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OSI POSI PAPERLESSAPERLESS, W, WEBEB-B-BASEDASED EENVIRONMENTNVIRONMENT
PROJECT MANAGEMENT PLAN PROJECT MANAGEMENT PLAN (PMP)(PMP)
EXECUTIVE SPONSOR – JOHN FRANCHINI, SUPERINTENDENT
EXECUTIVE SPONSOR – JOLENE GONZALES, CAOEXECUTIVE SPONSOR – ALAN SEELEY, ACTING DEPUTY SUPERINTENDENT
EXECUTIVE SPONSOR – BRYAN MAESTAS, CFOEXECUTIVE SPONSOR – DAVID P BARTON, GENERAL COUNSEL
EXECUTIVE SPONSOR – NANDA KUMAR, CIOEXECUTIVE SPONSOR – LARRY PADILLA, IT SPECIALIST
PROJECT MANAGERS – RAND TILTON, JOHN SALAZAR CSWORIGINAL PLAN DATE: OCTOBER 20, 2013
REVISION DATE: OCTOBER 22, 2015REVISION: 4.0
TABLE OF CONTENTS
REVISION HISTORY.............................................................................................................................................. 3
PREPARING THE PROJECT MANAGEMENT PLAN..................................................................................................4
ABOUT THIS DOCUMENT..................................................................................................................................... 4
Project Oversight Process Memorandum – DoIT, July 2007.........................................................................................4
1.0 PROJECT OVERVIEW...................................................................................................................................... 5
Executive Summary - rationale for the Project............................................................................................................51.2 funding and sources...............................................................................................................................................71.3 constraints.............................................................................................................................................................71.4 dependencies.........................................................................................................................................................71.5 ASSUMPTIONS.......................................................................................................................................................81.6 Initial Project Risks Identified...............................................................................................................................8
2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE...........................................................................11
2.1 Stakeholders........................................................................................................................................................122.2 Project Governance Structure..............................................................................................................................12
2.2.1 Describe the organizational structure – Org Chart...................................................................................122.2.2 Describe the role and members of the project steering committee.........................................................132.2.3 Organizational Boundaries, interfaces and responsibilities.....................................................................14
2.3 Executive Reporting.............................................................................................................................................14
3.0 SCOPE......................................................................................................................................................... 15
3.1 Project Objectives................................................................................................................................................153.1.1 Business Objectives..................................................................................................................................153.1.2 Technical Objectives................................................................................................................................16
3.2 Project exclusions................................................................................................................................................163.3 Critical Success Factors........................................................................................................................................16
4.0 PROJECT DELIVERABLES AND METHODOLOGY.............................................................................................17
4.1 Project Management Life Cycle............................................................................................................................174.1.1 Project Management Deliverables...........................................................................................................184.1.2 Deliverable Approval Authority Designations..........................................................................................234.1.3 Deliverable Acceptance Procedure...........................................................................................................23
4.2 PRODUCT LIFE CYCLE............................................................................................................................................234.2.1 Technical Strategy...................................................................................................................................254.2.2 Project management Deliverables...........................................................................................................264.2.2.1 Software Configuration Vendor Deliverables........................................................................................404.2.3 Deliverable Approval Authority Designations..........................................................................................784.2.4 Deliverable Acceptance Procedure...........................................................................................................80
5.0 PROJECT WORK........................................................................................................................................... 80
5.1 Work Breakdown Structure (WBS).......................................................................................................................805.2 Major Project Deliverables...................................................................................................................................81
5.2.1 Schedule allocation -Project Timeline......................................................................................................825.3 Project Budget.....................................................................................................................................................865.4 Project Team........................................................................................................................................................88
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5.4.1 Project Team Organizational Structure....................................................................................................885.4.2 Project Team Roles and Responsibilities..................................................................................................88
5.5 STAFF PLANNING AND Resource ACQUISITION....................................................................................................905.5.1 Project Staff.............................................................................................................................................91
5.6 PROJECT LOGISTICS..............................................................................................................................................945.6.1 Project Team Training..............................................................................................................................95
6.0 PROJECT MANAGEMENT AND CONTROLS....................................................................................................95
6.1 Risk and issue Management.................................................................................................................................956.1.1 Risk Management Strategy......................................................................................................................956.1.2 Project Risk Identification........................................................................................................................966.1.3 Project Risk Mitigation Approach............................................................................................................966.1.4 Risk Reporting and Escalation Strategy...................................................................................................966.1.6 ISSUE MANAGEMENT..............................................................................................................................966.1.6.1 Internal Issue Escalation and Resolution Process..................................................................................976.1.6.2 External Issue Escalation and Resolution Process.................................................................................97
6.2 INDEPENDENT Verification And Validation - Iv&V................................................................................................976.3 Scope Management Plan...................................................................................................................................102
6.3.1 Change Control......................................................................................................................................1036.3.1.1 Change Control Process......................................................................................................................1036.3.1.2 Change Control Board (CCB)...............................................................................................................104
6.4 Project Budget Management.............................................................................................................................1066.4.1 Budget Tracking.....................................................................................................................................108
6.5 Communication Plan..........................................................................................................................................1086.5.1 Communication Matrix..........................................................................................................................1086.5.2 Status Meetings.....................................................................................................................................1096.5.3 Project Status Reports............................................................................................................................109
6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)........................................................................................1096.6.1 Baselines................................................................................................................................................1106.6.2 Metrics Library.......................................................................................................................................110
6.7 QUALITY OBJECTIVES AND CONTROL.................................................................................................................1106.7.1 quality Standards...................................................................................................................................1106.7.2 Project and Product Review AND ASSESSMENTS...................................................................................1116.7.3 Agency/Customer Satisfaction...............................................................................................................1116.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS....................................................................................111
6.8 CONFIGURATION MANAGEMENT......................................................................................................................1126.8.1 Version Control......................................................................................................................................1126.8.2 Project Repository (Project Library).......................................................................................................112
6.9 PROCUREMENT MANAGEMENT PLAN...............................................................................................................112
7. 0 PROJECT CLOSE......................................................................................................................................... 113
7.1 Administrative Close..........................................................................................................................................1137.2 Contract Close....................................................................................................................................................113
APPENDIX A – OSI DOCKETING (IDMS), CASE MANAGEMENT, CAPTURE/SCAN, SBS PROJECT TIMELINE............114
APPENDIX B – OSI PAPERLESS PROJECT DEFINITIONS.......................................................................................115
APPENDIX C – OSI PAPERLESS PROJECT ACRONYMS.........................................................................................121
APPENDIX D - PROJECT MANAGEMENT DEFINITIONS.......................................................................................122
APPENDIX E – Work Breakdown Structure...............................................................................................................127
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REVISION HISTORYREVISION HISTORY
RREVISIONEVISION N NUMBERUMBER DDATEATE CCOMMENTOMMENT
1.0 October 20, 2013 OSI First Draft
2.0 October 22, 2013 Minor editing
2.1 October 27, 2013 OSI ESC Recommended revisions
Add Deliverable costs thru June 2014
Risk updates
2.2 April 7, 2014 Implementation Certification
Configuration Vendor Case Management deliverables
2.3 April 23, 2014 Updated WBS
2.4 May 6, 2014 Configuration Vendor Capture/Scan deliverables
Added Total Cost of Ownership through FY18
2.5 June 25, 2014 Added IV&V information
2.6 July 9, 2014 Updated all deliverables
Updated Project Risk
Minor editing
2.7 July 25, 2014 Updated project risks
Minor editing
2.8 August 4, 2014 Updated project schedule
2.9 September 18, 2014 Updated project schedule
3.0 October 16, 2014 Updated project schedule
Updated project Visio timeline
Updated Total Cost of Ownership
3.1 November 18, 2014 Updated Project Schedule
Updated Project Visio Timeline
3.2 December 4, 2014 Updated Total Cost of Ownership
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3.3 January 15, 2015 Updated Case Management Project
Updated Capture Scan Project
Updated Total Cost of Ownership
Updated Project Visio Timeline
3.4 March 4, 2015 Updated Risks to include Risk 11
Updated Deliverable Dates for Case Management Project
Updated Project Budget with updated TCO amounts
Update Appendix A to include updated timelines for Data Warehouse and SBS project
3.5 June 4, 2015 Updated Risks to remove Risk 11
4.0 October 14, 2015 Updated Case Management Project
Update Data Warehouse Project
Updated Scan/Link Project
Updated Total Cost of Ownership
PREPARING THE PROJECT MANAGEMENT PLANPREPARING THE PROJECT MANAGEMENT PLAN
The workbook for preparation of the Project Management Plan is built around helping the project manager and the project team to use the Project Management Plan in support of successful projects. Please refer to it while developing this PMP for your project.
ABOUT THIS DOCUMENTABOUT THIS DOCUMENT
PROJECT OVERSIGHT PROCESS MEMORANDUM – DOIT, JULY 2007PROJECT OVERSIGHT PROCESS MEMORANDUM – DOIT, JULY 2007
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,
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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.
“Project manager” means a qualified person from the lead agency responsible for all aspects of the project over the entire project management lifecycle (initiate, plan, execute, control, close). The project manager must be familiar with project scope and objectives, as well as effectively coordinate the activities of the team. In addition, the project manager is responsible for developing the project plan and project schedule with the project team to ensure timely completion of the project. The project manager interfaces with all areas affected by the project including end users, distributors, and vendors. The project manager ensures adherence to the best practices and standards of the Department.
Project product” means the final project deliverables as defined in the project plan meeting all agreed and approved acceptance criteria.
“Product development life cycle” is a series of sequential, non-overlapping phases comprised of iterative disciplines such as requirements, analysis and design, implementation, test and deployment implemented to build a product or develop a service.
1.0 PROJECT OVERVIEW1.0 PROJECT OVERVIEW The Project Overview sets the stage for the details of the project and begins the “story” of the project and plan.
EXECUTIVE SUMMARY - RATIONALE FOR THE PROJECTEXECUTIVE SUMMARY - RATIONALE FOR THE PROJECT ‘The Office of Superintendent of Insurance (OSI) was created on July 1, 2013 pursuant to the passage of Constitutional Amendment 4 during the 2012 General Election and the subsequent enactment of House Bill 45 (Laws of 2013, Chapter 74) from the 1st Session of the 51st Legislature. These actions removed the insurance regulatory function from the Public Regulation Commission (where it was housed as the “Insurance Division”) and placed it in a newly-created adjunct state agency entitled the “Office of Superintendent of Insurance.” The enabling legislation also created an Insurance Nominating Committee to appoint the Superintendent of Insurance.’
‘The staff and physical location of the OSI have remained essentially the same as they were while in the Insurance Division of the PRC. The incumbent Superintendent of Insurance under the PRC, John Franchini, was subsequently appointed by the Insurance Nominating Committee to retain his role as Superintendent.
The scope of this document covers the Paperless, Web Based Environment solution proposed for the Office of Superintendent of Insurance. OSI intends to purchase a Commercial-Off-The-Shelf (COTS) solution, and integrate the COTS solution with the OSI system in a Service Oriented Architecture utilizing web services.
The proposed Paperless Web Based software solution will be housed at the OSI Information Systems Center in the PERA Building and will utilize the following architecture:
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the existing OSI Network;
new OSI agency owned, agency administered Storage Area Network devices for storing financial transactions associated with the proposed Perceptive Software solution;
new application servers and database servers to support the Paperless, Web Based solution
User desktop computing hardware, client software and peripheral equipment will be used by OSI staff members.
The objective for the OSI Paperless, Web-based Environment Project is to migrate the existing docketing processes and imaged documents from the existing New Mexico State Public Regulation Commission (PRC) legacy InfoShare 2000 system into a new-modernized system. The legacy system is owned by the PRC, and since OSI became its own agency in July 2013, the goal is to provide a much needed and modernized solution for the OSI. The proposed system will provide OSI with eDocketing facilities and software functionality which will enable the OSI to perform maintenance of all OSI legal documentation relating to the insurance laws, state statues and OSI administrative policies and procedures. Examples of legal documentation includes: violations, complaints, investigation, or insurance code rule or statute change. The proposed eDocketing software provides OSI with the following capabilities:
scan original documents;
add database index values based on predefined demographic information;
store images, demographic information and associated indexes to a centralized database;
Manage the workflow of incoming legal documentation;
Manage the active and inactive records generated by the OSI.
A Case Management process will also be implemented that provides access to all the software functions including eDocket, business workflow and documents control functionality. This Case Management system will be used primarily by the OSI legal staff to retrieve, modify, analyze, and manage the disposition of all legal insurance code dockets and cases. Examples would be court or legal decisions, violations, complaints, investigation, or insurance code rule or statute change.The proposed system will include capture/scan/file/retrieve process for the scanning and retrieval of all original paper-based insurance documents, insurance records, files, and documents currently stored in boxes for the OSI Bureaus and Business Units. Indexed, scanned, and filed per specific bureau requirements, the documents can be retrieved for all OSI business needs for the following OSI Bureaus:
Financial AuditProducers LicensingCompany LicensingPatient Compensation FundExaminationsOther Bureaus and Business units as identified
The Capture/Scan/File/Retrieve process will be implemented in the following 3 phases:
1. Phase 1 includes the design, development and implementation of Data Warehouse and Search Software Modules including the migration of the legacy IDEAL transactional data to a new database repository and also developing record-searching capabilities.
2. Phase 2 includes the design, development, and implementation of scanning and linking software modules required in imaging original OSI documents and to also create the associated indexing metadata for each image.
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3. Phase 3 includes physical scanning and indexing of paper documents by staff augmentation personnel. This process includes joining the original scanned images to the migrated data from Phase 1.
These proposed software modules meet the OSI requirements of migrating towards a paperless, web-based environment.
This Project is aligned with State IT Strategies: Reduce cost of Government Operations through IT; Reduce Cost of IT Operation through an Enterprise Model; Enhance Delivery of Service to Constituents; Support Economic Development; Consolidate Information Technology Services and to the New Mexico State Records and Archives (SRCA) management and imaging system plan.
1.2 FUNDING AND SOURCES1.2 FUNDING AND SOURCESFiscal Year Amount Funding Source
2013 $590,000 Laws 2012, Chapter 19, Section 7
(The appropriation is from assessments authorized by Section 59A-6-1.1 NMSA 1978 for an insurance division licensing and revenue accounting system)
2014 $1,250,000 Laws 2013, Chapter 227, Section 7
(The appropriation is from the insurance operations fund.)
1.3 CONSTRAINTS1.3 CONSTRAINTSConstraints are factors that restrict the project by scope, resource, or schedule.
Number Description11 Project budget for implementation of the base program is limited
22 Large volumes of paper records
33 Adequate resources to scan documents
44 Statutory requirement to keep records
55 State requirements for oversight as well as the procurement process provide numerous opportunities for extended project delays
66 Delays in processing contract and purchase documents
77 Large volume of records requiring scanning and indexing (between 6.25 to 8.75 million pages)
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1.4 DEPENDENCIES1.4 DEPENDENCIESTypes 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 OSI Business Process Re-Engineering M
3 Department of Information Technology Project Oversight Committee approval of Project certification phases to support on-going project effort
M
4 Indexing and Search defined Metadata requirements and standards M
5 Data conversion from legacy systems M
6 Approval of OSI Imaging System Plan by SRCA E
7 Cost to perform scanning and indexing M
1.5 ASSUMPTIONS1.5 ASSUMPTIONSAssumptions are planning factors that, for planning purposes, will be considered true, real, or certain.
Number Description1 Data will be easily converted and without corruption or loss.2 Vendor will honor contractual obligations.3 Software will integrate with other system software.4 Adequate Budget will be available.5 Adequate staffing levels with the proper skill sets necessary to ensure the system will
perform at level expected.6 Staff is trained properly on the operation of the system to ensure continued success of the
program.7 Vendor will continue to support software and release upgrades/patches on a regular
basis.8 Business Requirements will have minimal change over the life cycle of the project.
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1.6 INITIAL PROJECT RISKS IDENTIFIED1.6 INITIAL PROJECT RISKS IDENTIFIEDIn this section identify and describe how each risk will be managed. Include the steps that will be taken to maximize activity that will result in minimizing probability and impact of each risk.
Risk 1
Description - Insufficient funds appropriated to support this project;
Probability: Low Impact: Medium 1) May be forced to implement application modules in a phased manner. 2) Division may be unable to meet statutory requirements, 3) customer agency needs may not be completely met.
Mitigation Strategy: Request more funding.Contingency Plan - Extend go live date to meet strategy and mitigate the risk.Extend go live date to meet strategy and mitigate the risk.
Risk 2
Description – Inability to retrieve business critical information on a daily or historic basis
Probability - LowProbability - Low ImpactImpact - - Medium Medium 1) may be forced to delay “go-live” date 2) may require additional training at additional costs
Mitigation Strategy – Ensure data is accessible Mitigation Strategy – Ensure data is accessible Contingency Plan - Extend go live date to meet strategy and mitigate the risk.Extend go live date to meet strategy and mitigate the risk.
