PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION PROJECT MANAGEMENT PLAN (PMP) EXECUTIVE SPONSOR – TOM CHURCH, NMDOT CABINET SECRETARY BUSINESS OWNER - NMDOT PROJECT MANAGER – BRUCE OAKELEY /DAVID CORIZ ORIGINAL PLAN DATE: DECEMBER 22, 2013 REVISION DATE: JANUARY 14, 2014 REVISION: 1.0 REVISION: 1.0 DOIT-PMO-TEM-020 i OF vi PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION TABLE OF CONTENTSABOUT THIS DOCUMENT ............................................................................................... III 1.0 PROJECT OVERVIEW ..................................................................................................................................... 1 1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT ..................................................................................................1 1.2 FUNDING AND SOURCES .............................................................................................................................................2 1.3 CONSTRAINTS ..........................................................................................................................................................2 1.4 DEPENDENCIES .........................................................................................................................................................2 1.5 ASSUMPTIONS.....................................................................................................................................................3 1.6 INITIAL PROJECT RISKS IDENTIFIED..............................................................................................................................3 2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE .............................................................................. 4 2.1 STAKEHOLDERS ........................................................................................................................................................5 2.2 PROJECT GOVERNANCE STRUCTURE .............................................................................................................................5 2.3 EXECUTIVE REPORTING..............................................................................................................................................6 3.0 SCOPE .............................................................................................................................................................. 6 3.1 PROJECT OBJECTIVES ................................................................................................................................................6 3.2 PROJECT EXCLUSIONS ................................................................................................................................................8 3.3 CRITICAL SUCCESS FACTORS .......................................................................................................................................8 4.0 PROJECT DELIVERABLES AND METHODOLOGY ................................................................................................. 9 4.1 PROJECT MANAGEMENT LIFE CYCLE ............................................................................................................................9 4.2 PRODUCT LIFE CYCLE .........................................................................................................................................21 5.0 PROJECT WORK .............................................................................................................................................. 26 5.2 SCHEDULE ALLOCATION -PROJECT TIMELINE ................................................................................................................26 5.3 PROJECT BUDGET ...................................................................................................................................................27 5.4.2 Project Team Roles and Responsibilities ...................................................................................................29 5.5 STAFF PLANNING AND RESOURCE ACQUISITION..................................................................................................30 5.6 PROJECT LOGISTICS ...........................................................................................................................................32 6.0 PROJECT MANAGEMENT AND CONTROLS ...................................................................................................... 33 6.1 RISK AND ISSUE MANAGEMENT.................................................................................................................................33 6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V .............................................................................................36 6.3 SCOPE MANAGEMENT PLAN ....................................................................................................................................36 6.4 PROJECT BUDGET MANAGEMENT..............................................................................................................................37 6.5 COMMUNICATION PLAN ..........................................................................................................................................37 6.7 QUALITY OBJECTIVES AND CONTROL ................................................................................................................38 6.8 CONFIGURATION MANAGEMENT .....................................................................................................................40 6.9 PROCUREMENT MANAGEMENT PLAN ..............................................................................................................40 7. 0 PROJECT CLOSE ............................................................................................................................................. 40 ATTACHMENTS .................................................................................................................................................... 41 APPENDIX A - SCOPE DEFINITION DOCUMENT ....................................................................................................... 1 DETAILED WORK BREAKDOWN STRUCTURE (WBS) ............................................................................................................1 ECM Project Management WBS ..........................................................................................................................2 Implementation WBS ..........................................................................................................................................5 Supporting Organizational Infrastructure WBS ..................................................................................................7 REVISION: 1.0 DOIT-PMO-TEM-020 ii OF vi PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Revision History REVISION NUMBER 1.0 DATE COMMENT December 22, 2013 Original Draft January 14, 2014 Revision for PCC Certification ABOUT THIS DOCUMENT This document is developed based on the State of New Mexico Department of Information Technology (DoIT) template for a Project Management Plan (PMP) - Revision: 1.0, July 27, 2007; a careful review of the template ensured all intended components are included. The document includes all of the industry-accepted guidelines to plan, execute, control, and close a project. The PMP is set up so that the body of the document continues to serve the needs of any future NMDOT Enterprise Content Management project with minimal modification, while the Appendices contain the dynamic components of the project plan that must be continually updated and managed, for example the project schedule and the budget. The document is being referred to as the “Documentum Implementation and FileNet Migration” Project Management Plan. The term Enterprise Content Management (ECM) became the industry standard for a combination of functions that includes: document imaging, electronic document management, electronic records management, workflow, and web content management. For over 60 years, AIIM (The Association for Information and Image Management) has been the leading international organization focused on helping users to understand the challenges associated with managing documents, content, and business processes.”1 While AIIM is not changing their name, they are using a new byline, referring to themselves as the “Enterprise Content Management Association”. REVISION: 1.0 DOIT-PMO-TEM-020 iii OF vi PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 1.0 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. Determining when content is a record, and then how that record is managed throughout its lifecycle is essential, while the medium that is used to create, deliver, or store information is the secondary consideration. 