Document Imaging Implementation and Content Management Migration
Project Charter For Certification
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
table of contents
1. project background
1.1 Executive Summary -rationale for the project
1.2 Summary of the foundation planning and documentation for the project
1.3 Project Certification Requirements
2.0 Justification, Objectives and impacts
2.1 Agency Justification
2.2 Business Objectives
2.3 Technical Objectives
2.4 Impact on Organization
2.5 Transition to Operations
3.0 Project/Product Scope of Work
3.1 Deliverables
3.1.1 Project Deliverables
3.1.2 Product Deliverables
3.2 Success and QUALITY METRICS
4.0 Schedule Estimate
5.0 Budget Estimate
5.1 Funding Source(s)
5.2. Budget By Major Deliverable or Type of expense -
5.3 Budget By Project Phase or Certification Phase
6.0 Project Authority and Organizational Structure
6.1 STAKEHOLDERS
6.2 PROJECT GOVERNANCE PLAN
6.3 PROJECT MANAGER
6.3.1 PROJECT MANAGER CONTACT INFORMATION
6.3.2 PROJECT MANAGER BACKGROUND
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES
6.5 Project management Methodology
7.0 Constraints
8.0 Dependencies
9.0 Assumptions
10.0 Significant Risks and Mitigation Strategy
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
13.0 Project Charter Agency Approval Signatures
14.0 Project Charter Certification Approval Signature
Revision History
Revision Number / Date / CommentJuly 1, 2013 / Original NMDOT Document
1.0 / January 6, 2014 / Revision for PCC Certification
1
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.
1.1Executive 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.
1.2Summary 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 / EXPLANATIONProject 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
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 fromthe 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:
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 cabinetsor 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 / DescriptionBusiness Objective 1 / Increased efficiency and productivity through a well-managed records environment
Business Objective 2 / Optimize business processes, decreasing number of steps, saving time
Business Objective 3 / Lower the cost of government, more effective Electronic Records Administration Management
Business Objective 4 / Improve service delivery to constituency
Business Objective 5 / Substantial NMDOT business process improvements are achievable through implementing document scanning, electronic document management and electronic records management.
Business Objective 6 / Streamline traditional claims inefficiencies and reduce manual, paper-based processes, which contribute to high claims costs and overhead expenses.
Business Objective 7 / Provide records management for long-term archiving and the automation of retention and compliance policies, and to ensure legal or regulatory record compliance
Business objective 8 / System will provide document management for check-in/check-out, version control, security and library services for business documents
Business objective 9 / Revisions to NMDOT Imaging System Plan are approved by SRCA
2.3 Technical Objectives
Number / DescriptionTechnical 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
Technical Objective 2 / Data will be easily converted and migrated. Metadata will be tagged and follow standards
Technical Objective 3 / Support portal architecture
Technical Objective 4 / System will have indexing and archiving functionality
Technical Objective 5 / System will integrate with the Centralized Electronic Records Repository managed by State Records and Archives
Technical Objective 6 / System Interface - Provide an architecture that will easily interface with SHARE and GSD RMIS systems
Technical Objective 7 / Open Architecture - Provide an open architecture infrastructure and scalable to allow for growth
technical objective 8 / IT Architecture – ensure system aligns with enterprise-wide IT architecture
technical objective 9 / Efficiency, High Performance – Application will be server independent and can be deployed on an open source application server such as Apache Tomcat
technical objective 10 / Authentication - System will support Microsoft Active Directory
technical objective 11 / Systems Integration - System will be connected to Hitachi SAN
technical objective 12 / Redundancy - System will be configured to support system fail over
technical objective 13 / Security/User Roles - System will support a secure front end user system log in and security role level authentication
technical objective 14 / Extensibility - ensure system is designed to easily allow the addition of new-features later,, using hooks, an application programming interface or plug-ins.
technical objective 15 / Include a Reports Writer module
Technical Objective 16 / System must support up to 1,500 concurrent users
2.4 Impact on Organization
Area / DescriptionEnd 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 / DescriptionPreliminary 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.
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 andcompatible with NMDOT’s platform and security requirements.
Record retention / Retention policies will be built into new system.
Consolidation strategy
3.0 Project/ProductScope 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
3.2Success and QUALITY METRICS
Number / DescriptionQuality 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 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.
4.0 Schedule Estimate
5.0 Budget Estimate
5.1 Funding Source(s)
Source / Amount / Associated restrictionsNMDOT Road Funds (ONM) / $1,336,091
5.2. Budget By Major Deliverable or Type of expense
Item / Cost EstimateSoftware 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
5.3Budget By Project Phase or Certification Phase
phases / Planned CertificationInitiation / January 2014
Planning/Project Manager Hired / January 2014
Implementation / July 2014
Closing / December 2014
6.0 Project Authority and Organizational Structure
6.1 STAKEHOLDERS
name / Stake in Project / Organization / TitleTom 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
6.2 PROJECT GOVERNANCE PLAN
6.3 PROJECT MANAGER
6.3.1 PROJECT MANAGER CONTACT INFORMATION
name / Organization / Phone #(s) / EmailAmir Afzali / WAVE Technologies / (949) 453-9283
Usman Ghani / WAVE Technologies / (949) 453-9283
Adam Torab / WAVE Technologies / (949) 453-9283
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 / ResponsibilityExecutive Project Sponsor / The point person will be the highest level of NMDOT.
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
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.
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
- 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 / Description1. / 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 non-project 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
5. / Data conversions / M
6. / Application and Server installs / M
7. / Software Management / M
9.0 Assumptions
Number / Description1. / 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 Risksand Mitigation Strategy
Risk 1
Description – Funds will not readily be available to support the project / Probability: Very low / Impact: LowMitigation 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. 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/NoProject 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
13.0 Project Charter Agency Approval Signatures
signature / dateExecutive Sponsor
Business Owner
Project Manager
14.0 Project Charter Certification Approval Signature
signature / dateDoIT / PCC Approval
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