Risk 3
Description – OSI Users and Technical staff inexperience, lack of training
Probability - lowProbability - low ImpactImpact – – MediumMedium 1) longer learning 1) longer learning curve resulting in longer timeline for curve resulting in longer timeline for production, 2) may require additionalproduction, 2) may require additional training at additional coststraining at additional costs
Mitigation Strategy - Mitigation Strategy - Send key staff to additional training by vendor. Hire staff with experience and required skill setsContingency Plan - Contingency Plan - If we lose key staff or do not hire those with needed skill set we will hire contractual or temporary staff with database experience
Risk 4
Description – Reduced ability for public to access docketing information.
Probability - LowProbability - Low ImpactImpact – H – HIGHIGH
Mitigation Strategy - Ensure public access to non confidential docketing Mitigation Strategy - Ensure public access to non confidential docketing recordsrecordsContingency Plan - Extend go live date to meet strategy and mitigate the risk.Contingency Plan - Extend go live date to meet strategy and mitigate the risk.
Risk 5
Description – Data does not migrate
Probability - MediumProbability - Medium ImpactImpact – – highhigh
Mitigation Strategy - Mitigation Strategy - Vendor and OSI business owners to ensure that data has successfully assessed, mapped, and migrated within project timeline Contingency Plan - Extend go live date to meet strategy and mitigate the risk.Extend go live date to meet strategy and mitigate the risk.
Risk 6Probability - MediumProbability - Medium ImpactImpact – – MedMed
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Description – Testing fails Mitigation Strategy - test all conversions, ensure Metadata is properly tagged Mitigation Strategy - test all conversions, ensure Metadata is properly tagged and indexing is configured correctly. Review all configuration and indexing is configured correctly. Review all configuration Contingency Plan - Extend go live date to meet strategy and mitigate the risk.Extend go live date to meet strategy and mitigate the risk.
Risk 7
Description - All testing issues are not resolved within project timeline
Probability - LowProbability - Low ImpactImpact – – MedMed
Mitigation Strategy - Mitigation Strategy - Ensure that all issues/changes are addressed by vendor and OSI technical staff Conduct weekly status conference calls with vendor Conduct weekly status conference calls with vendor and project teamand project teamContingency Plan - Extend go live date to meet strategy and mitigate the risk.Extend go live date to meet strategy and mitigate the risk.
Risk 8
Description – Failure to adopt/comply with SBS statutory or regulatory recommendations and/or requirements.
Probability - MediumProbability - Medium ImpactImpact – – MEDMED
Mitigation Strategy - Update OSI record retention and disposition rules in Mitigation Strategy - Update OSI record retention and disposition rules in compliance to SRCA standards. Assess adoption of the SBS compliance to SRCA standards. Assess adoption of the SBS recommendations on Uniform Standards and Producers Licensing Model Actrecommendations on Uniform Standards and Producers Licensing Model ActContingency Plan - Extend go live date to meet strategy and mitigate the risk.Extend go live date to meet strategy and mitigate the risk.
Risk 9
Description – OSI Staff expectations for implementation timeline
Probability -lowProbability -low ImpactImpact – – LOWLOW
Mitigation Strategy - Continually communicate realistic timelineMitigation Strategy - Continually communicate realistic timelineContingency Plan - Strategy will be metContingency Plan - Strategy will be met
Risk 10
Description – OSI Resource Availability: Minimum of estimated 25% of OSI resource time needed to be dedicated to this project as Subject Matter Experts (SME) to work to define requirements, attend User training, perform User Acceptance Test (UAT), and other tasks as assigned to implement the project. The overextension of OSI resource time to complete project and daily activities will lead to delays in meeting the project schedule.
Probability -lowProbability -low ImpactImpact – – MEDMED
Mitigation Strategy -Mitigation Strategy - Ensure Senior Management is involved to prioritize and support the project. Fill the vacant OSI positions. Contingency Plan - Extend go live date to meet strategy and mitigate the risk.Extend go live date to meet strategy and mitigate the risk.
Risk 11 – Effective June 4, 2015, Risk 11 is being removed based on direction from the CIO and the Steering Committee members. Rationale for removing includes OSI IT Personnel have supporting documentation, from the Implementation Vendor, on how to configure software to accommodate future software modifications.
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Description – Removed effective June 4,2015.
OSI Staff members not adequately testing Case Management System before Software Warranty Period expires.
Probability – Probability – Removed effective June 4, 2015. MediumMedium
ImpactImpact – – Removed effective June 4, 2015. MEDIUMMEDIUM
Mitigation Strategy - Offer training to OSI staff members on software Mitigation Strategy - Offer training to OSI staff members on software functionality.functionality.Contingency Plan - Use information from past manual cases as production Contingency Plan - Use information from past manual cases as production data to confirm software functionality adequately meets business data to confirm software functionality adequately meets business requirements.requirements.
Risk 12
Description – Allocating sufficient time and resources necessary to perform scanning and indexing. OSI has allocated 1 year to accomplish scanning and indexing; however until all software is fully operational, OSI can not predict actual timeframes.
Probability -Med Impact – MED
Mitigation Strategy – Use staff augmentation personnel to perform imaging of Archived Documents and use OSI personnel to scan and index new/current documents arriving daily. Contingency Plan – Ask for additional staff augmentation personnel .
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2.0 PROJECT AUTHORITY AND ORGANIZATIONAL 2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURESTRUCTUREThe Project Organization describes the roles and responsibilities of the project team. It also identifies the other organizational groups that are part of the project and graphically depicts the hierarchical configuration of those groups. It exists to clarify interaction with the project team.
2.1 STAKEHOLDERS2.1 STAKEHOLDERSList all of the major stakeholders in this project, and state why they have a stake. Stakeholders are individuals and organizations that are actively involved in the project, or whose interests may be positively or negatively affected as a result of project execution or project completion. They may also exert influence over the project and its results.
Name Stake in Project Organization Title
John G. Franchini OVERALL Program responsibility
Office of Superintendent of Insurance (OSI)
Superintendent of Insurance
Robert Doucette Program administration responsibility
OSI Deputy Superintendent of Insurance
Jolene M. Gonzales Program administration responsibility
OSI Chief Administrative Officer
Bryan Maestas Program Financial responsibility
OSI Chief Financial Officer
Alan Seeley OVERALL Program responsibility
OSI Acting Deputy Superintendent
David P. Barton Statutory, Legal Responsibility
OSI General Counsel
Larry Padilla IT system administration OSI IT Specialist
Nanda Kumar Quality Assurance Management and IT system administration
OSI Chief Information Officer
Leo Lucero Executive Record Retention and Disposition Schedule (ERRDS) and System Imaging Plan
SRCA Records Management Bureau Chief
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2.2 PROJECT GOVERNANCE STRUCTURE2.2 PROJECT GOVERNANCE STRUCTURE2.2.1 D2.2.1 DESCRIBEESCRIBE THETHE ORGANIZATIONALORGANIZATIONAL STRUCTURESTRUCTURE – O – ORGRG C CHARTHART
2.2.2 D2.2.2 DESCRIBEESCRIBE THETHE ROLEROLE ANDAND MEMBERSMEMBERS OFOF THETHE PROJECTPROJECT STEERINGSTEERING COMMITTEECOMMITTEE
Role Responsibility
Executive Project Sponsor
The point person for the project within the highest level of the Office of Superintendent of Insurance. Responsibilities include:
Champion the project. Consider potential changes facing the organization and assess
the organizational impact Decide which changes will be instituted, communicate
priorities and provide resources to ensure success Responsible for creating an environment that enables changes
to be made on time and within budget. Participate in planning sessions Member of Steering Committee Ultimate project responsibility
Steering Committee Member
Is chartered to provide governance over the direction and support of the project.
Responsibilities include: Attend and participate in meetings
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Role Responsibility
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
2.2.3 O2.2.3 ORGANIZATIONALRGANIZATIONAL B BOUNDARIESOUNDARIES, , INTERFACESINTERFACES ANDAND RESPONSIBILITIESRESPONSIBILITIES
Use this section to describe any special considerations regarding contact between the project team, the project manager, and individuals from various organizations involved in the project: Boundary, interface and responsibilities at the interface
The Executive Steering Committee and Project Team will continue to maintain contact with SRCA to ensure compliance with the OSI Record Series as well as approval of the OSI Imaging System Plan.
Project Management coordination with SBS/NAIC is critical to successful software implementation.
2.3 EXECUTIVE REPORTING2.3 EXECUTIVE REPORTINGMeetings will be conducted with OSI Executive Steering Committee on a regularly scheduled basis.
Project status updates reports will be sent out prior to, presented, and verbally communicated to OSI Executive Steering Committee conducted at bi-weekly meetings.
OSI management will be kept informed on progress of the project periodically throughout the project life cycle.
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3.0 SCOPE3.0 SCOPE
3.1 PROJECT OBJECTIVES3.1 PROJECT OBJECTIVES3.1.1 B3.1.1 BUSINESSUSINESS O OBJECTIVESBJECTIVES
Number DescriptionBusiness Objective 1 Increased efficiency and productivity through a well managed records
environmentBusiness Objective 2 Optimize business processes, decreasing number of steps, saving timeBusiness Objective 3 Lower the cost of government, more effective Electronic Records
Administration ManagementBusiness Objective 4 Improved service delivery to constituency Business Objective 5 Substantial OSI business process improvements are achievable through
implementing document scanning, electronic document management and electronic records management.
Business Objective 6 Streamline traditional insurance inefficiencies and reduce manual, paper-based processes, which contribute to high costs and overhead expenses.
Business Objective 7 Provide records management for long-term archiving and the automation of retention and compliance policies, and to ensure legal or regulatory record compliance
Business Objective 8 System will provide document management for check-in/check-out, version control, security and library services for business documents
Business Objective 9 Develop a document imaging plan approved by SRCA
3.1.2 T3.1.2 TECHNICALECHNICAL O OBJECTIVESBJECTIVES
Number DescriptionTechnical Objective 1 Web-Based System - will be designed on a public facing network with a
web based platform front-end to allow OSI staff and vendor remote accessTechnical Objective 2 Data will be easily converted and migrated. Metadata will be tagged for
indexing and search capabilities and follow standardsTechnical Objective 3 System will have indexing and archiving functionalityTechnical Objective 4 System Interface - Provide an architecture that will easily interface with
SHARE and eDocket replacement systems Technical Objective 5 Open Architecture - Provide an open architecture infrastructure and
scalable to allow for growthTechnical Objective 6 IT Architecture – ensure system aligns with enterprise-wide IT architectureTechnical Objective 7 Authentication - System will support Microsoft Active DirectoryTechnical Objective 8 Security/User Roles - System will support a secure front end user system
log in and security role level authentication
Technical Objective 9 Extensibility - ensure system is designed to easily allow the addition of new-features later.
Technical Objective 10 Include a Reports Writer module
Technical Objective 11 System must support up to 100 concurrent users
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3.2 PROJECT EXCLUSIONS3.2 PROJECT EXCLUSIONS
Email Archiving - The capability to capture, manage, store and retrieve email is out of scope for this project.
3.3 CRITICAL SUCCESS FACTORS3.3 CRITICAL SUCCESS FACTORSIdentify the critical success factors for achieving success in this project. 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. See also section 6.7 Quality Objectives and Controls.
Number DescriptionQuality 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 insurance payments.Quality Metrics 4 All OSI operational and facility data information is successfully converted
and migrated onto an electronic records management platform.Quality Metrics 5 Applicable OSI Legislative Performance Measures as stated in OSI FY16
Strategic Business and IT plan are met.Quality Metrics 6 System is secure, operable and stableQuality Metrics 7 Data integrity is maintainedQuality Metrics 8 Staff is adequately trainedQuality Metrics 9 Conforms to SRCA Records Management PoliciesQuality Metrics 10 Adopt NAIC-SBS recommended Uniform Licensing Standards (ULS) and
Producers Licensing Model Act (PLMA)
4.0 PROJECT DELIVERABLES AND METHODOLOGY4.0 PROJECT DELIVERABLES AND METHODOLOGY
4.1 PROJECT MANAGEMENT LIFE CYCLE4.1 PROJECT MANAGEMENT LIFE CYCLE
Phase Summary of Phase Key Deliverables
Initiating Main elements include: Authorize the project; Commit organization to project or phase; Set the overall direction; Define top-level project objectives; Secure necessary approvals and resources; Assign Project Manager; Integration Management.
Project Charter, Project Scope, Business Requirements, Assumptions, Constraints,
Planning Main elements include: Define Project scope; Refine Project objectives; define all required deliverables; Create frame for project schedule; Provide forum for information sharing between project team members; Define all required activities; Identify required skills
Project Plan, Critical success factors, Work Break Down Structures, Project Schedule
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and resources; Estimate work effort; Risk analysis and avoidance; Define and estimate all required costs; Obtain project funding approval; Communication Plan.
Executing Main elements include: Coordinate the resources, team development; Quality Assurance; Select subcontractors; Distribute Information; Work the plan.
Actual efforts, Project deliverables completion
Controlling Main elements include: Manage team, stakeholders and subcontractors; Measure progress and monitor performance (overall, scope, schedule, costs and quality); Take corrective action if needed; Change request Management; Risk Management; Performance reports and Communications.
Performance status reports, Corrective Actions, Measurement Metrics, Plan Change Request, Product Change Request, Risk Management, Issues Management
Closing Main elements include: Finalize activities; Administrative close out (gather, distribute, archive information to formalize 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)
Deliverable Acceptance, Lessons Learned
4.1.1 P4.1.1 PROJECTROJECT M MANAGEMENTANAGEMENT D DELIVERABLESELIVERABLES
Project Deliverables are work products or artifacts that are driven by the project management methodology requirements and standard project management practices regardless of the product requirements of the project.
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
PAGE | 17
Project Management Plan “Project management plan” is a formal document approved by the executive sponsor and the Department and developed in the plan phase used to manage project execution, control, and project close. The primary uses of the project plan are to document planning assumptions and decisions, facilitate communication among stakeholders, and documents approved scope, cost and schedule baselines. A project plan includes at least other plans for issue escalation, change control, communications, deliverable review and acceptance, staff acquisition, and risk management plan.
IV&V Contract & Reports “Independent verification and validation (IV&V)” means the process of evaluating a project to determine compliance with specified requirements and the process of determining whether the products of a given development phase fulfill the requirements established during the previous stage, both of which are performed by an organization independent of the lead agency. Independent verification and validation assessment reporting. The Department of Information Technology (DoIT) requires all projects subject to oversight to engage an independent verification and validation contractor unless waived by the Department.
IT Service Contracts The Department of Information Technology and the State Purchasing Division of General Services have established a template for all IT related contracts.
Risk Assessment and management
The DoIT Initial PROJECT RISK ASSESSMENT template is meant to fulfill the following requirement:
“Prepare a written risk assessment report at the inception of a project and at end of each product development lifecycle phase or more frequently for large high-risk projects. Each risk assessment shall be included as a project activity in project schedule.” Project Oversight Process memorandum
Project Schedule A tool used to indicate the planned dates, dependencies, and assigned resources for performing activities and for meeting milestones. The NM de facto standard is Microsoft Project
DoIT Monthly Project Status Reports
Project status reports. For all projects that require Department oversight, the lead agency project manager shall submit an agency approved project status report on a monthly basis to the Department.
Project Closeout Report This is the Template used to request that the project be officially closed. Note that project closure is the last phase of the certification process
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FY16 Project Management Contract
Deliverable One Due Date Compensation
Provide Project Management services for the OSI Paperless,
Web-based Environment Project
WEEKLY UPDATES
to commence July 1, 2015 or upon contract execution,
whichever is later, through June 30, 2016
Not to exceed $4,673.70 (including GRT) every other week, per
weekly status report updates, delivered and accepted, not to exceed total cost of $121,516.20
(including GRT)
Task Item Sub Tasks Description
RISK AND ISSUE MANAGEMENT
Sub 1 Contractor will conduct risk assessments and identify risk mitigation alternatives for the OSI Paperless Web-based Environment Project –
Implementation Phase.
Sub 1.1
The risk assessment includes but is not limited to:a. Staffing and availability of resources;b. Effective change control and management of priorities;c. Quality of assigned resources;d. Acceptance of new business processes;e. Effective operation of the governance structure;f. Budget.
Sub 1.2
Contractor will maintain a risk log to track and identify risk trigger events, defining the event that prompts the risk to become an issue.
Sub 1.3
Contractor will maintain an issue tracking system that includes ongoing list of issues status and corrective action. Issues and corrective action will be reviewed on a weekly basis with the Procuring Agency management team. Contractor will escalate issues to the Procuring Agency CIO and the Executive Steering Committee.