1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT Below is a diagram showing the various technology tools that are being included in Enterprise Content Management solutions offered by vendors. Enterprise Content Management Document Imaging Document Management Records Management Integrated Document Archive & Retrieval Digital Asset Management Workflow Management e-Forms Processing Web Content Management Documentcentric Collaboration Email Archiving ECM Components The NMDOT project enables the Records Management Division to capture, manage and search electronic content/documents and to automate paper and manual processes. There are many vital records that NMDOT must maintain and make available to internal and external customers for many years to come. The purpose of this project is to replace the existing document imaging system which is over 13 years old and has some major software and hardware issues. NMDOT plans to automate and maintain as many records it can in electronic format and in the future move to a paperless environment and convert paper records to electronic format for many areas in the agency. Also comply with the Inspection of Public Records Act when providing electronic information. Many of the NMDOT business processes are paper intensive. These improvements are achievable through implementing document scanning, electronic document management and electronic records management. NMDOT is working on finding another solution to replace the older system. The solution is to provide a system that the end users can continue to do their daily job duties and provide good customer service to the public and its internal users. The current system has over 4 terabytes of electronic information and records that are vital to the programs and the history of NMDOT that will need to be preserved for many years to come . PAGE | 1 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 1.2 FUNDING AND SOURCES SOURCE AMOUNT ASSOCIATED RESTRICTIONS NMDOT Road Fund (ONM) $1,272,468 None 1.3 CONSTRAINTS Constraints are factors that restrict the project by scope, resource, or schedule. NUMBER DESCRIPTION 1 Statutory requirement to keep vital records for long term. 2 Statutory requirement to preserve and maintain permanent records by law. 1.4 DEPENDENCIES Mandatory dependencies D- Discretionary dependencies E-External NUMBER DESCRIPTION TYPE M,D,E 1 Vendor On-going Software Support M 2 NMDOT Business Process M 3 System sized to scale to meet NMDOT demands M 4 Department of Information Technology Project Oversight Committee approval of Project certification phases to support on-going project effort M 5 Infrastructure scalability M 6 Contract Approval and purchase for software and maintenance. E 7 Funding for software maintenance, implementation and on-going support of system. M 8 Data conversion and defined Metadata requirements and standards M 9 Maintain Operating Standards Maintenance standards manual. M 10 Forms management M 11 State Records Center and Archives Approval of NMDOT Imaging System Plan revisions M PAGE | 2 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 1.5 ASSUMPTIONS NUMBER DESCRIPTION 1 2 System will integrate with DoIT Enterprise Architecture and with Central Electronic Records Repository (CERR) system selected by Records and Archives Data will be easily converted and without corruption or loss. 3 4 Vendor will honor contractual obligations. 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. Staff is trained properly on the operation of the system to ensure continued success of the program. Vendor will continue to support software and release upgrades/patches on a regular basis. Business Requirements will have minimal change over the life cycle of the project. 7 8 9 1.6 INITIAL PROJECT RISKS IDENTIFIED For every phase of the project, the risks and issues are identified and managed through the length of the project cycle. As items are identified, they are assessed in terms of impact (scope, schedule, resources, cost) and magnitude. Items are then prioritized for mitigation. PAGE | 3 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE Executive Sponsor, Tom Church Executive Steering Committee Tom Church Eric Roybal Project Sponsor, Bruce Oakeley IV&V Business Owners, David Coriz NMDOT Staff Business Operations Review Team: Benefits Financial/Training Legal Construction Contracts Records Management Reports/HIPAA Regulations Technical Review DoIT / NMDOT Tech Staff Project Manager PAGE | 4 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 2.1 STAKEHOLDERS List all of the major stakeholders in this project, and state why they have a stake. . Stakeholders are individuals and organizations that are actively involved in the project, or whose interests may be positively or negatively affected as a result of project execution or project completion. They may also exert influence over the project and its results. NAME STAKE IN PROJECT ORGANIZATION TITLE Tom Church Executive Sponsor NMDOT Cabinet Secretary Eric Roybal Budget NMDOT CIO Bruce Oakeley Budget Project Sponsor NMDOT Manager 2.2 PROJECT GOVERNANCE STRUCTURE 2.2.1 DESCRIBE THE ORGANIZATIONAL STRUCTURE – ORG CHART ROLE RESPONSIBILITY NAME FUNCTIONAL AREA IT Manager Oversight of Project Bruce Oakeley IT CIO Project certification Eric Roybal IT Project Lead Oversight of project Adam Torab WAVE Technologies Solutions Group Project Engineer Produce deliverables Usman Ghani WAVE Technologies Solutions Group PAGE | 5 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 2.2.2 DESCRIBE THE ROLE AND MEMBERS OF THE PROJECT STEERING COMMITTEE Bruce Oakeley- IT Project Manager Jeff Woodman- IT Project Manager David Coriz- IT Project Manager/Records Manager Conce Fresquez- IT Manager Eric Roybal- IT CIO 2.3 EXECUTIVE REPORTING Meetings will be conducted with NMDOT Management and project teams on a regularly scheduled basis. Whiteboard sessions outlining project task and resource assignment schedules and agendas are conducted throughout the process and transferred to Microsoft project. Project team meetings are scheduled to coincide with the Vendor Implementation/Design teams for on-site implementation sessions with frequency and length of those meetings to be defined. Project status updates reports will be verbally communicated to Business Owners conducted at weekly staff meetings. NMDOT management will be kept informed on progress of the project periodically throughout the project life cycle. Special oral and written Project Management and IV&V reports will be given on project progress to the ECM Steering Committee. 3.0 SCOPE 3.1 PROJECT OBJECTIVES 3.1.1 BUSINESS OBJECTIVES NUMBER DESCRIPTION BUSINESS OBJECTIVE 1 BUSINESS OBJECTIVE 2 BUSINESS OBJECTIVE 3 BUSINESS OBJECTIVE 4 BUSINESS OBJECTIVE 5 Increased efficiency and productivity through a well-managed records environment Optimize business processes, decreasing number of steps, saving time BUSINESS OBJECTIVE 6 PAGE | 6 Lower the cost of government, more effective Electronic Records Administration Management Improved service delivery to constituency Substantial NMDOT business process improvements are achievable through implementing document scanning, electronic document management and electronic records management. Streamline traditional claims inefficiencies and reduce manual, paper-based processes, which contribute to high claims costs and overhead expenses. PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION NUMBER DESCRIPTION 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 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 BUSINESS OBJECTIVE 8 BUSINESS OBJECTIVE 9 3.1.2 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 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 TECHNICAL OBJECTIVE 12 TECHNICAL OBJECTIVE 13 PAGE | 7 System will have indexing and archiving functionality System will integrate with the Centralized Electronic Records Repository managed by State Records and Archives System Interface - Provide an architecture that will easily interface with SHARE and GSD RMIS systems Open Architecture - Provide an open architecture infrastructure and scalable to allow for growth IT Architecture – ensure system aligns with enterprise-wide IT architecture Efficiency, High Performance – Application will be server independent and can be deployed on an open source application server such as Apache Tomcat Authentication - System will support Microsoft Active Directory Systems Integration - System will be connected to Hitachi SAN Redundancy - System will be configured to support system fail over Security/User Roles - System will support a secure front end user system log in and security role level authentication PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION NUMBER DESCRIPTION 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 System must support up to 1,500 concurrent users 3.2 PROJECT EXCLUSIONS In particular, the following items are out of scope for this Project: Migration of FileNet P8 Integration with HR application Implementation/Integration of OIG Forms/Workflows. Database level migration – Consultant will extract only the content and metadata information from the database. Network sizing, capacity analysis and performance considerations. Installation of Windows Operating System service packs or patches. NMDOT will perform Disaster Recovery and Daily Backups. Already in place 3.3 CRITICAL SUCCESS FACTORS NUMBER DESCRIPTION QUALITY METRICS The project schedule, assigned tasks, resources and milestones are met. 1 QUALITY METRICS Project does not exceed budget without proper authorization. 