New Mexico General Services Department

Enterprise Content Management

Project Management Plan (PMP)
GSD ECM-EDMS
____________________________________________

Executive Sponsors
Arturo Jaramillo, GSD Secretary
Mike Wilson, GSD Risk Management Director
George McGeorge, Risk Management Deputy Director

Business Owners

Nancy Bearce, State Benefits Manager

Ida Spence, GSD
Gerald Rodriguez, GSD
Velma Herrera, GSD
Peggy Martinez, GSD
Angela Lucero, SRCA

GSD ECM-EDMS Project Director, Karen Baltzley

Original Plan Date: November 18, 2008

Revision Date: December 8, 2008
Revision: 2.2 Second Draft
Prepared By: John Salazar and Jane Hamlet, Project Managers

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 Table of Contents
Revision History.................................................................................................5
About This Document........................................................................................6
1 Project Overview...........................................................................................7
1.1 Executive Summary........................................................................................................7
1.2 Funding and Sources....................................................................................................10
1.3 Constraints....................................................................................................................10
1.4 Dependencies................................................................................................................11
1.5 Assumptions..................................................................................................................12
1.6 Initial Project Risks Identified........................................................................................13
2 Project Authority and Organizational Structure.......................................14
2.1 Stakeholders.................................................................................................................14
2.2 Project Governance Structure.......................................................................................15
2.2.1 Project Organizational Structure.................................................................................................15
2.2.2 Project Steering Committee Roles and Members......................................................................16
2.3 Executive Reporting......................................................................................................16
3 Scope...........................................................................................................18
3.1 Project Objectives.........................................................................................................18
3.1.1 Business Objectives..................................................................................................................... 18
3.1.2 Technical Objectives..................................................................................................................... 18
3.2 Project Exclusions.........................................................................................................19
3.3 Critical Success Factors................................................................................................20
4 PROJECT DELIVERABLES AND METHODOLOGY..................................21
4.1 Project Management Life Cycle....................................................................................22
4.1.1 Project Management Deliverables...............................................................................................22
4.1.2 Deliverable Approval Authority Designations............................................................................24
4.1.3 Deliverable Acceptance Procedure............................................................................................. 24
4.2 Product Life Cycle.........................................................................................................25
4.2.1 Technical Strategy........................................................................................................................ 26
4.2.2 Product and Product Development Deliverables.......................................................................27
4.2.3 Deliverable Approval Authority Designations............................................................................28
4.2.4 Deliverable Acceptance Procedure............................................................................................. 33
5 Project Work................................................................................................35
5.1 Work Breakdown Structure (WBS)................................................................................35
5.2 Schedule Allocation Project Timeline.........................................................................37
5.3 Project Budget...............................................................................................................38
5.4 Project Team..................................................................................................................39
5.4.1 Project Team Organizational Structure.......................................................................................39
5.4.2 Project Team Roles and Responsibilities...................................................................................40

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 5.5 Staff Planning And Resource Acquisition......................................................................42
6 Project Management and Controls............................................................45
6.1 Risk and Issue Management.........................................................................................45
6.1.1 Risk Management Strategy.......................................................................................................... 45
6.1.2 Project Risk Identification............................................................................................................ 45
6.1.3 Project Risk Mitigation Approach................................................................................................45
6.1.4 Risk Reporting and Escalation Strategy.....................................................................................45
6.1.5 Project Risk Tracking Approach.................................................................................................. 46
6.1.6 Issue Management........................................................................................................................ 48
6.2 Independent Verification and Validation IV&V............................................................48
6.3 Scope Management Plan..............................................................................................49
6.3.1 Change Control Process.............................................................................................................. 51
6.4 Project Budget Management.........................................................................................53
6.4.1 Budget Tracking............................................................................................................................ 53
6.5 Project Communication Plan.........................................................................................53
6.5.2 Project Communication Matrix.................................................................................................... 54
6.5.3 Project Status Meetings............................................................................................................... 54
6.5.4 Project Status Reports................................................................................................................. 55
6.6 Performance Measurements (Project Metrics).............................................................55
6.7 Quality Objectives And Control.....................................................................................55
6.7.1 Quality Standards......................................................................................................................... 56
6.7.2 Agency/Customer Satisfaction.................................................................................................... 56
6.7.3 Product Deliverable Acceptance Process...................................................................................57
6.8 Configuration Management...........................................................................................58
6.8.1 Version Control............................................................................................................................. 58
6.8.2 Project Repository........................................................................................................................ 58
6.9 Procurement Management Plan...................................................................................58
7 Project Close...............................................................................................59
7.1.1 Administrative Close.................................................................................................................... 59
7.1.2 Contract Close.............................................................................................................................. 59
APPENDIX A - Scope Definition Document...................................................60
7.2 Detailed Work Breakdown Structure (WBS).................................................................60
EDMS Project Management WBS............................................................................................................... 61
Application & Technology Infrastructure WBS.........................................................................................62
Business Process Reengineering WBS.................................................................................................... 63
Implementation WBS.................................................................................................................................. 64
Electronic Records Management Rules & Standards WBS.....................................................................65
Supporting Organizational Infrastructure WBS........................................................................................ 66
Enterprise Model WBS................................................................................................................................ 67
APPENDIX B - Project Schedule/Gantt Chart................................................68
APPENDIX C - Project Budget........................................................................69
APPENDIX D - Risk Analysis...........................................................................70
APPENDIX E - Project Library.........................................................................71
APPENDIX F - Sample Project Forms............................................................72
Project Change Request Form................................................................................................................... 72

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 Project Status Report.................................................................................................................................. 73
Sample issues report.................................................................................................................................. 74
APPENDIX G GSD ECM-EDMS Project Definitions....................................75
APPENDIX H GSD ECM-EDMS Project Acronyms.....................................81
APPENDIX P - Project Management Definitions............................................82
APPENDIX R References..............................................................................86

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Revision History

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 Revision Number Date Comment
0.1 November 17, 2008 Work In Progress Draft, Format Status Report
2.0 December 8, 2008 Incorporate feedback from GSD staff
2.2 December 8. 2008 Incorporate updates from GSD staff

About This Document

This document the GSD ECM-EDMS Project Management Plan is developed based on the State of New
Mexico Department of Information Technology (DoIT) template for a Project Management Plan - Revision: 0.1,
DoIT-PMO-TEM-020; a careful review of the template ensured all intended components are included. The
document includes all of the industry-accepted guidelines to plan, execute, control, and close a project.

The Manual is set up so that the body of the document continues to serve the needs of any future GSD ECM-
EDMS project with minimal modification, while the Appendices contain the dynamic components of the project
plan that must be continually updated and managed, for example the project schedule and the budget. The
document is being referred to as the GSD ECM-EDMS Project Management Plan.

Special note on the terminology used in this document: This project was conceived when the generally
accepted industry terminology was Electronic Document Management System (EDMS.) As detailed in the
Industry Background, History and Market Trends section below, during the years 1998 to present there
continues to be significant volatility for vendors in the ECM-EDMS marketplace. Vendors are merging and/or
acquiring related content management technology. The term Enterprise Content Management (ECM) has
become the industry standard for a combination of functions that includes: document imaging, electronic
document management, electronic records management, workflow, and web content management. While AIIM is
not changing their name, they are using a new byline, referring to themselves as the Enterprise Content
Management Association. For over 60 years, AIIM (The Association for Information and Image Management)
has been the leading international organization focused on helping users to understand the challenges
associated with managing documents, content, and business processes. 1

Here is a diagram showing the various technology tools that are being included in Enterprise Content
Management solutions offered by vendors.

1
http://www.aiim.org/article-aiim.asp?ID=18274

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 Enterprise
Content
Management

Document Document Records Document-

Workflow Web Content
Imaging Management Management centric
Management Management
Collaboration

Integrated
Digital Asset e-Forms
Document Archive Email Archiving
Management Processing
& Retrieval

ECM Components
The title of this document is GSD ECM-EDMS Project Management Plan. The term, Enterprise Content
Management (ECM) is used in this document when referring to the enterprise framework for integrated
Electronic Document Management and Electronic Records Management. Conceptually, ECM contains both
EDMS and ERMS functionality. ERMS is used specifically in this document when referring to the Electronic
Records Management component functionality. Similarly, the term, EDMS is used specifically to refer to the
Electronic Document Management component of an ECM solution.

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1 Project Overview
It is estimated that more than 90% of the records being created today are electronic. Coupled with the
overwhelming growth of electronic messages - most notably e-mail and instant messaging - the management of
electronic records has become a critical business issue. How information is managed has significant business,
legal, and technology ramifications. 2 Determining when content is a record, and then how that record is
managed throughout its lifecycle is essential, while the medium that is used to create, deliver, or store
information is the secondary consideration.

1.1 Executive Summary

The GSD Risk Management Division (GSD/RMD) has identified opportunities to improve the management of
paper business processes for six out of seven bureaus within the Risk Management Division. Those bureaus
are workers compensation, contracts, loss control, legal, property and casualty, and employee benefits. All of
these bureaus deal with paper documents, onsite file storage, as well as off site file storage.
GSD/RMD prioritizes their document imaging and management needs into planned phases:
Phase I Workers Compensation (Active & New);

Phase II Legal, Employee Benefits & Workers Compensation (Closed Onsite Files);

Phase III Loss Control, Workers Compensation (Closed Offsite Files );

Phase IV Property and Casualty Workers Compensation (Closed Offsite Files);

Workers Compensation deals with on the job injury claims. Claims involve forms, medical history, medical
treatment notes, mediation, judges rulings and much more. Additionally, a claim can be closed but the file is
stored for any future related injuries until the death of the claimant. Workers Compensation can be grouped into
three categories described below; these are incorporated into the four phases outlined above:
Closed Offsite Files dates range from the 1970s to 1994, with an estimated 1,000 boxes of files.
These will be the most challenging to manage given the condition of the paper, type of paper and file
organization that run the gamut of good to bad.

Closed Onsite Files dates range from 1995 to current, estimating 50-60 boxes per fiscal year,
representing about 2200 cases each fiscal year, of which half are documents that need to be joined
with files in offsite storage.

Active Files approximately 2000 files are active open cases, with 10 staff carrying an average
caseload of 200. Additionally, this category involves new claims that are received daily. Active and
New Workers Compensation business processes are priority for implementing document imaging,
electronic document management and workflow management.

The GSD Risk Management Division (RMD) business processes are paper intensive. Substantial GSD/RMD
business process improvements are achievable through implementing document scanning, electronic document
management and electronic records management.

The State of New Mexico General Services Department submitted funding requests for an electronic document
management system.

2
ARMA International, The Association of Records Management Professionals, www.arma.org

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The benefits of implementing Enterprise Content Management solutions for the GSD Risk Management Division
(GSD/RMD) include:
Increased efficiency and productivity through a well managed records environment;
Optimize business processes, decreasing number of steps, saving time;
Lower the cost of government;
Improved service delivery to constituency
This total cost estimate for the GSD/RMD FY08 ECM project is $1,100,000. The funding is to come from two
sources:

A. The GSD Risk Management Division received legislative approval in January 2007 to transfer
$1,000,000 from the Risk Management Reserves to provide for Enterprise Content Management
solutions. This funding amount supports 1) hardware, 2) software and 3) ECM implementation
services.

B. $100,000 from the General Fund which supports a portion of Enterprise ECM project management
costs

Industry Background

The research on industry background, history and market trends is based primarily on three sources AIIM,
ARMA and Gartner Research. AIIM is using a new byline, referring to itself as the Enterprise Content
Management Association and ARMA International has adopted the tag line The Association of Information
Management Professionals, as a descriptor of the association. Gartner, Inc. is the leading provider of research
and analysis on the information technology industry.

Enterprise Content Management (ECM)

What is the definition for content as in content management? Content is a meta-concept that encompasses
papers, books, maps, email, web sites, photographs, images, forms, audio, video, text, documents and reports.

During the last 2-4 years there has been significant volatility for vendors in the Enterprise Content Management
marketplace. Gartner Research during 2002 and 2003 reported on Integrated Document Management (IDM) and
Integrated Document Archive and Retrieval (IDARS) vendors. However Gartner is no longer providing detailed
analysis on these types of vendor, instead they are now reporting on Enterprise Content Management (ECM)
vendors. Gartner Strategic Planning Assumptions state that:
By 2005, all of the major stand-alone IDM vendors will have evolved into Content Management suite
vendors (0.8 probability).3
By 2007, the IDARS market will cease to be a stand-alone market and will merge into the ECM
Category (0.7 probability).
By 2007, IDARS will become integral components of ECM suites (0.7 probability). 4
Several of the stand-alone markets that contribute functions to ECM (such as Web content
management, records management and digital asset management) will disappear by 2008 (0.9%
probability.)5

3
The Reality Behind Enterprise Content Management, GARTNER Research, Publication Date: 10 July 2002, page 3.
4
Review Your IDARS Plans as the Market Consolidates, GARTNER Research, Publication Date: 12 November 2004, page 2.
5
ECM Suites Emerge From Industry Consolidation, GARTNER Research; Publication Date: 11 November 2004, page 2.

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The project team will develop the Selection Criteria for GSD ECM-EDMS using information from the Enterprise
Content Management (ECM) marketplace. See the ECM Requirements Matrix at www.GSD ECM-
EDMS.state.nm.us. The reasons for implementing ECM are most clearly stated in Gartner Analysis:

Enterprise content management (ECM) will be the strategic foundation of a new model for the vendor
and user communities. A profound shift in the document and content management markets will affect the
way users make purchases. ECM has emerged after 10 years of market consolidation. Vendors from
various areas have entered other markets by developing new functions, or by acquiring companies and
technology from related markets. As a result, few stand-alone vendors remain in some of these markets
(for example, Web content management and records management).

Today, ECM encompasses the following core components:

o Document capture and document imaging for capturing and managing paper documents
o Document management for check-in/check-out, version control, security and library services for
business documents
o Web content management for automating the Webmaster bottleneck, and managing dynamic
content and user interaction
o Records management for long-term archiving and the automation of retention and compliance
policies, and to ensure legal or regulatory record compliance
o Document-centric collaboration for document sharing and supporting project teams
o Workflow for supporting business processes and routing content, assigning work tasks and
states, and creating audit trails
ECM can also include:
o Integrated document archive and retrieval systems for documents and reports
o E-forms for exchanging electronic content
o Digital asset management for storing and managing rich media content
o E-mail archiving and e-mail management for retaining electronic communications in support of
compliance
Although they're only options today, the four capabilities above will become core components of ECM
suites within the next two years.6

Here is a diagram showing the various technology tools that are being included in Enterprise Content
Management solutions offered by vendors.