DOIT CERTIFICATION
MONTHLY REPORTING
Sub 2 Contractor will complete the DoIT Certification Monthly Report prior to the 10th day of each month per DoIT requirements. The report will be submitted
electronically via email to Procuring Agency CIO and Procuring Agency CFO, and will be subject to Procuring Agency review and acceptance.
PROJECT CERTIFICATION
DOCUMENTS
Sub 3 Contractor shall prepare material for the Project Certification Committee (PCC) as defined by the DoIT Project Certification Timeline and Gates .
Project Certification documents may include, but are not limited to: Certification Request Forms; PowerPoint Presentations; Project Management Plan;
Technical Architecture Review; Lessons Learned.
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MAINTAIN THE PROJECT SCHEDULE,
PROJECT MANAGEMENT
PLAN, REQUIREMENTS DEFINITION AND REQUIREMENTS TRACEABILITY
MATRIX
Sub 4 Contractor will maintain the project schedule and Project Management Plan The Project Management Plan will include at a minimum:
o Budget management plano Resource management plan
o Communication management plano Requirements management plano Transition to operations plan
Contractor will develop and maintain the Requirements Definition and Requirements Traceability Matrix documents.
Project schedule will be maintained bi-weekly in MS Project and will be submitted electronically via email to the Procuring Agency
Project Team, CIO and the Executive Steering Committee. All documents will be stored with the procuring agency.
The master project schedule and project management plan will be subject to Procuring Agency review and acceptance.
FACILITATE PROJECT STATUS
MEETINGS
Sub 5 Facilitate bi-weekly Project Status meetings. Contractor will ensure that meeting space is secured, provide adequate notice of meeting time and
agendas to participants.
Sub 5.1
Contractor will prepare documentation as assigned by Procuring Agency CIO and present to Executive Steering Committee during
scheduled meetings; Contractor will document meetings and distribute minutes
within 3 working days after the meeting date. Contractor will present meeting minutes to the Executive
Steering Committee for review and acceptance.
Sub 5.2
Contractor will facilitate project meetings with Vendors and Procuring Agency Project Team members. Contractor will track project action
items and schedule, to ensure timely delivery.
Sub 5.3
All agendas and meeting minutes shall be submitted electronically via email to the Procuring Agency Project Team, CIO and the Executive
Steering Committee (using agency supplied templates). All documents will be stored with the procuring agency.
All agendas and meeting minutes will be subject to Procuring Agency review and acceptance.
PROJECT STATUS REPORTING
Sub 6 Contractor will produce and distribute one (1) project status report every week.
The Weekly project status report is to include a summary of the activities of the week, work to be performed the following week, and list any issues preventing the successful completion of tasks.
Report will provide status of Project, identified issues, risks and other resources that may be required to successfully complete the
project.
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Sub 6.1
Contractor will advise Procuring Agency Project Team, the CIO and the Executive Steering Committee on the project status and project management issues by analyzing issues, evaluating quality and
progress, and formulating recommendations for actions.
Sub 6.2
Contractor will conduct evaluation of Procuring Agency human resource allocation to the project and will provide management
recommendations on all items.
Sub 6.3
Contractor will review each project management report with the Procuring Agency Project Team the CIO and the Executive Steering
Committee, on a bi-weekly basis.
Sub 6.4
Contractor shall submit all project status reports electronically (using agency supplied templates) via email to the Procuring Agency Project Team, the Agency CIO and the Executive Steering Committee on a
weekly basis. All documents will be stored with the procuring agency.
Contractor will review project status reports with IV&V vendor. All project status reports will be subject to Procuring Agency review and
acceptance.
DEVELOPMENT, TESTING AND
DEPLOYMENT OF THE OSI CAPTURE,
SCAN, LINK, FILE, RETRIEVAL SOLUTION
Sub 7 Contractor will facilitate the development, testing and implementation of a the OSI Capture, Scan, Link, File and Retrieve solution with the selected
configuration vendor.
Sub 7.1
Contractor will initiate coordination between the OSI Capture, Scan, Link, File and Retrieval team members and the configuration vendor
to: Schedule the kick-off meeting;
Support development of the schedule for implementation; Identify initial dependencies (including hardware
environment, software licenses, and secure access to servers).
Sub 7.2
Contractor will coordinate activities between OSI personnel and the configuration vendor to support the OSI Capture, Scan, Link, File and Retrieval Requirements Gathering and Documentation including but
not limited to: Workflow information, business rules processing, and image
retrieval requirements.
Sub 7.3
Contractor will coordinate activities between OSI personnel and the configuration vendor to support Software Design, Configuration,
Testing and Installation activities.
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Sub 7.4
Contractor will coordinate activities between OSI technical team members, OSI personnel and the configuration vendor to support
Training and Testing including but not limited to: Coordinate with configuration vendor to provide software
administration training to the agency IT administration team on Perceptive Software: Image Now – System Administration,
Image Now – Privileges and Security, Capture – Profile Administration;
Software administration procedures and technical training manuals;
Training curriculum and training manuals;
Sub 7.5
Contractor will coordinate activities between the OSI technical team members, OSI personnel and the configuration vendor to support End
User Training
Sub 7.6
Contractor will coordinate activities between the OSI technical team members, OSI Personnel and the configuration vendor to support
System Integration Testing including but not limited to: Document the system test procedure, test cases and scenarios,
test pass/fail criteria, and test results report; Verify that system testing meets pass/fail criteria, and test
results report show zero (0) errors and defects.
Sub 7.7
Contractor will coordinate activities between the OSI technical team members, OSI personnel and the configuration vendor to support User
Acceptance Testing (UAT) including but not limited to: Validating adequate Documentation for conducting UAT
procedures, test cases and scenarios, test pass/fail criteria, and test results report;
Verify that UAT meets pass/fail criteria, and test results report show zero (0) errors and defects.
Sub 7.8
Contractor will coordinate activities between the OSI technical team members, OSI personnel and the configuration vendor to support Go
live including but not limited to: Go live to production and verification procedures;
Verify go live to production show zero (0) errors & defects.
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Sub 7.9
Contractor will provide weekly status updates on OSI Capture, Scan, Link, File and Retrieval Contract Deliverables. These shall be
reviewed during status meetings and submitted electronically via email to the Procuring Agency Project Team, Executive Steering Committee,
and Agency CIO. All documents will be stored with the procuring agency.
The OSI Capture, Scan, Link, File and Retrieval deliverables will be subject to Procuring Agency review and acceptance.
PLANNING AND IMPLEMENTATION
PHASES: FACILITATE SBS
INTEGRATION
Sub 8 Contractor will coordinate activities with the State Based Systems (SBS) teams for the integration of SBS software solution within OSI. Note that for
each of the SBS project segments listed below, the agreed goal is to minimize any modifications to the baseline State Based System.
Sub 8.1
Contractor will ensure that the SBS Pre-Visit Checklists are completed by coordinating with OSI subject matter experts to gather the required
information for: Opt Ins.
OSI / SBS Phase I Project: Contracts / CE / Revenue.
8.2 Contractor will coordinate activities between NAIC personnel and OSI Project Teams to schedule SBS On-site visit.
8.3 Contractor will support NAIC Analysis by coordinating with OSI subject matter experts to gather the required information for:
Opt Ins. OSI / SBS Phase I Project: Contracts / CE / Revenue.
8.4 Contractor will provide weekly status updates on the SBS deliverables. These shall be reviewed during status meetings and submitted
electronically via email to the Procuring Agency Project Team, Executive Steering Committee, and Agency CIO.
All documents will be stored with the procuring agency.
The weekly status updates will be subject to Procuring Agency review and acceptance.
IMPLEMENTATION PHASE: UPDATE AND MAINTAIN OSI IMAGING SYSTEM PLAN
Sub 9 Contractor will update and maintain the OSI Imaging System Plan in compliance with 1.14.2.15 NMAC – IMAGING SYSTEM
MANAGEMENT.
Sub9.1
Contractor will ensure the OSI Imaging System Plan is updated and maintained as each OSI Division implements document imaging
including but not limited to:a. The OSI Records Retention and Disposition Schedule is in
alignment with SRCA updates to 1.18.440 NMAC – OSI Executive Records Retention and Disposition Schedule;
b. Update data dictionary;c. Update technical specifications.
PAGE | 23
Sub9.2
Contractor will work closely with the SRCA Records Management team to facilitate SRCA approval for each new version of the OSI
Imaging System Plan.
Sub 9.3
Contractor will provide weekly status updates on the OSI Imaging System Plan deliverables. These shall be reviewed during status meetings and submitted electronically via email to the Procuring
Agency Project Team, Executive Steering Committee, and Agency CIO.
All documents will be stored with the procuring agency.
The OSI Imaging System Plan deliverables will be subject to Procuring Agency review and acceptance.
4.1.2 Deliverable Approval Authority DesignationsComplete the following table to identify the deliverables this project is to produce, and to name the person or persons who have authority to approve each deliverable.
Deliverable Number Deliverable
Approvers (Who can approve)
Date Approved
PRJ-DEL-001
Planning and Implementation Phases: Risk and Issue Management
OSI Paperless Project Executive Steering Committee
Minimum bi-weekly in ESC meeting or as needed
PRJ-DEL-002
PCC Planning, implementation, and close Phases: DoIT Certification Monthly Reporting
OSI Chief Information Officer
Monthly on the 10th day.
PRJ-DEL-003
Planning and Implementation Phases: Project Certification Documents
OSI Paperless Project Executive Steering Committee
One (1) month prior to scheduled DoIT PCC meeting.
PRJ-DEL-004
Planning and implementation Phases: Maintain the Project Schedule and the Project Management Plan
OSI Paperless Project Executive Steering Committee
Minimum bi-weekly in ESC meeting or as needed
PRJ-DEL-005
Planning and implementation Phases: Facilitate Project Status Meetings
OSI Paperless Project Executive Steering Committee
Minimum bi-weekly in ESC meeting or as needed
PRJ-DEL-006
Planning and implementation Phases: Project Status Reporting
OSI Paperless Project Executive Steering Committee
Minimum bi-weekly in ESC meeting or as needed
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4.1.3 D4.1.3 DELIVERABLEELIVERABLE A ACCEPTANCECCEPTANCE P PROCEDUREROCEDURE
Describe the process that this project will use for the formal acceptance of all deliverables:
The OSI Paperless Project Executive Steering Committee meets bi-weekly to review and approve deliverables. If the deliverable is rejected, the Project Director must inform the vendor submitting the deliverable of the committee’s action and must also identify, in writing, why the deliverable was rejected, and what actions must be addressed by the vendor before the deliverable is presented for acceptance again.
4.2 PRODUCT LIFE CYCLE4.2 PRODUCT LIFE CYCLE “During the project management lifecycle, agencies shall select and implement a phase product development lifecycle methodology approved by the Department.
Phase Summary of Phase Key DeliverablesInitiating The OSI requirements have been
defined and documented. See Requirements at on the OSI SharePoint site
Requirements Documents
Planning Business Process Reengineering documentation will be developed to define goals, business processes, workflow, critical factors, current environment, sizing requirements, # of users, work processing requirements.
Business Process Reengineering documents
Planning The Vendor will be required to deliver design documents for authentication, reporting, and the database feeds.
Design Documents
Executing OSI 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 OSI systems at minimal cost.
Systems Specifications
Executing The system will be open architecture and be certified on standard operating platforms – Windows. 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.
Systems Architecture
PAGE | 25
Executing The Program users will test system functionality, performance, reporting accuracy and response times.IT Technical Support Staff will test system operational performance.
System and Acceptance Testing
Executing The Vendor will be required to deliver design documents for authentication, Reporting, and the Database feeds. Vendor will also integrate data from legacy system.
Operations Requirements
4.2.1 T4.2.1 TECHNICALECHNICAL S STRATEGYTRATEGY
Discuss the key technical strategies for achieving success in this project:
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 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 OSI Paperless Executive Steering Committee, and the lessons learned from others in the Information Technology industry that have implemented package software. Three principles guide the project strategy:
1) Project ManagementOne 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:
PAGE | 26
“Project Management is the application of knowledge, skills, tools and techniques to project activities to meet project objectives. Project Management is accomplished using the processes such as initiating, planning, executing, controlling, and closing. The project team manages the work of the projects, and the work typically involves:
Competing demands for: scope, time, cost, risk and quality. Stakeholders with differing needs and expectations. Identified requirements.
“It is important to note that many of the processes within project management are iterative in nature. This is in part due to the existence of and the necessity for progressive elaboration in a project throughout the project lifecycle, i.e., the more you know about your project, the better you are able to manage it.”
2) Well-defined ObjectivesThe 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.
3) Support ExtensibilityThe objective is to procure a solution designed to easily allow the addition of new features later. This allows OSI Divisions 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 P4.2.2 PROJECTROJECT MANAGEMENTMANAGEMENT D DELIVERABLESELIVERABLES
Project Management Deliverables are work products or artifacts that are driven by the product requirements.
FY16 Project Management Contract
Deliverable One Due Date Compensation
Provide Project Management services for the OSI Paperless,
Web-based Environment Project
WEEKLY UPDATES
to commence July 1, 2015 or upon contract execution,
whichever is later, through June 30, 2016
Not to exceed $4,673.70 (including GRT) every other week, per
weekly status report updates, delivered and accepted, not to exceed total cost of $121,516.20
(including GRT)
Task Item Sub Tasks Description
PAGE | 27
RISK AND ISSUE MANAGEMENT
Sub 1 Contractor will conduct risk assessments and identify risk mitigation alternatives for the OSI Paperless Web-based Environment Project –
Implementation Phase.
Sub 1.1
The risk assessment includes but is not limited to:g. Staffing and availability of resources;h. Effective change control and management of priorities;i. Quality of assigned resources;j. Acceptance of new business processes;k. Effective operation of the governance structure;l. Budget.
Sub 1.2
Contractor will maintain a risk log to track and identify risk trigger events, defining the event that prompts the risk to become an issue.
Sub 1.3
Contractor will maintain an issue tracking system that includes ongoing list of issues status and corrective action. Issues and corrective action will be reviewed on a weekly basis with the Procuring Agency management team. Contractor will escalate issues to the Procuring Agency CIO and the Executive Steering Committee.
DOIT CERTIFICATION
MONTHLY REPORTING
Sub 2 Contractor will complete the DoIT Certification Monthly Report prior to the 10th day of each month per DoIT requirements. The report will be submitted
electronically via email to Procuring Agency CIO and Procuring Agency CFO, and will be subject to Procuring Agency review and acceptance.
PROJECT CERTIFICATION
DOCUMENTS
Sub 3 Contractor shall prepare material for the Project Certification Committee (PCC) as defined by the DoIT Project Certification Timeline and Gates .
Project Certification documents may include, but are not limited to: Certification Request Forms; PowerPoint Presentations; Project Management Plan;
Technical Architecture Review; Lessons Learned.
MAINTAIN THE PROJECT SCHEDULE,
PROJECT MANAGEMENT
PLAN, REQUIREMENTS DEFINITION AND REQUIREMENTS TRACEABILITY
MATRIX
Sub 4 Contractor will maintain the project schedule and Project Management Plan The Project Management Plan will include at a minimum:
o Budget management plano Resource management plan
o Communication management plano Requirements management plano Transition to operations plan
Contractor will develop and maintain the Requirements Definition and Requirements Traceability Matrix documents.
Project schedule will be maintained bi-weekly in MS Project and will be submitted electronically via email to the Procuring Agency
Project Team, CIO and the Executive Steering Committee. All documents will be stored with the procuring agency.
The master project schedule and project management plan will be subject to Procuring Agency review and acceptance.
PAGE | 28
FACILITATE PROJECT STATUS
MEETINGS
Sub 5 Facilitate bi-weekly Project Status meetings. Contractor will ensure that meeting space is secured, provide adequate notice of meeting time and
agendas to participants.
Sub 5.1
Contractor will prepare documentation as assigned by Procuring Agency CIO and present to Executive Steering Committee during
scheduled meetings; Contractor will document meetings and distribute minutes
within 3 working days after the meeting date. Contractor will present meeting minutes to the Executive
Steering Committee for review and acceptance.
Sub 5.2
Contractor will facilitate project meetings with Vendors and Procuring Agency Project Team members. Contractor will track project action
items and schedule, to ensure timely delivery.
Sub 5.3
All agendas and meeting minutes shall be submitted electronically via email to the Procuring Agency Project Team, CIO and the Executive
Steering Committee (using agency supplied templates). All documents will be stored with the procuring agency.
All agendas and meeting minutes will be subject to Procuring Agency review and acceptance.
PROJECT STATUS REPORTING
Sub 6 Contractor will produce and distribute one (1) project status report every week.
The Weekly project status report is to include a summary of the activities of the week, work to be performed the following week, and list any issues preventing the successful completion of tasks.
Report will provide status of Project, identified issues, risks and other resources that may be required to successfully complete the
project.