2 QUALITY METRICS System can provide reports that accurately track document metrics 3 QUALITY METRICS 4 QUALITY METRICS 5 QUALITY METRICS 6 QUALITY METRICS 7 PAGE | 8 All NMDOT operational and facility data information is successfully converted and migrated onto an electronic records management platform Applicable Legislative Performance Measures as stated in Strategic Business and IT plan are met. System is secure, operable and stable Data integrity is maintained PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION NUMBER DESCRIPTION QUALITY METRICS 8 QUALITY METRICS 9 Staff is adequately trained Conforms to SRCA Records Management Policies 4.0 PROJECT DELIVERABLES AND METHODOLOGY NMDOT will use our vendor’s WAVE Methodology Framework (WMF) for project management. This framework is based on years of consulting and project delivery knowledge in the field of Enterprise Content Management, has been field-tested and has proven successful. It consists of subdividing a larger project into smaller, more manageable phases, at the end of which NMDOT will review and approve the deliverables from one phase before commencing the next. This allows the Project Team to closely monitor the progress of a project and to ensure the needs and expectations of our customers are met. 4.1 PROJECT MANAGEMENT LIFE CYCLE PAGE | 9 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Phase Summary of Phase Key Deliverables Initiate During initiate, the project manager of the delivery team will kick-off the project, validate the scope, facilitate the logistic, and initiate the project plan Communication Plan Escalation Plan Timeline Schedule Project collaboration eRoom The delivery team will conduct the analysis of DOT’s requirements and define the architecture and design of the solution. The requirements include business requirements, functional requirements, and infrastructure requirements. Enterprise Foundation Definition (Enterprisewide Taxonomy) Functional Requirements Definition (use-case specific). Technical Architecture Definition (Infrastructure) Solution Design Document (SDD) Out-of-the-box Documentum software installed Configured Documentum environment with taxonomy and library services Configured retention policies Migrated content from FileNet Imaging Services to Documentum Migration of Computer Output to Laser Disc (COLD) data Utility to ingest content from Fileshare Analyze Build PAGE | 10 In Build, the delivery team will actually build the proposed system. It includes the installation, development, and configuration, and testing of components and subsystems comprising the proposed solution. PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Updated Kofax Capture release scripts to export to Documentum Completion of System Test Scripts procedure Defect list tracking reports for User Acceptance Testing (UAT). Execution of User Acceptance Testing (UAT). In this phase, the delivery team will train the subject matter experts of each group for the end user training. The delivery team will also train the admin staff to prepare them for the system maintenance and the application support. Completed Training. Quick Reference Guide. System as-built documentation Deploy In this phase, the delivery team ports the system from a Test environment to Production environment and conduct the system roll out for successful “Go-Live”. System Go-Live Close In this phase, the delivery team ensures that every detail of the project has been addressed and proper closure is attained. Project Closure Train o Project Review Meeting. o Project Archival Activities. o Follow-up Activities. PAGE | 11 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 4.1.1 PROJECT MANAGEMENT DELIVERABLES Project Deliverables are work products or artifacts that are driven by the project management methodology requirements and standard project management practices regardless of the product requirements of the project. 4.1.1.1 Communication Plan Description Defines the messages, communication channels, frequency and target audience of project communications Deliverable Acceptance Criteria Agreed Communication Plan in the meeting Standards for Content and Format Wave Technology Solutions Group’s Communication Plan Template or Meeting Minutes Quality Review Reviewed in meeting between WAVE Technology Solutions Group and NMDOT project management 4.1.1.2 Escalation Plan Description Method, procedure and process to follow should issues arise that requires escalation Deliverable Acceptance Criteria Agreed Escalation Plan in the meeting will be posted in eRoom Standards for Content and Format Meeting Minutes Quality Review Reviewed in meeting between WAVE Technology Solutions Group and NMDOT project management 4.1.1.3 Timeline Schedule Description A Timeline Schedule with specific dates for each deliverable within a NM DOT provided template or as agreed upon between the WAVE Technology Solutions Group and NM DOT project managers. Deliverable Acceptance Criteria Agreed Timeline schedule in the meeting will be posted in eRoom PAGE | 12 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Standards for Content and Format Wave’s Project Plan template Quality Review NM DOT staff reviewing the draft deliverable and providing comments and suggested revisions on the timeline. NM DOT comments will be synthesized and compiled into one document by the NM DOT and provided to WAVE Technology Solutions Group and will update the document and provide the updated draft. 4.1.1.4 Project Collaboration eRoom Description Online repository and collaboration tool utilized for the duration of the project implementation Deliverable Acceptance Criteria eRoom Access to NMDOT project management Standards for Content and Format eRoom Site Quality Review Verify eRoom Access by NMDOT project management 4.1.1.5 Enterprise Foundation Definition (Enterprise-wide Taxonomy) Description An Enterprise Foundation is a design principle that establishes repeatable standards to create a scalable Enterprise Content Management foundation across the enterprise Deliverable Acceptance Criteria Signed off document Standards for Content and Format WAVE Technology Solutions Group EFD Template Quality Review NM DOT staff reviewing the draft deliverable and providing comments and suggested revisions. NM DOT comments will be synthesized and compiled into one document by the NM DOT and provided to WAVE Technology Solutions Group and will update the document and provide the updated draft. PAGE | 13 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 4.1.1.6 Functional Requirements Definition (Use-Case Specific) Description Defines the functional requirements as collected from business users within the scope of the project Deliverable Acceptance Criteria Signed off document Standards for Content and Format WAVE Technology Solutions Group’s FRD Template Quality Review NM DOT staff reviewing the draft deliverable and providing comments and suggested revisions. NM DOT comments will be synthesized and compiled into one document by the NM DOT and provided to WAVE Technology Solutions Group and will update the document and provide the updated draft. 4.1.1.7 Technical Architecture Definition (Infrastructure) Description Technical Architecture Document (TAD) describes the specification and configuration of the system on infrastructure level Deliverable Acceptance Criteria Signed off document Standards for Content and Format TAD Template Quality Review NM DOT staff reviewing the draft deliverable and providing comments and suggested revisions. NM DOT comments will be synthesized and compiled into one document by the NM DOT and provided to WAVE Technology Solutions Group and will update the document and provide the updated draft. 4.1.1.8 Solution Design Document (SDD) Description Develop and prepare in a clear, concise written format the design recommendations for the NM DOT’s Electronic Content Management System Deliverable Acceptance Criteria Signed off document Standards for Content and Format WAVE Technology Solutions Group’s SDD Template PAGE | 14 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Quality Review NM DOT staff reviewing the draft deliverable and providing comments and suggested revisions. NM DOT comments will be synthesized and compiled into one document by the NM DOT and provided to WAVE Technology Solutions Group and will update the document and provide the updated draft. 