Enterprise
Content
Management

Document Document Records Document-

Workflow Web Content
Imaging Management Management centric
Management Management
Collaboration

Integrated
Digital Asset e-Forms
Document Archive Email Archiving
Management Processing
& Retrieval

ECM Components
Clearly the ECM market trends are continuing to evolve. It seems prudent for the State of New Mexico General
Services Department to select and implement a document management system component within an Enterprise

6
ECM Suites Emerge From Industry Consolidation, GARTNER Research; Publication Date: 11 November 2004

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Content Management solution that remains viable as the markets consolidate, and also includes extensible
features and functions that can be added as the State moves toward an Enterprise Model.

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1.2 Funding and Sources

SOURCE AMOUNT ASSOCIATED

RESTRICTIONS
Laws of 2007, Chap 28, 2.3 (Includes RMIS, NONE
Section 7, Subsection 8 ECM, DataWarehouse)
ECM estimated
@$1.1 RMD
Enterprise Funds

1.3 Constraints

NUMBER DESCRIPTION
1 Project budget for implementation of the base program is limited. Funding will not
be re-authorized at the end of FY10.
2 Large volumes of paper records

3 Adequate resources to scan documents

4 15,000 sq ft warehouse storage of paper documents

5 Statutory requirement to keep records for life of claimant

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1.4 Dependencies
Types include the following and should be associated with each dependency listed.

Mandatory dependencies are dependencies that are inherent to the work being done.
D- Discretionary dependencies are dependencies defined by the project management team. This may
also encompass particular approaches because a specific sequence of activities is preferred, but not
mandatory in the project life cycle.
E-External dependencies are dependencies that involve a relationship between project activities and
non-project activities such as purchasing/procurement

NUMBER DESCRIPTION TYPE M,D,E

1 Vendor On-going Software Support M

2 RMD Business process Re-Engineering M

3 System sized to scale to meet GSD demands M

4 Department of Information Technology Project Oversight Committee M

approval of Project certification phases to support on-going project effort
5 Infrastructure design and availability. E
6 Contract Approval and purchase for software and maintenance. E

7 Funding for software maintenance, implementation and on-going support M

of system.
8 Data conversion and defined Metadata requirements and standards M

9 Develop Operating Standards Maintenance standards manual. M

10 Application server procurement and installation M

11 Forms management M
12 Approval of GSD imaging plan by SRCA M

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1.5 Assumptions

NUMBER DESCRIPTION
1 System will integrate with DoIT infrastructure and with Central Repository System
selected by Records and Archives
2 Data will be easily converted and without corruption or loss.
3 Vendor will honor contractual obligations.
4 Software will integrate with other system software
5 Adequate Budget will be available.
6 Adequate staffing levels with the proper skill sets necessary to ensure the system
will perform at level expected.
7 Staff is trained properly on the operation of the system to ensure continued
success of the program.
8 Vendor will continue to support software and release upgrades/patches on a
regular basis.
9 Business Requirements will have minimal change over the life cycle of the project.

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1.6 Initial Project Risks Identified

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2 Project Authority and Organizational Structure

2.1 Stakeholders

NAME STAKE IN PROJECT ORGANIZATION TITLE

ARTURO JARAMILLO, PROGRAM FINANCIAL GENERAL CABINET
RESPONSIBILITY SERVICES SECRETARY
DEPARTMENT
(GSD)
MIKE WILSON PROGRAM GSD, RISK DIVISION
ADMINISTRATION MANAGEMENT DIRECTOR
RESPONSIBILITY DIVISION
GEORGE MCGEORGE PROGRAM GSD, RISK DIVISION
ADMINISTRATION MANAGEMENT DEPUTY
RESPONSIBILITY DIVISION DIRECTOR
ED ROMERO PROGRAM GSD, RISK DIVISION
ADMINISTRATION MANAGEMENT DEPUTY
RESPONSIBILITY DIVISION DIRECTOR
STEVE MINDHAM QUALITY ASSURANCE GSD, RISK BUREAU
MANAGEMENT MANAGEMENT CHIEF
DIVISION
IDA SPENCE WORKERS GSD, RISK BUREAU
COMPENSATION MANAGEMENT CHIEF
ADMINISTRATION DIVISION
RESPONSIBILITY
GERALD RODRIQUEZ ECM SYSTEM GSD, RISK BUREAU
ADMINISTRATION MANAGEMENT CHIEF
DIVISION
VELMA HERRERA PROPERTY AND PROPERTY AND BUREAU
CASUALTY CLAIMS CASUALTY CHIEF
JENNIFER GROGIETSKY DISABILITY PAYMENTS DISABILITY BUREAU
CHIEF
CLAUDIA MELENDREZ-REL BENEFITS ENROLLMENT BENEFITS BUREAU
AND PAYMENTS CHIEF
NANCY BEARCE BENEFITS ENROLLMENT BENEFITS BUREAU
AND PAYMENTS CHIEF
GSD TECHNOLOGY AND TECHNICAL SUPPORT TECHNOLOGY AND Application
SYSTEM SUPPORT OF SYSTEMS SYSTEM SUPPORT Developer,
Database
Administration,
System
Administration

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2.2 Project Governance Structure

2.2.1 Project Organizational Structure

Executive Sponsor,
Executive Steering Arturo Jaramillo
Committee
Arturo Jaramillo
Mike Wilson
George McGeorge
Nancy Bearce
Karen Baltzley
Angela Lucero, Records
Management Division
Director, SCRA Project Sponsor,
IV&V
Mike Wilson

Business Owners,
Nancy Bearce,
Ed Romero

Business Operations Review Team:

Benefits
Financial/Training
Legal
Project Director,
Karen Baltzley Technical Review Sujatha
Disability
Workers Comp Seethapathi, Lead
Loss Control Ryan Woodard, System Support
Reports/HIPAA Regulations DoIT / DFA Tech Staff
Project Managers
CSW-John Salazar,
Jane Hamlet

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2.2.2 Project Steering Committee Roles and Members

ROLE RESPONSIBILITY
Executive Project The point person for the project within the highest level of the General
Sponsor Services Department.
Responsibilities include:
Champion the project.
Consider potential changes facing the organization and assess the
organizational impact
Decide which changes will be instituted, communicate priorities and
provide resources to ensure success
Responsible for creating an environment that enables changes to
be made on time and within budget.
Participate in planning sessions
Member of Steering Committee
Ultimate project responsibility

Steering Committee Is chartered to provide governance over the direction and support of the
Member project.
Responsibilities include:
Attend and participate in meetings
Review and accept deliverables
Review and provide comment on presented documentation
Balance larger picture versus details of the project
Review project funding and expenditures
Champion the project
Contributes to lessons learned

2.3 Executive Reporting

Meetings will be conducted with GSD Management and project teams on a regularly scheduled basis.

Whiteboard sessions outlining project task and resource assignment schedules and agendas are conducted
throughout the process and transferred to Microsoft project.

Project team meetings are scheduled to coincide with the Vendor Implementation/Design teams for on-site
implementation sessions. Frequency and length of meetings to be defined.

Project status updates reports will be verbally communicated to Business Owners conducted at weekly staff
meetings by both Divisions

GSD management will be kept informed on progress of the project periodically throughout the project life
cycle.

Special oral and written Project Management and IV&V reports will be given on project progress to the ECM
Steering Committee.

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The State of New Mexico General Services Department submitted funding requests for an electronic document
management system.

The benefits of implementing Enterprise Content Management solutions for the GSD Risk Management Division
(GSD/RMD) include:
Increased efficiency and productivity through a well managed records environment;
Optimize business processes, decreasing number of steps, saving time;
Lower the cost of government;
Improved service delivery to constituency
This total cost estimate for the GSD/RMD FY08 ECM project is $1,100,000. The funding is to come from two
sources:

A. The GSD Risk Management Division received legislative approval in January 2007 to transfer
$1,000,000 from the Risk Management Reserves to provide for Enterprise Content Management
solutions. This funding amount supports 1) hardware, 2) software and 3) ECM implementation
services.

B. $100,000 from the General Fund which supports a portion of Enterprise ECM project management
costs

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3 Scope
3.1 Project Objectives

3.1.1 Business Objectives

NUMBER DESCRIPTION
BUSINESS Increased efficiency and productivity through a well managed
OBJECTIVE 1 records environment
BUSINESS Optimize business processes, decreasing number of steps, saving
OBJECTIVE 2 time
BUSINESS Lower the cost of government, more effective Electronic Records
OBJECTIVE 3 Administration Management
BUSINESS
Improved service delivery to constituency
OBJECTIVE 4
BUSINESS Substantial GSD/RMD business process improvements are
OBJECTIVE 5 achievable through implementing document scanning, electronic
document management and electronic records management.
BUSINESS Streamline traditional claims inefficiencies and reduce manual,
OBJECTIVE 6 paper-based processes, which contribute to high claims costs and
overhead expenses.
BUSINESS Provide records management for long-term archiving and the
OBJECTIVE 7 automation of retention and compliance policies, and to ensure legal
or regulatory record compliance
BUSINESS System will provide document management for check-in/check-out,
OBJECTIVE 8 version control, security and library services for business documents
BUSINESS Develop a document imaging plan approved by SRCA
OBJECTIVE 9

3.1.2 Technical Objectives

NUMBER DESCRIPTION
TECHNICAL Web-Based System - will be designed on a public facing network
OBJECTIVE 1 with a web based Java platform front-end to allow RMD staff and
vendor remote access
TECHNICAL Data will be easily converted and migrated. Metadata will be tagged
OBJECTIVE 2 and follow standards
TECHNICAL Support portal architecture
OBJECTIVE 3
TECHNICAL System will have indexing and archiving functionality
OBJECTIVE 4
TECHNICAL System will integrate with the Centralized Electronic Records
OBJECTIVE 5 Repository managed by State Records and Archives

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NUMBER DESCRIPTION
TECHNICAL System Interface - Provide an architecture that will easily interface
OBJECTIVE 6 with SHARE and GSD RMIS systems
TECHNICAL Open Architecture - Provide an open architecture infrastructure and
OBJECTIVE 7 scalable to allow for growth
TECHNICAL IT Architecture ensure system aligns with enterprise-wide IT
OBJECTIVE 8 architecture
TECHNICAL Efficiency, High Performance Application will be server
OBJECTIVE 9 independent and can be deployed on an open source application
server such as Apache Tomcat
TECHNICAL Authentication - System will support Microsoft Active Directory
OBJECTIVE 10
TECHNICAL Systems Integration - System will be connected to Hitachi SAN
OBJECTIVE 11
TECHNICAL Redundancy - System will be configured to support system fail over
OBJECTIVE 12
TECHNICAL Security/User Roles - System will support a secure front end user
OBJECTIVE 13 system log in and security role level authentication
TECHNICAL Extensibility - ensure system is designed to easily allow the
OBJECTIVE 14 addition of new-features later,, using hooks, an application
programming interface or plug-ins.
TECHNICAL Include a Reports Writer module
OBJECTIVE 15
TECHNICAL System must support up to 100 concurrent users
OBJECTIVE 16

3.2 Project Exclusions

The following activities and deliverables are out of scope for this specific project:
Enterprise IT Security Management Program - As soon as an Enterprise Content Management
expands to serve multiple agencies' functions, an effective Enterprise IT Security Management Program
needs to be in place. Identity Management and Directory Access Services will be recommended as
essential components of an Enterprise Model. However, identity management and security will be built
into the implementation of the ECM solution.
Email Archiving - The capability to capture, manage, store and retrieve email must be selection
criterion for the ECM Vendor; the implementation of this important functionality is out of scope for this
phase of the ECM (EDMS/ERMS) project.

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3.3 Critical Success Factors
Metric are key to understanding the ability of the project to meet the end goals of the Executive Sponsor and the
Business Owner, as well as the ability of the project team to stay within schedule and budget.

NUMBER DESCRIPTION
QUALITY METRICS 1 The project schedule, assigned tasks, resources and milestones are
met.
QUALITY METRICS 2 Project does not exceed budget.
QUALITY METRICS 3 System can provide reports that accurately track utilities by building
QUALITY METRICS 4 All RMD operational and facility data information is successfully
converted and migrated onto a electronic records management
platform
QUALITY METRICS 5 Applicable RMD Legislative Performance Measures as stated in
GSD FY09-10 Strategic Business and IT plan are met
QUALITY METRICS 6 System is secure, operable and stable

QUALITY METRICS 7 Data integrity is maintained

QUALITY METRICS 8 Staff is adequately trained
QUALITY METRICS 9 Conforms to SRCA Records Management Policies

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4 PROJECT DELIVERABLES AND METHODOLOGY
The following four elements provide a summary of the project deliverables description and associated
acceptance criteria. The elements include:

Planning Documents
Description The Project Management Plan
represents the project teams plans for the
acquisition, installation, testing and implementation
of the ECM solution. It is a working document. It
will be modified and updated (under revision
control) as the project team learns more about the
project, brings on support vendors and responds to
changing or evolving conditions. On completion of
the project, the Project Manual is envisioned to
evolve into a Manual that can serve as a guide for
agencies implementing the statewide EDMS in the
future
Deliverable Acceptance Criteria EDMS
Executive Steering Committee (ESC) approval and
DoIT approval
Standards for Content and Format The State
PMO provides templates for content. The standard
is based on the Project Management Institutes
(PMI) Project Management Body of Knowledge
(PMBOK)
Quality Review Review by EDMS ESC, the State
PMO and PCC

Project Management & Control Functions

Description Integrated Project Control Process,
Change Control Process, Risk Management Plan,
Internal Project Communication Plan, Quality
Management Plan, Issue Management Process
and the IV&V Plan. These are sections in the
EDMS Project Manual.
Deliverable Acceptance Criteria EDMS ESC
Standards for Content and Format The standard
is based on the Project Management Institutes (PMI)
Project Management Body of Knowledge (PMBOK)
Quality Review Review by EDMS ESC, the State
PMO and PCC

Procure ECM Solution and Implementation Services (RFP Process)

Description Procuring the ECM solution and Deliverable Acceptance Criteria EDMS ESC
Implementation Services (the RFP process) is approval, signature approval by Purchasing, Legal
estimated to require two months at the most. After and the State CIO and then ACF approval
the RFP is written, State Purchasing, the General Standards for Content and Format The
Council & DoIT must approve it. Then the following contracts follow New Mexico standards for
steps and timeframes are required: professional services contracts
RFP must be open for proposals 30 days Quality Review EDMS ESC
Review proposals & decide - - - - - 30 days
Contract negotiations - - - - - - - - - 30 days
Contract Approval - - - - - - - - - 3060 days.

Project Resource Management

Description Recruit and hire project labor
resources to include, a Project Manager, and IV&V
services vendor. Specific Deliverables include:
o Project Manager Price Agreement
o IV&V Price Agreement.
Deliverable Acceptance Criteria EDMS ESC
approval, signature approval by Purchasing, Legal
and the State CIO
Standards for Content and Format The
contracts follow New Mexico standards for
professional services contracts
Quality Review EDMS ESC

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4.1 Project Management Life Cycle
Phase Summary of Phase Key Deliverable
Initiating Main elements include: Authorize the project; Commit Project Charter, Project
organization to project or phase; Set the overall direction; Scope, Business
Define top-level project objectives; Secure necessary Requirements,
approvals and resources; Assign Project Manger; Integration Assumptions,
Management. Constraints,
Planning Main elements include: Define Project scope; Refine Project Project Plan, Critical
objectives; define all required deliverables; Create frame for success factors, Work
project schedule; Provide forum for information sharing Break Down Structures,
between project team members; Define all required activities; Project Schedule
Identify required skills and resources; Estimate work effort;
Risk analysis and avoidance; Define and estimate all
required costs; Obtain project funding approval;
Communication Plan.
Executing Main elements include: Coordinate the resources, team Actual efforts, Project
development; Quality Assurance; Select subcontractors; deliverables completion
Distribute Information; Work the plan.
Controlling Main elements include: Manage team, stakeholders and Performance status
subcontractors; Measure progress and monitor performance reports, Corrective
(overall, scope, schedule, costs and quality); Take corrective Actions, Measurement
action if needed; Change request Management; Risk Metrics, Plan Change
Management; Performance reports and Communications. Request, Product Change
Request, Risk
Management, Issues
Management
Closing Main elements include: Finalize activities; Administrative Deliverable Acceptance,
close out (gather, distribute, archive information to formalize Lessons Learned
project completion, acceptance/signoff, evaluation, member,
appraisals, lessons learned); Contract close out (completion
of the project contract including resolution of open items and
final formal acceptance)

4.1.1 Project Management Deliverables

Project Charter The Project Charter for Certification sets the overall scope for the
project, the governance structure, and when signed is considered
permission to proceed with the project. The Project Charter for
Certification is used to provide the Project Certification
Committee with adequate knowledge of the project and its
planning to certify the initiation phase of the project
Certification Form The Request for Certification and Release of Funds form is
submitted when a project goes for any of the certification phases.
It deals with the financial aspects of the project, as well as other
topics that indicate the level of planning that has gone into the
project. Many of the questions have been incorporated into the
preparation of the project charter

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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
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. Project management plan is a formal document
approved by the executive sponsor and the Department
and developed in the plan phase used to manage project
execution, control, and project close. The primary uses of
the project plan are to document planning assumptions and
decisions, facilitate communication among stakeholders,
and documents approved scope, cost and schedule
baselines. A project plan includes at least other plans for
issue escalation, change control, communications,
deliverable review and acceptance, staff acquisition, and
risk management. plan.
Independent verification and validation (IV&V) means the
process of evaluating a project to determine compliance
with specified requirements and the process of determining
whether the products of a given development phase fulfill
the requirements established during the previous stage,
both of which are performed by an organization
independent of the lead agency. Independent verification
and validation assessment reporting. The Department
requires all projects subject to oversight to engage an
independent verification and validation contractor unless
waived by the Department.
The Department of Information Technology and the State
Purchasing Division of General Services have established a
template for all IT related contracts.
The DoIT Initial PROJECT RISK ASSESSMENT template which
is meant to fulfill the following requirement:
Prepare a written risk assessment report at the inception of a
project and at end of each product development lifecycle phase
or more frequently for large high-risk projects. Each risk
assessment shall be included as a project activity in project
schedule. Project Oversight Process memorandum
A tool used to indicate the planned dates, dependencies, and
assigned resources for performing activities and for meeting
milestones. The defacto standard is Microsoft Project
Project status reports. For all projects that require
Department oversight, the lead agency project manager
shall submit an agency approved project status report on a
monthly basis to the Department.
This is the Template used to request that the project be officially
closed. Note that project closure is the last phase of the
certification process
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4.1.2 Deliverable Approval Authority Designations

DELIVERABLE DELIVERABLE APPROVERS (WHO DATE

NUMBER CAN APPROVE) APPROVED
PRJ-DEL-001 Project Management Plan (PMP) Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-002 Business Assessment and Project Director on
Requirements Report behalf of Executive
Steering Committee
PRJ-DEL-003 IV&V Contract & Reports Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-004 IT Service Contracts Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-005 Risk Assessment and management Project Director on
reports behalf of Executive
Steering Committee
PRJ-DEL-006 Project Schedule Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-007 Monthly Project Status Reports to Project Director on
DoIT behalf of Executive
Steering Committee
PRJ-DEL-008 Architecture Plan Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-009 Hardware configuration and equipment Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-010 Software licenses Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-011 Implementation services Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-012 Lessons Learned Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-013 Close out reports and documentation Project Director on
behalf of Executive
Steering Committee

4.1.3 Deliverable Acceptance Procedure

The Project Director shall present the deliverables along with a recommendation for approval to the Executive
Steering Committee during a regularly scheduled steering committee meeting. The Executive Steering
Committee must then vote to accept or reject the deliverable with the vote reflecting a majority decision.

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If the deliverable is rejected, the Project Director must inform the vendor submitting the deliverable of the
committees action and must also identify, in writing, why the deliverable was rejected, and what actions must be
addressed by the vendor before the deliverable is presented for acceptance again.

4.2 Product Life Cycle

Phase Summary of Phase Key Deliverables
Initiating The requirements have been REQUIREMENTS DOCUMENTS
defined and documented. A
Business Strategy Survey will be
conducted to define goals,
business processes, critical
factors, current environment,
sizing requirements, current
vendor environment, # of users,
work processing requirements,
other needs.
Planning The Vendor will be required to DESIGN DOCUMENTS
deliver design documents for
authentication, reporting, and the
database feeds.
Executing EMC software will be an open SYSTEMS SPECIFICATIONS
source web application that will
require no additional desktop
software to run and minimal
customization. It will have the
ability to interface with GSD
systems at minimal cost.
Executing The system will be open SYSTEMS ARCHITECTURE
architecture and be certified on
standard operating platforms
Windows or Unix. Architecture
will be scalable to allow for
growth, provide interoperability
with other systems, have a
secure web front end, be security
rules based and provide multiple
security layers for user
authentication.
Executing The Program users will test SYSTEM AND ACCEPTANCE
system functionality, TESTING
performance, reporting accuracy
and response times.
IT Technical Support Staff will
test system operational
performance.
Executing The Vendor will be required to OPERATIONS REQUIREMENTS
deliver design documents for
authentication, Reporting, and
the Database feeds. Vendor will
also integrate data from legacy
system.

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4.2.1 Technical Strategy

Developing a project strategy is a process of choosing an approach to the work that maximizes strengths,
minimizes weaknesses, takes advantage of opportunities and mitigates threats while balancing the anticipated
cost and potential benefit. A good strategy will minimize risk while maximizing return on investment.

The strategic direction is to select and implement an EDMS that fits within a greater Enterprise Content
Management (ECM) solution using a Commercial-Off-the-Shelf (COTS) software product that has demonstrated
its effectiveness in the marketplace. Using a package strategy rather than a custom development strategy has
been proven effective in many situations, and is a common strategy in both the private and public sectors.

A package strategy however, is not without its own risks. As a whole, the Information Technology (IT) industry
has found the implementation of Enterprise Resource Planning (ERP), Customer Relationship Management
(CRM), Supply Chain Management (SCM) and other large-scale automation packages to be very difficult in
many situations. Many of the high profile IT project disasters documented by the IT trade press over the years
have involved the implementation of software packages. The question then is how to take advantage of a
software package strategy while avoiding the potential pitfalls that have plagued so many other package
implementations over the years?

The project strategy is based on the strategic direction established by the GSD ECM-EDMS Executive Steering
Committee, and the lessons learned from others in the Information Technology industry that have implemented
package software. Five principles guide the project strategy:

4.2.1.1 Project Management

One of the common factors identified, as a contributing cause of many information technology project failures is
the lack of effective project management. The State of New Mexico Department of Information Technology is
implementing project management programs both in their organization and in each state agency implementing
IT projects. This project will adhere to project management standards of practice as being implemented within
state government and specified by the Project Management Institute (PMI) in their Project Management Body of
Knowledge (PMBOK) guidelines. According to the Project Management Body of Knowledge:

Project Management is the application of knowledge, skills, tools and techniques to project activities to meet
project objectives. Project Management is accomplished using the processes such as initiating, planning,
executing, controlling, and closing. The project team manages the work of the projects, and the work
typically involves:
Competing demands for: scope, time, cost, risk and quality.
Stakeholders with differing needs and expectations.
Identified requirements.

It is important to note that many of the processes within project management are iterative in nature. This is
in part due to the existence of and the necessity for progressive elaboration in a project throughout the
project lifecycle, i.e., the more you know about your project, the better you are able to manage it.

4.2.1.2 Rapid Implementation

Faster implementation is better than drawn out implementation. Solutions that require too long to implement,
have a high risk of failure. Administrations change, business needs change and solution requirements change.
Time is the enemy. Successful package implementations are fast implementations, even at the expense of some
functionality. An 80% solution today is far superior to a 100% solution that requires 2 years to implement. Fast
implementation allows for taking advantage of the Pareto Principal; 80% of the benefit comes from 20% of the
solution. The additional 20% of the benefit that might be achieved comes at a dramatically higher price and
extended schedules.

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4.2.1.3 Well-defined Objectives
The project must be tightly focused on a well-defined set of objectives. The keep it simple approach minimizes
risk and implementation time. It empowers the team to concentrate on those objectives that offer the maximum
return on the invested time and effort while allowing the team to spend adequate time and energy on validation,
testing and documentation tasks that are the first to be sacrificed in a more complex and drawn out
implementation plan. The net result is a successful package implementation on which further development and
enhancements are more likely and have a better chance of ultimate success.
4.2.1.4 Support Extensibility
The objective is to procure an Enterprise Content Management solution designed to easily allow the addition of
new features later. This allows New Mexico agencies to start with a limited subset of functionality, and limiting
initial costs, with the option to expand to greater functionality in the future.

4.2.2 Product and Product Development Deliverables

REQUIREMENTS DOCUMENTS
DESIGN DOCUMENTS
The requirements have been defined and documented. A
Business Strategy Survey will be conducted to define goals,
business processes, critical factors, current environment, sizing
requirements, current vendor environment, # of users, work
processing requirements, other needs.
The Vendor will be required to deliver design documents for
authentication, reporting, and the database feeds.

SYSTEMS SPECIFICATIONS EMC software will be an open source web application that will
require no additional desktop software to run and minimal
customization. It will have the ability to interface with GSD
systems at minimal cost.
SYSTEMS ARCHITECTURE The system will be open architecture and be certified on standard
operating platforms Windows or Unix. Architecture will be
scalable to allow for growth, provide interoperability with other
systems, have a secure web front end, be security rules based
and provide multiple security layers for user authentication.
SYSTEM AND ACCEPTANCE The Program users will test system functionality, performance,
TESTING reporting accuracy and response times.
IT Technical Support Staff will test system operational
performance.
OPERATIONS The Vendor will be required to deliver design documents for
REQUIREMENTS authentication, Reporting, and the Database feeds. Vendor will
also integrate data from legacy system.

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4.2.3 Deliverable Approval Authority Designations

DELIVERABLE DELIVERABLE APPROVERS (WHO DATE

NUMBER CAN APPROVE) APPROVED
PRJ-DEL-001 Project Management Plan (PMP) Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-002 Business Assessment and Project Director on
Requirements Report behalf of Executive
Steering Committee
PRJ-DEL-003 IV&V Contract & Reports Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-004 IT Service Contracts Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-005 Risk Assessment and management Project Director on
reports behalf of Executive
Steering Committee
PRJ-DEL-006 Project Schedule Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-007 Monthly Project Status Reports to Project Director on
DoIT behalf of Executive
Steering Committee
PRJ-DEL-008 Architecture Plan Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-009 Hardware configuration and equipment Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-010 Software licenses Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-011 Implementation services Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-012 Lessons Learned Project Director on
behalf of Executive
Steering Committee
PRJ-DEL-013 Close out reports and documentation Project Director on
behalf of Executive
Steering Committee

Project Certification
Description Project Certification Committee
(PCC) certification of the EDMS Project Manual is
required for each phase of the EDMS project. PCC
provides a recommendation to the ITC for
certification and release of funds.
Deliverable Acceptance Criteria Certification by
PCC & ITC approval to release funds
Standards for Content and Format Provided by
the State PMO and PMI methodologies.
Quality Review Review by EDMS ESC and the
project management team.

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ECM Solution - Selection Criteria
Description Develop Functional and Technical
Selection Criteria List for ECM solution. Rank each
criterion in terms of A - Critical Need, B Medium
Need, C - Nice to Have. Rate Vendor solutions
Infrastructure Analysis & Design (IA&D)
Description Infrastructure Design of the EDMS
environments (Production, Development, Test and
Training). Design will include:
o Document logistics analysis & design
o Hardware specifications & sizing req.
o System software requirements
o Communication (network) requirements
o Data interchange requirements
o Cost estimates
Professional Services Procurement
Description Professional Services contract with
a vendor to support the design, development and
implementation of the ECM solution. An open RFP
process will be used to garner proposals and select
a vendor.
Vendor Planning and Documentation
Description Vendor documentation required for
successfully planning and managing all aspects of
the EDMS development and implementation,
including Quality Assurance plan and processes,
Communications Plan, Change Management Plan,
Issues & Risk Management Plan, Work Plan,
Service Level Agreements (SLAs), product
documentation, Security Plan, Transition Plan, and
Metadata & Taxonomy Best Practices document.
System Hardware & Software Procurement
Description All necessary system hardware and
software required to fully implement ECM solution
for all system environments as designed
Infrastructure
Description Installation and configuration of all
necessary hardware and software necessary to
fully implement the ECM solution for all system
environments. Deliverable includes system
documentation.
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Deliverable Acceptance Criteria EDMS ESC
approval
Standards for Content and Format N/A
Quality Review EDMS ESC
Deliverable Acceptance Criteria Approved
infrastructure design capable of hosting all EDMS
environments.
Standards for Content and Format Content and
Format should follow GSD established standards
for platform design.
Quality Review Review and approval by GSD
technical architects.
Deliverable Acceptance Criteria Signed and
approved professional services contract
Standards for Content and Format Contract
follows NM standards for professional services
Quality Review GSD, State Purchasing & DFA.
Deliverable Acceptance Criteria EDMS ESC
Approval
Standards for Content and Format Content and
Format should follow GSD established standards.
Quality Review Review and approval by EDMS
Project Director. EDMS Project Director will route
documentation to the appropriate project team
members as required for review and approval.
Deliverable Acceptance Criteria Possession of
all system hardware and software as designed
Standards for Content and Format Meets the
design requirements specified
Quality Review GSD tech team
Deliverable Acceptance Criteria Fully installed
& configured infrastructure to support ECM
Standards for Content and Format GSD
established standards.
Quality Review Review and approval by EDMS
Project Director with GSD tech team.
Functional Analysis & Design
Description Functional Analysis & Design
includes designing the content management
structure, records management structure and
designing the metadata and taxonomy
Deliverable Acceptance Criteria Approved
Functional Analysis and Design Document
Standards for Content and Format Best
Practices document for metadata and taxonomy
Quality Review EDMS ESC and project team

Disaster Recovery Planning

Description Develop Disaster Recovery Plan
and Strategy for the ECM solution
Deliverable Acceptance Criteria Approved
Disaster Recovery Planning document for the ECM
Standards for Content and Format Industry
Best Practices for Disaster Recovery
Quality Review EDMS ESC and Project Team

Hosting Strategy and Service Level Agreements (SLA)

Description GSD will develop a hosting strategy Deliverable Acceptance Criteria EDMS ESC
for the ECM solution. Based on the approved Approval for Hosting Strategy document
hosting strategy, SLAs will be developed Standards for Content and Format N/A
Quality Review EDMS ESC and Project Team

System Development, Customization and Transition

Description These deliverable descriptions, Deliverable Acceptance Criteria N/A
Acceptance Criteria, Standards for Content and Standards for Content and Format N/A
Format, as well as Quality Review are included in Quality Review N/A
the RFP and the Professional Services Contract for
the ECM solution & Implementation Services
Vendor

Business Process Reengineering (BPR)

Business Process Reengineering (BPR) must proceed for the GSD Risk Management Division processes to
achieve success. Deliverables consist of an approved BPR project team and BPR scope, a measurements
document, detailing current performance metrics, an analysis document including AS-IS process diagram, a
process improvement document, including TO-BE process diagram, and reengineered policies and procedures,
and finally an approved control document. The EDMS Project Director will facilitate Business Process
Reengineering, providing education & support for the HSD teams.

Define BPR Project Team and BPR Scope

Description A BPR Project Team Charter and
Stakeholders must be defined. The BPR Project
Team members must be chosen based on their
subject matter expertise, their demonstrated
contributions as a team member, and their ability to
champion the vision to all associates affected by
the BPR and implementation. The BPR Scope
document defines the boundaries for the BPR
effort, which includes, defining at a high level, the
issues and solutions, estimating the BPR impact,
and creating a first draft AS-IS process map
Deliverable Acceptance Criteria EDMS
Executive Steering Committee (ESC) approval and
Division Management approval
Standards for Content and Format BPR
Industry Best Practices and the Project
Management Institutes (PMI) Project Management
Body of Knowledge (PMBOK)
Quality Review Review by Project Team
members, EDMS ESC and Division Managers

Measurements Document
Description Developing a measurement Deliverable Acceptance Criteria EDMS
document consists of collecting current baseline Executive Steering Committee (ESC) approval and
performance metrics based on identifying the Division Management approval

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Inputs, Processes & Outputs (IPO). Collect current Standards for Content and Format Industry
policy and procedure manuals, detail the AS-IS Best Practices
process map and perform Strength, Weaknesses, Quality Review Review by Project Team
Opportunities, Threats & Issues (SWOTI) analysis. members, EDMS ESC and Division Managers

Detailed Analysis
Description Detailed analysis consists of various
methods for separating the whole into its
component parts. Based on specific needs, use
appropriate analysis methods, including gap
analysis, identifying root causes, comparative
analysis, stratifying process and data, regression
analysis. The SWOTI analysis will be refined
Deliverable Acceptance Criteria EDMS
Executive Steering Committee (ESC) approval and
Division Management approval
Standards for Content and Format Industry
Best Practices
Quality Review Review by Project Team
members, EDMS ESC and Division Managers

Improvement Document
Description The Improvement document
consists of generating solution ideas, determining
solution impacts &benefits, evaluating & selecting
solutions, designing the TO-BE process map, &
updating and/or developing policy & procedure
manuals. Develop & present a Storyboard,
communicating solutions to Stakeholders
Deliverable Acceptance Criteria EDMS
Executive Steering Committee (ESC) approval and
Division Management approval
Standards for Content and Format Industry
Best Practices
Quality Review Review by Project Team
members, EDMS ESC and Division Managers

Control Document
Description The control document details Deliverable Acceptance Criteria EDMS
expected performance metrics, as well as policies Executive Steering Committee (ESC) approval and
and procedures to monitor, correct and control Division Management approval
performance during and after the implementation of Standards for Content and Format Industry
new systems and processes. Integrate and Best Practices
manage solutions in daily work processes. Quality Review Review by Project Team
Integrate lessons learned members, EDMS ESC and Division Managers
Implementation
The General Services Department is responsible for Implementation. This includes an approved implementation
plan for reengineered business processes, training, system integration, content security and a content migration
plan.

Implementation Plan for Reengineered Business Processes

Description The implementation plan consists of Deliverable Acceptance Criteria EDMS
a process transition plan, a system cutover plan Executive Steering Committee (ESC) approval and
and a communication plan for stakeholders and all Division Management approval
affected associates. Standards for Content and Format N/A
Quality Review Review by Project Team
members, EDMS ESC and Division Managers

Training
Description Training starts with an Approved
Training Plan, to develop and distribute Approved
Training Documents, including user manuals and
quick references
Deliverable Acceptance Criteria EDMS ESC
approval and Division Management approval
Standards for Content and Format Best
Practices and Standards for Training
Quality Review Review by Project Team
members, EDMS ESC and Division Managers

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System Integration
Description System integration brings together
work done while developing the application and
technology infrastructure, completing the functional
interface design, technical interface design,
interface development, unit, system & integration
testing and finally User Acceptance Testing (UAT)
Content Security
Description Ensure the security features built
into the Enterprise Content Management solution
are activated for content and documents. Test the
security features
Content Migration
Description Content Migration plans need to be
developed giving serious consideration to the costs
& benefits of migrating paper documents or
microfilm to the electronic document repository.
Questions that need to be considered include the
frequency or likelihood the documents will be
accessed in the future, and the labor and time to
scan the volume of documents.
Implementation for GSD Release 1.0
Description Implementing Release 1.0is based
on completing and signing off on all prior
deliverables included in Application and Technology
Infrastructure and BPR
Transition
Description Sign-off on transition document
signaling the successful completion of transition to
NM State staff for maintenance and operations of
the ECM solution.
Electronic Records Rules and Standards
The work breakdown structure for Electronic Records Rules and Standards includes a communication plan,
clarifying content ownership, creating a content management strategy, establishing a Content Review Board for
metadata standards, and planning & budgeting for ERMS administrative and operational support.
Communication Plan
Description Establish a formal communication
plan for to assist agencies with buy-in, compliance
and education for the ERMS
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Deliverable Acceptance Criteria EDMS ESC
approval and Division Management UAT Sign-off
Standards for Content and Format GSD
established standards for functional & technical
design documents.
Quality Review Review by Project Team
members, EDMS ESC and Division Managers
Deliverable Acceptance Criteria EDMS ESC
approval and Division Management UAT Sign-off
Standards for Content and Format GSD
established standards for document security
Quality Review Review by Project Team
members, EDMS ESC and Division Managers
Deliverable Acceptance Criteria EDMS ESC
approval and Division Management approval
Standards for Content and Format N/A
Quality Review Review by Project Team
members, EDMS ESC and Division Managers
Deliverable Acceptance Criteria EDMS ESC
approval and Division Management approval
Standards for Content and Format N/A
Quality Review Review by Project Team
members, EDMS ESC and Division Managers
Deliverable Acceptance Criteria Signed
transition document.
Standards for Content and Format Content and
Format should follow GSD established standards.
Quality Review Review and approval by Project
Director. Internal review by GSD staff.
Deliverable Acceptance Criteria GSD
Management approval
Standards for Content and Format Electronic
Records Management Best Practices
Quality Review Review by GSD Project Team
members.
Supporting Organizational Infrastructure
An organizational infrastructure needs to be set up to support the ECM product after the initial implementation
project ends. This also includes training for new users, and administration of the system to support the
existence of the product.

Description Establish and staff formal Deliverable Acceptance Criteria EDMS

organizations for the operation, maintenance and Executive Steering Committee (ESC) approval
ongoing staff support of the ECM solution. Standards for Content and Format N/A
o GSD trained ECM Operations Staff Quality Review Review by Project Team
o GSD Trained ECM Administration Staff members, EDMS ESC
o Trained End-Users
o Governance model approved by the
Executive steering committee.
o Continuing ECM Executive Steering
Committee (new formation)
o ECM User Group

Enterprise Model
Enterprise Content Management and an Electronic Document and Records Management Systems framework is
just one component of an Enterprise Model allowing the State of New Mexico General Services Department to
move towards a fully electronic services interface for technology enabled customers
Description Establishing an Enterprise Model Deliverable Acceptance Criteria EDMS
involves research, creating an Enterprise Model Executive Steering Committee (ESC) approval
document and promoting awareness and Standards for Content and Format N/A
acceptance of the Enterprise Model. Quality Review Review by Project Team
o Approved Enterprise Content Management members, EDMS ESC
Best Practices Documents
o Approved Survey of Other States Practices
Document
o Approved Industry Trends Document
o Approved Blueprint for Enterprise Model
o Presentation to DoIT

4.2.4 Deliverable Acceptance Procedure

The Project Director shall present the deliverables along with a recommendation for approval to the Executive
Steering Committee during a regularly scheduled steering committee meeting. The Executive Steering
Committee must then vote to accept or reject the deliverable with the vote reflecting a majority decision.

If the deliverable is rejected, the Project Director must inform the vendor submitting the deliverable of the
committees action and must also identify, in writing, why the deliverable was rejected, and what actions must be
addressed by the vendor before the deliverable is presented for acceptance again.

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5 Project Work
5.1 Work Breakdown Structure (WBS)
The implementation plan provides an overview of the project by providing a description of the project in terms of
the major categories of work, primary activities and responsibilities, milestones/deliverables and overall project
timeline. A detailed Work Breakdown Structure (WBS) and deliverable descriptions are found in the Appendix A,
while the detailed Project Schedule/Gantt Chart is in Appendix B and the Project Budget is in Appendix C.
ECM (EDMS/ERMS) Project
Work Breakdown Structure

ECM
(EDMS/ERMS)
Project

Application & Business Electronic Supporting

Project Enterprise
Technology Process Implementation Records Organizational
Management Model
Infrastructure Reengineering Governance Infrastructure

Note: The detailed Work Breakdown Structure is included as part of Appendix A: Scope Definition Document.

The project implementation strategy is developed from the perspective of products to be delivered. Each of the
activities and tasks required to implement the GSD ECM (EDMS/ERMS) strategy has a specific associated
deliverable. At a high level, the work is organized into seven separate work categories:
Project Management
Application & Technology Infrastructure
Business Process Reengineering
Implementation
Enhance Electronic Records Management Governance Model
Set up GSD ECM-EDMS Support Organizational Infrastructure
Promote Enterprise Model

Each of these work categories is defined below and the detailed Work Breakdown Structure is included as part
of Appendix A: Scope Definition Document.
5.1.1.1 Project Management
The discipline of the project management concept offers a variety of tools and techniques to deal with and
control complex projects. The State of New Mexico Department of Information Technology is implementing the
Project Management concepts at the state level and within each department as part of a strategy to better
manage and coordinate the states information technology resources and budget.

5.1.1.2 Application & Technology Infrastructure

The strategy for designing the application and technology infrastructure for the GSD ECM/EDMD must
necessarily consider the enterprise architecture. ECM is just one component of the overall enterprise model.

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Extensibility, flexibility and scalability are the criteria that must be used to ensure that the architecture for ECM
that is implemented now can also support the enterprise architecture that is evolving over the next few years.
5.1.1.3 Business Process Reengineering (BPR)
Process reengineering is the most essential work of implementing Enterprise Content Management or an EDMS.
A process is a group of tasks that together create a result of value to a customer or a state constituent. As the
reengineering expert, Michael Hammer writes, Processes are concerned with results, not with what it takes to
produce them. The essence of process is its inputs and its outputs; what it starts with and what it ends with.
Process work requires that everyone involved be directed toward a common goal; otherwise conflicting goals
and parochial agendas impair the effort.7 Moving towards a process-oriented culture, is training everybody in
habits of thinking and acting that allow the whole organization to work more smoothly and effectively. The
question to be asked continuously is, How do we improve our day to day process?
5.1.1.4 Implementation
The strategy is to implement an ECM package using external resources. Under the guiding principles, the initial
implementation will be completed as quickly as possible. This initial ECM implementation will be used to gain
additional knowledge about the product, its operational environment and to help the project team develop a
department model for the State of New Mexico General Services Department.
5.1.1.5 Supporting Organizational Infrastructure
The effective operation and support of a large software application requires formal organizational thought and
structure. Enterprise Content Management will require more organizational thought than most because it is one
component of an enterprise model. The strategy is to provide department resources as the organizational staff
necessary to support the ECM application while working to refine the Enterprise Content Management
governance model.
5.1.1.6 Electronic Records Governance Model
The General Services Department already has a records governance model in place to deal with paper-based
documents. With the GSD ECM (EDMS/ERMS) implementation, a new electronic records environment is to be
created. The strategy here is to align the current governance model to the effective ongoing management of
electronic records and archives within the new Enterprise Content Management environment.
5.1.1.7 Enterprise Model
Enterprise Content Management, and an Integrated Electronic Document and Records Management Systems
framework is just one component of an Enterprise Model allowing the State of New Mexico General Services
Department to move towards a fully electronic services interface for technology-enabled customers. Another
component of an enterprise model includes Enterprise IT Data Interchange capability, to allow instant online
access to information across multiple application systems. A pre-requisite to any type of department-wide access
to applications and data is an Enterprise IT Security Management Program, which includes Identity
Management, and Access Directory Services. A third component is the Business Process Platform, As
enterprises emphasize business processes, they need to establish a business process platform, specific to their
needs, to enable business process creation, deployment and monitoring using service-enabled applications. 8
Service Oriented Architecture (SOA) is the foundation supporting the enterprise model.

7
Michael Hammer, Beyond Reengineering (HarperCollins, 1996), 11-12
8
Flexibility Drives the Emergence of the Business Process Platform GARTNER Research, Publication Date: 26 April 2005

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5.2 Schedule Allocation Project Timeline

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5.3 Project Budget

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5.4 Project Team

5.4.1 Project Team Organizational Structure

Executive Sponsor,
Executive Steering Arturo Jaramillo
Committee
Arturo Jaramillo
Mike Wilson
George McGeorge
Nancy Bearce
Karen Baltzley
Angela Lucero, Records
Management Division
Director, SCRA Project Sponsor,
IV&V
Mike Wilson

Business Owners,
Nancy Bearce,
Ed Romero
Business Operations Review
Team:
Benefits
Financial/Training Project Director, GSD Technical Review
Legal Karen Baltzley Sujatha Seethapathi
Disability Ryan Woodard
Workers Comp
Loss Control DoIT/DFA Tech Support
Reports/HIPAA Regulations
Project Managers
CSW-John Salazar,
Jane Hamlet

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5.4.2 Project Team Roles and Responsibilities

The State Department of Information Technology (DOIT) will provide project management oversight and the
GSD ECM-EDMS Executive Steering Committee will provide strategic direction for the project.

The GSD ECM-EDMS Executive Steering Committee (ESC) provides strategic, high-level guidance with regard
to procedures, progress, and risks. The Steering Committee is charged with taking a department view to ensure
this project supports the delivery of an enterprise/department model. The project team reports status and
progress to the Steering Committee on a regular basis. The GSD ECM-EDMS ESC will also review, and approve
deliverables, monitor the activities of the Project Team, assure adherence to the project plan and ensure
involvement of participants in order to meet deadlines.

The GSD ECM-EDMS project team will handle the day-to-day tasks and decisions brought to the attention of the
Steering Committee. The workgroup is comprised of staff members from the different GSD divisions. Tasks
performed by the team include: project management and planning, analyzing requirements, data gap analysis
and data mapping, making program specific decisions, helping determine the system and operational processes,
business process reengineering, training and deployment.

The Department of Information Technology Office will provide increased emphasis on strategic information
technology planning and management. This ensures the proper and efficient administration of all Information
Technology projects in the state.

An implementation vendor will be contracted through an open procurement process (RFP/CVR) to install, and
assist in the deployment of the ECM. Additional resources are to be contracted through the competitive vendor
request (CVR) process to implement IV&V.

Given in the table below are the roles and responsibilities of each of the team members.

Role Responsibilities
Executive Steering Meet at least once monthly
Committee (ESC) Provide strategic direction and promote the vision for Enterprise Content
Management
Advise project on policy issues
Review, evaluate, and provide direction to the Project Director and Project
Team Members on implementation and deployment strategies
Monitor the project progress
Provide recommendations on issues escalated to the committee
Assist in mitigating strategic project risks
Direct the Project Director on issues and risks
Address, review, and approve all deliverables, such as project structure
and team activities
Monitor the project activities, assuring adherence to the project plan
Ensure involvement of participants in order to meet deadlines
Review and approve expenditures of funds
Represent the point of view of key stakeholders including technology-
enabled customers and state government executives
NM DOIT Provide project implementation oversight
Ensure proper project management and cost reporting
Certify and approve funding prior to each phase of the project

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Role Responsibilities
Project Director Report to ESC on project status, issues, budget, and activities
Address, review, and submit deliverables to ESC from the GSD Project
Team members
Prepare Steering Committee meeting agenda and meeting materials
Establish and maintain a coordinated project manual that includes all IT
and non-IT tasks and activities necessary to fully execute the project and
to achieve project goals
Monitor and report the activities of the GSD Project Team, assuring
adherence to the project plan, budget and schedule
Ensure involvement of participants in order to meet deadlines
Ensure mitigation of project issues and risks
Maintain a current copy of the project budget
Facilitate development of ECM selection criteria
Prepare the RFP/CVR for ECM Implementation Services Vendor
Procure hardware and software for GSD ECM (EDMS/ERMS)
Comply with approved IT Infrastructure policies & procedures
Lead Business Process Reengineering efforts
Facilitate defining document metadata and setting up document taxonomy
Plan system interfaces and document migration processes
Manage testing and validating GSD ECM (EDMS/ERMS) solution
Provide contract and Vendor oversight
Assure Vendor deliverables meet the business & system requirements
Monitor the project and contract to ensure delivery of complete, accepted
deliverables on schedule
Serve as a contact for the Vendor Team Manager, review and accept
weekly status reports, project milestones, deliverables, and issues logs
Advise the Vendor Team(s) on issues and risks
Review and approve all Vendor documentation
Document Enterprise Content Management Model
Work closely with SRCA team to create an approved, published electronic-
records management framework
Provide a road map for Agencies to automate records management
SRCA Project Team Provide subject matter expertise for records management requirements
Members Participate in workgroups and status meetings to determine best course of
action, options, and alternatives
Review ITC PCC documentation for certification
Participate in developing EDMS selection criteria
Make recommendations to EDMS Project Director concerning the project
deliverables
Review any necessary interim and final APD documentation for approval
Assist with project coordination and issues where escalation is necessary
Review Vendor deliverables and participate in test walk-through
Approve and sign off on project documentation for HSD and TRD
Work closely with Project Director to create an approved, published
electronic-records management framework
Advise the Project Director in developing an EDMS Enterprise Model
GSD Team Members Participate in Hosting Strategy Development
Support installation of hardware and technology infrastructure
Participate in SLA development

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Role
IT Specialists (CSES
PM and Programmers,
GSD Imaging System
Administrators, GSD
System Experts and
Developers
Vendor(s)
Responsibilities
Provide IT subject matter expertise
Share expertise on Document Imaging and Key from Image (KFI) 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.

5.5 Staff Planning And Resource Acquisition

The responsibility assignment matrix (RAM) is a table that relates the project organization structure to the work
breakdown structure to ensure that each element of the projects scope of work is assigned to a responsible
organization or individual. Larger projects may define responsibility assignment matrices at multiple levels. A
high-level RAM may define which group or organizational unit is responsible for each component of the work
breakdown structure, while lower-level RAMs are used within the groups to assign roles and responsibilities for
specific activities to specific individuals. The codes are defined as follows: A = Approval, O = Oversight, R =
Responsible, S = Provide Support, W = Does the Work.

Responsible
Organization ECM/EDMS
DoIT Project ESC Project Implement IV&V
Team Management Services Vendor
WBS Task Vendor Vendor

Project
Management
Planning
Project Charter -- R A R -- --
Business Requirements -- R A S -- --
EDMS Project Manual - S R A R -- --
Project Management
Plan including
Scope & WBS
Project Schedule
Software Selection -- R A S -- --
Criteria Checklist
RFP Development -- R A S -- --
Risk Management S R A S S S
Communication S R A S S S
Control
Establish Controls S R A R -- --
Project Process Review -- R A R -- --
Resource Management
Project Manager r Hiring -- S R -- -- --
IV&V Services Contract R/A A S S
Procure Vendor Services S R A S - --
For Implementation
(RFP Process)
Vendor Services R A S R
Contract

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 Responsible
Organization ECM/EDMS
DoIT Project ESC Project Implement IV&V
Team Management Services Vendor
WBS Task Vendor Vendor

Funding
NM DoIT
Project Certification
Committee
DoIT Approval Phase 1 -- R A -- -- --
Planning
DoIT Approval Phase 2 -- R A R -- --
- Implementation
PCC Approval Phase 3 S R A R -- --
- Closeout -Transition
App/Tech Infrastructure.
Select ECM Vendor R A R
Sign License Agreement -- R A S -- O
& Acquire ECM
Solution Package
(Select GSD Document -- R A S -- --
Imaging Vendor)
Infrastructure Analysis & S R A S S O
Design
Hardware/Software S R A s S O
Procurement
Functionality Analysis & S R A S S O
Design
System Development & S R A S W O
Customization
Disaster Recovery W R A S S O
Planning
Transition S R A S W O
Business Process
Reengineering
Define -- R/W A S S --
Measure -- R/W A S S --
Analyze -- R/W A S S --
Improve -- R/W A S S --
Control -- R/W A S S --
Implementation
Implementation Plan for R R/W A S S O
Reengineered
Business Processes
Training Plan S R/W A S S O
Training Manuals
System Integration S R/W A S S O
Content Migration S R/W A S S O
Development & S R/W A S W O
Implementation
Electronic Records
Management System
(ERMS) Rules &
Standards
ERMS Framework S R A S S O
ERMS Roadmap S R A S S O
ERMS Standards S R A S S O
ERMS Rules S R A S S O
Supporting
Organizational
Infrastructure

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 Responsible
Organization ECM/EDMS
DoIT Project ESC Project Implement IV&V
Team Management Services Vendor
WBS Task Vendor Vendor

Trained Operational Staff R/W R A -- S O

Trained Admin Staff S R A -- S O
Trained End-Users S R A -- S O
ECM User Group S R A -- S --
ECM Governance Body S R A -- -- --
Enterprise Model
Enterprise Model -- R A -- S O
Document
Champion Enterprise -- R A -- -- --
Model

A = Approval, R = Responsible, S = Provide Support, W = Does the Work. O = Oversight

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6 Project Management and Controls
6.1 Risk and Issue Management
Information technology (IT) projects have many inherent risks associated with them. The technology itself, risks
associated with introduction of new and/or innovative ideas, organizational change issues, internal project
issues, external issues such as politics and the economy not to mention social concerns around the introduction
of technology. The list of potential risks is almost limitless.

Risk management is the process of identifying potential project risk, assessing the probability and severity of risk
events, and planning appropriate responses. Risk management is a priority task on any IT project and is
managed just like cost, schedule, scope and quality.
6.1.1 Risk Management Strategy
The best way to deal with a large amount of data/information is to categorize it in such a way to begin
understanding the relationships between the data and start to see structure. The Software Engineering Institute
(SEI) has developed a Taxonomy of Software Project Risk that offers a way to systematically think about the
potential risks that are faced by software development/implementation projects. This taxonomy is used to
stimulate thinking about the potential risks that the EDMS Project faces.
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 EDMS project risks. The Risk Analysis is
shown in Appendix D. The sequence of activity is as follows:
1. Risk Identification The process of identifying potential risks and documenting the specific
characteristics of each.
2. Risk Analysis The process of determining the impact and likelihood of the identified risks. This
process may employ both qualitative and quantitative techniques as deemed necessary to objectively
evaluate potential risks to the project.

6.1.3 Project Risk Mitigation Approach

The process of mitigating the possibility of the risk and assigning responsible individuals to identified risks. All
identified risks will have appropriate mitigation strategies/plans. For those risks that are highly probable and
have, significant impact to the project will develop contingency plans.
6.1.4 Risk Reporting and Escalation Strategy
Risk Monitoring and Control The process of tracking, evaluating and responding to ongoing developments
relative to project plans, risk mitigation plans and specific contingency plans. Risk management is an integral
component of integrated project control. This is an ongoing process for the duration of the project and will be
part of every project status meeting.

Risk identification is the responsibility of all members of the project team. The Project Director and Project
Managers are responsible for tracking risks and for developing mitigation strategies and contingency plans that
address the risks identified by the team.

The EDMS project will follow a continuous risk management strategy. Risk will be assessed routinely to ensure
that identified risks are being dealt with appropriately and that new risks are identified and dealt with as early as
possible

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6.1.5 Project Risk Tracking Approach

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6.1.6 Issue Management

With any project, no matter how comprehensive the planning process, issues arise that need to be addressed.
This section of the project manual addresses how this process will be managed for the NM EDMS project.

When the project team identifies an issue, it will be added to a document called EDMS Project Issues.doc stored
in the project library. An issue can also be identified by anyone affiliated with the project although the project
team will be primarily responsible for tracking issues through to resolution. The project team will review the
issues list twice a month. Issues, which could negatively affect the project, will be brought to EDMS ESC
attention according to the change control process in section 7.4. The process of tracking an issue is outlined
here:
1) An issue is identified.
2) It is added to the issue document, assigned an issue number with a brief explanation of the issue and
date entered.
3) The issue is assigned to someone and potential action to be taken.
4) As action is taken, it is noted with the issue.
5) If possible, an estimated completion date is entered.
6) Upon completion of an issue, the actual completion date is noted with the resolution.

Listed below are examples of how an issue can be resolved:

An issue can become a task added to the project plan with proper approval, if new, or within scope of
the project. See section 7.2 and 7.4 for further details of these processes.
It could be resolved by an action taken.
A document can be created which addresses the issue.
A resolution could create new issues that need to be addressed.
A new policy could be created which addresses the issue.

The project team is primarily responsible to resolve issues or follow-up to be sure action is being taken to
resolve an issue.

6.2 Independent Verification and Validation IV&V

Independent Verification and Validation (IV&V) is a risk mitigation strategy designed to provide management with
project oversight through an independent evaluation a projects product and process quality. The New Mexico
Electronic Document Management System project has adopted a low risk implementation strategy by using a
package solution that is currently implemented in multiple commercial and government sites. Given that the
project has adopted a package solution strategy, its IV&V plan will be tailored to address the unique risks
associated with package implementation projects.

The IV&V plan will:

1. Evaluate and verify that processes, contracts, and system designs
comply with the specified requirements of the Enterprise Architecture
and Standards
2. Evaluate and validate that products and deliverables of a given
development phase fulfill the requirements and performance outcomes
set forth in the scope and project plan
3. Provide a close-out report to the Executive Board at the end of
project.

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A Competitive Vendor Request (CVR) will be submitted to the GSD EDMS Executive Steering Committee for
approval. Once the CVR has been approved, the project team will initiate contact with approved IV&V vendors.
The IV&V vendor will develop a complete IV&V plan in conjunction with the project team.

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 GSD of budget
variances as they are identified.
Schedule Control The project team is responsible for establishing and maintaining a project schedule.
The project team will assess the current project schedule status and report variances as they are
identified. Additionally, the team will identify and implement the appropriate corrective actions to
eliminate or minimize schedule variances.
Scope Control The project scope is defined and documented in the Appendix 6.1 of the Project
Manual. The detailed scope definition contained in Appendix 6.1 will be used to evaluate project scope
issues. Significant variances from scope will be submitted to a formal project change control
mechanism (Section 7.4 Change Control Process).
Quality Management GSD ECM (EDMS/ERMS) project quality management will be established for
each deliverable based on the quality mechanisms of the responsible organization, and the GSD ECM
(EDMS/ERMS) Quality Management Plan (Section 7.6) of this document.
Risk Management Risk management is an ongoing process of identification and assessment. Risk
Assessment is included as part of the routine status process of the project. This maintains an
awareness of risk and the associated risk assessment and monitoring tasks required to manage the
project effectively.

These five parameters of the project are integrally linked and any significant change in one will likely cause
changes in the others. Project control establishes the mechanism to routinely track and report on these
parameters. If issues arise that result in significant variances in these parameters, the project team will prepare
and submit a Project Change Request form through the Project Change Control process.

The process below is designed to capture project status information on a weekly basis. The information is then
used to trigger corrective action, risk mitigation and a variety of reporting processes. This process is critical to
successful project communication and is the foundation on which a successful project control system will be
built. The process should allow for flexibility in dealing with project control issues while ensuring that project
status information is captured and documented.

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 EDMS Project
Integrated Control Process

Emerging
Issues &
Risks

Cost
Baseline
Baseline Weekly Schedule Current
EDMS Plan
Plan Status Process Scope Status
Quality

Status
Weekly Status
Report

Corrective
Yes Action
Required ?

EDMS
Corrective Action
Document
Planning Process
Archive
- - Website -

Revised -No-
Plans Weekly
Continue Status
Planned Information
Does Work
Corrective Cost
Yes Action Exceed Schedule
Change Request Authorized Scope
Form Variance ? Quality

Change Control
Process
-No - Project Work
Revised
Plans

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6.3.1 Change Control Process

A formal change control process is an essential component of a successful IT project. The key to controlling
project change, is managing the impact to the project plan, budget, and implementation schedule.

Some changes are unavoidable instances where changes have to be made to comply with legal, federal/state
regulations, policy changes, compliance with changes in the business direction of the enterprise, or where
technology may dictate change. Other non-essential changes can be avoided through management of a formal
change control process.

Scope changes (sometimes referred to as scope creep) are the continual addition of functional enhancements to
the product requirements throughout the project life cycle. Excessive scope changes are directly related to
poorly defined product requirements and specifications. A well thought out change control process will assist the
project management team in controlling scope creep.

Three (3) steps are necessary to control scope changes:

1. Establish the baseline product.
2. Obtain agreement from the project approvers.
3. Enforce a formal change control process.

6.3.1.1 Establish the baseline product

The EDMS project plan is developed around a package strategy. Further, the strategy specifically specifies
minimal modifications to the package. No functional modifications are to be made to the selected EDMS
product. The package plus the Work Breakdown Structure and product descriptions in section 6.1 of this
document represents the baseline product and therefore the criteria for determining the approved scope.
6.3.1.2 Agreement from the EDMS ESC
The baseline product described above and strategy for implementation is to be reviewed and approved by the
EDMS Executive Steering Committee. Requests to change the scope will also be reviewed and approved by the
EDMS ESC.
6.3.1.3 Enforce a formal change control process
The software package/implementation process is never static. Some changes are to be expected during the
EDMS implementation, and a formal process has been defined and is to be followed to make sure all changes to
the product are made in an orderly manner. As scope change requests are made, a change control process
ensures
Only necessary changes are made,
Changes are communicated to all affected parties, and
Changes are implemented in an orderly fashion.

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 EDMS Project
Change Control Process

Change Request
Form

Change Request

Baseline Cost
Change Request
EDMS Plan Baseline Schedule Current
Evaluation
Plan Process Scope Status
Quality

Change
Accepted
Revised
Baseline Plan

Corrective
Yes Action
Required?

JAT
Corrective Action
Review& Approval
Process Planning Process

Change Control
Request Revised
Yes -No-
Accepted Plans Weekly
Continue Status
Planned Information
Does Work
Corrective Cost
Action Exceed Schedule
Authorized Scope
Variance ? Quality
EDMS
Document
Archive
- - Website - -No-
Revised Project Work
Plans

Change Control Request- Rejected

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6.4 Project Budget Management

6.4.1 Budget Tracking

The Risk Management Divisions Financial Services Bureau will be responsible for managing the ECM-EDMS
budget, and will be a member of the EDMS Executive Steering Committee. The FSB employee will provide a
budget update at each Steering Committee Meeting, identifying past expenditures, encumbrances, future
encumbrances, personnel costs, and any other expense associated with the project budget.

6.5 Project Communication Plan

Communication is fundamental to effective project management. The Communications Plan outlines the roles
and responsibilities of participants in the dissemination, review and approval of project information. A
communications plan that is well implemented will help manage expectations of the project, assure appropriate
levels of communication with internal and external project stakeholders, provide relevant, accurate, consistent
information at all times and help generate and sustain enthusiasm and support for the project.

The communication strategy covers all the informational needs of the project stakeholder community. Many will
receive routine information about the project. Others will be able to visit the project website and obtain the
specific information that they are seeking and all may receive ad hoc communication from the project team at
any time depending on the need.

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6.5.1.1 Project Stakeholders

General Services Department (GSD)

GSD Cabinet Secretary
GSD Deputy Cabinet Secretary
GSD Risk Management Division Director
GSD Risk Management Deputy Division Directors
GSD Chief Information Officer
GSD Subject Matter Experts
Project Manager
Project personnel

EDMS Executive Steering Committee

Committee Chairperson
Committee at large

State Records and Archives Center

Implementation Vendor
Account Executive
Project Manager
Project Personnel

6.5.2 Project Communication Matrix

Stakeholders (PD = Project Director, PMs = Project Manager

Deliverable/Description Target Delivery Frequency Responsible
Audience Method Party
GSD / EDMS Project Status GSD CIO Face-to-Face Weekly GSD PM
GSD / EDMS Project Status GSD Team Face-to-Face As needed PD/PM
SRCA / ERMS Project Status SRCA Team Face-to-Face As needed PD/PM
Weekly PD Status GSD PD Email Weekly PM
EDMS Project Status EDMS ESC Email 2nd & 4th Monday PD/PM
EDMS ESC Meeting EDMS ESC Face-to-Face 2nd & 4th Weds. PD/PM
EDMS ESC Meeting Minutes EDMS ESC Email 2nd & 4th Fri. PM
DOIT EDMS Project Status DOIT Email Monthly PD
Project Web Page As needed Web Page As needed PM Team
Ad hoc As needed As needed As needed As needed

6.5.3 Project Status Meetings

The Executive Steering Committee will meet at a minimum on a monthly basis in order to review project
progress, deliverables/milestones, provide direction to the Project Director, and team. The Project Director is
required to provide formal status reports to the ESC and will present the report during the ESC meetings. The
Project Director is also required to report on the overall status of the project on a monthly basis, per standard
DoIT procedures.

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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.

6.5.4 Project Status Reports

The Project Manager provides a monthly summary project status report to all Project Stakeholders.

6.6 Performance Measurements (Project Metrics)

Metric are key to understanding the ability of the project to meet the end goals of the Executive Sponsor and the
Business Owner, as well as the ability of the project team to stay within schedule and budget.

NUMBER DESCRIPTION
QUALITY METRICS 1 The project schedule, assigned tasks, resources and milestones are met.
QUALITY METRICS 2 Project does not exceed budget.
QUALITY METRICS 3 System can provide reports that accurately track utilities by building
QUALITY METRICS 4 All RMD operational and facility data information is successfully converted
and migrated onto a electronic records management platform
QUALITY METRICS 5 Applicable RMD Legislative Performance Measures as stated in GSD
FY09-10 Strategic Business and IT plan are met
QUALITY METRICS 6 System is secure, operable and stable

QUALITY METRICS 7 Data integrity is maintained

QUALITY METRICS 8 Staff is adequately trained
QUALITY METRICS 9 Conforms to SRCA Records Management Policies

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. Please see section 7.7
for more details.

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The second is the integrated project control process and change control process, which assure that any changes
that are made to the project are executed in a structured manner. The most important of these is the change
control process to minimize the change of scope to the project and if scope does change, it is done knowing the
impact to the project. Please see sections 7.2 and 7.4 for more details.

The third process for quality management is the risk management plan, which measures, mitigates and includes
contingency plans for each risk. Please see section 7.5 for more details.

The project team will also create lessons learned at the end of each phase of the project. These lessons
learned will be incorporated into the next phase of the project and be part of the project library that will be
available for future projects to use.

All of these processes combined will create a product that has quality that is built in not tested in after the fact.
This will provide an environment that maximizes opportunities to control quality.

6.7.1 Quality Standards

Describe the agency, industry or regulatory project performance standards that will be followed and assessed by
the project. These quality standards will be used to assess whether the quality objectives were achieved.
Identify each of the project quality standards that are directly related to the project and not to the performance of
the actual product and/or service. For each quality standard, identify the tracking tool or measure such as
number of project reviews or Project Status.

No. Quality Standard Tracking Tool or Measure

1 Project phase is completed by the established finish date. Project Schedule

Project Status

2 Project is completed within budget. Project Charter

Project Status

3 Quarterly project reviews show contractors deliver requirements Vendor Contract

specified in the contract by due dates or pay penalties. Final Customer
Acceptance

4 Project issues are resolved and documented within 10 calendar days of Issues Tracking
identification or extensions are justified.

5 Project will be completed based on the original project scope and Project Charter
approved scope changes. Project Plan
Control Change
Request

6.7.2 Agency/Customer Satisfaction

The project manager should assess the on-going sense of the customer agency about how they feel the project
is going, and how team members are acting on the project. This feedback would be helpful to the success of the
project and the professional growth of the project team members.

Areas of feedback When How Often

Agency awareness Business Owner Meetings Monthly
Quality of communications ESC Steering committee Monthly
meetings

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Manages project tasks ESC Steering committee Monthly
meetings
Productive Meetings ESC Steering committee Quarterly
meetings

6.7.3 Product Deliverable Acceptance Process

The General Services Departments Chief Information Officer (GSD CIO) will take delivery of media; manuals;
contracts; licenses; services agreements; configuration settings; status of patches to COTS products; in-house
or vendor developed code; test cases, routines, and scripts; and other items required for the project. The GSD
CIO will take delivery of such products only after the product deliverables have been accepted by the GSD
EDMS Executive Steering Committee.

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.

6.8.1 Version Control

GSD will implement a software solution to manage version controls for documentation and products. The
software will secure or lock documents and products for access by a single individual. The proposed software
will have the ability to also merge changes to a central repository.

6.8.2 Project Repository

A project repository, consisting of a shared server with multiple folders and a project web site will be developed
by GSD IT staff members as a means to provide a central repository for all project documentation and
deliverables.

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, which will be made available from the EDMS project website.

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7 Project Close

Project Close will always consist of administrative project activities and possibly contractual project activities and
an external vendor is employed. Completing both sets of activities is a mandatory step in the project life cycle.
Administrative activities complete the internal needs for the Agency/Unit that is responsible for managing the
project, such as lessons learned, recording the last hours against the project, and providing transition for the
staff to other assignments. Contractual activities meet the contractual needs, such as executing a procurement
audit and formal acceptance of the project work products.

7.1.1 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 projects complexity and size. Project managers
should work with the projects project management consultant to tailored Project Close procedures to
compliment the projects objectives

7.1.2 Contract Close

Contract close is similar to administrative close in that it involves product and process verification for contract
close.

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 APPENDIX A - Scope Definition Document
7.2 Detailed Work Breakdown Structure (WBS)

ECM (EDMS/ERMS) Project

Work Breakdown Structure

ECM
(EDMS/ERMS)
Project

Application & Business Electronic Supporting

Project Enterprise
Technology Process Implementation Records Organizational
Management Model
Infrastructure Reengineering Governance Infrastructure

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 EDMS Project Management WBS

ECM (EDMS/EDMS) Project Management

Work Breakdown Structure
ECM
(EDMS/ERMS)
Project

Application & Business Electronic Supporting

Project Enterprise
Technology Process Implementation Records Organizational
Management Model
Infrastructure Reengineering Governance Infrastructure

Planning Communication Funding

Project Charter Communication Plan Federal Financial Participation

Needs Assessment Twice Monthly ESC Meetings
- APDU
Project Control Plans Bi-weekly ESC Status Reports
- RFP
Scope Document Monthly OCIO Status Report
- Implementation Vendor Contract Approval
WBS Meeting Notes PCC Certification
Project Schedule - PIR
Software Selection Criteria - PIR Certification
Checklist - EDMS Project Manual
Project Manual Document - Implementation Report
- Implementation Certification
- Close-out Report
- Close-out Certification
ECM (EDMS/ERMS) FY07 C3 Funding
Request
Resource Risk
Control
Management Management

Project Manual Document Project Director Price Agreement Risk Management Plan
Risk Management Plan Needs Assessment Price Agreement - Mitigation Plans
Issue Management Plan RFP for Implementation Services - Contingency Plans
Quality Control Plan Implementation Vendor Contract IV&V Reports
Communication Plan IV&V Price Agreement
Change Control Plan
Budget
Planning Phase - Lessons Learned
Implementation - Lessons Learned
Project Overall - Lessons Learned

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Application & Technology Infrastructure WBS

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Business Process Reengineering WBS

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 Business Process Reengineering (BPR)
Work Breakdown Structure
ECM
(EDMS/ERMS)
Project

Application & Business Process Electronic Supporting

Project Enterprise
Technology Reengineering Implementation Records Organizational
Management Model
Infrastructure (BPR) Governance Infrastructure

Establish Enterprise
Establish BPR
Business Process
Leadership
Management
Champion Continuous Process Improvement Support "end-to-end" process optimization
Provide BPR Training Cross-functional process improvement
Guide Process Reengineering efforts Support Cross-Departmental BPR
Establish communication processes Continuous Process Improvement
Utilize Best Practices such as Six Sigma Enterprise Business Process Management

Define Measure Analyze Improve Control

What are the steps to improve the

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
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
What are the methods to How do we guarantee performance?
process?
separate the whole into Verify Improvement Resulted from
Generate Solution Ideas
component parts ? Solution
Determine Solution Impacts - Benefits
Stratify Process Identify whether additional solutions
Evaluate & Select Solutions
Stratify Data & Identify are needed to achieve goal
Design "TO-BE" process map
specific problems Identify & Develop Standardization &
Update policy & procedure manuals
Identify Root Causes Replication Opportunities
Develop & present Storyboard
Validate Root Causes Integrate and Manage Solutions in
Communicate Solutions to all
Comparative Analysis daily work processes
Stakeholders
Regression Analysis Integrate Lessons Learned
Develop Pilot Plan & Pilot Solution
Design of Experiments Identify teams next steps and plans
Refine SWOTI Analysis for remaining opportunities

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Implementation WBS

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Electronic Records Management Rules & Standards WBS

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 Electronic Records Governance Model
Work Breakdown Structure

ECM
(EDMS/ERMS)
Project

Application & Business Electronic Supporting

Project Enterprise
Technology Process Implementation Records Organizational
Management Model
Infrastructure Reengineering Governance Infrastructure

Enhance Electronic Records

Rules & Standards

Establish Content Plan & Budget for

Clarify or Restate
Communication
Content Ownership
For ERMS buy-in Educate State Agencies on Content
For compliance Ownership Responsibilities
For education 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
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
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

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Supporting Organizational Infrastructure WBS

Supporting Organizational
Infrastructure
Work Breakdown Structure
ECM
(EDMS/ERMS)
Project

Application & Business Electronic Supporting

Project Enterprise
Technology Process Implementation Records Organizational
Management Model
Infrastructure Reengineering Governance Infrastructure

This is an organizational infrastructure

to
support the ECM product after the
initial
Implementation Project ends. The
ECM product consists of training for
new and administration of the
users,
system
to support the existence of the
product

Enterprise EDMS
DoIT SRCA GSD (Statewide)
Governance Body
(Note: Assumption is that DoIT Trained ERMS Trained ECM Continuing Enterprise
Administration Staff Administration Staff Enterprise
Content Management
will host ECM
(EDMS/ERMS)
Trained ECM ERMS Operational Support Trained End-Users Executive Steering Committee
Operations Staff Trained End-Users (new formation)
Trained ECM ECM User Group
Administration Staff
Trained End-Users
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 Enterprise Model WBS

Enterprise Model
Work Breakdown Structure
ECM
(EDMS/ERMS)
Project

Application & Business Electronic Supporting

Project Enterprise
Technology Process Implementation Records Organizational
Management Model
Infrastructure Reengineering Governance Infrastructure

Promote Enterprise
Create Enterprise
Research Model
Model Document
Increase Awareness for
Industry Trends Blueprint for Enterprise EDMS Enterprise Content Management
Best Practices Coordinate with other Agencies
Survey Other States Presentations to CIO Council
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 Enterprise IT Data Enterprise Business Enterprise Content Service Oriented
Management Program Interchange Capability Process Management Management Architecture (SOA)

Identity Management
Access Directory Services
LDAP

Enterprise Portal

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APPENDIX B - Project Schedule/Gantt Chart
If you would like a current soft copy of the MS Project file, please send an email to John.Salazar@state.nm.us

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APPENDIX C - Project Budget
If you would like a current soft copy of the Project Budget, please send an email to John.Salazar@state.nm.us

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APPENDIX D - Risk Analysis
For the most up to date EDMS Project Risk report, please email the GSD ECM-EDMS Project Manager at
John.Salazar@state.nm.us.

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APPENDIX E - Project Library
The project library is an electronic storage place where all documentation relating to the project is stored and
updated. GSD ECM-EDMS project website provides project specific information. See www.GSD ECM-
EDMS.state.nm.us . This is a single source of project information for all stakeholders. The website includes
Information:
Project Objectives
Project Organization
Project Status
Governance, including project status reports and meeting minutes
Project Manual
Project Background and Definitions
ECM Requirements Matrix
ECM Architecture Design

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 APPENDIX F - Sample Project Forms
Project Change Request Form
This is the form to initiate the Change Control process.

Project Change Request

Project Name Date

Project Director Project Managers

AGENCY AND PROJECT INFORMATION

Requested by Date
Authorized by Date
DESCRIPTION

IMPACT Technical Schedule Cost Other

ACTION PLAN

Mark One This change Is Is Not within scope.

Mark One This change is Accepted Denied On Hold Delayed

ESC Approval
Signature
Name
Date

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Project Status Report
Please see the status reports on the website at www.GSD ECM-EDMS.state.nm.us under the Governance link,
or the Project Status link

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Sample issues report
For the most up to date EDMS Project Issues report, please email the GSD ECM-EDMS Project Manager at
John.Salazar@state.nm.us

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APPENDIX G GSD ECM-EDMS Project Definitions
"Administrator" means the state records administrator (Section 14-3-2 NMSA 1978).
"Agency" means any state agency, department, bureau, board, commission, institution or other organization of
the state government, the territorial government and the Spanish and Mexican governments in New
Mexico (Section 14-3-2 NMSA 1978).
Application means a software program designed for end user to do work, such as word processing,
accounting, or illustrating. Software programs such as WordPerfect, Excel, and PageMaker are
examples of end user applications.
Archives Archives has three meanings:
1. Documents preserved because of their historical or informational value.
2. Archives means the building or part of a building where archival materials are located, also
referred to as an archival repository.
3. The agency or program responsible for selecting, preserving, and making available archival
material. Archives and Historical Services is a Division of the State Commission of Public
Records (General Services Department). This Division is responsible for selecting, preserving,
and making available permanent records, historical manuscripts, photographs and other
materials that contribute to the understanding of New Mexico history.
Audit means a periodic examination of an organization to determine whether appropriate procedures and
practices are followed.
C-1 means a project request for a base budget
C-2 is a single agency project request for funding
C-3 is a multi-agency project request for funding
"Commission" means the state commission of public records (Section 14-3-2 NMSA 1978)
COMMISSION OF PUBLIC RECORDS means the governing body of the NM General Services Department
Computer This includes, but is not limited to, mainframe computers, minicomputers, and microcomputers,
personal computers, portable computers, pocket computers, tablet computers, telephones capable of
storing information, PDAs, and other devices.
Content is a metadata concept that encompasses document images, papers, books, maps, email, web sites,
HTML, XML, photographs, forms, audio, video, text, and reports.
Content Taxonomy see the definition for Taxonomy
Custodial agency means the agency responsible for the maintenance, care, or keeping of public records,
regardless of whether the records are in that agencys actual physical custody and control.
Data is the plural for datum which means a single piece of information. Data refers to a collection of
information, electronic or non-electronic. Data can also refer to raw facts, figures, or symbols.
Database means a collection of information stored in magnetic or hardcopy form (with or without any
particular structure).
Destruction means the disposal of records of no further value by shredding, burial, incineration, pulping,
electronic overwrite, or some other process, resulting in the obliteration of information contained on the
record.
Digital asset management (DAM) is the process of digitizing, cataloging, enabling search, retrieval,
management, repurposing, delivery, and secure sale of media assets, which could be a combination of
audio, video, text, and images. DAM systems are used to manage, store and retrieve rich media. DAM
vendors offer:

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 Asset cataloging done using the closed caption of a video or through the assignment of
attributes.
Asset retrieval provides indexing and search capabilities for rich media. Assets can be
retrieved through their attributes, full text indexes or visual characteristics such as pattern
recognition or scene changes of a video.
Workflow includes being able to distribute and incorporate assets into tasks. Content
distribution is based on its type, such as streaming for video and audio.
Content rendering content can be rendered to different output types of resolutions, such as
MP3 for audio or "thumbnails" for photos. This feature lends itself well to multi-channel (print,
video, Web) marketing campaigns.
As the use of rich media increases in intranet and Internet applications, partnerships and mergers
will proliferate among vendors of DAM, WCM and document management applications. (From
Gartner Research).
Disposition means final action that puts into effect the results of an appraisal decision for a series of records
(i.e., transfer to archives or destruction).
Electronic records means records whose informational content has been encoded and recorded on a
medium like magnetic tape, drums, discs, or punched paper tape and can be retrieved by finding aids
known as software documentation. The encoded information is retrievable only with the help of a
computer.
Electronic records management Records management technology enables an enterprise to assign a
specific life cycle to individual pieces of corporate information. The information classified as records can
come from many applications, including e-mail, Web pages, scanned documents, enterprise resource
planning, homegrown applications, fax documents and paper. Some records management systems rely
on Integrated Document Management systems to work while others can be used stand-alone.
o The stand-alone records management market is small, with about $50 million in software
revenue worldwide. However, the interest in records retention has surged, as accounting
scandals and lawsuits have made headlines.
o All the major Enterprise Content Management players will build or buy records management
functionality by 2004 (0.8 probability). The stand-alone records management market is being
relegated to niche status. (From Gartner Research)
Enterprise Content Management (ECM) is generally considered to be an amalgamation of a number of
distinct but interrelated applications:
Integrated Document Management (IDM)
Web Content Management (WCM)
Digital Asset Management (DAM)
Enterprise Records & Retention Management (ERRM)
Collaboration Content Management (CCM), Collaboration technology, a subset of ECM, is
becoming increasingly important in organizations, allowing the participants in a business
process to come together to optimize the process to mutual benefit. This brings partners,
suppliers, customers and agencies together in a controlled way, manages, and leverages
collaboration content such as discussion threads, voting results, and documents.
Enterprise Records & Retention Management (ERRM) is a process that monitors documents (for example,
papers, books, maps, e-mail, Web site content, photographs and messages) throughout their life cycle;
from the time they are created to the time they are destroyed. Records are documents used to maintain
information created or received while conducting an organization's activities. They are held for several
reasons, including business continuity, legal or statutory requirements, or as permanent records of the
enterprise. In many cases, ERRM is a mandatory program, and enterprises have no choice but to spend
money to meet legal or regulatory requirements. Penalties for lack of compliance can range from
censure to fines or, in extreme cases, to suspension of business activities. (From Gartner Research)
(Note: see also the definition for Public Record, and note the distinction for record destruction vs.
record disposition.)

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Forms capture and processing Forms-capture and forms-processing software apply recognition
technologies such as OCR, ICR and bar code against an electronic document (such as scanned paper
and electronic fax) to increase the data entry throughput with a lower labor component. In the simplest
case, a document is scanned, and key fields (for example, name, account number, age, purchase
amount, tax owed) are recognized and translated, verified and passed to a database or line-of-business
application. The leading forms processing and capture vendors are providing multichannel, multiprotocol
(paper, Web, fax, e-mail) capture and export capabilities.
Through 2005, the leading forms-processing vendors will be those with strong product and channel
relationships with the major document imaging vendors and integrators (0.8 probability) (From
Gartner Research).
General schedule means a records retention and disposition schedule that specifies the disposition of
support records common to many offices or agencies within government. See also: records retention
and disposition schedule.
Human readable form means information that can be recognized and interpreted without the use of
technology.
Integrated document archive & retrieval system (IDARS) serve as an archive repository for large volumes
of fixed content while enabling access to, and delivery of, that content through multiple output channels.
This "fixed content" includes report print streams, such as customer statements and related
communications, and images of scanned documents, such as invoices, checks and contracts. IDARS
also fulfill the reporting needs of enterprise applications, such as enterprise resource planning (ERP)
and CRM.
o IDARS provides consolidated storage, access, management and viewing of data that is often print-
stream-originated, such as line data, advanced function presentation, Metacode, PostScript and
Printer Control Language (PCL). IDARS is a mature market segment that has the potential for
significant growth, particularly related to bill presentment opportunities
o Through 2005, the IDARS software market will be dominated by the top eight vendors (0.7
probability). It will then cease to be a stand-alone market as content/IDM vendors will move in and
acquire or offer these capabilities.
o By 2007, the IDARS market will cease to be a stand-alone market and will merge into the ECM
Category (0.7 probability). By 2007, IDARS will become integral components of ECM suites (0.7
probability).
o By 2005, all of the major stand-alone IDM vendors will have evolved into Content Management suite
vendors (0.8 probability) (From Gartner Research).
Integrated Document Management (IDM) systems contain document/file creation and management tools
that organize, import/export, provide version control, security, logs, text search, storage management
and more.
o IDM software is an infrastructure service for securely organizing and managing electronic
documents, routing documents, automating related tasks and facilitating document distribution. Core
IDM functionality includes library services (check-in/checkout, version control and document-level
security), cross-repository searching and common system administration. IDM and Web Content
Management (WCM) vendors have taken up the Enterprise Content Management message. For the
IDM vendors, this means adding richer support for Web technologies and standards HTML, XML,
Web Distributed Authoring and Versioning (WebDAV) as well as greater functionality around Web
publishing. Many IDM vendors are also incorporating enhanced search-and-retrieval capabilities,
along with support for compound documents and document component management.
o IDM software architectures are evolving from repositories designed to handle specific types of
information to integrated repositories designed to handle many types of unstructured information (for
example, text, images, Web pages, video, audio and report data). These integrated repositories will
add functionality required not only to manage the information, but also to understand the information
content and structure. These expanded repository capabilities are key to the broader Content
Management concept.
o By 2005, all of the major stand-alone IDM vendors will have evolved into Content Management
suite vendors or smart enterprise suite vendors (0.8 probability) (From Gartner Research).

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Information system means an electronic framework by which hardware and software resources are
coordinated to manipulate and convert inputs into outputs in order to achieve the objective of an
enterprise.
Life cycle means the life span of a record from its creation or receipt to its final disposition.
Medium, media means the physical material on which information can be recorded.
Microforms means microfilm media, including reels, fiche, jackets, and computer output microfilm (COM)
containing micro images.
NARA National Archives and Records Administration
Network Attached Storage (NAS) is a LAN-attached storage server with a small, optimized system software
package dedicated to performing storage related tasks. It includes preconfigured disk capacity that can
be quickly installed on popular network platforms. NAS provides this expanded capacity without
sacrificing either file access speed or system throughput, which would be affected by network storage
add-ons such as tape libraries, CD towers, or optical jukeboxes. Instead, NAS storage devices are
usually magnetic disks or RAID arrays that provide seamless, high performance file access and filing by
operating at full hard disk speed. And the cost in time, resources, and inconvenience is far less than that
of increasing internal storage space within the server or implementing a SAN. (See Storage Area
Network (SAN).)
Non-record means extra copies of documents kept solely for convenience of reference, stocks of
publications, records not usually included within the scope of the official records of an agency or
government entity, and library material intended only for reference or exhibition. The following specific
types of materials are non-records: materials neither made nor received in pursuance of statutory
requirements nor in connection with the functional responsibility of the officer or agency; extra copies of
correspondence; preliminary drafts or other material summarized in final or other form and which have
no value once action has been taken; blank
Operating system, means the master control software that runs a computer. When the computer is turned
on, the operating system is the first program that gets loaded into the memory of the machine.
Paper scanning, optical character recognition/intelligent character recognition (OCR/ICR) and imaging
One of the oldest Enterprise Content Management technologies, document imaging is more than 20
years old. It has evolved from proprietary stand-alone systems to standards-based applications. Imaging
is used heavily in the financial service industries, banking and insurance. Government agencies are also
heavy users of scanning technology. Because of its longevity, imaging technology has become highly
commoditized and, therefore, presents a difficult market for stand-alone imaging vendors to succeed in.
Imaging is now most often paired with integrated document management (IDM) solutions. Imaging
applications are distinguished by their volume requirements. Although most imaging applications are
more modest, high-volume scanning and imaging systems process more than 100,000 images per day.
The few remaining stand-alone imaging vendors will be acquired or will exit the market by 2004 (0.9
probability) (From Gartner Research).
Pending litigation means a proceeding in a court of law whose activity is in progress but not yet completed.
Program means a coded set of instructions, written by humans, that directs a computers functions. The
program can be stored on disk (in which case the program is software) or in a chip (which is firmware).
Public record means all books, papers, maps, photographs or other documentary materials, regardless of
physical form or characteristics, made or received by any agency in pursuance of law or in connection
with the transaction of public business and preserved, or appropriate for preservation, by the agency or
its legitimate successor as evidence of the organization, functions, policies, decisions, procedures,
operations or other activities of the government, or because of the informational and historical value of
data contained therein.
Records custodian means the statutory head of the agency or his or her designee.
Records Liaison Officer (RLO) means the individual in the custodial agency designated by the records
custodian to cooperate with, assist, and advise the General Services Department in creating efficient

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 and effective records management programs. The RLO in an agency is responsible for implementing the
records retention and disposition schedules within his or her agency. The records liaison is also
responsible for authorizing the storage and or destruction of his or her agencys records.
Records management means the systematic control of all records from creation or receipt through
processing, distribution, maintenance and retrieval, to their ultimate disposition.
Records retention period means the period of time during which records must be maintained by an
organization because they are needed for operational, legal, fiscal, historical or other purposes.
Records retention and disposition schedules, means document that specifies actions for the retention and
disposition of current, inactive, and non-current records series of an organization or agency.
Records series means file units, documents, or electronic records arranged according to a filing system or
maintained as a unit because they relate to a particular subject or function, result from the same activity,
have a particular form, or share some other relationship arising from their creation, receipt, or use.
Storage The State Commission of Public Records (SRCA) provides secure storage for in-active public
records maintained by state agencies. The SRCA maintains two records center facilities; the
Albuquerque facility has a storage capacity of 45,000 cubic feet and the records center in Santa Fe has
a storage capacity of 75,000 cubic feet. The Record Center Services Bureau staff monitors and handles
the transfer, receipt, storage, and withdrawal of in-active records housed in the record facilities for state
agencies. When those records have met their legal retention, the staff executes the disposition of the
records. The disposition would be one of two situations, 1) transfer to Archives or 2) destruction.
Storage Area Network (SAN) is a technology designed to overcome throughput and data-sharing issues that
are common in existing data networks. SANs are fully scalable, fault-resilient shared data repositories
providing unlimited mixing and matching of storage devices, storage space, and even files (under certain
conditions) across the network. They are fast becoming the architecture of choice for centrally managed
network storage tasks. SANs are high-speed, high-bandwidth I/O channels (usually Fibre Channel) that
connect to the back end of local area network (LAN) servers. They remove cumbersome storage
functions from the server, thus improving overall LAN and WAN performance. A typical SAN includes a
blend of storage devices (such as automated tape libraries or RAID) capable of communicating with
multiple hosts and with each other over a fast, fault-tolerant storage pipeline (the SAN). The SAN is
actually a dedicated storage access I/O channel (containing network properties) optimized for handling
storage tasks.
Scheduling means the action of establishing retention periods for records and providing for their proper
disposition at the end of active use.
Taxonomy - A taxonomy is a classification scheme. Content Taxonomy is a classification of all unstructured
content (document images, papers, books, maps, email, web sites, HTML, XML, photographs, forms,
audio, video, text, and reports). The taxonomy automatically controls the attribution and organization of
enterprise content based on information extraction, conceptual classification, business analysis, and
taxonomy and metadata management capabilities. The taxonomy enables advanced search, easier
navigation, and more effective personalization to facilitate content reuse.
Transfer means moving inactive records to a records center or archives. Moving records into the state
archives also includes the transfer of custody from the custodial agency to the state archives.
TIFF" means tagged image file format, a standardized format for storage of digitalized images, which contains
a header or tag that defines the exact data structure of the associated image.
Vital records means records essential to the continuing operation of an agency. They are either intrinsically
irreplaceable or irreplaceable because copies do not have the same value as the originals. They are
essential to the continuity of services during a disaster or to the restoration of daily business when it has
been interrupted. They are the records that would be required to protect the legal and financial interests
of an agency, preserve the rights of the people, and resume operations after a major disaster like fire or
flood.

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Voice mail means a telecommunication message that is digitized and can be stored and subsequently
retrieved in audio or visual format.
Web Content Management (WCM) addresses the content creation, review and approval, and publishing
processes. Typical applications rely on XML/XSL technology through templates and stylesheets to
enable highly flexible output of content to multiple channels. Through year-end 2002, the WCM market
will continue to consolidate.
o From the vendor perspective, IDM and WCM vendors are moving into each other's markets, and
this represents an evolution of both technologies. There is some natural overlap of functionality
related to document production and management. Users had balked at the high cost required to
bring up two separate systems. Vendors offering both sets of functionality include Gauss Interprise,
FileNET, Documentum, Interwoven and Hyperwave.
o By 2006, WCM functionality will become commoditized into infrastructure applications, including
Content Management suites, portals and other applications (0.7 probability). (From Gartner
Research)
Website means a presence on the internet or intranet containing information that represents an agency or
presents information on specific subjects or allows transactions to be conducted through the use of links
or web pages. A website is normally hosted and maintained by an agency or by another entity sharing
internet resource or through an internet service provider.
Work process management - aka workflow, work management, process automation or e-process
management software is a tool for automating business processes and handling the interrelationships
between the components of a business process, participants, procedures, information, tasks and
management. Document-centric workflow was pioneered in the 1980s as a means of routing images of
documents through a processing or approval cycle in an organization. The goal is to create an ideal
document route through an enterprise, not simply to automate an established paper-based process.
o Most Integrated Document Management (and Enterprise Content Management) software includes
some workflow functionality. At a minimum, document versions can be sent along predefined routes
for review or approval. At the higher end is workflow that includes task assembly, task assignment
and task tracking to completion. IDM software products generally contain ad hoc workflow features
such as routing and e-mail notification, but may permit integration of third-party workflow packages
when greater processing and control features are required. (From Gartner Research)

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APPENDIX H GSD ECM-EDMS Project Acronyms
APD Advance Planning Document
CIO Chief Information Officer
CRM Customer relationship management
DAM Digital Asset Management
DFA Department of Finance and Administration
DoIT Department of Information Technology
ERP Enterprise Resource Planning
ESC Executive Steering Committee
GSD General Services Department
HIPAA - Health Insurance Portability and Accountability Act of 1996
GSD General Services Department
IT Information Technology
ITC IT Commission, a State CIO sponsored commission
MAG Multi Agency team
PD Project director
PMBOK Project Management Book of Knowledge
PMI Project Management Institute
PT Project team
RFP Request for proposal
VR Vital Records
WBS Work breakdown structure

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APPENDIX P - Project Management Definitions
Below is a list of project management terms. These definitions were supplied by the NM Department of
Information Technology office.

Acceptance Criteria
The criteria that a system or component must satisfy in order to be accepted by a user, customer, or other
authorized entity. [IEEE-STD-610]
Acceptance Testing
Formal testing conducted to determine whether or not a system satisfies its acceptance criteria and to enable
the customer to determine whether or not to accept the system. [IEE-STD-610]
Assumptions
Planning factors that for planning purposes, will be considered true, real, or certain. Assumptions generally
involve a degree of risk. They may be documented here, or converted to formal risks.
Baseline
A specification or product that has been formally reviewed and agreed upon that thereafter serves as the basis
for further development, and that can be changed only through formal change control procedures. [IEEE-STD-
610]
Commitment
A commitment is a pact that is freely assumed, visible, and expected to be kept by all parties.
Configuration Management (CM)
A discipline applying technical and administrative direction and surveillance to identify and document the
functional and physical characteristics of a configuration item, control changes to those characteristics, record
and report change processing and implementation status, and verify compliance with specified requirements.
[IEEE-STD-610]
Configuration Management Library System
These are the tools and procedures needed to access the contents of the software baseline library.
Constraints
Factors that will (or do) limit the project management teams options. Contract provisions will generally be
considered constraints.
Contingency Planning
Contingency Planning is the development of a management plan that identifies alternative strategies to be used
to ensure project success, if specified risk events occur.
Crashing
Crashing is taking action to decrease the total duration after analyzing a number of alternatives to determine
how to get the maximum duration compression for the least cost.
Critical Path
Critical Path is a series of activities that determines the duration of the project. The critical path usually defined
as those activities with float less than or equal to specified value often zero. It is the longest path through the
project.
Dependencies, Discretionary

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Dependencies defined by the project management team. They should be used with care and usually revolve
around current Best Practices in a particular application area. They are sometimes referred to as soft logic,
preferred logic, or preferential logic. This may also encompass particular approaches because a specific
sequence of activities is preferred, but not mandatory in the project life cycle.
Dependencies, Mandatory
Dependencies inherent to the work being done. In some cases, they are referred to as hard logic.
Dependency Item
A product, action, piece of information, etc., that must be provided by one individual or group to a second
individual or group so they can perform a planned task.
Deliverable
Any measurable, tangible, verifiable outcome, result, or item that must be produced to complete a project or part
of a project that is subject to approval by the project sponsor or customer.
Duration
The number of work periods (not including holidays or other nonworking periods) required to complete an activity
or other project element.
Duration Compression
Shortening the project schedule without reducing the project scope. Often increases the project cost.
End User
The individual or group who will use the system for its intended operational use when it is deployed in its
environment.
Effort
The number of labor units required to complete an activity or other project element, usually expressed as staff
hours, staff days, or staff weeks.
Fast Tracking
Compressing the project schedule by overlapping activities that would normally be done in sequence, such as
design and construction.
Float
The amount of time that an activity may be delayed from its early start without delaying the project finished date.
Formal Review
A formal meeting at which a product is presented to the end user, customer, or other interested parties for
comment and approval. It can also be a review of the management and technical activities and of the progress
of the project.
Integrated Project Plan
A plan created by the project manager reflecting all approved projects and sub-projects.
Lessons Learned
The learning gained from the process of performing the project. Lessons learned may be identified at any point
during the execution of the project.
Method
Method is a reasonably complete set of rules and criteria that establish a precise and repeatable way of
performing a task and arriving at a desired result.
Methodology

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A collection of methods, procedures, and standards that defines an integrated synthesis of engineering
approaches to the development of a product.
Milestone
A scheduled event for which some individual is accountable and that is used to measure progress.
Non-technical Requirements
Agreements, conditions, and/or contractual terms that affect and determine the management activities of an
architectural and software project.
Performance Reporting
Collecting and disseminating performance information. This includes status reporting measurement, and
forecasting.
Procurement Planning
Determining what to procure and when.
Product Scope
The features and functions that characterize a product or service.
Project Leader (Technical)
The leader of a technical team for a specific task, who has technical responsibility and provides technical
direction to the staff working on the task.
Project Management
The application of knowledge, skills, tools, and techniques to project activities to meet the project requirements.
Project Management is also responsible for the oversight of the development and delivery of the architecture
and software project.
Program
A group of related projects managed in a coordinated way. Programs include an element of ongoing work.
Program Management Office
An organizational entity responsible for management and oversight of the organizations projects. As a specific
reference in this document, the Office of the Chief Information Officer.
Project Manager
The role with total business responsibility for an entire project. The individual who directs, controls, administers,
and regulates a project. The project manager is the individual ultimately responsible to the customer.
Project Charter
A document issued by senior management that formally authorizes the existence of a project. It provides the
project manager with the authority to apply organizational resources to project activities.
Project Management Plan
A formal, approved document used to guide both project execution and project control. The primary uses of the
project plan are to document planning assumptions and decisions, facilitate communication among stakeholders,
and documents approved scope, cost, and schedule baselines. The Project Management Plan (PMP) is a
project plan.
Project Schedule
A tool used to indicate the planned dates, dependencies, and assigned resources for performing activities and
for meeting milestones. Software products such as ABTs Workbench and Microsoft Project are tools used to
develop project schedules.

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Project Scope
The work that must be done to deliver a product with the specified features and functions.
Project Sponsor
The individual that provides the primary sponsorship for an approved project. This individual will play a key role
in securing funding, negotiating for resources, facilitating resolution of critical organizational issues, and
approving key project deliverables.
Quality
The degree to which a system, component, or process meets specified requirements.
The degree to which a system, component, or process meets customer or user needs or expectations. [IEEE-
STD-610]
Quality Management
The process of monitoring specific project results to determine id they comply with relevant standards and
identifying ways to eliminate causes of product non-compliance.
Risk
Possibility of suffering loss.
Risk Management
An approach to problem analysis, which weighs risk in a situation by using risk probabilities to give a more
accurate understanding of, the risks involved. Risk Management includes risk identification, analysis,
prioritization, and control. Risk mitigation seeks to reduce the probability and/ or impact of a risk to below an
acceptable threshold.
Risk Management Plan
The collection of plans that describes the Risk Management activities to be performed on a project.
Scope Change
Any change to the project scope. A scope change almost always requires an adjustment to the project cost or
schedule.
Software Life Cycle
The period of time that begins when a software product is conceived and ends when the software is no longer
available for use. The Software Life Cycle typically includes a concept phase, requirements phase, design
phase, implementation phase, test phase, installation, and checkout phase, operation and maintenance phase,
and, sometimes, retirement phase.
Stakeholder
Individuals and organizations that are actively involved in the project, or whose interests may be positively or
negatively affected as a result of project execution or project completion. They may also exert influence over the
project and its results.

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APPENDIX R References

1. ECM Suites Emerge From Industry Consolidation, GARTNER Research; Publication

Date: 11 November 2004/Number: G00122995
2. Hammer, Michael. Beyond Reengineering, How the Process-Centered Organization is
Changing Our Work and Our Lives. New York: HarperCollins Publishers, Inc., 1996.
3. Review Your IDARS Plans as the Market Consolidates, GARTNER Research;
Publication Date: 12 November 2004/Number: G00124414
4. Technical Report Framework for Integration of Electronic Document Management
Systems and Electronic Records Management Systems, ANSI/AIIM/ARMA TR48-
2004, Copyright 2004 by AIIM www.aiim.org; ARMA www.arma.org; July 4, 2004

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