Sub 6.1
Contractor will advise Procuring Agency Project Team, the CIO and the Executive Steering Committee on the project status and project management issues by analyzing issues, evaluating quality and
progress, and formulating recommendations for actions.
Sub 6.2
Contractor will conduct evaluation of Procuring Agency human resource allocation to the project and will provide management
recommendations on all items.
Sub 6.3
Contractor will review each project management report with the Procuring Agency Project Team the CIO and the Executive Steering
Committee, on a bi-weekly basis.
PAGE | 29
Sub 6.4
Contractor shall submit all project status reports electronically (using agency supplied templates) via email to the Procuring Agency Project Team, the Agency CIO and the Executive Steering Committee on a
weekly basis. All documents will be stored with the procuring agency.
Contractor will review project status reports with IV&V vendor. All project status reports will be subject to Procuring Agency review and
acceptance.
DEVELOPMENT, TESTING AND
DEPLOYMENT OF THE OSI CAPTURE,
SCAN, LINK, FILE, RETRIEVAL SOLUTION
Sub 7 Contractor will facilitate the development, testing and implementation of a the OSI Capture, Scan, Link, File and Retrieve solution with the selected
configuration vendor.
Sub 7.1
Contractor will initiate coordination between the OSI Capture, Scan, Link, File and Retrieval team members and the configuration vendor
to: Schedule the kick-off meeting;
Support development of the schedule for implementation; Identify initial dependencies (including hardware
environment, software licenses, and secure access to servers).
Sub 7.2
Contractor will coordinate activities between OSI personnel and the configuration vendor to support the OSI Capture, Scan, Link, File and Retrieval Requirements Gathering and Documentation including but
not limited to: Workflow information, business rules processing, and image
retrieval requirements.
Sub 7.3
Contractor will coordinate activities between OSI personnel and the configuration vendor to support Software Design, Configuration,
Testing and Installation activities.
Sub 7.4
Contractor will coordinate activities between OSI technical team members, OSI personnel and the configuration vendor to support
Training and Testing including but not limited to: Coordinate with configuration vendor to provide software
administration training to the agency IT administration team on Perceptive Software: Image Now – System Administration,
Image Now – Privileges and Security, Capture – Profile Administration;
Software administration procedures and technical training manuals;
Training curriculum and training manuals;
Sub 7.5
Contractor will coordinate activities between the OSI technical team members, OSI personnel and the configuration vendor to support End
User Training
PAGE | 30
Sub 7.6
Contractor will coordinate activities between the OSI technical team members, OSI Personnel and the configuration vendor to support
System Integration Testing including but not limited to: Document the system test procedure, test cases and scenarios,
test pass/fail criteria, and test results report; Verify that system testing meets pass/fail criteria, and test
results report show zero (0) errors and defects.
Sub 7.7
Contractor will coordinate activities between the OSI technical team members, OSI personnel and the configuration vendor to support User
Acceptance Testing (UAT) including but not limited to: Validating adequate Documentation for conducting UAT
procedures, test cases and scenarios, test pass/fail criteria, and test results report;
Verify that UAT meets pass/fail criteria, and test results report show zero (0) errors and defects.
Sub 7.8
Contractor will coordinate activities between the OSI technical team members, OSI personnel and the configuration vendor to support Go
live including but not limited to: Go live to production and verification procedures;
Verify go live to production show zero (0) errors & defects.
Sub 7.9
Contractor will provide weekly status updates on OSI Capture, Scan, Link, File and Retrieval Contract Deliverables. These shall be
reviewed during status meetings and submitted electronically via email to the Procuring Agency Project Team, Executive Steering Committee,
and Agency CIO. All documents will be stored with the procuring agency.
The OSI Capture, Scan, Link, File and Retrieval deliverables will be subject to Procuring Agency review and acceptance.
PLANNING AND IMPLEMENTATION
PHASES: FACILITATE SBS
INTEGRATION
Sub 8 Contractor will coordinate activities with the State Based Systems (SBS) teams for the integration of SBS software solution within OSI. Note that for
each of the SBS project segments listed below, the agreed goal is to minimize any modifications to the baseline State Based System.
Sub 8.1
Contractor will ensure that the SBS Pre-Visit Checklists are completed by coordinating with OSI subject matter experts to gather the required
information for: Opt Ins.
OSI / SBS Phase I Project: Contracts / CE / Revenue.
8.2 Contractor will coordinate activities between NAIC personnel and OSI Project Teams to schedule SBS On-site visit.
PAGE | 31
8.3 Contractor will support NAIC Analysis by coordinating with OSI subject matter experts to gather the required information for:
Opt Ins. OSI / SBS Phase I Project: Contracts / CE / Revenue.
8.4 Contractor will provide weekly status updates on the SBS deliverables. These shall be reviewed during status meetings and submitted
electronically via email to the Procuring Agency Project Team, Executive Steering Committee, and Agency CIO.
All documents will be stored with the procuring agency.
The weekly status updates will be subject to Procuring Agency review and acceptance.
IMPLEMENTATION PHASE: UPDATE AND MAINTAIN OSI IMAGING SYSTEM PLAN
Sub 9 Contractor will update and maintain the OSI Imaging System Plan in compliance with 1.14.2.15 NMAC – IMAGING SYSTEM
MANAGEMENT.
Sub9.1
Contractor will ensure the OSI Imaging System Plan is updated and maintained as each OSI Division implements document imaging
including but not limited to:d. The OSI Records Retention and Disposition Schedule is in
alignment with SRCA updates to 1.18.440 NMAC – OSI Executive Records Retention and Disposition Schedule;
e. Update data dictionary;f. Update technical specifications.
Sub9.2
Contractor will work closely with the SRCA Records Management team to facilitate SRCA approval for each new version of the OSI
Imaging System Plan.
Sub 9.3
Contractor will provide weekly status updates on the OSI Imaging System Plan deliverables. These shall be reviewed during status meetings and submitted electronically via email to the Procuring
Agency Project Team, Executive Steering Committee, and Agency CIO.
All documents will be stored with the procuring agency.
The OSI Imaging System Plan deliverables will be subject to Procuring Agency review and acceptance.
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4.2.2.1 S4.2.2.1 SOFTWAREOFTWARE C CONFIGURATIONONFIGURATION V VENDORENDOR D DELIVERABLESELIVERABLES
eDocket Software ModuleNote: eDocket is complete. eDocket Deliverable Number 1 Facilitate Project Planning and Task Coordination for the Paperless,
Electronic Web Based Environment
Deliverable One Due Date Compensation
Facilitate Project Initiation Planning and Task Coordination for the Paperless, Electronic Web
Based Environment
2 weeks from Contract execution or 4/21/2014
Whichever is later
Gross Amount $ 9,867.17 Includes GRT.
Less 20% Retainage: $ 1,973.43
Net amount payable on Acceptance $7,893.74 includes GRT
Task Item Sub Tasks Description: Project Initiation and Task Coordination
Task 1.0
Task Coordination & Project Planning
Sub 1.01
Project Coordination &Planning
The Contractor will perform the following: Gather the “as is” and “to be” workflow information, “as is”
and “to be” business rules, and case management requirements from the procuring agency Bureau operations and procuring agency IT team
Establish and maintain project communications through Procuring Agencies designated list of contacts.
Support and participate in executive briefings, project working sessions, and other meetings necessary to support effective project communication.
Facilitate a project kick-off meeting and conduct project status meetings as agreed upon by the Contractor and Procuring Agency.
Create a Project Plan in MS Project with project task, subtasks, milestones, schedule, owners, and deliverables. The Project Plan will be updated weekly throughout the life of the project.
Identify the initial dependencies (hardware environment, software licenses, secure access to servers, and other needs as identified) to be provided by the agency.
PAGE | 33
Task 1.1
Reports
Sub 1.11
Weekly reports
The Contractor will produce in MS Word or MS Excel a weekly project status report identifying overall project summary, current project status, milestones completed, issues for resolution and risks if any, and send via email at the end of the work week to the identified procuring agency representatives. The Contractor will work with the procuring agency to identify status report format and content.
PAGE | 34
eDocket Deliverable Number 2: Gather and Document Server and Client Requirements
Deliverable Two Due Date Compensation
Gather and Document Server and Client Requirements
4 weeks from Contract execution or 5/5/2014
Whichever is later
Gross Amount $59,202.99 Includes GRT.
Less 20% Retainage: $11,840.60Net amount payable on Acceptance $47,362.39 includes GRT
Task Item Sub Tasks Description: Requirement Gathering and Documentation
Task 2.0Storage Server Requirements
Sub 2.01
Requirements Elicitation and Documentation
The Contractor will perform the following Gather the storage server information from the procuring
agency IT team. Document the storage server requirements Submit the storage server requirements to the designated
procuring agency representative for approval and sign off agency
Contractor will participate in Project meetings as required to successfully complete the tasks for this deliverable.
Task 2.1Client Requirements
Sub 2.11
Requirements Elicitation and Documentation
The Contractor will perform the following Gather the client information from the agency Bureau
operations teams and procuring agency IT team. Document the client requirements Submit the client requirements to the designated procuring
agency representative for approval and sign off Contractor will participate in Project meetings as required
to successfully complete the tasks for this deliverable.
Task 2.2Web Server Requirements
Sub 2.21
Requirements Elicitation and Documentation
The Contractor will perform the following Gather the Web Server information from the agency IT
team. Document the Web Server requirements Submit the Web Server requirements to the designated
procuring agency representative for approval and sign off Contractor will participate in Project meetings as required
to successfully complete the tasks for this deliverable.
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eDocket Deliverable Number 3: Perceptive Software Design, Configuration, and Installation: Storage Server, Web Server, and Client
Deliverable Three Due Date Compensation
Perceptive Software Design, Configuration, and Installation: Storage Server, Web Server, and
Client
10 weeks from Contract execution or 6/16/2014
Whichever is later
Gross Amount $88,804.49 Includes GRT.
Less 20% Retainage: $17,760.90Net amount payable on Acceptance $71,043.59 includes GRT
Task Item Sub Tasks Description: Software Design, Configuration, and Installation
Task 3.0Software Design, Configuration and Installation: Storage Server Environment
Sub 3.01
Design Storage Server
The Contractor will perform the following: Document the design requirements in accordance with the
approved Requirements document, the following software in the storage server environment:
ImageNow Content Server ImageNow Client Concurrent License CaptureNow Adrenaline ImageNow Mail Agent Recognition Agent Integration Server Transaction Packs ImageNow iScript ImageNow Server ImageNow eForms Integration Server Submit the storage server design documents to the
designated procuring agency representative for approval and sign off.
Participate in Project meetings as required to successfully complete the tasks for this deliverable.
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Sub 3.02
Configuration Storage Server
The Contractor will perform the following: Document the configuration requirements in accordance
with the approved design document, the following software in the storage server environment:
ImageNow Content Server ImageNow Client Concurrent License CaptureNow Adrenaline ImageNow Mail Agent Recognition Agent Integration Server Transaction Packs ImageNow iScript ImageNow Server ImageNow eForms Integration Server Submit the storage server configuration documents to the
designated procuring agency representative for approval and sign off.
Participate in Project meetings as required to successfully complete the tasks for this deliverable.
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Sub 3.03
Installation Storage Server
The Contractor will perform the following: Document the installation and verification procedures for
the following Perceptive Software in the storage server environment in accordance with the approved design and configuration documents.
ImageNow Content Server ImageNow Client Concurrent License CaptureNow Adrenaline ImageNow Mail Agent Recognition Agent Integration Server Transaction Packs ImageNow iScript ImageNow Server ImageNow eForms Integration Server Submit all the storage server installation and verification
procedures documents to the designated procuring agency representative for approval and sign off.
Install the software in the Storage Server environment with the approved storage server installation and verification procedures documents
Verify installation procedure complete and accurate using the approved storage server verification procedures.
Submit storage server verification results to the designated procuring agency representative for approval and sign off. The test results must show zero (0) errors and/or defects for approval.
Resolve all issues, defects, and errors. Participate in Project meetings as required to successfully
complete the tasks for this deliverable.
Task 3.1Software Design, Configuration and Installation: Web Server Environment
Sub 3.11
Design Web Server
The Contractor will perform the following: Document the Web Server design requirements in
accordance with the approved Requirements document, the following in the Web Server environment:
Service Oriented DOT NET Architecture web interface for public to search cases based on various filters up to 20 different fields and display details of the case selected
Submit the Web Server design documents to the designated procuring agency representative for approval and sign off.
Participate in Project meetings as required to successfully complete the tasks for this deliverable.
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Sub 3.12
Configuration Web Server
The Contractor will perform the following: Document the Web Server configuration requirements in
accordance with the approved design document, the following software in the Web Server environment:
Service Oriented DOT NET Architecture web interface for public to search cases based on various filters up to 20 different fields and display details of the case selected
Submit the Web Server configuration documents to the designated procuring agency representative for approval and sign off
Participate in Project meetings as required to successfully complete the tasks for this deliverable
Sub 3.13
Installation Web Server
The Contractor will perform the following: Document the Web Server installation and verification
requirements the following software in the Web Server Web Server environment in accordance with the approved design and configuration documents.
Service Oriented DOT NET Architecture web interface for public to search cases based on various filters up to 20 different fields and display details of the case selected
Submit all the Web Server installation and verification procedures documents to the procuring agency for approval
Install the software in the Web Server environment with the approved installation and verification procedures documents
Verify Web Server installation procedure complete and accurate using the approved verification procedures.
Submit Web Server verification results to the designated procuring agency representative for approval and sign off. The test results must show zero (0) errors and/or defects for approval.
Resolve all issues, defects, and errors. Participate in Project meetings as required to successfully
complete the tasks for this deliverable.
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Task 3.2Software Design, Configuration and Installation: Client Environment
Sub 3.21
Design Client
The Contractor will perform the following: Document the Client design requirements in accordance
with the approved Requirements document, the following software in the client environment:
ImageNow related to e-Docket System Capture related to e-Docket System Business Rule Configuration Classification Field Extraction Field Validation Unit Test Submit all the Client design documents to the designated
procuring agency representative for approval and sign off. Participate in Project meetings as required to successfully
complete the tasks for this deliverable.
Sub 3.22
Configuration Client
The Contractor will perform the following: Document the Client configuration requirements in
accordance with the approved design document, the following software in the client environment:
ImageNow related to e-Docket System Capture related to e-Docket System Business Rule Configuration Classification Field Extraction Field Validation Unit Test Submit the Client configuration documents to the
designated procuring agency representative for approval and sign off.
Participate in Project meetings as required to successfully complete the tasks for this deliverable.
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Sun 3.23
Installation Client
The Contractor will perform the following: Document the Client installation and verification
procedures for the following Perceptive Software in the client environment in accordance with the approved design and configuration documents.
ImageNow related to e-Docket System Capture related to e-Docket System Business Rule Configuration Classification Field Extraction Field Validation Unit Test Submit all the Client installation and verification
procedures documents to the designated procuring agency representative for approval and sign off.
Install the software in the client environment with the approved Client installation and verification procedures documents
Verify the Client installation procedure complete and accurate using the approved verification procedures.
Submit Client verification results to the designated procuring agency representative for approval and sign off. The test results must show zero (0) errors and/or defects for approval.
Resolve all issues, defects, and errors. Participate in Project meetings as required to successfully
complete the tasks for this deliverable.
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eDocket Deliverable Number 4: Data Analysis and Migration from Legacy docketing system to new eDocketing system
Deliverable Four Due Date Compensation
Data Analysis and Migration from Legacy docketing system to
new eDocketing System.
10 weeks from Contract execution or 6/16/2014
Whichever is later
Gross Amount $19,734.33 Includes GRT.
Less 20% Retainage: $3,946.87 Net amount payable on Acceptance $15,787.46 includes GRT
Task Item Sub Tasks Description: Data Analysis and Migration
Task 4.0Data Analysis
Sub 4.01
Data Analysis
The Contractor will perform the following: Study and Analyze the old e-Docket data from the existing
legacy system Derive a strategy to migrate the old e-Docket from the
existing legacy system Document the migration procedures. Submit the migration procedures to the designated
procuring agency representative for approval and sign off. Document the map procedure Submit the mapping procedure to the procuring agency for
approval. Map old e-Docket legacy system data to target in
accordance to the approved migration procedures with zero errors.
Submit the mapping results to the designated procuring agency representative for approval and sign off. Results must show zero (0) errors and defects for approval.
Resolve all issues, defects, and errors. Contractor will participate in Project meetings as required
to successfully complete the tasks for this deliverable.
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Task 4.1Data Migration
Sub 4.11
Data Migration
The Contractor will perform the following; Document the data migration and verification procedures. Submit the data migration and verification procedures with
the designated procuring agency representative for approval and sign off.
Migrate old e-Docket data from legacy system in accordance to the approved data migration procedures with zero errors.
Verify the migrated data of old e-Docket from legacy system
Present the migration verification results to the designated procuring agency representative for approval and sign off. Results must show zero (0) errors and defects for approval.
