work while others can be used stand-alone.
o “The stand-alone records management market is small, with about $50 million in software revenue worldwide. However, the interest in records retention has surged, as accounting scandals and lawsuits have made headlines.
o All the major Enterprise Content Management players will build or buy records management functionality by 2004 (0.8 probability). The stand-alone records management market is being relegated to niche status. (From Gartner Research)”
“Enterprise Content Management (ECM)” is generally considered to be an amalgamation of a number of distinct but interrelated applications:
• Integrated Document Management (IDM)
• Web Content Management (WCM)
• Digital Asset Management (DAM)
• Enterprise Records & Retention Management (ERRM)
• Collaboration Content Management (CCM), Collaboration technology, a subset of ECM, is becoming increasingly important in organizations, allowing the participants in a business process to come together to optimize the process to mutual benefit. This brings partners, suppliers, customers and agencies together in a controlled way, manages, and leverages collaboration content such as discussion threads, voting results, and documents.
“Enterprise Records & Retention Management (ERRM)” is a process that monitors documents (for example, papers, books, maps, e-mail, Web site content, photographs and messages) throughout their life cycle; from the time they are created to the time they are destroyed. Records are documents used to maintain information created or received while conducting an organization's activities. They are held for several reasons, including business continuity, legal or statutory requirements, or as permanent records of the enterprise. In many cases, ERRM is a mandatory program, and enterprises have no choice but to spend money to meet legal or regulatory requirements. Penalties for lack of compliance can range from censure to fines or, in extreme cases, to suspension of business activities. (From Gartner Research)
(Note: see also the definition for “Public Record,” and note the distinction for record destruction vs. record disposition.)
“Forms capture and processing” Forms-capture and forms-processing software apply recognition technologies such as OCR, ICR and bar code against an electronic document (such as scanned paper and electronic fax) to increase the data entry throughput with a lower labor component. In the simplest case, a document is scanned, and key fields (for example, name, account number, age, purchase amount, tax owed) are recognized and translated, verified and passed to a database or line-of-business application. The leading forms processing and capture vendors are providing multichannel, multiprotocol (paper, Web, fax, e-mail) capture and export capabilities.
“Through 2005, the leading forms-processing vendors will be those with strong product and channel relationships with the major document imaging vendors and integrators (0.8 probability) (From Gartner Research).”
“General schedule” means a records retention and disposition schedule that specifies the disposition of support records common to many offices or agencies within government. See also: records retention and disposition schedule.
“Human readable form” means information that can be recognized and interpreted without the use of technology.
“Integrated document archive & retrieval system (IDARS)” serve as an archive repository for large volumes of fixed content while enabling access to, and delivery of, that content through multiple output channels. This "fixed content" includes report print streams, such as customer statements and related communications, and images of scanned documents, such as invoices, checks and contracts. IDARS also fulfill the reporting needs of enterprise applications, such as enterprise resource planning (ERP) and CRM.
o IDARS provides consolidated storage, access, management and viewing of data that is often print-stream-originated, such as line data, advanced function presentation, Metacode, PostScript and Printer Control Language (PCL). IDARS is a mature market segment that has the potential for significant growth, particularly related to bill presentment opportunities
o Through 2005, the IDARS software market will be dominated by the top eight vendors (0.7 probability). It will then cease to be a stand-alone market as content/IDM vendors will move in and acquire or offer these capabilities.
o By 2007, the IDARS market will cease to be a stand-alone market and will merge into the ECM Category (0.7 probability). By 2007, IDARS will become integral components of ECM suites (0.7 probability).
o By 2005, all of the major stand-alone IDM vendors will have evolved into Content Management suite vendors (0.8 probability) (From Gartner Research).
“Integrated Document Management (IDM)” systems contain document/file creation and management tools that organize, import/export, provide version control, security, logs, text search, storage management and more.
o “IDM software is an infrastructure service for securely organizing and managing electronic documents, routing documents, automating related tasks and facilitating document distribution. Core IDM functionality includes library services (check-in/checkout, version control and document-level security), cross-repository searching and common system administration. IDM and Web Content Management (WCM) vendors have taken up the Enterprise Content Management message. For the IDM vendors, this means adding richer support for Web technologies and standards — HTML, XML, Web Distributed Authoring and Versioning (WebDAV) — as well as greater functionality around Web publishing. Many IDM vendors are also incorporating enhanced search-and-retrieval capabilities, along with support for compound documents and document component management.’
o “IDM software architectures are evolving from repositories designed to handle specific types of information to integrated repositories designed to handle many types of unstructured information (for example, text, images, Web pages, video, audio and report data). These integrated repositories will add functionality required not only to manage the information, but also to understand the information content and structure. These expanded repository capabilities are key to the broader Content Management concept.”
o “By 2005, all of the major stand-alone IDM vendors will have evolved into Content Management suite vendors or smart enterprise suite vendors (0.8 probability) (From Gartner Research).”
“Information system” means an electronic framework by which hardware and software resources are coordinated to manipulate and convert inputs into outputs in order to achieve the objective of an enterprise.
“Life cycle” means the life span of a record from its creation or receipt to its final disposition.
“Medium, media” means the physical material on which information can be recorded.
“Microforms” means microfilm media, including reels, fiche, jackets, and computer output microfilm (COM) containing micro images.
“NARA” – National Archives and Records Administration
“Network Attached Storage (NAS)” is a LAN-attached storage server with a small, optimized system software package dedicated to performing storage related tasks. It includes preconfigured disk capacity that can be quickly installed on popular network platforms. NAS provides this expanded capacity without sacrificing either file access speed or system throughput, which would be affected by network storage add-ons such as tape libraries, CD towers, or optical jukeboxes. Instead, NAS storage devices are usually magnetic disks or RAID arrays that provide seamless, high performance file access and filing by operating at full hard disk speed. And the cost in time, resources, and inconvenience is far less than that of increasing internal storage space within the server or implementing a SAN. (See Storage Area Network (SAN).)
“Non-record” means extra copies of documents kept solely for convenience of reference, stocks of publications, records not usually included within the scope of the official records of an agency or government entity, and library material intended only for reference or exhibition. The following specific types of materials are non-records: materials neither made nor received in pursuance of statutory requirements nor in connection with the functional responsibility of the officer or agency; extra copies of correspondence; preliminary drafts or other material summarized in final or other form and which have no value once action has been taken; blank
“Operating system,” means the master control software that runs a computer. When the computer is turned on, the operating system is the first program that gets loaded into the memory of the machine.
“Paper scanning, optical character recognition/intelligent character recognition (OCR/ICR) and imaging” One of the oldest Enterprise Content Management technologies, document imaging is more than 20 years old. It has evolved from proprietary stand-alone systems to standards-based applications. Imaging is used heavily in the financial service industries, banking and insurance. Government agencies are also heavy users of scanning technology. Because of its longevity, imaging technology has become highly commoditized and, therefore, presents a difficult market for stand-alone imaging vendors to succeed in. Imaging is now most often paired with integrated document management (IDM) solutions. Imaging applications are distinguished by their volume requirements. Although most imaging applications are more modest, high-volume scanning and imaging systems process more than 100,000 images per day.
“The few remaining stand-alone imaging vendors will be acquired or will exit the market by 2004 (0.9 probability) (From Gartner Research).”
“Pending litigation” means a proceeding in a court of law whose activity is in progress but not yet completed.
“Program” means a coded set of instructions, written by humans, that directs a computer’s functions. The program can be stored on disk (in which case the program is software) or in a chip (which is firmware).
“Public record” means all books, papers, maps, photographs or other documentary materials, regardless of physical form or characteristics, made or received by any agency in pursuance of law or in connection with the transaction of public business and preserved, or appropriate for preservation, by the agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the government, or because of the informational and historical value of data contained therein.
“Records custodian” means the statutory head of the agency or his or her designee.
“Records Liaison Officer (RLO)” means the individual in the custodial agency designated by the records custodian to cooperate with, assist, and advise the General Services Department in creating efficient and effective records management programs. The RLO in an agency is responsible for implementing the records retention and disposition schedules within his or her agency. The records liaison is also responsible for authorizing the storage and or destruction of his or her agency’s records.
“Records management” means the systematic control of all records from creation or receipt through processing, distribution, maintenance and retrieval, to their ultimate disposition.
“Records retention period” means the period of time during which records must be maintained by an organization because they are needed for operational, legal, fiscal, historical or other purposes.
“Records retention and disposition schedules,” means document that specifies actions for the retention and disposition of current, inactive, and non-current records series of an organization or agency.
“Records series” means file units, documents, or electronic records arranged according to a filing system or maintained as a unit because they relate to a particular subject or function, result from the same activity, have a particular form, or share some other relationship arising from their creation, receipt, or use.
“Storage” The State Commission of Public Records (SRCA) provides secure storage for in-active public records maintained by state agencies. The SRCA maintains two records center facilities; the Albuquerque facility has a storage capacity of 45,000 cubic feet and the records center in Santa Fe has a storage capacity of 75,000 cubic feet. The Record Center Services Bureau staff monitors and handles the transfer, receipt, storage, and withdrawal of in-active records housed in the record facilities for state agencies. When those records have met their legal retention, the staff executes the disposition of the records. The disposition would be one of two situations, 1) transfer to Archives or 2) destruction.
“Storage Area Network (SAN)” is a technology designed to overcome throughput and data-sharing issues that are common in existing data networks. SANs are fully scalable, fault-resilient shared data repositories providing unlimited mixing and matching of storage devices, storage space, and even files (under certain conditions) across the network. They are fast becoming the architecture of choice for centrally managed network storage tasks. SANs are high-speed, high-bandwidth I/O channels (usually Fibre Channel) that connect to the back end of local area network (LAN) servers. They remove cumbersome storage functions from the server, thus improving overall LAN and WAN performance. A typical SAN includes a blend of storage devices (such as automated tape libraries or RAID) capable of communicating with multiple hosts and with each other over a fast, fault-tolerant storage pipeline (the SAN). The SAN is actually a dedicated storage access I/O channel (containing network properties) optimized for handling storage tasks.
“Scheduling” means the action of establishing retention periods for records and providing for their proper disposition at the end of active use.
“Taxonomy” - A taxonomy is a classification scheme. Content Taxonomy is a classification of all unstructured content (document images, papers, books, maps, email, web sites, HTML, XML, photographs, forms, audio, video, text, and reports). The taxonomy automatically controls the attribution and organization of enterprise content based on information extraction, conceptual classification, business analysis, and taxonomy and metadata management capabilities. The taxonomy enables advanced search, easier navigation, and more effective personalization to facilitate content reuse.
“Transfer” means moving inactive records to a records center or archives. Moving records into the state archives also includes the transfer of custody from the custodial agency to the state archives.
“TIFF" means tagged image file format, a standardized format for storage of digitalized images, which contains a header or tag that defines the exact data structure of the associated image.
“Vital records” means records essential to the continuing operation of an agency. They are either intrinsically irreplaceable or irreplaceable because copies do not have the same value as the originals. They are essential to the continuity of services during a disaster or to the restoration of daily business when it has been interrupted. They are the records that would be required to protect the legal and financial interests of an agency, preserve the rights of the people, and resume operations after a major disaster like fire or flood.
“Voice mail” means a telecommunication message that is digitized and can be stored and subsequently retrieved in audio or visual format.
“Web Content Management (WCM)” addresses the content creation, review and approval, and publishing processes. Typical applications rely on XML/XSL technology through templates and stylesheets to enable highly flexible output of content to multiple channels. Through year-end 2002, the WCM market will continue to consolidate.
o “From the vendor perspective, IDM and WCM vendors are moving into each other's markets, and this represents an evolution of both technologies. There is some natural overlap of functionality related to document production and management. Users had balked at the high cost required to bring up two separate systems. Vendors offering both sets of functionality include Gauss Interprise, FileNET, Documentum, Interwoven and Hyperwave.
o By 2006, WCM functionality will become commoditized into infrastructure applications, including Content Management suites, portals and other applications (0.7 probability). (From Gartner Research)”
“Website” means a presence on the internet or intranet containing information that represents an agency or presents information on specific subjects or allows transactions to be conducted through the use of links or web pages. A website is normally hosted and maintained by an agency or by another entity sharing internet resource or through an internet service provider.
“Work process management” - aka workflow, work management, process automation or e-process management software — is a tool for automating business processes and handling the interrelationships between the components of a business process, participants, procedures, information, tasks and management. Document-centric workflow was pioneered in the 1980s as a means of routing images of documents through a processing or approval cycle in an organization. The goal is to create an ideal document route through an enterprise, not simply to automate an established paper-based process.
o Most Integrated Document Management (and Enterprise Content Management) software includes some workflow functionality. At a minimum, document versions can be sent along predefined routes for review or approval. At the higher end is workflow that includes task assembly, task assignment and task tracking to completion. IDM software products generally contain ad hoc workflow features such as routing and e-mail notification, but may permit integration of third-party workflow packages when greater processing and control features are required. (From Gartner Research)”
APPENDIX H – GSD ECM-EDMS Project Acronyms
APD – Advance Planning Document
CIO – Chief Information Officer
CRM – Customer relationship management
DAM – Digital Asset Management
DFA – Department of Finance and Administration
DoIT – Department of Information Technology
ERP – Enterprise Resource Planning
ESC – Executive Steering Committee
GSD – General Services Department
HIPAA - Health Insurance Portability and Accountability Act of 1996
GSD – General Services Department
IT – Information Technology
ITC – IT Commission, a State CIO sponsored commission
MAG – Multi Agency team
PD – Project director
PMBOK – Project Management Book of Knowledge
PMI – Project Management Institute
PT – Project team
RFP – Request for proposal
VR – Vital Records
WBS – Work breakdown structure
APPENDIX P - Project Management Definitions
Below is a list of project management terms. These definitions were supplied by the NM Department of Information Technology office.
Acceptance Criteria
The criteria that a system or component must satisfy in order to be accepted by a user, customer, or other authorized entity. [IEEE-STD-610]
Acceptance Testing
Formal testing conducted to determine whether or not a system satisfies its acceptance criteria and to enable the customer to determine whether or not to accept the system. [IEE-STD-610]
Assumptions
Planning factors that for planning purposes, will be considered true, real, or certain. Assumptions generally involve a degree of risk. They may be documented here, or converted to formal risks.
Baseline
A specification or product that has been formally reviewed and agreed upon that thereafter serves as the basis for further development, and that can be changed only through formal change control procedures. [IEEE-STD-610]
Commitment
A commitment is a pact that is freely assumed, visible, and expected to be kept by all parties.
Configuration Management (CM)
A discipline applying technical and administrative direction and surveillance to identify and document the functional and physical characteristics of a configuration item, control changes to those characteristics, record and report change processing and implementation status, and verify compliance with specified requirements. [IEEE-STD-610]
Configuration Management Library System
These are the tools and procedures needed to access the contents of the software baseline library.
Constraints
Factors that will (or do) limit the project management team’s options. Contract provisions will generally be considered constraints.
Contingency Planning
Contingency Planning is the development of a management plan that identifies alternative strategies to be used to ensure project success, if specified risk events occur.
Crashing
Crashing is taking action to decrease the total duration after analyzing a number of alternatives to determine how to get the maximum duration compression for the least cost.
Critical Path
Critical Path is a series of activities that determines the duration of the project. The critical path usually defined as those activities with float less than or equal to specified value often zero. It is the longest path through the project.
Dependencies, Discretionary
Dependencies defined by the project management team. They should be used with care and usually revolve around current Best Practices in a particular application area. They are sometimes referred to as soft logic, preferred logic, or preferential logic. This may also encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle.
Dependencies, Mandatory
Dependencies inherent to the work being done. In some cases, they are referred to as hard logic.
Dependency Item
A product, action, piece of information, etc., that must be provided by one individual or group to a second individual or group so they can perform a planned task.
Deliverable
Any measurable, tangible, verifiable outcome, result, or item that must be produced to complete a project or part of a project that is subject to approval by the project sponsor or customer.
Duration
The number of work periods (not including holidays or other nonworking periods) required to complete an activity or other project element.
Duration Compression
Shortening the project schedule without reducing the project scope. Often increases the project cost.
End User
The individual or group who will use the system for its intended operational use when it is deployed in its environment.
Effort
The number of labor units required to complete an activity or other project element, usually expressed as staff hours, staff days, or staff weeks.
Fast Tracking
Compressing the project schedule by overlapping activities that would normally be done in sequence, such as design and construction.
Float
The amount of time that an activity may be delayed from its early start without delaying the project finished date.
Formal Review
A formal meeting at which a product is presented to the end user, customer, or other interested parties for comment and approval. It can also be a review of the management and technical activities and of the progress of the project.
Integrated Project Plan
A plan created by the project manager reflecting all approved projects and sub-projects.
Lessons Learned
The learning gained from the process of performing the project. Lessons learned may be identified at any point during the execution of the project.
Method
Method is a reasonably complete set of rules and criteria that establish a precise and repeatable way of performing a task and arriving at a desired result.
Methodology
A collection of methods, procedures, and standards that defines an integrated synthesis of engineering approaches to the development of a product.
Milestone
A scheduled event for which some individual is accountable and that is used to measure progress.
Non-technical Requirements
Agreements, conditions, and/or contractual terms that affect and determine the management activities of an architectural and software project.
Performance Reporting
Collecting and disseminating performance information. This includes status reporting measurement, and forecasting.
Procurement Planning
Determining what to procure and when.
Product Scope
The features and functions that characterize a product or service.
Project Leader (Technical)
The leader of a technical team for a specific task, who has technical responsibility and provides technical direction to the staff working on the task.
Project Management
The application of knowledge, skills, tools, and techniques to project activities to meet the project requirements. Project Management is also responsible for the oversight of the development and delivery of the architecture and software project.
Program
A group of related projects managed in a coordinated way. Programs include an element of ongoing work.
Program Management Office
An organizational entity responsible for management and oversight of the organization’s projects. As a specific reference in this document, the Office of the Chief Information Officer.
Project Manager
The role with total business responsibility for an entire project. The individual who directs, controls, administers, and regulates a project. The project manager is the individual ultimately responsible to the customer.
Project Charter
A document issued by senior management that formally authorizes the existence of a project. It provides the project manager with the authority to apply organizational resources to project activities.
Project Management Plan
A formal, approved document used to guide both project execution and project control. The primary uses of the project plan are to document planning assumptions and decisions, facilitate communication among stakeholders, and documents approved scope, cost, and schedule baselines. The Project Management Plan (PMP) is a project plan.
Project Schedule
A tool used to indicate the planned dates, dependencies, and assigned resources for performing activities and for meeting milestones. Software products such as ABT’s Workbench and Microsoft Project are tools used to develop project schedules.
Project Scope
The work that must be done to deliver a product with the specified features and functions.
Project Sponsor
The individual that provides the primary sponsorship for an approved project. This individual will play a key role in securing funding, negotiating for resources, facilitating resolution of critical organizational issues, and approving key project deliverables.
Quality
The degree to which a system, component, or process meets specified requirements.
The degree to which a system, component, or process meets customer or user needs or expectations. [IEEE-STD-610]
Quality Management
The process of monitoring specific project results to determine id they comply with relevant standards and identifying ways to eliminate causes of product non-compliance.
Risk
Possibility of suffering loss.
Risk Management
An approach to problem analysis, which weighs risk in a situation by using risk probabilities to give a more accurate understanding of, the risks involved. Risk Management includes risk identification, analysis, prioritization, and control. Risk mitigation seeks to reduce the probability and/ or impact of a risk to below an acceptable threshold.
Risk Management Plan
The collection of plans that describes the Risk Management activities to be performed on a project.
Scope Change
Any change to the project scope. A scope change almost always requires an adjustment to the project cost or schedule.
Software Life Cycle
The period of time that begins when a software product is conceived and ends when the software is no longer available for use. The Software Life Cycle typically includes a concept phase, requirements phase, design phase, implementation phase, test phase, installation, and checkout phase, operation and maintenance phase, and, sometimes, retirement phase.
Stakeholder
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.
APPENDIX R – References
1. “ECM Suites Emerge From Industry Consolidation,” GARTNER Research; Publication Date: 11 November 2004/Number: G00122995
2. Hammer, Michael. Beyond Reengineering, How the Process-Centered Organization is Changing Our Work and Our Lives. New York: HarperCollins Publishers, Inc., 1996.
3. “Review Your IDARS Plans as the Market Consolidates,” GARTNER Research; Publication Date: 12 November 2004/Number: G00124414
4. “Technical Report – Framework for Integration of Electronic Document Management Systems and Electronic Records Management Systems,” ANSI/AIIM/ARMA TR48-2004, Copyright 2004 by AIIM ; ARMA ; July 4, 2004
-----------------------
[1]
[2] ARMA International, The Association of Records Management Professionals,
[3] “The Reality Behind Enterprise Content Management,” GARTNER Research, Publication Date: 10 July 2002, page 3.
[4] “Review Your IDARS Plans as the Market Consolidates,” GARTNER Research, Publication Date: 12 November 2004, page 2.
[5] “ECM Suites Emerge From Industry Consolidation,” GARTNER Research; Publication Date: 11 November 2004, page 2.
[6] “ECM Suites Emerge From Industry Consolidation,” GARTNER Research; Publication Date: 11 November 2004
[7] Michael Hammer, Beyond Reengineering (HarperCollins, 1996), 11-12
[8] “Flexibility Drives the Emergence of the Business Process Platform” GARTNER Research, Publication Date: 26 April 2005
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[pic]
Project Director,
Karen Baltzley
Project Managers
CSW-John Salazar, Jane Hamlet
Business Operations Review Team:
• Benefits
• Financial/Training
• Legal
• Disability
• Workers Comp
• Loss Control
• Reports/HIPAA Regulations
Executive Steering Committee
Arturo Jaramillo
Mike Wilson
George McGeorge
Nancy Bearce
Karen Baltzley
Angela Lucero, Records Management Division Director, SCRA
Project Sponsor, Mike Wilson
GSD Technical Review Sujatha Seethapathi
Ryan Woodard
DoIT/DFA Tech Support
Business Owners,
Nancy Bearce,
Ed Romero
IV&V
Executive Sponsor, Arturo Jaramillo
Project Director,
Karen Baltzley
Project Managers
CSW-John Salazar, Jane Hamlet
Business Operations Review Team:
• Benefits
• Financial/Training
• Legal
• Disability
• Workers Comp
• Loss Control
• Reports/HIPAA Regulations
Executive Steering Committee
Arturo Jaramillo
Mike Wilson
George McGeorge
Nancy Bearce
Karen Baltzley
Angela Lucero, Records Management Division Director, SCRA
Project Sponsor, Mike Wilson
Technical Review Sujatha Seethapathi, Lead
Ryan Woodard, System Support
DoIT / DFA Tech Staff
Business Owners,
Nancy Bearce,
Ed Romero
IV&V
Executive Sponsor, Arturo Jaramillo
[pic]
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