4.1.1.9 Out-of-the-Box Documentum Software Installed Description Install Documentum components as per bill of materials. Deliverable Acceptance Criteria All the installed services and software are running Standards for Content and Format Installations as per EMC’s best practices Quality Review NMDOT Staff verifying the installed components 4.1.1.10 Configured Documentum Environment with Taxonomy and Library Services Description Configure and customize the Documentum components to build taxonomy and library services for ECMS Deliverable Acceptance Criteria Unit Tested Components, reported in Status Report Standards for Content and Format WAVE Technology Solutions Group Status Report Quality Review NMDOT staff will do the sanity check User Acceptance Testing will be performed during Testing Phase 4.1.1.11 Configured Retention Policies Description Configuring the retention policies in ECMS as per functional requirements Deliverable Acceptance Criteria Unit Tested Components, reported in Status Report PAGE | 15 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Standards for Content and Format WAVE Technology Solutions Group’s Status Report Quality Review NMDOT staff will do the verification check User Acceptance Testing will be performed during Testing Phase 4.1.1.12 Migrated Content from FileNet Imaging Services to Documentum Description Set up Migration Utility to migrate the content and their metadata from a FileNet Imaging Services into Documentum repository Deliverable Acceptance Criteria 10% of the total content of the Imaging Services repository to be migrated and then hand over the migration mechanism (or utility) to DOT, reported in Status Report Standards for Content and Format WAVE’s Status Report Quality Review Migration report will be reviewed Verification check by NMDOT IT Staff User Acceptance Testing will be performed in Testing Phase 4.1.1.13 Migration of Computer Output to Laser Disc (COLD) Data Description Set up Migration Utility to migrate the content and their metadata from a FileNet Imaging Services into Documentum repository Deliverable Acceptance Criteria 100% of the COLD data to be migrated, reported in Status Report Standards for Content and Format WAVE Technology Solutions Group’s Status Report Quality Review Migration report will be reviewed Verification check by NMDOT IT Staff User Acceptance Testing will be performed in Testing Phase PAGE | 16 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 4.1.1.14 Utility to Ingest Content from Fileshare Description Set up a utility to ingest the content and their metadata from an FTP site to Documentum repository Deliverable Acceptance Criteria Unit tested, reported in Status Report Standards for Content and Format WAVE Technology Solutions Group’s Status Report Quality Review Verification check by NMDOT IT Staff User Acceptance Testing will be performed in Testing phase 4.1.1.15 Updated Kofax Release Scripts to Export to Documentum Description Update the existing Kofax release scripts such that Kofax releases captured documents to Documentum Deliverable Acceptance Criteria Working Kofax release to Documentum, reported in Status Report Standards for Content and Format WAVE Technology Solutions Group’s Status Report Quality Review Verification check by NMDOT IT Staff User Acceptance Testing will be performed in Testing phase PAGE | 17 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 4.1.1.16 Completion of System Test Scripts procedure Description Define the script to test the solution from a functional standpoint in order to verify that all of the features outlined in the Solution Design Document are functioning as documented Deliverable Acceptance Criteria Sign off the document Standards for Content and Format WAVE Technology Solutions Group’s Test Script Template Quality Review NM DOT staff reviewing the draft deliverable and providing comments and suggested revisions. NM DOT comments will be synthesized and compiled into one document by the NM DOT and provided to WAVE Technology Solutions Group and will update the document and provide the updated draft. 4.1.1.17 Defect list tracking reports for User Acceptance Testing (UAT) Description Maintains a list of the issues and changes identified during the Testing Deliverable Acceptance Criteria After the review, the list will be updated in eRoom. Reported in Status Report Standards for Content and Format WAVE Technology Solutions Group’s Defect Tracking Template Quality Review Reviewed in meeting between WAVE Technology Solutions Group and NMDOT project management PAGE | 18 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 4.1.1.18 Execution of User Acceptance Testing (UAT) Description Provide support to NMDOT to execute the Test scripts for User Acceptance Testing Deliverable Acceptance Criteria Signed off completion of UAT, reported in Status Report Standards for Content and Format WAVE Technology Solutions group Status Report Quality Review WAVE Technology Solutions group will provide support in running the test scripts. The test scripts will be reviewed before the execution of UAT. 4.1.1.19 Completed Training Description Provide the end-user training that will include the basic operational procedures for: Navigating with the DCTM client application. Search use-cases Retention management Provide the training for system administration (IT and Application administrators) personnel on the maintenance, operations, and troubleshooting aspects of the new solution Deliverable Acceptance Criteria Completed training of end users and IT, reported in Status Report. Standards for Content and Format Training will be held in Classroom or online. Quality Review The training material will be provided to assist the trainees in retaining the information. 4.1.1.20 Quick Reference Guide Description Quick Reference Guide is a training material provided to the end users for reference on how to run their common use cases in the new system Deliverable Acceptance Criteria Uploaded on eRoom approved version of PAGE | 19 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Quick Reference Guide, reported in Status Report Standards for Content and Format WAVE Technology Solutions group Quick Reference Guide Template Quality Review Reviewed in meeting between WAVE Technology Solutions group and NMDOT project management 4.1.1.21 System As-Built Documentation Description The documentation of the system as built. It has the configuration information of the system. Deliverable Acceptance Criteria Uploaded on eRoom approved version of Quick Reference Guide, reported in Status Report Standards for Content and Format WAVE Technology Solutions group template Quality Review Reviewed in meeting between WAVE Technology Solutions group and NMDOT project management 4.1.1.22 System Go-Live Description Ports the system from a Test environment to Production environment and conduct the system roll out for successful “Go-Live”. Deliverable Acceptance Criteria Signed off ‘Completion of Deployment’ Standards for Content and Format NA Quality Review Validation of the system by NMDOT Staff 4.1.1.23 Project Closure Description PAGE | 20 To ensure that every detail of the project has been addressed and proper closure is attained. It consists of: Project Review Meeting Project Archival Activities Follow-up activities PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Deliverable Acceptance Criteria Execution of Project Review Meeting Standards for Content and Format Meetings between WAVE Technology Solutions group and NMDOT project management and Status Reports Quality Review Meetings between WAVE Technology Solutions group And NMDOT project management 4.1.2 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS Complete the following table to identify the deliverables this project is to produce, and to name the person or persons who have authority to approve each deliverable. DELIVERABLE NUMBER DELIVERABLE APPROVERS (WHO CAN APPROVE) PRJ-DEL-001 Project Management Plan (PMP) Tom Church DATE APPROVED 4.1.3 DELIVERABLE ACCEPTANCE PROCEDURE The Department will use a project milestone document and the deliverables described in the executed contract. The agency project manager will sign of on all completed deliverables in the contract. 4.2 PRODUCT LIFE CYCLE “During the project management lifecycle, agencies shall select and implement a phase product development lifecycle methodology approved by the Department.” PROJECT OVERSIGHT PROCESS Memorandum Phase Summary of Phase I – Electronic Content Management System Implement a comprehensive Electronic Content Management System (ECMS) centered on the technologies provided by EMC and migrate PAGE | 21 Key Deliverables Communication Plan Escalation Plan Timeline Schedule Project collaboration PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION the Filenet content. I – Electronic Content Management System (continued, 2 of 3) PAGE | 22 eRoom Enterprise Foundation Definition (EFD) document Functional Requirements Document (FRD). Technical Architecture Document (TAD). Solution Design Document (SDD). Out-of-the-box Documentum software installed. Configured Documentum environment with taxonomy and library services Configured retention policies Migrated content from FileNet Imaging Services to Documentum Migration of Computer Output to Laser Disc data Utility to ingest content from Fileshare Updated Kofax release scripts to export to Documentum Completion of System Test Scripts procedure Defect list tracking PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION reports for User Acceptance Testing (UAT) I – Electronic Content Management System (continued, 3 of 3) Execution of User Acceptance Testing (UAT) Completed Training Quick Reference Guide System as-built documentation System Go-Live Project Closure 4.2.1 TECHNICAL STRATEGY This project will be subdivided into small, more manageable phases, at the end of which Vendor and DOT will review the deliverables from one phase before commencing the next. This allows the Project Team to closely monitor the progress of a project and to ensure the needs and expectations of our customers are met. More specifically, during the technical implementation of the project, it will be identified in the phases of Analysis, Build, and Test. The Analyze phase will help ensure that the design put in place for NM DOT that will scale appropriately to meet their long term ECMS needs. A thorough analysis of infrastructure, business requirements, and functional requirements is done. Based on the analysis, WAVE defines the Technical Architecture Specifications and Solution Design Specifications of the system. The build phase constitutes the installation of software and the development and configuration of the components. The build starts with out of the box EMC products and not from the scratch. The emphasis is to achieve maximum results with configuration (UI or XML) and minimize the customization (java language code). This procedure provides greater scalability, reduced time of development, easy maintenance, and reduced cost. During build, every component is unit tested and iterative prototyping checkpoints are scheduled with the customer to ensure that requirements are correctly translated into the design. Testing phase is also divided into different areas that include component testing, integration testing, and user acceptance testing. Component testing validates each component of the system is functioning. Integration testing validates that various subsystems and external systems PAGE | 23 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION interface with ECMS as defined in the requirements. The User Acceptance Testing validates all the use cases and functional requirements of the system. TECHNICAL STRATEGY OF MIGRATION The migration strategy is derived from the combination of Industry’s best practices and Vendors past migration implementations. The process is defined for Extraction, Transformation, and Load of the content from FileNet to Documentum. The validation and reporting of migration is provided for each implementation to ensure the successful data migration and report the data loss, if any. The document transformation can be used as needed, for example, converting tiff documents from FileNet to searchable PDFs in Documentum so full-text searching can be done on the migrated documents. 4.2.2 PRODUCT AND PRODUCT DEVELOPMENT DELIVERABLES With any project, no matter how comprehensive the planning process, issues arise that need to be addressed. This section of the project manual addresses how this process will be managed for the NMDOT project. PAGE | 24 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION When the project team identifies an issue, it will be added to a document called ECM Project Issues.doc stored in the project library. An issue can also be identified by anyone affiliated with the project although the project team will be primarily responsible for tracking issues through to resolution. The project team will review the issues list twice a month. Issues, which could negatively affect the project, will be brought to ECM ESC attention according to the change control process in section 7.4. The process of tracking an issue is outlined here: 1) An issue is identified. 2) It is added to the issue document, assigned an issue number with a brief explanation of the issue and date entered. 3) The issue is assigned to someone and potential action to be taken. 4) As action is taken, it is noted with the issue. 5) If possible, an estimated completion date is entered. 6) Upon completion of an issue, the actual completion date is noted with the resolution. Listed below are examples of how an issue can be resolved: An issue can become a task added to the project plan with proper approval, if new, or within scope of the project. It could be resolved by an action taken. A document can be created which addresses the issue. A resolution could create new issues that need to be addressed. A new policy could be created which addresses the issue. The project team is primarily responsible to resolve issues or follow-up to be sure action is being taken to resolve an issue. PAGE | 25 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 5.0 PROJECT WORK The complete Work Breakdown Structure is attached as Appendix A 5.2 SCHEDULE ALLOCATION -PROJECT TIMELINE PAGE | 26 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 5.3 PROJECT BUDGET PROPOSED CERTIFICATION SCHEDULE FOR CURRENT FISCAL YEAR (AGENCY TO COMPLETE FOR ALL PHASES) Phases Implementation: Amount Requested Major Deliverable(s) / Performance Measure(s) $1,336,091 Conduct Business Process Mapping, Configure software and hardware interfaces with existing systems; User Acceptance Testing, End user training and Production Cutover for: System development (software and hardware) Data migration System testing Training Production Due Dates 3/31/14 6/31/14 8/31/14 10/31/14 12/31/14 Cost Breakdown: Software License total $595,824 Consulting Services $525,099 Training $17,325 First year maintenance $134,220 Contingency Reserve (5%) $63,623 Total Project $1,336,091 Closeout: PAGE | 27 $-0- Customer Acceptance, Transition to Operations 12/31/2014 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 5.4 PROJECT TEAM 5.4.1 PROJECT TEAM ORGANIZATIONAL STRUCTURE Executive Steering Committee Tom Church Eric Roybal Project Director Bruce Oakeley Project team member Project Team Member Jeff Woodman Project Manager David Coriz Business Operations Review Team: Benefits Financial/Training Legal Construction Contracts Records Management Reports/HIPAA Regulations PAGE | 28 Technical Review DoIT / NMDOT Tech Staff PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 5.4.2 PROJECT TEAM ROLES AND RESPONSIBILITIES ROLE RESPONSIBILITY NAME FUNCTIONAL AREA IT Manager Oversight of Project Bruce Oakeley IT Team member Work with Vendor David Coriz IT Records Management Team Member Work with vendor Jeff Woodman IT Web SYS ADMIN Work with vendor Gabriel Vigil IT Records Management PAGE | 29 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 5.5 STAFF PLANNING AND RESOURCE ACQUISITION 5.5.1 PROJECT STAFF Role Executive Steering Committee (ESC) Executive Steering Committee Responsibilities Meet at least once monthly Provide strategic direction and promote the vision for Enterprise Content Management Advise project on policy issues Review, evaluate, and provide direction to the Project Director and Project Team Members on implementation and deployment strategies Monitor the project progress Provide recommendations on issues escalated to the committee Assist in mitigating strategic project risks Direct the Project Director on issues and risks Address, review, and approve all deliverables, such as project structure and team activities Monitor the project activities, assuring adherence to the project plan Ensure involvement of participants in order to meet deadlines Review and approve expenditures of funds Represent the point of view of key stakeholders including technology-enabled customers and state government executives Provide project implementation oversight Ensure proper project management and cost reporting Certify and approve funding prior to each phase of the project Report to ESC on project status, issues, budget, and activities Address, review, and submit deliverables to ECM from the NMDOT Project Team members Prepare Steering Committee meeting agenda and meeting materials Establish and maintain a coordinated project manual that includes all IT and non-IT tasks and activities necessary to fully execute the project and to achieve project goals Monitor and report the activities of the NMDOT Project Team, assuring adherence to the project plan, budget and schedule. (continued) NM DOIT Project Sponsor PAGE | 30 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Role Project Sponsor IT Specialists (Programmers, NMDOT Imaging System Administrators, NMDOT System Experts and Developers) Vendors PAGE | 31 Responsibilities Ensure involvement of participants in order to meet deadlines Ensure mitigation of project issues and risks Maintain a current copy of the project budget Facilitate development of EMC selection criteria Prepare the RFP/CVR for EMC Implementation Services Vendor Procure hardware and software for NMDOT Comply with approved IT Infrastructure policies & procedures Lead Business Process Reengineering efforts Facilitate defining document metadata and setting up document taxonomy Plan system interfaces and document migration processes Manage testing and validating NMDOT ECM solution Provide contract and Vendor oversight Assure Vendor deliverables meet the business & system requirements Monitor the project and contract to ensure delivery of complete, accepted deliverables on schedule Serve as a contact for the Vendor Team Manager, review and accept weekly status reports, project milestones, deliverables, and issues logs Advise the Vendor Team(s) on issues and risks Review and approve all Vendor documentation Document Enterprise Content Management Model Work closely with SRCA team to create an approved, published electronic-records management framework. Provide IT subject matter expertise Share expertise on Document Imaging systems Work with Project Director to determine hardware, software, network and technical requirements. Work with Project Director to define technical system interface requirements. Provide IT perspective and guidance for technology issues 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. PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 5.5.2 NON-PERSONNEL RESOURCES Resource Cost Estimate Estimated units/hours WAVE Technologies $595,824 WAVE Technologies Availability Source Work Product/Deliverable 2 weeks Vendor Software Installation $525,099 3 months Vendor Professional services- Build Develop WAVE Technologies $17,325 2 weeks Vendor Training EMC $134,220 Annually Vendor System Maintenance 5.6 PROJECT LOGISTICS Phase Deliverables Initiate Communication Plan. Escalation Plan. Timeline Schedule. Project collaboration eRoom. Analyze Enterprise Foundation Definition (EFD) document. Functional Requirements Document (FRD). Technical Architecture Document (TAD). Solution Design Document (SDD). Build | Hardware Installation Installed infrastructure hardware components. Installed storage infrastructure. Installed virtualization and Operating System Software components. Build | Software Installation Documentum Platform Bundle Installed. Out-of-the-box Documentum software installed. Build | Development Configured Documentum environment with taxonomy and library services Configured retention policies Migrated content from FileNet Imaging Services to Documentum Migration of COLD data Utility to ingest content from Fileshare Updated Kofax release scripts to export to Documentum Build | Test Completion of System Test Scripts procedure. Defect list tracking reports for User Acceptance Testing (UAT). Execution of User Acceptance Testing (UAT). PAGE | 32 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Train Completed Training. Quick Reference Guide. System as-built documentation Deploy System Go-Live Close Project Review Meeting. Project Archival Activities. Follow-up Activities. 5.6.1 PROJECT TEAM TRAINING Describe training if any needed by project team members. This is not to include training for end users, system administrators or business owners; those should be handled within a training document or part of the transition to operations planning. Resource Cost Estimate Estimated Hours WAVE Technologies and Solutions Group $17,325 2 weeks Availability Skill Set Work Product/Deliverable Upon request Technical experts Training will be part of contract deliverables 6.0 PROJECT MANAGEMENT AND CONTROLS 6.1 RISK AND ISSUE MANAGEMENT 6.1.1 RISK MANAGEMENT STRATEGY Description – Funds will not readily be available to support the project Probability: VERY LOW Impact: LOW Mitigation Strategy: Allocate funding in excess of projected funding needs. Contingency Plan: If this occurs, NMDOT Staff will need to implement solution independently without vendor assistance or guidance. 6.1.2 PROJECT RISK 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 ECM project risks. The Risk Analysis is shown in Appendix D. The sequence of activity is as follows: Risk Identification – The process of identifying potential risks and documenting the specific characteristics of each. PAGE | 33 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 1. Risk Analysis – The process of determining the impact and likelihood of the identified risks. This process may employ both qualitative and quantitative techniques as deemed necessary to objectively evaluate potential risks to the project. 6.1.3 PROJECT RISK MITIGATION APPROACH All identified risks will have appropriate mitigation strategies/plans. For those risks that are highly probable and have, significant impact to the project will develop contingency plans. 6.1.4 RISK REPORTING AND ESCALATION STRATEGY Risk monitoring and control will be part of every project status meeting. Risk identification will be the responsibility of all members of the project team. The Project Director and Project Managers will be responsible for tracking risks and for developing mitigation strategies and contingency plans that address the risks identified by the team. This project will follow a continuous risk management strategy. Risk will be assessed routinely to ensure that identified risks are being dealt with appropriately and that new risks are identified and dealt with as early as possible. 6.1.5 PROJECT RISK TRACKING APPROACH Risk Level Mitigation Comment Insufficient funding Low Prioritize each agency’s funding request and develop contingency plans to allocate funds Insufficient funding allocation means that either some agencies requesting funds will receive $0 or agencies will not have enough to purchase software, hardware and implementation services. Agency Resource availability High Ensure stakeholders are involved and support the project team members Lack of resources to complete project activities can lead to delays in project schedule. Extended timeline caused by state approval process High Plan for State requirements for oversight as well as the procurement process provide numerous opportunities for project delays. An ECM increases accessibility to the states content High Ensure Electronic document Management is a priority among agency project team members. Keys to identity management are: PAGE | 34 Authentication- proving that you are who you say you are. Authorization: now that we know who you are, determine permissions for the content you are allowed to access. Delegated administration- Leaders in each agency are responsible for securing access to their content. The task of assigning PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION permissions is delegated to associates that know who is allowed access to what content 6.1.6 ISSUE MANAGEMENT 6.1.6.1 Internal Issue Escalation and Resolution Process NMDOT Project team will work together to address and provide a resolution to any issues that may come up during the project. 6.1.6.2 External Issue Escalation and Resolution Process NMDOT Project team will work with vendor to address and provide a resolution to any issues that may come up during the project. With any project, no matter how comprehensive the planning process, issues arise that need to be addressed. This section of the project manual addresses how this process will be managed for the GSD ECM project. When the project team identifies an issue, it will be added to a document called ECM Project Issues.doc stored in the project library. An issue can also be identified by anyone affiliated with the project although the project team will be primarily responsible for tracking issues through to resolution. The project team will review the issues list twice a month. Issues, which could negatively affect the project, will be brought to ECM ESC attention according to the change control process in section 7.4. The process of tracking an issue is outlined here: 7) An issue is identified. 8) It is added to the issue document, assigned an issue number with a brief explanation of the issue and date entered. 9) The issue is assigned to someone and potential action to be taken. 10) As action is taken, it is noted with the issue. 11) If possible, an estimated completion date is entered. 12) Upon completion of an issue, the actual completion date is noted with the resolution. Listed below are examples of how an issue can be resolved: An issue can become a task added to the project plan with proper approval, if new, or within scope of the project. It could be resolved by an action taken. A document can be created which addresses the issue. A resolution could create new issues that need to be addressed. A new policy could be created which addresses the issue. The project team is primarily responsible to resolve issues or follow-up to be sure action is being taken to resolve an issue. PAGE | 35 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V The IV&V plan will: 1. 2. 3. Evaluate and verify that processes, contracts, and system designs comply with the specified requirements of the Enterprise Architecture and Standards 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 Provide a “close-out” report to the Executive Board at the end of project. A Competitive Vendor Request (CVR) will be submitted to the NMDOT Executive Steering Committee for approval. Once the CVR has been approved, the project team will initiate contact with approved IV&V vendors. The IV&V vendor will develop a complete IV&V plan in conjunction with the project team. 6.3 SCOPE MANAGEMENT PLAN Project control is the mechanism by which the Project Director in conjunction with the project team assesses progress relative to the project plan. The project control process is implemented through a weekly project status meeting. The meeting will be designed to identify variances from the project plan and to identify and initiate corrective actions where appropriate. Cost Control –The project director maintains a copy of the current budget and is to notify NMDOT of budget variances as they are identified. Schedule Control – The project team is responsible for establishing and maintaining a project schedule. The project team will assess the current project schedule status and report variances as they are identified. Additionally, the team will identify and implement the appropriate corrective actions to eliminate or minimize schedule variances. Scope Control – The project scope is defined and documented in the Appendix 6.1 of the Project Manual. The detailed scope definition contained in Appendix 6.1 will be used to evaluate project scope issues. Significant variances from scope will be submitted to a formal project change control mechanism (Section 7.4 Change Control Process). Quality Management – NMDOT project quality management will be established for each deliverable based on the quality mechanisms of the responsible organization, and the GSD ECM Quality Management Plan (Section 7.6) of this document. Risk Management – Risk management is an ongoing process of identification and assessment. Risk Assessment is included as part of the routine status process of the project. This maintains an awareness of risk and the associated risk assessment and monitoring tasks required to manage the project effectively. 6.3.1 CHANGE CONTROL 6.3.1.1 Change Control Process Any significant changes in the project will likely cause changes to others tasks. Project control establishes the mechanism to routinely track and report on these parameters. If issues arise that result in significant variances in these parameters, the project team will prepare and submit a Project Change Request form through the Project Change Control process. PAGE | 36 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 6.3.1.2 Change Control Board (CCB) Insert a graphic or textual description identifying the Change Control Board (or function) for this project. The CCB may be an individual or group of individuals authorized to approve changes to the project plan. 6.4 PROJECT BUDGET MANAGEMENT Costs estimates are the costs applied to an activity in a project by assigning resources with associated rates or fees. Resources can include equipment, material, technology, processing cycles, or people. The total cost is critical and should be consistent with the proposal; include breakdowns as needed. Match these cost estimates with the actual billed amounts. Use an appropriate format for the project size and customer requirements (e.g., by WBS, milestone, or deliverable). 6.4.1 BUDGET TRACKING BUDGET WILL BE TRACKED BY CONTRACT DELIVERABLES AND PROJECT TIMELINE. The NMDOT’s project Manager will be responsible for managing the ECM budget, and will be a member of the ECM Executive Steering Committee. The Project Manager will provide a budget update at each Steering Committee Meeting, identifying past expenditures, encumbrances, future encumbrances, personnel costs, and any other expense associated with the project budget. 6.5 COMMUNICATION PLAN 6.5.1 COMMUNICATION MATRIX Deliverable/Description Target Audience Delivery Method Frequency Responsible Party NMDOT / ECM Project Status NMDOT CIO Face-to-Face Weekly NMDOT / ECM Project Status NMDOT Team Face-to-Face As needed SRCA / ECM Project Status Weekly PD Status ECM Project Status ECM ESC Meeting ECM ESC Meeting Minutes DOIT ECM Project Status Project Web Page Ad hoc SRCA Team NMDOT PD ECM ESC ECM ESC ECM ESC DOIT As needed As needed Face-to-Face Email Email Face-to-Face Email Email Web Page As needed As needed Weekly Weekly Weekly Weekly Monthly As needed As needed NMDOT Project Manager NMDOT Project Director PD/PM PM PD/PM PD/PM PM PD PM Team As needed PAGE | 37 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 6.5.2 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. 6.5.3 PROJECT STATUS REPORTS- SEE MATRIX 6.5.1 ABOVE 6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS) NUMBER DESCRIPTION QUALITY METRICS 1 QUALITY METRICS 2 QUALITY METRICS 3 QUALITY METRICS 4 The project schedule, assigned tasks, resources and milestones are met. Project does not exceed budget. System can provide reports that accurately track utilities by building All NMDOT operational and facility data information is successfully converted and migrated onto an electronic records management platform Applicable NMDOT Legislative Performance Measures as stated in IT plan are met System is secure, operable and stable Data integrity is maintained Staff is adequately trained Conforms to SRCA Records Management Policies QUALITY METRICS 5 QUALITY METRICS 6 QUALITY METRICS 7 QUALITY METRICS 8 QUALITY METRICS 9 6.7 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. The second is the integrated project control process and change control process, which assure that any changes that are made to the project are PAGE | 38 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION executed in a structured manner. The most important of these is the change control process to minimize the change of scope to the project and if scope does change, it is done knowing the impact to the project. The third process for quality management is the risk management plan, which measures, mitigates and includes contingency plans for each risk. The project team will also create lessons learned at the end of each phase of the project. These lessons learned will be incorporated into the next phase of the project and be part of the project library that will be available for future projects to use. All of these processes combined will create a product that has quality that is built in not tested in after the fact. This will provide an environment that maximizes opportunities to control quality. 6.7.1 QUALITY STANDARDS No. Quality Standard Tracking Tool or Measure 1 Project phase is completed by the established finish date. Project Schedule Project Status 2 Project is completed within budget. Project Charter Project Status 3 Quarterly project reviews show contractors deliver requirements specified in the contract by due dates or pay penalties. Vendor Contract Final Customer Acceptance 4 Project issues are resolved and documented within 10 calendar days of identification or extensions are justified. Issues Tracking 5 Project will be completed based on the original project scope and approved scope changes. Project Charter Project Plan Control Change Request 6.7.2 PROJECT AND PRODUCT REVIEW AND ASSESSMENTS Review Type Quality Standard Requirements Reviewer Reports Project is completed within Contract deliverables budget. Project Manager Produce by vendor Plans All plans must meet contract deliverables Scope of work by vendor Project Manager Produce by vendor Milestones Project phase is completed by the established finish date. Contract Deliverables Project Manager Milestone checklist from vendor Testing Execution of User Acceptance Testing (UAT). System Test Scripts procedure. for User Acceptance Testing (UAT). Project Manager Produced by Vendor PAGE | 39 Tools PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 6.7.3 AGENCY/CUSTOMER SATISFACTION The project manager should assess the on-going sense of the customer agency about how they feel the project is going, and how team members are acting on the project. This feedback would be helpful to the success of the project and the professional growth of the project team members. Areas of feedback Agency awareness Quality of communications Manages project tasks Productive Meetings When Business Owner Meetings ESC Steering committee meetings ESC Steering committee meetings How Often Monthly Monthly Monthly Quarterly 6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS The NMDOT Chief Information Officer will take delivery of media; manuals; contracts; licenses; services agreements; configuration settings; status of patches to COTS products; in-house or vendor developed code; test cases, routines, and scripts; and other items required for the project. The NMDOT CIO will take delivery of such products only after the product deliverables have been accepted by the NMDOT ECM Executive Steering Committee. 6.8 CONFIGURATION MANAGEMENT Configuration Management determines how project information (files, reports, designs, memos, documents, etc.) will be managed (tracked, approved, stored, secured, accessed, version control, etc.) and owned by (e.g., Agency managing the project or the Customer). Standards and team awareness are critical. 6.8.2 PROJECT REPOSITORY (PROJECT LIBRARY) A project repository, consisting of a shared server with multiple folders and a project web site will be developed by NMDOT IT staff members as a means to provide a central repository for all project documentation and deliverables 6.9 PROCUREMENT MANAGEMENT PLAN All procurement for project goods and services must be performed under the guidance and direction of New Mexico State Procurement Statues. 7. 0 PROJECT 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 PAGE | 40 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION 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. 7.1 ADMINISTRATIVE CLOSE Administrative Close occurs at both the end of phase and end of project. This closure consists of verification that objectives and deliverables were met. Acceptance is formalized and phase activities are administratively closed out. Administrative closure occurs on a “by-phase” basis in accordance with the WBS and should not be delayed to project end. At that point, the burden of closing is too great and audits inaccurate. The specific project close activities for a given project are contingent on the project’s complexity and size. Project managers should work with the project’s project management consultant to tailored Project Close procedures to compliment the project’s objectives 7.2 CONTRACT CLOSE Contract close is similar to administrative close in that it involves product and process verification for contract close. ATTACHMENTS Appendix A: Scope Definition Document with Detailed Work Breakdown Structure PAGE | 41 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION APPENDIX A - Scope Definition Document Detailed Work Breakdown Structure (WBS) PAGE | 1 PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION ECM Project Management WBS ECM (EDMS/EDMS) Project Management Work Breakdown Structure ECM (EDMS/ERMS) Project Project Management Planning Application & Technology Infrastructure Implementation Electronic Records Governance Supporting Organizational Infrastructure Communication Control Project Manual Document Risk Management Plan Issue Management Plan Quality Control Plan Communication Plan Change Control Plan Budget Planning Phase - Lessons Learned Implementation - Lessons Learned Project Overall - Lessons Learned Enterprise Model Funding Communication Plan Twice Monthly ESC Meetings Bi-weekly ESC Status Reports Monthly OCIO Status Report Meeting Notes Project Charter Needs Assessment Project Control Plans Scope Document WBS Project Schedule Software Selection Criteria Checklist Project Manual Document PAGE | 2 Business Process Reengineering Federal Financial Participation - APDU - RFP - Implementation Vendor Contract Approval PCC Certification - PIR - PIR Certification - EDMS Project Manual - Implementation Report - Implementation Certification - Close-out Report - Close-out Certification ECM (EDMS/ERMS) FY07 C3 Funding Request Resource Management Project Director Price Agreement Needs Assessment Price Agreement RFP for Implementation Services Implementation Vendor Contract IV&V Price Agreement Risk Management Risk Management Plan - Mitigation Plans - Contingency Plans IV&V Reports PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Application & Technology Infrastructure Work Breakdown Structure ECM (EDMS/ERMS) Project Project Management Select ECM Vendor Finalize Selection Criteria Set up Vendor Demonstrations Select Vendor Review & Approve Vendor Business Process Reengineering Implementation Functional Analysis & Design Infrastructure Analysis & Design Electronic Records Governance Supporting Organizational Infrastructure System Development & Customization Enterprise Model Disaster Recovery Planning Design Content Management Structure Infrastructure Analysis & Design (IA&D) Design Records Document Logistics Analysis & Design Management Structure Hardware Requirements Design Metadata System Software Requirements & Taxonomy Communication (Network) Requirements Data Interchange Requirements Review & Approve IA&D Procure Hardware Architecture Committee & Software Approval Select Document Imaging Vendor Finalize Selection Criteria Verify Inter-operability Set up Vendor Demonstrations Select Vendor Review & Approve Vendor PAGE | 3 Application & Technology Infrastructure Transition Execute Transition Sign-off Deliverables Obtain Vendor Quotes Review & Approval IT Consolidation Exceptions Process Purchase Hardware & Software Implementation Services Vendor Planning Develop Quality Assurance Plan Develop Quality Assurance Process Document Develop Communication Plan Develop Change Management Plan Develop Issue & Risk Management Plan Develop Project Work Plan Develop Acceptance / Exit Criteria Document Develop Deployment / Support SLA Develop Metadata / Taxonomy Best Practices Document Develop Security Plan Develop Data Interchange Plan Develop Transition Plan Build Infrastructure Develop Hosting SLA Develop Technical Hardware & Software Architecture Document Develop Technical Communication Architecture Document Develop Configuration Specification & Systems Administration Document Develop Installation & Configuration Document Develop Configuration Management Plan Install & Configure Hardware, Software & Network for Production Environment Install & Configure Hardware & Software for Dev. Test & Training Environments Development & Implementation GSD RMD Release 1.0 - Functional Design - Technical Design - Build - Unit, System, Integration Test - User Acceptance Testing PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Business Process Reengineering (BPR) Work Breakdown Structure ECM (EDMS/ERMS) Project Project Management Application & Technology Infrastructure Business Process Reengineering (BPR) Implementation Champion Continuous Process Improvement Provide BPR Training Guide Process Reengineering efforts Establish communication processes Utilize Best Practices such as Six Sigma How might we improve our day to day process? Define Scope and Boundaries Define Issues and Solutions Team Charter and Champion Estimate BPR Impact Create "AS-IS" process map Identify "Quick Hits" solutions PAGE | 4 Supporting Organizational Infrastructure Enterprise Model Establish Enterprise Business Process Management Establish BPR Leadership Define Electronic Records Governance Measure How can we gather performance measurements for our day to day process now? Identify Input, Process & Outputs Define Operational Vision Develop Measurement Plan Collect Baseline Measurement Data Collect current policy & procedure manuals Detail "AS-IS' process map Perform SWOTI Analysis Support "end-to-end" process optimization Cross-functional process improvement Support Cross-Departmental BPR Continuous Process Improvement Enterprise Business Process Management Analyze What are the methods to separate the whole into component parts ? Stratify Process Stratify Data & Identify specific problems Identify Root Causes Validate Root Causes Comparative Analysis Regression Analysis Design of Experiments Refine SWOTI Analysis Improve What are the steps to improve the process? Generate Solution Ideas Determine Solution Impacts - Benefits Evaluate & Select Solutions Design "TO-BE" process map Update policy & procedure manuals Develop & present Storyboard Communicate Solutions to all Stakeholders Develop Pilot Plan & Pilot Solution Control How do we guarantee performance? Verify Improvement Resulted from Solution Identify whether additional solutions are needed to achieve goal Identify & Develop Standardization & Replication Opportunities Integrate and Manage Solutions in daily work processes Integrate Lessons Learned Identify teams next steps and plans for remaining opportunities PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Implementation WBS ECM Implementation Work Breakdown Structure ECM (EDMS/ERMS) Project Project Management Implementation Plan for Reengineered Business Processes Application & Technology Infrastructure Training Training Plan Training Documents - User Manuals - Quick Reference Guides PAGE | 5 Business Process Reengineering Implementation System Integration System Integration Plans Functional Interface Requirements Technical Interface Requirements Interface Development Unit & System Testing Integration Testing User Acceptance Testing Electronic Records Governance Content Security Activate Security features for content Test Security Supporting Organizational Infrastructure Enterprise Model Content Migration Content Migration Plans Cost/Benefit for Imaging for "backlog" documents Identify EDMS export / import criteria Development & Implementation GSD RMD Release 1.0 - Functional Design - Technical Design - Build - Unit & System Testing - Integration Test - User Acceptance Testing PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Electronic Records Governance Model Work Breakdown Structure ECM (EDMS/ERMS) Project Project Management Application & Technology Infrastructure Business Process Reengineering Implementation Electronic Records Governance Supporting Organizational Infrastructure Enterprise Model Enhance Electronic Records Rules & Standards Communication For ERMS buy-in For compliance For education PAGE | 6 Clarify or Restate Content Ownership Educate State Agencies on Content Ownership Responsibilities Modify existing rules for ERMS Modify Retention Schedules Management of Public Records created through electronic means Define metadata requirements - based on record series - thresholds Create Content Management Strategy Use ECM solution to enforce Lifecycle for Content Define components of a compliance architecture - intelligent metadata editing Web-site Content - Define strategies to address the unique challenges of integrating web-based applications with the ECM (ERMS/EDMS) -- informational web content -- transactional web content E-mail & Text Messaging Content ERMS Standards for State agency EDMS Integration Strategies for Shared Content Set up Content Collaboration - virtual team spaces for shared unstructured "working" content Strategy for migration of content as technology changes Establish Content Review Board for Metadata Standards Review Board to work with - SRCA Statutory Responsibility - input from State Agencies Approve changes to the EDMS/ERMS metadata structure Periodically realign content library to business process Plan & Budget for ERMS Operational & Administrative Support Ensure content is properly categorized & metadata tagged Ensure adherence to records retention policies Ensure content management polices are enforced Set up methods for auditing metadata Define ERMS operational staffing requirements Define ERMS administrative staffing requirements Supporting Organizational Infrastructure PROJECT MANAGEMENT PLAN FOR DOCUMENT IMAGING IMPLEMENTATION AND CONTENT MANAGEMENT MIGRATION Supporting Organizational Infrastructure WBS Enterprise Model Enterprise Model Work Breakdown Structure ECM (EDMS/ERMS) Project Project Management Application & Technology Infrastructure Business Process Reengineering Implementation Electronic Records Governance Supporting Organizational Infrastructure Promote Enterprise Model Create Enterprise Model Document Research Industry Trends Best Practices Survey Other States Enterprise Model Increase Awareness for Enterprise Content Management Coordinate with other Agencies Presentations to CIO Council Blueprint for Enterprise EDMS 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 to move towards a fully electronic services interface for our technology-enabled customers Enterprise IT Security Management Program Enterprise IT Data Interchange Capability Enterprise Business Process Management Identity Management Access Directory Services LDAP Enterprise Portal PAGE | 7 Enterprise Content Management Service Oriented Architecture (SOA)