Resolve all issues, defects, and errors. Contractor will participate in Project meetings as required
to successfully complete the tasks for this deliverable.
eDocket Deliverable Number 5: Technical and User Training and Testing of the Paperless, Electronic, Web Based Environment
Deliverable Five Due Date Compensation
Technical and User Training and Testing of the Paperless, Web
Based Environment
12 weeks from contract execution or 6/30/2014
whichever is later
Gross Amount $9,867.17 Includes GRT.
Less 20% Retainage: $1,973.43 Net amount payable on Acceptance $7,893.74 includes GRT
Task Item Sub Tasks Description: Training and Testing
PAGE | 43
Task 5.0Technical Training
Sub 5.01
Software Administration Training
The Contractor will perform the following: Provide one (1) day of remote software administration
training to the agency IT administration team on the following Perceptive Software:
ImageNow – System Administration ImageNow – Privileges and Security Capture – Profile Administration Document all the software administration procedures and
technical training manuals in Power Point, MS Word or screen shots of the software with annotations.
Submit the software administration procedures and technical training manuals prior to the training to the designated procuring agency representative for approval and sign off.
The delivery of training curriculum and training manuals will be in Power Point, Word or screen shots of the software with annotations
Evaluate the effectiveness and user satisfaction of the training and document the evaluation results.
Submit the training evaluation results to the designated procuring agency representative for approval and sign off. The evaluation results must show better than 90% user satisfaction.
Contractor will participate in Project meetings as required to successfully complete the tasks for this deliverable.
Task 5.1End User Training
Sub 5.11
End User Training
The Contractor will perform the following: Provide two (2) full days (3 sessions per day, each session 90
minutes) of training at the client location or via webinar as suggested by the agency.
The contractor will document the training plan, curriculum and manuals in Power Point, MS Word or screen shots of the software with annotations.
Submit the training plan, curriculum and manuals prior to the training for the designated procuring agency representative for approval and sign off.
The delivery of training curriculum and training manuals will be in Power Point, Word or screen shots of the software with annotations.
Evaluate the effectiveness and user satisfaction of the training and document the evaluation results.
Submit the training evaluation results to the designated procuring agency representative for approval and sign off. The evaluation results must show better than 90% user satisfaction.
Contractor will participate in Project meetings as required to successfully complete the tasks for this deliverable.
PAGE | 44
Task 5.2Testing
Sub 5.21
System Integration Testing
The Contractor will perform the following: Document the test procedure, test cases and scenarios, test
pass/fail criteria, and test results report. Submit the test procedure, test cases and scenarios, test
pass/fail criteria and test results report to the designated procuring agency representative for approval and sign off.
Test the system for completeness in accordance to the approved test procedure, test cases and scenarios, test pass/fail criteria, and test results report
Submit the test results report to the designated procuring agency representative for approval and sign off. Test results must show zero (0) errors and defects for approval
Resolve all issues, defects, and errors Participate in Project meetings as required to successfully
complete the tasks for this deliverable.
Sub 5.22
User Acceptance Testing (UAT)
The Contractor will perform the following: Document the test procedure, test cases and scenarios, test
pass/fail criteria, and test results report. Submit the test procedure, test cases and scenarios, test
pass/fail criteria and test results report to the designated procuring agency representative for approval and sign off.
Test the system for completeness in accordance to the approved test procedure, test cases and scenarios, test pass/fail criteria, and test results report
Submit the test results report to the designated procuring agency representative for approval and sign off. Test results must show zero (0) errors and defects for approval.
Resolve all issues, defects, and errors. Participate in Project meetings as required to successfully
complete the tasks for this deliverable.
eDocket Deliverable Number 6: Deployment of a Paperless, Electronic, Web Based Environment
Deliverable Six Due Date Compensation
Deployment of a Paperless, Electronic, Web Based
Environment
.
14 weeks from contract execution or 7/14/2014
whichever is later
Gross Amount $9,867.17 Includes GRT.
Less 20% Retainage: $1,973.43 Net amount payable on Acceptance $7,893.74 includes GRT
Task Item Sub Tasks Description: Deployment
PAGE | 45
Task 6.0Go Live
Sub 6.01
Go Live
The Contractor will perform the following: Document the go live to production and verification
procedures Submit the go live to production and verification
procedures to the designated procuring agency representative for approval and sign off
Move the system to the production using the approved go live to production procedures
Verify the go live to production using the approved verification procedures.
Submit the verification results to the designated procuring agency representative for approval and sign off.
The results must show zero (0) errors and defects for approval.
Refresh the production as necessary during the deployment Resolve all issues, defects, and errors. Provide support to the agency during the thirty (30) days
support Collect and resolve agreed issues or defects during the
thirty (30) days support Participate in Project meetings as required to successfully
complete the tasks for this deliverable.
eDocket Deliverable Number 7: Report and Release of Retainage
Deliverable Seven Due Date Compensation
Report and Release of Retainage
.
15 weeks from contract execution or 7/21/2014
whichever is later
Release of Retainage Upon Report Acceptance
$39,468.66 including GRT
Task Item Sub Tasks Description: Report and Release of Retainage
Task 7.0Summary Deliverable Report
Sub 7.01
Summary Deliverable Report
The Contractor will perform the following: Upon completion of Deliverables One through Six above,
provide a report summarizing the list of deliverables completed and their submission and approval dates
Submit updated /finalized versions of all documents and deliverables.
Submit the report to the designated procuring agency representative for approval and sign off. Retainage will be released upon approval and acceptance of the report.
PAGE | 46
Case Management Software ModuleNote: Case Management is complete.
Case Management Deliverable Number 1 Facilitate Project Initiation and Task Coordination for the Paperless, Electronic Web Based Environment
Deliverable One Due Date Compensation
Task Coordination and Meetings with Key Staff Members to Facilitate Project Initiation
2 weeks for Contract execution or 09/12/2014,
whichever is later.
Gross Amount $9618.28 Includes GRT.
Less 20% Retainage: $1923.66
Net amount payable on Acceptance $7694.63 includes GRT
Task Item Sub Tasks Description: Project Initiation and Task Coordination
Task 1.0
Task Coordination
Sub 1.01
Project Initiation
The Contractor will perform the following: Establish and maintain project communications through
Procuring Agencies designated list of contacts. Support and participate in executive briefings, project
working sessions, and other meetings necessary to support effective project communication.
Facilitate a project kick-off meeting and conduct project status meetings as agreed upon by the Contractor and Procuring Agency.
Create a Project Plan in MS Project with project task, subtasks, milestones, schedule, owners, and deliverables. The Project Plan will be updated weekly throughout the life of the project.
Identify the deliverables (hardware environment, software licenses, secure access to servers, and other needs as identified) to be received from the agency.
Task 1.1
Reports
Sub 1.11
Weekly reports
The Contractor will produce in MS Word or MS Excel a weekly project status report identifying overall project summary, current project status, milestones completed, issues for resolution and risks if any, and send via email at the end of the work week to the identified procuring agency representatives. The Contractor will work with the procuring agency to identify status report format and content.
Case Management Deliverable Number 2: Gather and Document Case Management Client Requirements
PAGE | 47
Deliverable Two Due Date Compensation
Gather and Document Case Management Requirements
4 weeks for Contract execution or 09/26/2014,
whichever is later.
Gross Amount $38,473.14 Includes GRT.
Less 20% Retainage: $7694.63
Net amount payable on Acceptance $30,778.51 includes GRT
Task Item Sub Tasks Description: Requirement Gathering and Documentation
Task 2.0Case Management Requirements
Sub 2.01
Requirements Elicitation and Documentation
The Contractor will perform the following Gather the “as is” and “to be” workflow information, “as is”
and “to be” business rules, and case management requirements from the procuring agency Bureau operations and procuring agency IT team.
Document in MS Word and Visio, the workflow information, business rules, and case management requirements.
Submit the workflow information, business rules, and case management requirements to the designated procuring agency representative for approval and sign off.
Contractor will participate in Project meetings as required to successfully complete the tasks for this deliverable.
PAGE | 48
Case Management Deliverable Number 3: Perceptive Software Design, Configuration, and Installation: Case Management
Deliverable Three Due Date Compensation
Perceptive Software Design, Configuration, and Installation:
Case Management
6 weeks for Contract execution or 10/10/2014,
whichever is later.
Gross Amount $57,709.70 Includes GRT.
Less 20% Retainage: $11,41.94
Net amount payable on Acceptance $46,167.76 includes GRT
Task Item Sub Tasks Description: Software Design, Configuration, and Installation
Task 3.0Software Design, Configuration and Installation: Case Management
Sub 3.01
Design Case Management
The Contractor will perform the following: Document the design requirements in accordance with the
approved Requirements document. Submit the Case Management design documents to the
designated procuring agency representative for approval and sign off.
Participate in Project meetings as required to successfully complete the tasks for this deliverable.
Sub 3.02
Configuration Case Management
The Contractor will perform the following: Document the configuration requirements in accordance
with the approved design documents to include but not limited to the following:
ImageNow related to Case Management System Capture related to Case Management System Business Rule Configuration Classification Field Extraction Field Validation Unit Test The process to create, manage and modify workflow
processes Automate possible processing steps Document the routing rules Optimize document-based business routine Submit the Case Management configuration documents to
the designated procuring agency representative for approval and sign off.
Participate in Project meetings as required to successfully complete the tasks for this deliverable.
PAGE | 49
Sub 3.03
Installation Case Management
The Contractor will perform the following: Document the installation and installation verification
procedures for the Perceptive Software in the Case Management environment in accordance with the approved design and configuration documents.
Submit all the Case Management installation and installation verification procedures documents to the designated procuring agency representative for approval and sign off.
Install the software in the Case Management environment with the approved Case Management installation and installation verification procedures documents
Verify installation procedure complete and accurate using the approved Case Management installation verification procedures.
Submit Case Management installation verification results to the designated procuring agency representative for approval and sign off. The test results must show zero (0) errors and/or defects for approval.
Resolve all issues, defects, and errors. Participate in Project meetings as required to successfully
complete the tasks for this deliverable.
PAGE | 50
Case Management Deliverable Number 4: Technical and User Training and Testing of the Case Management Environment
Deliverable Four Due Date Compensation
Technical and User Training and Testing of the Case Management
Environment
8 weeks for Contract execution or 10/24/2014,
whichever is later.
Gross Amount $12,824.38 Includes GRT.
Less 20% Retainage: $2,564.88
Net amount payable on Acceptance $10,259.50 includes GRT
Task Item Sub Tasks Description: Training and Testing
Task 4.0Technical Training
Sub 4.01
Software Administration Training
The Contractor will perform the following: Provide one (1) day of remote software administration
training to the agency IT administration team on the following Perceptive Software:
ImageNow – Case Management System Administration ImageNow – Case Management Privileges and Security Capture – Case Management Profile Administration Document all the software administration procedures and
technical training manuals in Power Point, MS Word or screen shots of the software with annotations.
Submit the software administration procedures and technical training manuals prior to the training to the designated procuring agency representative for approval and sign off.
The delivery of training curriculum and training manuals will be in Power Point, Word or screen shots of the software with annotations
Evaluate the effectiveness and user satisfaction of the training and document the evaluation results.
Submit the training evaluation results to the designated procuring agency representative for approval and sign off. The evaluation results must show better than 90% user satisfaction.
Contractor will participate in Project meetings as required to successfully complete the tasks for this deliverable.
PAGE | 51
Task 4.1End User Training
Sub 4.11
End User Training
The Contractor will perform the following: Provide two (2) full days (3 sessions per day, each session 90
minutes) of training at the client location or via webinar as suggested by the agency.
The contractor will document the training plan, curriculum and manuals in Power Point, MS Word or screen shots of the software with annotations.
Submit the training plan, curriculum and manuals prior to the training for the designated procuring agency representative for approval and sign off.
The delivery of training curriculum and training manuals will be in Power Point, Word or screen shots of the software with annotations.
Evaluate the effectiveness and user satisfaction of the training and document the evaluation results.
Submit the training evaluation results to the designated procuring agency representative for approval and sign off. The evaluation results must show better than 90% user satisfaction.
Contractor will participate in Project meetings as required to successfully complete the tasks for this deliverable.
Task 4.2Testing
Sub 4.21
System Integration Testing
The Contractor will perform the following: Document the test procedure; test cases, scenarios, and
scripts; test pass/fail criteria; and test results report. Submit the test procedure; test cases, scenarios, and scripts;
test pass/fail criteria; and test results report to the designated procuring agency representative for approval and sign off.
Test the system for completeness in accordance to the approved test procedure, test cases and scenarios, test pass/fail criteria, and test results report
Submit the test results report to the designated procuring agency representative for approval and sign off. Test results must show zero (0) errors and defects for approval
Resolve all issues, defects, and errors Participate in Project meetings as required to successfully
complete the tasks for this deliverable.
PAGE | 52
Sub 4.22
User Acceptance Testing (UAT)
The Contractor will perform the following: Document the test procedure; test cases, scenarios, and
scripts; test pass/fail criteria; and test results report. Submit the procedure; test cases, scenarios, and scripts; test
pass/fail criteria; and test results report to the designated procuring agency representative for approval and sign off.
Test the system for completeness in accordance to the approved test procedure, test cases and scenarios, test pass/fail criteria, and test results report
Submit the test results report to the designated procuring agency representative for approval and sign off. Test results must show zero (0) errors and defects for approval.
Resolve all issues, defects, and errors. Participate in Project meetings as required to successfully
complete the tasks for this deliverable.
PAGE | 53
Case Management Deliverable Number 5: Deployment of the Case Management Environment
Deliverable Five Due Date Compensation
Deployment of the Case Management Environment
.
12 weeks for Contract execution or 11/21/2014,
whichever is later.
Gross Amount $9,618.29 Includes GRT.
Less 20% Retainage: $1,923.66
Net amount payable on Acceptance $7,694.63 includes GRT
Task Item Sub Tasks Description: Deployment
Task 5.0Go Live
Sub 5.01
Go Live
The Contractor will perform the following: Document the go live to production and verification
procedures Submit the go live to production and verification
procedures to the designated procuring agency representative for approval and sign off
Move the system to the production using the approved go live to production procedures
Verify the go live to production using the approved verification procedures.
Submit the verification results to the designated procuring agency representative for approval and sign off.
The results must show zero (0) errors and defects for approval.
Refresh the production as necessary during the deployment Resolve all issues, defects, and errors. Provide support to the agency during the thirty (30) days
support Collect and resolve agreed issues or defects during the
thirty (30) days support Participate in Project meetings as required to successfully
complete the tasks for this deliverable.
Case Management Deliverable Number 6: Report and Release of Retainage
Deliverable Six Due Date Compensation
Report and Release of Retainage 14 weeks for Contract Release of Retainage Upon
PAGE | 54
. execution or 12/05/2014, whichever is later.
Report Acceptance Not to exceed $25,648.76 includes GRT.
Task Item Sub Tasks Description: Report and Release of Retainage
Task 6.0Summary Deliverable Report
Sub 6.01
Summary Deliverable Report
The Contractor will perform the following: Upon completion of Deliverables One through Six above,
provide a report summarizing the list of deliverables completed and their submission date
Submit the report to the designated procuring agency representative for approval and sign off. Retainage will be released upon approval and acceptance of the report..
Capture/Scan/File/Retrieve: Data Warehouse Software ModuleNote: Data Warehouse module is complete.
Deliverable 1 - OSI Paperless Data Warehouse Project Kickoff
Deliverable Name Due Date Compensation
OSI Paperless Data Warehouse Project Kickoff
Two weeks after contract execution or 01/29/2015, whichever is later
Not to Exceed $5,566.78 including GRT
Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance Not to Exceed $4,453.43 includes GRT
Task Item Sub Tasks Description
Kickoff Meeting Agenda
Sub 1 In coordination with the Agency, the Contractor will develop and provide a proposed meeting agenda to the Agency.
Deliverable Format: Microsoft Word Document.
PAGE | 55
Conduct Project Kickoff Meeting (on-site)
Sub 2 Contractor will conduct a project kickoff meeting at the OSI facilities in New Mexico. This will cover the following topics:1. Team Introductions and Roles and Responsibilities2. Review Contract Deliverables3. Review Project Schedule4. Review UAT Processes5. Review Training Strategy6. Review Data Migration and Validation Strategy7. Review Production Migration Methodology
Deliverable Format: Meeting Agenda, Presentation and Attendance Sheets
Meeting Participation and development of weekly status reports
Sub 3 Throughout the duration of the Project, Contractor will convene weekly status report meeting with Agency Users and Agency personnel in order to provide update Agency personnel on the status of the Contractor’s work products and to also keep Agency personnel aware of any project risks or issues.
Deliverable Products: Meeting Agendas, and weekly Status reports identifying the following:
1. Tasks accomplished last week2. Plans for this week3. Project issues/risks encountered4. Mitigation Plan for issues/risks
Deliverable Format: Microsoft or Excel Document of Data Warehouse Configuration tables.
Deliverable 2 - Detailed OSI Paperless Data Warehouse Project Plan
Deliverable Name Due Date Compensation
Detailed OSI Paperless Data Warehouse Project Plan
Three weeks after contract execution or
02/05/2015, whichever is later
Not to Exceed $5,566.78 including GRT
Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance Not to Exceed $4,453.43includes GRT.
PAGE | 56
Task Item Sub Tasks Description
Project Plan Sub 1 The Contractor will finalize the proposed Project Plan for the OSI Paperless Data Warehouse Project. This document is to provide project details regarding phases, segments and deliverables to be executed during the implementation of the final software solution.
Deliverable Format: Microsoft Project (MPP) Document.
Staffing Plan Sub 2 Contractor will develop a Staffing Plan that outlines the names, roles, contact information and processes for on-boarding/off-boarding all Contractor and Agency resources assigned to the project.
Deliverable Format: Microsoft Word Document.
Conduct review session(s)
Sub 3 Contractor will conduct review session(s) to allow Agency personnel an opportunity to review and revise the Project and Staffing Plan. Contractor will incorporate Agency input and submit final plan for review and acceptance.
Deliverable Format: Calendar Event, Meeting Agenda, Project Plan and Staffing Plan.
Deliverable 3 – OSI Paperless Data Warehouse Requirements Definition
Deliverable Name Due Date Compensation
PAGE | 57
OSI Paperless Data Warehouse Requirements Definition
Five weeks after contract execution or 02/19/2015,
whichever is later
Not to Exceed $37,111.88 including GRT
Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance Not to Exceed $29,689.50 includes GRT
Task Item Sub Tasks Description
Administrator Module Requirements
Sub 1 Contractor will conduct meeting with Agency personnel in order to develop Business and Technical Requirements associated with the OSI Paperless Data Warehouse Project including but not limited to proposed Administrator Module utilized to manage User Security Roles and parameter based data elements associated with Lookup tables, Drop Down Lists, Batch Job Scheduling Events and Programs, Reconciliation Reports and Routines. Vendor will produce Documentation, in the form of System Use Cases identifying Business and Technical Requirements. Documentation will be presented to Agency personnel for review, approval and sign off.
Deliverable Format: Microsoft Word Document.
Search Module Requirements Definition
Sub 2 Contractor will conduct meeting with Agency personnel in order to develop Business and Technical Requirements associated with the OSI Paperless Data Warehouse Project including but not limited to proposed Search Modules utilized to view historical IDEAL transactions in the new OSI Paperless Data Warehouse system. Vendor will produce Documentation, in the form of System Use Cases identifying Business and Technical Requirements.
Documentation will be presented to Agency personnel for review, approval, and sign off.
Deliverable Format: Microsoft Word Document.
PAGE | 58
Functional Requirements
Sub 3 Contractor will produce a Functional Requirements Document identifying proposed system.
Documentation will include the following; Pre-requisites Authorized Actors/Roles for each function Primary and Alternate Process Flows Screen Mockup with highlighted changes Business Rules Data Mapping and Validation Rules
Documentation will be presented to Agency personnel for review, approval, and sign off.
Deliverable Format: Microsoft Word Document.
Software Prototype
Sub 4 Contractor will produce a Software Prototype Document containing proposed User Interfaces with associated designs for; data elements, screen flow, navigation and high-level business rule processing.
Documentation will be presented to Agency personnel for review, approval, and sign off.
Deliverable Format: Microsoft Word Document.
Conduct review session(s)
Sub 5 Contractor will conduct review session(s) to allow Agency personnel an opportunity to review and revise the FRD and Software Prototype. Contractor will incorporate Agency input and submit final Deliverables for review and acceptance
Deliverable Format: Calendar Event, Meeting Agenda, Revised FRD in Excel format.
Deliverable 4 – OSI Paperless Data Warehouse Development/Production Environment Installation/Configuration
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Deliverable Name Due Date Compensation
OSI Paperless Data Warehouse Development/Production
Environment Installation/Configuration
Thirteen weeks after contract execution or
04/16/2015, whichever is later
Not to Exceed $53,812.23 including GRT
Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance Not to Exceed $43,049.78 includes GRT
Task Item Sub Tasks Description
Install/Configure Database
Sub 1 Contractor will install and configure the development and production database hardware and software environments
Deliverable Format: Windows Server and MS SQL Database.
Install/Configure Application Servers
Sub 2 Contractor will install and configure the development and production database hardware and software environments
Deliverable Format: Windows Server and MS Internet Information Services.
Develop Data Migration Plan
Sub 3 Contractor will develop a Data Migration Plan identifying the Contractors strategy on how data will be mapped from the Legacy system to the OSI Data Warehouse system.
Documentation will be presented to Agency personnel for review, approval, and sign off.
Deliverable Format: Microsoft Excel or Microsoft Word Document
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Develop “Initial” Data Migration Programming
Sub 4 Contractor will develop the necessary programming or configuration of database utilities in order to create an “Initial” migration of data from the IDEAL Legacy Database to the new OSI Paperless Data Warehouse database. Initial migration includes migrating data from the legacy database to the new database utilizing logic that migrates all legacy records from the inception of the data to the date the “Initial” program is executed.
Deliverable Format: Scripting, Configuration, or Application Code. To be determined after Contractor analyzes legacy database.
Develop “Delta” Data Migration Programming
Sub 5 Contractor will develop the necessary programming or configuration of database utilities in order to create “Delta” migration of data from the IDEAL Legacy Database to the new OSI Paperless Data Warehouse database. Delta migrations include migrating data from the legacy database to the new database utilizing logic to only migrate data since the last data migration event.
Deliverable Format: Scripting, Configuration, or Application Code. To be determined after Contractor analyzes legacy database.
Develop Data Migration Reconciliation Reports
Sub 6 Contractor will perform data QA tasks in order to ensure that any data anomalies are identified and corrected. Additionally, contractor shall develop reports that reconcile record counts for data on IDEAL Legacy system with record counts of data on the OSI Paperless Data Warehouse system. Reports must show that record counts are reconciled on both systems.
Documentation will be presented to Agency personnel for review, approval, and sign off.
Deliverable Format: MS Excel Documents
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Deliverable 5 – OSI Paperless Data Warehouse Application Development
Deliverable Name Due Date Compensation
Application Development
Thirteen weeks after contract execution or
03/31/2015, whichever is later
Not to Exceed $37,111.88 including GRT
Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance Not to Exceed $29,689.50 includes GRT
Task Item Sub Tasks Description
Application Development and Unit Test of Administrator Module
Sub 1 Contractor will develop the programs required to meet the business requirements associated with the Administrator module whose main focus is to enroll users, grant access to menu items, to configure drop down lists, and to schedule the execution of batch jobs.
Deliverable Format: IIS Applications
Application Development and Unit Test of Search Module
Sub 2 Contractor will develop the programs required to meet the business requirements associated with the Search Modules whose main focus is to view IDEAL Transactions migrated to the OSI Data Warehouse Database system.
Deliverable Format: IIS Applications
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Deliverable 6 - OSI Paperless Data Warehouse User Acceptance Testing
Deliverable Name Due Date Compensation
User Acceptance Testing (UAT)
Fourteen weeks after contract execution or
04/17/2015, whichever is later
Not to Exceed $18,555.94 including GRT
Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance Not to Exceed $14,844.75 includes GRT
Task Item Sub Tasks Description
Develop UAT Plan
Sub 1 Contractor will develop a User Acceptance Test Plan that will identify how the Contractor will conduct User Acceptance Testing. Plan will document how the Contractor will record application defects, the process for fixing defects and process for re-testing.
Deliverable Format: Microsoft Word Document.
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Execute Administrator Module UAT
Sub 2 Prior to conducting UAT, Contractor will develop Test cases and Test Scripts. Testing Scripts will include test pass/fail criteria and allow the Users to provide comments for Failed Testing Results.
Contractor will submit Test Cases and Testing Scripts for Agency review, approval, and signoff before Testing commences.
With Agency personnel conducting User Acceptance Testing, Contractor will coordinate the UAT events for the Administrator Module. Overall testing will incorporate the following standard testing strategies:
Unit: Test code to ensure it meets design and expectations Functional: Demonstrates discrete functional capabilities Conversion: Validates the accuracy of data conversion Operational: Demonstrates operability of all integrated
components in operational environment and validates user and maintenance documentation
Regression: Retests the system to ensure changes and enhancements are don’t affect previously tested scenarios
Final Acceptance: Proves components are ready for production Vulnerability: Makes sure system is not vulnerable to outside
attacks Benchmark: Ensure the system meets or exceeds performance
requirements
Document Format: Testing scripts and testing results provided in MS Word and Excel Formats.
Contractor will track and submit test results for agency review, approval, and signoff. Test results must show zero (0) errors and defects for approval. Contractor must resolve all issues, defects, and errors before Deliverable is Accepted by the Agency.
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Execute Search Module UAT
Sub 3 Prior to conducting UAT, Contractor will develop Test cases and Test Scripts. Testing Scripts will include test pass/fail criteria and allow the Users to provide comments for Failed Testing Results.
Contractor will submit Test Cases and Testing Scripts for Agency review, approval, and signoff before Testing commences.
With Agency personnel conducting User Acceptance Testing, Contractor will coordinate the UAT events for the Search Modules. Overall testing will incorporate the following standard testing strategies:
Unit: Test code to ensure it meets design and expectations Functional: Demonstrates discrete functional capabilities Conversion: Validates the accuracy of data conversion Operational: Demonstrates operability of all integrated
components in operational environment and validates user and maintenance documentation
Regression: Retests the system to ensure changes and enhancements are don’t affect previously tested scenarios
Final Acceptance: Proves components are ready for production Vulnerability: Makes sure system is not vulnerable to outside
attacks Benchmark: Ensure the system meets or exceeds performance
requirements
Document Format: Testing scripts and testing results provided in MS Word and Excel Formats.
Contractor will track and submit test results for agency review, approval, and signoff. Test results must show zero (0) errors and defects for approval. Contractor must resolve all issues, defects, and errors before Deliverable is Accepted by the Agency.
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Deliverable 7 - OSI Paperless Data Warehouse Training and Operations Documentation
Deliverable Name Due Date Compensation
OSI Paperless Data Warehouse Training and Operations
Documentation
Sixteen weeks after contract execution or
05/07/2015, whichever is later
Not to Exceed $9,277.97including GRT
Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance Not to Exceed $7,422.38includes GRT.
Task Item Sub Tasks Description
Develop Training Plan and Approach
Sub 1 Contractor will develop a Training Plan and a training approach including the following:
1. Training Plan Overviewa. Training Introductionb. Background and Scope
2. Training Strategya. Strategy Overviewb. Training Plan Details
3. Resources and Facilitiesa. Training Facilitiesb. Resources, Roles and Responsibilities
4. Training Materialsa. Training Documentsb. List of Materialsc. Prerequisitesd. Glossary of terms
5. Schedule6. Evaluation Criteria
Contractor will submit Training Plan and Approach for Agency review, approval, and signoff before Training commences.
Deliverable Format: Microsoft Word Document.
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Conduct review session(s)
Sub 2 Contractor will conduct review session(s) to allow Agency personnel an opportunity to provide feedback on the proposed Training Plan, including the approach and proposed training materials.
Deliverable Format: Calendar Event, Meeting Agenda, and Revised Training Plan and Training Approach.
Conduct training sessions
Sub 3 Contractor will deliver two (2) full days of onsite training.
Contractor is to utilize the Agency approved evaluation instrument in order to document and measure how the Agency’s personnel feel regarding the effectiveness and satisfaction of the user training.
Contractor is to submit the evaluation results to the agency for review, approval, and sign off. The evaluation results must show better than 90% user satisfaction.
Develop Administrator Module User Documentation
Sub 4 Contractor will develop a User Manual for the Administrator module that will be utilized to document how the Administrator Module operates.
Contractor will submit Administrator User Manual for Agency review, approval, and signoff.
Deliverable Format: Microsoft Word Document.
Develop Operations Documentation
Sub 5 Contractor will develop a User Manual for IT Support Personnel that will be utilized to document what events and jobs are required to run and to support the OSI Paperless Data Warehouse system.
Contractor will submit Operations Documentation for Agency review, approval, and signoff.
Deliverable Format: Microsoft Word Document.
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Deliverable 8 – OSI Paperless Data Warehouse Production Rollout
Deliverable Name Due Date Compensation
OSI Paperless Data Warehouse Production Rollout
Seventeen weeks after contract execution or
05/14/2015, whichever is later
Not To Exceed $9,277.97including GRT
Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance Not To Exceed $7,422.38 includes GRT
Task Item Sub Tasks Description
Applications to Production
Sub 1 Contractor will migrate all associated OSI Data Warehouse applications to the Production Environment. Contractor will document the migration to production procedures and verification procedures.
Contractor will submit the proposed procedures to the Agency for review, approval, and sign off.
Deliverable Format: Application Executable Code
Data to Production
Sub 2 Contractor will execute Initial Data Migration programs in order to migrate all associated OSI Data Warehouse data to the Production Environment.
Deliverable Format: Performance Testing Scripts
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Users in Production
Sub 3 Contractor will add all OSI agency personnel to OSI Data Warehouse system and grant access to programs based upon User assignments.
Contractor will document the User Roles and access configurations and verification procedures.
Contractor will submit the proposed User Roles and Access configurations to the Agency for review, approval, and sign off.
Deliverable Format: Microsoft or Excel Document of Data Warehouse Roles and Configuration tables.
Parameter Values Configuration in Production
Sub 4 Contractor will add all pre-defined parameter driven data elements OSI Data Warehouse system.
Contractor will submit the proposed configurations to the Agency for review, approval, and sign off.
Deliverable Format: Microsoft or Excel Document of Data Warehouse Configuration tables.
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Deliverable 10 – Payment of Project Retainage Amounts
Deliverable Name Due Date Compensation
Summary Report, Release of Retainage and Thirty (30) day
support
Twenty one weeks after contract execution or
06/11/2015, whichever is later
Net amount payable on Acceptance Not To Exceed $35,256.29 including GRT.
Task Item Sub Tasks Description
30 day production support
Sub 1 Contractor will provide support to the Agency during the thirty (30) day period after the Applications have been placed in to the Production Environment. As part of this Sub Task, Contractor will be responsible for fixing applications bugs that are identified in the Production environment. Contractor will fix application bugs remotely, and must first test fixes in the Testing Environment before migrating code fixes to the Production Environment. The Contractor must also develop an Issues Log to track the Issue, how the Issue was fixed, the date the Issue was re-tested in the Testing Environment, and when the Fix was migrated to the Production Environment. The Issues Log must be presented to Agency Personnel during the Weekly Status Reports.
Summary Deliverable Report and Release of Deliverable Retainage Amounts
Sub 2 Upon completion of Deliverables One through Nine above, Contractor will provide a report summarizing the list of deliverables completed, submission date, and Agency acceptance date.
Contractor will submit the report to the agency for review, approval, and sign off. Upon Agency approval and sign off, Retainage Amounts will be paid to the Contractor.
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Capture/Scan/File/Retrieve: Scan/Link Software Module
A. Deliverable 1 - OSI Paperless Scan/Link - Project Kickoff
Deliverable Name Due Date Compensation
Project Kickoff One weeks after contract execution or 8/17/2015, whichever is later
Not to exceed $5,992.00 including GRT
Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance $4,802.00 includes GRT
Task Item Sub Tasks Description
Kickoff Meeting Agenda
Sub 1 In coordination with the Agency, the Contractor will develop and provide a proposed meeting agenda to the Agency.
Deliverable Format: Microsoft Word Document.
Conduct Project Kickoff Meeting (on-site)
Sub 2 Contractor will conduct a project kickoff meeting. The meeting will cover the following topics:8. Team Introductions and Roles and Responsibilities9. Review Contract Deliverables10. Review UAT Processes11. Review Training Strategy12. Review Production Migration Methodology
Deliverable Format: Meeting Agenda, Presentation and Attendance Sheets
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Deliverable 2 - OSI Paperless Scan/Link Detailed Project Plan
Deliverable Name Due Date Compensation
Detailed Project Plan Two weeks after contract execution or 8/25/2015,
whichever is later
Not to exceed $5,992.00 including GRT.
Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance $4,802.00 includes GRT
Task Item Sub Tasks Description
Project Plan Sub 1 The Contractor will finalize the proposed Project Plan. This document is to provide project details regarding phases, segments and deliverables to be executed during the implementation of the final software solution.
Deliverable Format: Microsoft Project (MPP Format) Document.
Staffing Plan Sub 2 Contractor will develop a Staffing Plan that outlines the names, roles, contact information and processes for on-boarding/off-boarding all Contractor and Agency resources assigned to the project.
Deliverable Format: Microsoft Word Document.
Conduct review session(s)
Sub 3 Contractor will conduct review session(s) to allow Agency personnel an opportunity to review and revise the Project and Staffing Plan
Deliverable Format: Calendar Event, Meeting Agenda, Project Plan and Staffing Plan.
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Deliverable 3 – OSI Paperless Scan/Link Requirements Definition
Deliverable Name Due Date Compensation
Requirements DefinitionSix weeks after contract execution or 9/1/2015,
whichever is later.
Not to exceed $35,952.00 including GRT Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance $28,761.60 includes GRT.
Task Item Sub Tasks Description
Scanning and Linking Use Cases
Sub 1 Contractor will conduct meetings with Agency personnel in order to develop Business and Technical Requirements associated with developing software functionality to allow the Agency to image Paper Documents with associated data elements from the OSI IDEAL Data Warehouse database repository. Vendor will produce Documentation, in the form of System Use Cases identifying Business and Technical Requirements. Documentation will be presented to Agency personnel for review, approval and sign off.
Deliverable Format: Microsoft Word Document.
Software Prototype
Sub 2 Contractor will produce a Software Prototype Document containing proposed User Interfaces with associated designs for; data elements, screen flow, navigation and high-level business rule processing.
Documentation will be presented to Agency personnel for review, approval, and sign off.
Deliverable Format: Microsoft Word Document.
Conduct review session(s)
Sub 3 Contractor will conduct review session(s) to allow Agency personnel an opportunity to review and revise the Use Cases and Software Prototype.
Deliverable Format: Calendar Event, Meeting Agenda, Revised FRD in Excel format.
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Deliverable 4 – OSI Paperless Scan/Link Application Development
Deliverable Name Due Date Compensation
Development/Production Environment
Installation/Configuration
Ten weeks after contract execution or execution or 9/29/2015, whichever is
later.
Not to exceed $35,952.00 including GRT Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance $28,761.60 includes GRT.
Task Item Sub Tasks Description
Configure Perceptive Image Now Software Infrastructure
Sub 1 Contractor will install and configure the development and production environments for the Perceptive Image Now Scanning and Linking Modules
Deliverable Format: Perceptive Image Now software modules
Develop Imaging Batching Scanning Applications
Sub 2 Contractor will develop Batching Scanning Software modules to allow Agency Personnel to scan paper documents in Batch Mode for further processing and indexing and subsequent workflow processes.
Deliverable Perceptive Image Now software modules
Develop Imaging Single-Transaction Scanning Applications
Sub 3 Contractor will develop Single-Transaction Scanning Software modules to allow Agency Personnel to scan paper documents in Batch Mode for further processing and indexing and subsequent workflow processes.
Deliverable Perceptive Image Now software modules
Develop Linking Application Plans
Sub 4 Contractor will develop up to ten (10) application plans to allow Agency Personnel to scan paper documents, and perform linking activities for OSI paper documents.
Deliverable Perceptive Image Now software modules
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Develop Scanning Reconciliation Reports
Sub 6 Contractor will develop reports that reconcile record counts for scanned items in order to reconcile scanned and linked record counts. Reports must show that record counts and identify if items have appropriate index/linking values.
Documentation will be presented to Agency personnel for review, approval, and sign off.
Deliverable Format: MS Excel Documents
Deliverable 5 - OSI Paperless Scan/Link User Acceptance Testing
Deliverable Name Due Date Compensation
User Acceptance Testing (UAT)
Eleven weeks after contract execution or
execution or 10/27/2105, whichever is later.
Not to exceed $11,984.00 including GRT Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance $9,587.20 includes GRT.
Task Item Sub Tasks Description
Develop UAT Plan
Sub 1 Contractor will develop a User Acceptance Test Plan that will identify how the Contractor will conduct User Acceptance Testing. Plan will document how the Contractor will record application defects, the process for fixing defects and process for re-testing.
Deliverable Format: Microsoft Word Document.
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Execute User Acceptance Testing
Sub 3 Prior to conducting UAT, Contractor will develop Test cases and Test Scripts. Testing Scripts will include test pass/fail criteria and allow the Users to provide comments for Failed Testing Results.
Contractor will submit Test Cases and Testing Scripts for Agency review, approval, and signoff before Testing commences.
With Agency personnel conducting User Acceptance Testing, Contractor will coordinate the UAT events for the Search Modules. Overall testing will incorporate the following standard testing strategies:
Unit: Test code to ensure it meets design and expectations Functional: Demonstrates discrete functional capabilities Operational: Demonstrates operability of all integrated
components in operational environment and validates user and maintenance documentation
Regression: Retests the system to ensure changes and enhancements are don’t affect previously tested scenarios
Final Acceptance: Proves components are ready for production
Document Format: Testing scripts and testing results provided in MS Word and Excel Formats.
Contractor will track and submit test results for agency review, approval, and signoff. Test results must show zero (0) errors and defects for approval. Contractor must resolve all issues, defects, and errors before Deliverable is Accepted by the Agency.
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Deliverable 6 - OSI Paperless Scan/Link Training and Operations Documentation
Deliverable Name Due Date Compensation
Training and Operations Documentation
Twelve weeks after contract execution or
execution or 11/3/2015, whichever is later.
Not to exceed $11,984.00 including GRT Less 20% Retainage per Article 3D. Net amount payable upon Agency Acceptance $9,587.20 includes GRT.
Task Item Sub Tasks Description
Conduct training sessions
Sub 1 Contractor will deliver two (5) full days of training.
Contractor is to utilize the Agency approved evaluation instrument in order to document and measure how the Agency’s personnel feel regarding the effectiveness and satisfaction of the user training.
Contractor is to submit the evaluation results to the agency for review, approval, and sign off
Develop Scanning and Linking Module User Documentation
Sub 4 Contractor will develop a User Manual for the Scanning and Linking modules that will be utilized to document how the modules operate.
Contractor will submit Administrator User Manual for Agency review, approval, and signoff.
Deliverable Format: Microsoft Word Document.
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Develop Operations Documentation
Sub 5 Contractor will develop a User Manual for IT Support Personnel that will be utilized to document what events and jobs are required to run and to support the Scanning and Linking modules.
Contractor will submit Operations Documentation for Agency review, approval, and signoff.
Deliverable Format: Microsoft Word Document.
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Deliverable 7 – OSI Paperless Scan/Link Production Rollout
Deliverable Name Due Date Compensation
Production Rollout
Thirteen weeks after contract execution or
execution or 11/10/2015, whichever is later.
Not to exceed $11,984.00 including GRT Less 20% Retainage per
Article 3D. Net amount payable upon Agency Acceptance $9,587.20
includes GRT.
Task Item Sub Tasks Description
Scanning and Linking Applications to Production
Sub 1 Contractor will migrate all associated Scanning and Linking applications to the Production Environment. Contractor will document the migration to production procedures and verification procedures.
Contractor will submit the proposed procedures to the Agency for review, approval, and sign off.
Deliverable Format: Application Executable Code
Users in Production
Sub 2 Contractor will add all OSI agency personnel to Scanning and Linking system and grant access to programs based upon User assignments.
Contractor will document the User Roles and access configurations and verification procedures.
Contractor will submit the proposed User Roles and Access configurations to the Agency for review, approval, and sign off.
Deliverable Format: Microsoft or Excel Document of Data Warehouse Roles and Configuration tables.
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Deliverable 8 – OSI Paperless Scan/Link Payment of Project Retainage Amounts
Deliverable Name Due Date Compensation
Summary Report, Release of Retainage and Thirty (30) day
support
Seventeen weeks after contract execution or
execution or 12/14/2015, whichever is later.
Net amount payable on Acceptance $23,951.20 including GRT.
Task Item Sub Tasks Description
30 day production support
Sub 1 Contractor will provide support to the Agency during the thirty (30) day period after the Applications have been placed in to the Production Environment.
Summary Deliverable Report and Release of Deliverable Retainage Amounts
Sub 2 Upon completion of Deliverables One through Seven above, Contractor will provide a report summarizing the list of deliverables completed, submission date, and Agency acceptance date.
Contractor will submit the report to the agency for review, approval, and sign off. Upon Agency approval and sign off, Retainage Amounts will be paid to the Contractor.
Insert Capture/Scan Contract Scanning and Indexing when complete.
4.2.3 D4.2.3 DELIVERABLEELIVERABLE A APPROVALPPROVAL A AUTHORITYUTHORITY D DESIGNATIONSESIGNATIONS
Complete the following table to identify the deliverables this project is to produce, and to name the person or persons who have authority to approve each deliverable.
Deliverable Number
Deliverable Approvers (Who can approve)
Date Approved
PRJ-DEL-006 Planning Phase: Strategy for developing OSI Policy and Procedures for Managing Electronic Content
OSI Paperless Project Executive Steering Committee
February 2014
PRJ-DEL-007 Planning Phase: Business Process Mapping
OSI Paperless Project Executive Steering Committee
March 2014
PRJ-DEL-008 Planning Phase: Strategy for SBS OSI Paperless Project March 2014
PAGE | 80
Deliverable Number
Deliverable Approvers (Who can approve)
Date Approved
integration and implementation Executive Steering Committee
PRJ-DEL-009 Implementation Phase: Replace eDocket with new content management solution
OSI Paperless Project Executive Steering Committee
October 2014
PRJ-DEL-010 Implementation Phase: Deploy New Case Management Solutions
OSI Paperless Project Executive Steering Committee
PRJ-DEL-011 Implementation Phase: Deploy, Capture, Scan, File, Retrieve Solutions for Financial Audit, Producers, Company, Patients Compensation, and Examinations Bureaus
OSI Paperless Project Executive Steering Committee
PRJ-DEL-012 Implementation Phase: Facilitate SBS integration
OSI Paperless Project Executive Steering Committee
PRJ-DEL-013 Implementation Phase: Support OSI Staff to Perform Data Cleansing in Preparation to convert existing OSI paper processes.
OSI Paperless Project Executive Steering Committee
PRJ-DEL-014 Implementation Phase: Update and Maintain OSI Imaging System Plan
OSI Paperless Project Executive Steering Committee
PRJ-DEL-015 Implementation Phase: Support OSI Policies and Procedures Committee
OSI Paperless Project Executive Steering Committee
PRJ-DEL-016 Transition to Operation OSI Paperless Project Executive Steering Committee
VEN-eDocketDEL-001
Implementation Phase: Facilitate Project Initiation Planning and Task Coordination for the Paperless, Electronic Web Based Environment
OSI Paperless Project Executive Steering Committee
June 2014
VEN- eDocket DEL-002
Implementation Phase: Gather and Document Server and Client Requirements
OSI Paperless Project Executive Steering Committee
June 2014
VEN- eDocket DEL-003
Implementation Phase: Perceptive Software Design, Configuration, and Installation: Storage Server, Web Server, and Client
OSI Paperless Project Executive Steering Committee
August 2014
VEN eDocket -DEL-004
Implementation Phase: Data Analysis and Migration from Legacy docketing system to new eDocketing System.
OSI Paperless Project Executive Steering Committee
August 2014
VEN- eDocket DEL-005
Implementation Phase: Technical and User Training and Testing of the Paperless, Web Based Environment
OSI Paperless Project Executive Steering Committee
September 2014
VEN- eDocket Implementation Phase: Deployment of OSI Paperless Project October 2014
PAGE | 81
Deliverable Number
Deliverable Approvers (Who can approve)
Date Approved
DEL-006 a Paperless, Electronic, Web Based Environment
Executive Steering Committee
VEN eDocket -DEL-007
Implementation Phase: Report and Release of Retainage
OSI Paperless Project Executive Steering Committee
October 2014
VEN –Case Mgmt- DEL 001
Implementation Phase: Task Coordination and Meetings with Key Staff Members to Facilitate Project Initiation
OSI Paperless Project Executive Steering Committee
October 2014
VEN –Case Mgmt- DEL 002
Implementation Phase: Gather and Document Case Management Requirements
OSI Paperless Project Executive Steering Committee
October 2014
VEN –Case Mgmt- DEL 003
Implementation Phase: Perceptive Software Design, Configuration, and Installation: Case Management
OSI Paperless Project Executive Steering Committee
January 2015
VEN –Case Mgmt- DEL 004
Implementation Phase: Technical and User Training and Testing of the Case Management Environment
OSI Paperless Project Executive Steering Committee
February 2015
VEN –Case Mgmt- DEL 005
Implementation Phase: Deployment of the Case Management Environment
OSI Paperless Project Executive Steering Committee
February 2015
VEN –Case Mgmt- DEL 006
Implementation Phase: Report and Release of Retainage
OSI Paperless Project Executive Steering Committee
March 2015
VEN Cap/Scan Data Warehouse DEL 001
Implementation Phase: OSI Data Warehouse Project Kickoff
OSI Paperless Project Executive Steering Committee
March 2015
VEN Cap/Scan Data Warehouse DEL 002
Implementation Phase: Detailed OSI Data Warehouse Project Plan
OSI Paperless Project Executive Steering Committee
April 2015
VEN Cap/Scan Data Warehouse DEL 003
Implementation Phase: OSI Paperless Data Warehouse Requirements Definition
OSI Paperless Project Executive Steering Committee
May 2015
VEN Cap/Scan Data Warehouse DEL 004
Implementation Phase: OSI Paperless Data Warehouse Development/Production Environment Installation/Configuration
OSI Paperless Project Executive Steering Committee
May 2015
VEN Cap/Scan Data Warehouse DEL 005
Implementation Phase: Application Development
OSI Paperless Project Executive Steering Committee
May 2015
VEN Cap/Scan Data Warehouse DEL 006
Implementation Phase: User Acceptance Testing (UAT)
OSI Paperless Project Executive Steering Committee
June 2015
VEN Cap/Scan Implementation Phase: OSI Paperless Data Warehouse Training and
OSI Paperless Project Executive Steering
June 2015
PAGE | 82
Deliverable Number
Deliverable Approvers (Who can approve)
Date Approved
Data Warehouse DEL 007
Operations Documentation Committee
VEN Cap/Scan Data Warehouse DEL 008
Implementation Phase: OSI Paperless Data Warehouse Production Rollout
OSI Paperless Project Executive Steering Committee
July 2015
VEN Cap/Scan Data Warehouse DEL 009 (0010)
Implementation Phase: Summary Report, Release of Retainage and Thirty (30) day support
OSI Paperless Project Executive Steering Committee
August 2015
VEN Cap/Scan Data Warehouse DEL 008
Implementation Phase: OSI Paperless Data Warehouse Production Rollout
OSI Paperless Project Executive Steering Committee
July 2015
VEN Cap/Scan Data Warehouse DEL 009
Implementation Phase: Summary Report, Release of Retainage and Thirty (30) day support
OSI Paperless Project Executive Steering Committee
August 2015
VEN Cap/Scan Scan/Link Modules DEL 001
Implementation Phase: OSI Scan/Link Project Kickoff
OSI Paperless Project Executive Steering Committee
September 2015
VEN Cap/Scan Scan/Link Modules DEL 002
Implementation Phase: OSI Scan/Link Project Plan
OSI Paperless Project Executive Steering Committee
September 2015
VEN Cap/Scan Scan/Link Modules DEL 003
Implementation Phase: OSI Scan/Link Requirements Definition
OSI Paperless Project Executive Steering Committee
VEN Cap/Scan Scan/Link Modules DEL 004
Implementation Phase: OSI Scan/Link Application Development
OSI Paperless Project Executive Steering Committee
VEN Cap/Scan Scan/Link Modules DEL 005
Implementation Phase: OSI Scan/Link User Acceptance Testing (UAT)
OSI Paperless Project Executive Steering Committee
VEN Cap/Scan Scan/Link Modules DEL 006
Implementation Phase: OSI Scan/Link Training & Operations Documentation
OSI Paperless Project Executive Steering Committee
VEN Cap/Scan Scan/Link Modules DEL 007
Implementation Phase: OSI Scan/Link Production Deployment
OSI Paperless Project Executive Steering Committee
VEN Cap/Scan Scan/Link
Implementation Phase: OSI Scan/Link Retainage Payment
OSI Paperless Project Executive Steering
PAGE | 83
Deliverable Number
Deliverable Approvers (Who can approve)
Date Approved
Modules DEL 008
Committee
4.2.4 D4.2.4 DELIVERABLEELIVERABLE A ACCEPTANCECCEPTANCE P PROCEDUREROCEDURE
Describe the process that this project will use for the formal acceptance of all deliverables:
The OSI Paperless Project Executive Steering Committee meets weekly to review and approve deliverables. A formal Letter of Acceptance is signed by the OSI CIO, OSI CAO, and contractor
5.0 PROJECT WORK5.0 PROJECT WORK
5.1 WORK BREAKDOWN STRUCTURE (WBS)5.1 WORK BREAKDOWN STRUCTURE (WBS)A WBS is a deliverable-oriented grouping of project elements that organizes and defines the total work scope of the project. Describe the work activities that comprise the work breakdown structure (WBS) or the work packages within the WBS. Identify the WBS element or other work package identifier and provide a general description of the tasks or activities, the definition or objectives, and the milestones and deliverables of each work package.
Use the chart below for highest level presentation, and provide a more detailed WBS as an attachment to this project plan.
See Appendix E for more detailed WBS.
5.2 MAJOR PROJECT DELIVERABLES5.2 MAJOR PROJECT DELIVERABLES
Proposed Major Deliverable Schedule and Performance Measures Phase 1
Major Project Deliverable & Performance Measure Due Date Project Phase
PAGE | 84
Procure Project Manager/Business Analyst Sept. 9, 2013 Initiation
Project Certification, Project Charter Oct. 23, 2013 Initiation
eDocket and Case Management Business Process Mapping Feb. 28, 2014 Planning
Capture/Scan/File/Retrieve Business Process Mapping March 14, 2014 Planning
eDocket, Case Mgmt, Capture/Scan Hardware & Software Procurement
May 16, 2014 Planning
IV&V Contract June 6, 2014 Implementation
eDocket Deploy Sept 19, 2014 Implementation
Case Management Deploy January 2015 Implementation
Capture/Scan Data Warehouse Deploy June 2015 Implementation
Capture/Scan Scan/Link Module deploy December 2015 Implementation
Capture/Scan Scanning and Indexing Deploy March 2017 Implementation
SBS Licensing Implementation June 2017 Implementation
SBS Market Regulations Implementation December 2017 Implementation
PAGE | 85
5.2.1 S5.2.1 SCHEDULECHEDULE ALLOCATIONALLOCATION -P -PROJECTROJECT T TIMELINEIMELINE
The project timeline is a high-level view of project activities with a focus on project milestones. The project timeline does not replace the need for a detailed project schedule and it is to highlight key events such as deliverable due dates and when go/no-go decisions are made.
The table below should provide a high level view of the project time line, or a summary-level Gantt chart can be used to meet the timeline requirement.
Identifier Task/Activity Name
Resource Name
Milestone (Y/N)
Effort/ Duration
Start Finish Dependent Task
VEN-eDocket DEL-001
Facilitate Project Initiation Planning and Task Coordination for the Paperless, Electronic Web Based Environment
Software Configuration Vendor
Y 2 weeks
5/23/14 6/6/14 Signing of contract
VEN-eDocket DEL-002
Gather and Document Server and Client Requirements
Software Configuration Vendor
Y 4 weeks
5/23/14 6/20/14 OSI resources
VEN-eDocket DEL-003
Perceptive Software Design, Configuration, and Installation: Storage Server, Web Server, and Client
Software Configuration Vendor
Y 8 weeks
6/15/14 8/15/14 none
VEN-eDocket DEL-004
Data Analysis and Migration from Legacy docketing system to new eDocketing System.
Software Configuration Vendor
Y 8 weeks
6/15/14 8/15/14 OSI resources, clean data
PAGE | 86
Identifier Task/Activity Name
Resource Name
Milestone (Y/N)
Effort/ Duration
Start Finish Dependent Task
VEN-eDocket DEL-005
Technical and User Training and Testing of the Paperless, Web Based Environment
Software Configuration Vendor
Y 4 weeks
8/15/14 9/15/14 OSI resources
VEN-eDocket DEL-006
Deployment of a Paperless, Electronic, Web Based Environment
Software Configuration Vendor
Y 1 weeks
9/15/14 9/19/14 OSI resources
VEN-eDocket DEL-007
Report and Release of Retainage
Software Configuration Vendor
Y 1 day 10/19/14 10/19/14
none
VEN –CMgmt- DEL 001
Task Coordination and Meetings with Key Staff Members to Facilitate Project Initiation
Software Configuration Vendor
Y 3 weeks
9/11/14 10/3/14 none
VEN –CMgmt- DEL 002
Gather and Document Case Management Requirements
Software Configuration Vendor
Y 8 weeks
9/12/14 10/17/14
OSI resources
VEN –CMgmt- DEL 003
Perceptive Software Design, Configuration, and Installation: Case Management
Software Configuration Vendor
Y 12 weeks 10/13/14
1/16/15 OSI resources
VEN –CMgmt- DEL 004
Technical and User Training and Testing of the Case Management Environment
Software Configuration Vendor
Y 16 weeks 11/14/14
2/13/15 OSI resources
PAGE | 87
Identifier Task/Activity Name
Resource Name
Milestone (Y/N)
Effort/ Duration
Start Finish Dependent Task
VEN –CMgmt- DEL 005
Deployment of the Case Management Environment
Software Configuration Vendor
Y 16 weeks 12/18/14
2/16/15 OSI resources
VEN –CMgmt- DEL 006
Report and Release of Retainage
Software Configuration Vendor
Y 20 weeks 12/19/14
1/20/15 none
VEN Cap/Scan Data Warehouse DEL 001
Implementation Phase: OSI Data Warehouse Project Kickoff
Software Configuration Vendor
Y 2 weeks
1/15/15 1/29/15 Signing of contract
VEN Cap/Scan Data Warehouse DEL 002
Implementation Phase: Detailed OSI Data Warehouse Project Plan
Software Configuration Vendor
Y 3 weeks
1/30/15 2/5/15 OSI resources
VEN Cap/Scan Data Warehouse DEL 003
Implementation Phase: OSI Paperless Data Warehouse Requirements Definition
Software Configuration Vendor
Y 5 weeks
2/6/15 2/19/15 OSI resources
VEN Cap/Scan Data Warehouse DEL 004
Implementation Phase: OSI Paperless Data Warehouse Development/Production Environment Installation/Configuration
Software Configuration Vendor
Y 13 weeks
2//20/15 4/16/15 OSI resources
VEN Cap/Scan Data Warehouse DEL 005
Implementation Phase: Application Development
Software Configuration Vendor
Y 13 weeks
2/20/15 3/31/15 OSI resources
VEN Cap/Scan Data Warehouse DEL 006
Implementation Phase: User Acceptance Testing (UAT)
Software Configuration Vendor
Y 14 weeks
4/1/15 4/17/15 OSI resources
PAGE | 88
Identifier Task/Activity Name
Resource Name
Milestone (Y/N)
Effort/ Duration
Start Finish Dependent Task
VEN Cap/Scan Data Warehouse DEL 007
Implementation Phase: OSI Paperless Data Warehouse Training and Operations Documentation
Software Configuration Vendor
Y 16 weeks
4/18/15 5/7/15 OSI resources
VEN Cap/Scan Data Warehouse DEL 008
Implementation Phase: OSI Paperless Data Warehouse Production Rollout
Software Configuration Vendor
Y 17 weeks
5/8/15 5/14/15 OSI resources
VEN Cap/Scan Data Warehouse DEL 010
Implementation Phase: Summary Report, Release of Retainage and Thirty (30) day support
Software Configuration Vendor
Y 21 weeks
5/14/15 6/15/15 none
VEN Cap/Scan Scan Modules DEL 001-00X
Y tbd tbd
VEN Cap/Scan Scan and Index DEL 001-00X
Y tbd tbd
5.3 PROJECT BUDGET5.3 PROJECT BUDGETCosts estimates are the costs applied to an activity in a project by assigning resources with associated rates or fees. Resources can include equipment, material, technology, processing cycles, or people. The total cost is critical and should be consistent with the proposal; include breakdowns as needed. Match these cost estimates with the actual billed amounts. Use an appropriate format for the project size and customer requirements (e.g., by WBS, milestone, or deliverable).
PAGE | 89
Total Cost of Ownership Revision October 14, 2015
Description FY14 FY15 FY16 FY17 FY18
Professional Services
Project Management $104,774.40 $152,068.40 $115,000.00 $100,000.00 $100,000.00
eDocket Module Implementation
$55,256.13 $142,987.19 $0.00 $0.00 $0.00
Case Management Module Implementation
$0.00 $128,243.79 $0.00 $0.00 $0.00
Data Warehouse Module Implementation
$0.00 $176,281.42 $0.00 $0.00 $0.00
Scan/Link Module Implementation
$0.00 $0.00 $120,000.00 $0.00 $0.00
Legal Opinion – Change Request
$15,000.00
Records Retention Policy Manager Configuration and Deployment
$0.00 $0.00 $50,000.00 $0.00 $0.00
Temporary Staff: Document Scanning
$0.00 $0.00 $100,000.00 $100,000.00 $0.00
IV&V $6,529.60 $27,720.00 $14,784.00 $15,000.00 $7,500.00
Software Perceptive $85,836.39 $0.00 $0.00 $0.00 $0.00
Perceptive Records Retention Policy Manager Software
$9,000.00
Visio, MS Project, Acrobat
$11,998.38 $0.00 $0.00 $0.00 $0.00
Hardware Server/Storage $87,554.52 $0.00 $0.00 $0.00 $0.00
Server/Storage Install $12,155.20 $0.00 $0.00 $0.00 $0.00
Operations Perceptive Software Maintenance
$15,708.20 $15,708.20 $17,279.00 $17,279.00 $17,279.00
Perceptive Records Retention Policy Manager Software Maintenance
$1,712.85 $1,712.85 $1,712.85
Scanner Maintenance $0.00 $0.00 $0.00 $0.00 $0.00
Other Contingency (SBS Integration, Future SW upgrade, Maintenance, SAN, Licenses, scanning HW)
$0.00 $0.00 $.00 $0.00 $13,918.63
PAGE | 90
Total $379,812.82 $643,009.00 $442,775.85 $233,991.85 $140,410.48
Total Project Costs $1,840,000.00
5.4 PROJECT TEAM5.4 PROJECT TEAM5.4.1 P5.4.1 PROJECTROJECT T TEAMEAM O ORGANIZATIONALRGANIZATIONAL S STRUCTURETRUCTURE
Insert a graphical Organization Chart here. The Organizational Structure (OS) is a hierarchical configuration defining levels of program management and may identify all project personnel. The OS should be simple and straightforward. Include role names and people’s names. Consider identifying the core project team by shading their respective boxes on the chart. On complex projects, consider using a second OS to identify core project team. The OS can also be used for management reporting.
PAGE | 91
5.4.2 P5.4.2 PROJECTROJECT T TEAMEAM R ROLESOLES ANDAND R RESPONSIBILITIESESPONSIBILITIES
List the team members, their role, responsibility and functional manager. Make sure to include a comprehensive listing including those from the organization managing the project, business members involved to ensure business objectives are met and the vendor members that may have a specific role.
Role Responsibilities
Executive Steering Committee (ESC)
Meet at least once monthly Provide strategic direction and promote the vision for Enterprise
Content Management Advise project on policy issues Review, evaluate, and provide direction to the Project Director and
Project Team Members on implementation and deployment strategies
Monitor the project progress Provide recommendations on issues escalated to the committee Assist in mitigating strategic project risks Direct the Project Director on issues and risks Address, review, and approve all deliverables, such as project
structure and team activities Monitor the project activities, assuring adherence to the project plan Ensure involvement of participants in order to meet deadlines Review and approve expenditures of funds Represent the point of view of key stakeholders including
technology-enabled customers and state government executives
NM DOIT Provide project implementation oversight Ensure proper project management and cost reporting Certify and approve funding prior to each phase of the project
PAGE | 92
Role Responsibilities
Project Director Monitor and report the activities of the OSI 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 Index and Search criteria Procure hardware and software for OSI Comply with approved IT Infrastructure policies & procedures 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 Advise the Vendor Team(s) on issues and risks Review and approve all Vendor documentation Work closely with SRCA team to create an approved, published
electronic-records management framework
Project Manager / Business Analyst
Prepare Steering Committee meeting agenda and meeting materials Establish and maintain a coordinated project management plan that
includes all IT and non-IT tasks and activities necessary to fully execute the project and to achieve project goals
Report to ESC on project status, issues, budget, and activities Address, review, and submit deliverables to ESC from the OSI
Project Team members Facilitate defining document metadata and setting up document
taxonomy Lead Business Process Reengineering efforts Plan system interfaces and document migration processes Manage testing and validating SBS solution Serve as a contact for the Vendor Team Manager, review and accept
weekly status reports, project milestones, deliverables, and issues logs
Create OSI Imaging System Plan
SRCA Project Team Members
Provide subject matter expertise for records management requirements
Participate in workgroups and status meetings to determine best course of action, options, and alternatives
Review ITC PCC documentation for certification Work closely with Project Director to create an approved, published
electronic-records management framework Advise the Project Director in developing an OSI Imaging System
Plan
PAGE | 93
Role Responsibilities
IT Specialists Provide IT subject matter expertise 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
Vendor(s) Ensure compliance with the Contract and the approved work plan. Develop and submit all deliverables as required by the Contract. Meet the Project schedule and milestones as defined in the Work
Plan and the Contract.
5.5 STAFF PLANNING AND RESOURCE ACQUISITION5.5 STAFF PLANNING AND RESOURCE ACQUISITION
5.5.1 P5.5.1 PROJECTROJECT S STAFFTAFF
The responsibility assignment matrix (RAM) is a table that relates the project organization structure to the work breakdown structure to ensure that each element of the project’s scope of work is assigned to a responsible organization or individual. Larger projects may define responsibility assignment matrices at multiple levels. A high-level RAM may define which group or organizational unit is responsible for each component of the work breakdown structure, while lower-level RAM’s are used within the groups to assign roles and responsibilities for specific activities to specific individuals. The codes are defined as follows: A = Approval, O = Oversight, R = Responsible, S = Provide Support, W = Does the Work.
Responsible
Organization
WBS Task
SRCA
DoIT
OSI
Project
Team
ESC Project Management
Vendor
Software Configur
ation
Vendor
IV&V
Vendor
Project ManagementPlanning
Project Charter -- -- R A R -- --Business Requirements -- -- R A R/W -- --
PAGE | 94
Responsible
Organization
WBS Task
SRCA
DoIT
OSI
Project
Team
ESC Project Management
Vendor
Software Configur
ation
Vendor
IV&V
Vendor
OSI Project Management
Plan including
Scope & WBS
Project Schedule
-- S S A R/W -- --
Software Selection
Criteria Checklist-- -- R A S -- --
Risk Management -- S A R S SCommunication R A R S SControl
Establish Controls -- R A R -- -- Project Process Review S -- R A R -- --Resource Management
Project Manager Hiring -- -- S R -- -- -- IV&V Services Contract -- R/A A S S Procure Vendor Services
For Implementation-- S R A S - --
Vendor Services
Contract-- R A S R
Funding R A SNM DoIT
Project Certification
Committee
-- S S A R
PCC Approval – Planning -- S R A R/W -- -- PCC Approval - Implementation
-- S R A R/W -- --
PCC Approval Closeout -Transition
-- S R A R/W -- --
PAGE | 95
Responsible
Organization
WBS Task
SRCA
DoIT
OSI
Project
Team
ESC Project Management
Vendor
Software Configur
ation
Vendor
IV&V
Vendor
App/Tech Infrastructure.
Select Software Vendor -- R A R Sign License Agreement
& Acquire OSI
Solution Package
-- -- R A S --
Select Software Configuration Vendor
-- -- R A S -- --
Infrastructure Analysis &
Design-- R A S/R S O
Hardware/Software
Procurement-- S R A S/R S O
Functionality Analysis &
Design-- R A S/R S O
System Development &
Customization-- R A S W O
Transition -- S R A S W OBusiness Process Reengineering
Define -- -- S A S W O Measure -- -- S A S W O Analyze -- -- S A S W O Improve -- -- S A S W O Control -- -- S A S W OImplementation
Implementation Plan for
Reengineered
Business Processes
-- S A S W O
PAGE | 96
Responsible
Organization
WBS Task
SRCA
DoIT
OSI
Project
Team
ESC Project Management
Vendor
Software Configur
ation
Vendor
IV&V
Vendor
Training Plan
Training Manuals -- S A S W O
System Integration -- S A S W O Content Migration -- S A S W O Development &
Implementation-- S A S W O
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 OSupporting Organizational Infrastructure
Trained Operational Staff -- R A S W O Trained Admin Staff -- R A S W O Trained End-Users -- R A S W O OSI User Group -- R A S -- OSI Governance Body S R A S -- --
A = Approval, R = Responsible, S = Provide Support, W = Does the Work. O = Oversight
Use this section to list services or product (HW/SW and such) needed for project
PAGE | 97
Resource Cost Estimate
Estimated units/hours Availability Source Work Product/Deliverable
Perceptive Software $85,836.39 one now Perceptive eDocket Software
Server/Storage $100,000.00
one now VmWare Hardware
5.6 PROJECT LOGISTICS5.6 PROJECT LOGISTICS
Logistics describes how the project manager, project team, the business owner/customer and any vendor resources will physically work together. Include anything to do with moving or starting resources. Training specifically related to project team members should be included here.
Training for IT, