DOCUMENT IMAGING IMPLEMENTATION AND
CONTENT MANAGEMENT MIGRATION
PR OJ EC T CHA R TER FOR CER TIFIC A TION
EXECUTIVE SPONSOR – TOM CHURCH, CABINET SECRETARY
BUSINESS OWNERS – DAVID CORIZ, NMDOT RECORDS MANAGEMENT AND
BRUCE OAKELEY, NMDOT ISM BUREAU CHIEF
ORIGINAL PLAN DATE: JULY 1, 2013
REVISION DATE: JANUARY 6, 2014
REVISION: 1.0
TABLE OF CONTENTS
ABOUT THIS PROJECT CHARTER DOCUMENT ..................................................... ERROR! BOOKMARK NOT DEFINED.
TABLE OF CONTENTS ............................................................................................................................................... I
1. PROJECT BACKGROUND ..................................................................................................................................... 1
1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT 1
1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT
1.3 PROJECT CERTIFICATION REQUIREMENTS
1
1
2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS ...................................................................................................... 2
2.1 AGENCY JUSTIFICATION 2
2.2 BUSINESS OBJECTIVES 2
2.3 TECHNICAL OBJECTIVES 3
2.4 IMPACT ON ORGANIZATION 4
2.5 TRANSITION TO OPERATIONS 4
3.0 PROJECT/PRODUCT SCOPE OF WORK ............................................................................................................... 5
3.1 DELIVERABLES
5
3.1.1 Project Deliverables .....................................................................................................................................5
3.1.2 Product Deliverables......................................................................................Error! Bookmark not defined.
3.2 SUCCESS AND QUALITY METRICS 5
4.0 SCHEDULE ESTIMATE ........................................................................................................................................ 7
5.0 BUDGET ESTIMATE ........................................................................................................................................... 7
5.1 FUNDING SOURCE(S) 7
5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE 5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE 7
7
6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE ............................................................................... 8
6.1 STAKEHOLDERS 8
6.2 PROJECT GOVERNANCE PLAN
9
6.3 PROJECT MANAGER 10
6.3.1 PROJECT MANAGER CONTACT INFORMATION ..........................................................................................10
6.3.2 PROJECT MANAGER BACKGROUND ..........................................................................................................10
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES 10
6.5 PROJECT MANAGEMENT METHODOLOGY
12
7.0 CONSTRAINTS ................................................................................................................................................ 12
8.0 DEPENDENCIES ............................................................................................................................................... 12
9.0 ASSUMPTIONS ............................................................................................................................................... 13
10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY ......................................................................................... 13
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING.................................................................................. 13
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V ................................................................................ 14
i
13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES ................................................................................... 15
14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE .......................................................................... 15
Revision History
REVISION NUMBER
1.0
DATE
COMMENT
July 1, 2013
Original NMDOT Document
January 6, 2014
Revision for PCC Certification
ii
PROJECT CHARTER [PROJECT NAME]
1
1. PROJECT BACKGROUND
NMDOT’s current document imaging system (IBM FileNet) is over 13 years old and the agency
has been having major problems with the software. We have identified a modern document
imaging technology (EMC Documentum) that will enable our staff to provide good customer
service to the public and to our internal users. The current system has over 4 terabytes of vital
electronic information and records that need to be preserved for many years to come.
1.1 EXECUTIVE SUMMARY - RATIONALE FOR THE PROJECT
1) Replace an obsolete document management solution with modern document imaging
technology that NMDOT can expand on for many years.
2) Migrate the current data to a new repository.
1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT
NMDOT performed a “needs assessment” evaluation using the agency’s current document
imaging processes, which included onsite evaluations by multiple vendors of modern imaging
systems.
1.3 PROJECT CERTIFICATION REQUIREMENTS
CRITERIA
YES/NO EXPLANATION
Project is mission critical to the agency
Yes
Vital records & Info
Project cost is equal to or in excess of
$100,000.00
Yes
Estimated cost of
ownership is $1,336,091
Project impacts customer on-line access
No
N/A
Project is one deemed appropriate by the
Secretary of the DoIT
Yes
Meets NM IT Strategic
Plan objectives sponsored
by DoIT
Will an IT Architecture Review be required?
Yes
Architecture review will
be conducted after the site
assessment and project
plans are complete
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2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS
2.1 AGENCY JUSTIFICATION
The project will focus on implementing a new solution for document imaging with EMC
Documentum; migrating existing content from the obsolete IBM FileNet system into Documentum;
and applying appropriate retention per NMDOT’s retention policies. This will enable the NMDOT to
achieve the following strategic goals:
NUMBER
DESCRIPTION
NMDOT 1
Create a paperless, web-based environment that allow NMDOT users to
access vital information statewide in order to perform their jobs
NMDOT 2
Find and retrieve electronic document images quickly without having to
search manually through filing cabinets or boxes of paper.
NMDOT 3
Reduce the labor costs of moving content from one section of the agency to
another.
NMDOT 4
Reduce the number of redundant and obsolete data records.
NMDOT 5
Minimize the need for physical storage of boxes and paper.
NMDOT 6
Increase productivity and user satisfaction by quickly locating the correct
information.
NMDOT 7
Improve the audit-readiness of NMDOT records with better-organized,
electronic records that can be located and searched much faster than paper
records.
NMDOT 8
Improve the agency’s ability to identify the records needed to perform their
jobs adequately.
NMDOT 9
Improve the agency’s record-keeping of backup copies, archives, and
remote storage for disaster recovery.
NMDOT 10
Applying the appropriate retention policies for all vital records
2.2 BUSINESS OBJECTIVES
NUMBER
DESCRIPTION
BUSINESS
OBJECTIVE 1
BUSINESS
OBJECTIVE 2
BUSINESS
OBJECTIVE 3
Increased efficiency and productivity through a well-managed records
environment
Optimize business processes, decreasing number of steps, saving time
Lower the cost of government, more effective Electronic Records
Administration Management
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PROJECT CHARTER [PROJECT NAME]
NUMBER
BUSINESS
OBJECTIVE 4
BUSINESS
OBJECTIVE 5
BUSINESS
OBJECTIVE 6
BUSINESS
OBJECTIVE 7
BUSINESS
OBJECTIVE 8
BUSINESS
OBJECTIVE 9
3
DESCRIPTION
Improve service delivery to constituency
Substantial NMDOT business process improvements are achievable
through implementing document scanning, electronic document
management and electronic records management.
Streamline traditional claims inefficiencies and reduce manual, paperbased processes, which contribute to high claims costs and overhead
expenses.
Provide records management for long-term archiving and the automation of
retention and compliance policies, and to ensure legal or regulatory record
compliance
System will provide document management for check-in/check-out, version
control, security and library services for business documents
Revisions to NMDOT Imaging System Plan are approved by SRCA
2.3 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 NMDOT staff and vendor
remote access
Data will be easily converted and migrated. Metadata will be tagged and
follow standards
Support portal architecture
TECHNICAL
OBJECTIVE 2
TECHNICAL
OBJECTIVE 3
TECHNICAL
OBJECTIVE 4
TECHNICAL
OBJECTIVE 5
TECHNICAL
OBJECTIVE 6
TECHNICAL
OBJECTIVE 7
TECHNICAL
OBJECTIVE 8
TECHNICAL
OBJECTIVE 9
TECHNICAL
OBJECTIVE 10
TECHNICAL
OBJECTIVE 11
System will have indexing and archiving functionality
System will integrate with the Centralized Electronic Records Repository
managed by State Records and Archives
System Interface - Provide an architecture that will easily interface with
SHARE and GSD RMIS systems
Open Architecture - Provide an open architecture infrastructure and
scalable to allow for growth
IT Architecture – ensure system aligns with enterprise-wide IT
architecture
Efficiency, High Performance – Application will be server independent
and can be deployed on an open source application server such as Apache
Tomcat
Authentication - System will support Microsoft Active Directory
Systems Integration - System will be connected to Hitachi SAN
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NUMBER
DESCRIPTION
TECHNICAL
OBJECTIVE 12
TECHNICAL
OBJECTIVE 13
Redundancy - System will be configured to support system fail over
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.
Include a Reports Writer module
TECHNICAL
OBJECTIVE 15
TECHNICAL
OBJECTIVE 16
Security/User Roles - System will support a secure front end user system
log in and security role level authentication
System must support up to 1,500 concurrent users
2.4 IMPACT ON ORGANIZATION
AREA
DESCRIPTION
END USER
Training will be defined and all end-users within NMDOT will be
thoroughly trained. Tests will be conducted with random end-users to
ensure performance and ease-of-use
BUSINESS
PROCESSES
General procedures for handling form data will change for many
business units with the implementation of electronic form routing.
Employees will begin using electronic signatures frequently.
IT OPERATIONS AND
STAFFING
Training will be defined and all IT Operations Staff will be
thoroughly trained. Tests will be conducted with each key staff
member to ensure performance and ease-of-use.
2.5 TRANSITION TO OPERATIONS
AREA
DESCRIPTION
PRELIMINARY
OPERATIONS
LOCATION AND
STAFFING PLANS
Initial needs assessment by vendor at no charge. Project management,
and scope of work adjustments will ensure the new system is run in
parallel with old system before we switch over. Training. Imaging
committee. Bi-weekly status reports.
DATA SECURITY,
BUSINESS
CONTINUITY
Security parameters for data will be built into system to include any
info or records that are deemed confidential by law. This is an
internal system for agency employees.
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AREA
DESCRIPTION
MAINTENANCE
STRATEGY
Annual software/hardware maintenance agreement from vendor.
specific deliverables will be in a binding contract agreement.
INTEROPERABILITY
All hardware/software components are industry standard and
compatible with NMDOT’s platform and security requirements.
RECORD RETENTION
Retention policies will be built into new system.
CONSOLIDATION
STRATEGY
3.0 PROJECT/PRODUCT SCOPE OF WORK
3.1 DELIVERABLES
3.1.1 PROJECT DELIVERABLES









Project Charter
Certification Form
Project Management Plan
IV&V Contract & Reports
IT Service Contracts
Risk Assessment and Management
Project Schedule
Monthly Project Status Reports to DoIT
Project Closeout Report
3.2 SUCCESS AND QUALITY METRICS
NUMBER
DESCRIPTION
QUALITY METRICS 1
Project does not exceed budget
QUALITY METRICS 2
The project schedule, assigned tasks and milestones are met within
project plan.
QUALITY METRICS 3
System can provide reports.
QUALITY METRICS 4
All NMDOT Image Server Data is successfully converted and
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PROJECT CHARTER [PROJECT NAME]
NUMBER
6
DESCRIPTION
migrated into the Documentum platform.
QUALITY METRICS 5
System is Secure and stable.
QUALITY METRICS 6
Staff is Trained to maintain is operability.
QUALITY METRICS 7
Data Integrity is maintained.
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4.0 SCHEDULE ESTIMATE
5.0 BUDGET ESTIMATE
5.1 FUNDING SOURCE(S)
SOURCE
AMOUNT
NMDOT Road Funds (ONM)
$1,336,091
ASSOCIATED
RESTRICTIONS
5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE
IT E M
COST ESTIMATE
Software Licenses
$ 595,824
FY14 Software Maintenance
$ 134,220
Consulting Services
$ 525,099
Training Estimate
$17,325
Contingency Reserve (5%)
$ 63,623
TOTAL
$ 1,336,091
5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE
PHASES
PLANNED CERTIFICATION
Initiation
January 2014
Planning/Project Manager Hired
January 2014
Implementation
July 2014
Closing
December 2014
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PROJECT CHARTER [PROJECT NAME]
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6.0 PROJECT AUTHORITY AND ORGANIZATIONAL
STRUCTURE
6.1 STAKEHOLDERS
NAME
STAKE IN PROJECT
ORGANIZATION TITLE
Tom Church
Overall Program
NMDOT
Secretary
Eric Roybal
Program Admin
Responsibility
NMDOT
CIO
Bruce Oakeley
Overall Program
NMDOT
ISM Manager
David Coriz
Project Management
NMDOT
Records
Management
Supervisor
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6.2 PROJECT GOVERNANCE PLAN
Executive Steering Committee
Tom Church
Eric Roybal
Project Director
Bruce Oakeley
Project Team Member
Project Manager
Jeff Woodman
Project team member
David Coriz
Business Operations Review
Team:






Benefits
Financial/Training
Legal
Construction
Contracts
Records Management
Reports/HIPAA Regulations
Technical Review
DoIT / NMDOT Tech
Staff
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6.3 PROJECT MANAGER
6.3.1 PROJECT MANAGER CONTACT INFORMATION
NAME
ORGANIZATION
PHONE #(S)
AMIR AFZALI
WAVE TECHNOLOGIES
(949) 453-9283
USMAN GHANI
WAVE TECHNOLOGIES
(949) 453-9283
ADAM TORAB
WAVE TECHNOLOGIES
(949) 453-9283
EMAIL
6.3.2 PROJECT MANAGER BACKGROUND
WAVE TECHNOLOGIES HAS EXTENSIVE KNOWLEDGE AND EXPERIENCE IN IMPLEMENTING LARGE
AND SMALL SCALE DOCUMENT IMAGING SOLUTIONS WORLDWIDE. THEY HAVE ALSO IMPLEMENTED
LARGE SYSTEMS FOR STATE GOVERNMENT IN NM AND CALIFORNIA.
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES
ROLE
RESPONSIBILITY
Executive Project
Sponsor
The point person will be the highest level of NMDOT.
Steering Committee
Tasked with overall direction and support of the project
 Participate in meetings
 Review and accept deliverables
 Review and provide comment on documentation provided by
project team.
 Review project funding and its sources.
Responsibilities include:
 Champion project
 Consider changes facing the organization and its impacts
 Responsible for finding budget to complete project
 Participate in planning sessions
 Ultimate project responsibility
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ROLE
RESPONSIBILITY
Business Owners
Persons within the OIG and IT that are responsible for all operations
and management of all activities of the LiveCycle project.
 Maintain responsibility for project direction/implementation
 Ensure staff availability
 Empower Project Manager and IT Staff.
Project Manager
Person responsible to the participating entities who make decisions
related to the operation of the project.
 Problem Solving
 Reviews of work of Consultants
 Participate in Changes to project
 Diagnose potential problems on project
 Determine roles of IT personnel
 Ultimate project success
 Budget planning
 Project Schedule
 Training plans
 Contract Management
 Ensure Communications between vendor and project owner.
Project Team
Members
Staff assigned to Project.
 Define Business Needs
 Scheduling of meetings
 System Administration
 Testing
 Purchasing and processing
 Data integrity
 Data Input
Technical Staff
Staff assigned to defining infrastructure requirements and providing
support to project indefinitely
Duties Include:
 System infrastructure Specifications
 Integration of other NMDOT systems
 Data backups
 Storage requirements
 Security
 Data Migration
 Systems install and updates
 Network connectivity
 Provide test/development environments
 System Maintenance
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PROJECT CHARTER [PROJECT NAME]
ROLE
12
RESPONSIBILITY





System Reporting
Database tools (reporting)
Disaster recovery
Anti-Virus Protection
Provide OEM
6.5 PROJECT MANAGEMENT METHODOLOGY
The Project will be structured using a mixture of process-based and agile approaches. In
addition, project reporting structures will be adjusted to meet timelines and phase gates defined
by the PCC.
7.0 CONSTRAINTS
NUMBER
DESCRIPTION
1.
Adequate resources
2.
State requirements for oversight and project delays
3.
Delays in processing contracts and purchasing
8.0 DEPENDENCIES



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 nonproject activities such as purchasing/procurement
NUMBER DESCRIPTION
TYPE M,D,E
1.
DoIT Oversight Committee approval
M
2.
Contract approvals and purchases
E
3.
Funding for software Maintenance
M
4.
Design and infrastructure Dependencies
M
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NUMBER DESCRIPTION
TYPE M,D,E
5.
Data conversions
M
6.
Application and Server installs
M
7.
Software Management
M
9.0 ASSUMPTIONS
NUMBER
DESCRIPTION
1.
Adequate budget will be available
2.
Adequate Staffing levels
3.
Staff will be trained on the use of software
4.
Vendor will provide patches and updates
5.
Data will be easily converted
6.
Software will integrate with other system software
10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY
Risk 1
Description – Funds will
not readily be available to
support the project
Probability: VERY low
Impact: LOW
Mitigation Strategy: Allocate funding in excess of projected
funding needs.
Contingency Plan: If this occurs, NMDOT Staff will need to
implement solution independently without vendor assistance or
guidance.
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING
The Project Manager will be responsible for creating periodic internal reports for NMDOT
stakeholders, and will also assist in preparing materials for presentation to DoIT and the PCC.
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The Project Manager will work in conjunction with the Technical Lead and the vendor to gather
data for these reports.
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
Project/Product Area
Include
–
Yes/No
Project Management
yes
Quality Management
yes
Training
yes
Requirements Management
yes
Operating Environment
yes
Development Environment
yes
Software Development
yes
System and Acceptance Testing
yes
Data Management
yes
Operations Oversight
yes
Business Process Impact
yes
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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES
SIGNATURE
DATE
EXECUTIVE SPONSOR
BUSINESS OWNER
PROJECT MANAGER
14.0 PROJECT CHARTER CERTIFICATION APPROVAL
SIGNATURE
SIGNATURE
DOIT / PCC APPROVAL
PAGE 15
DATE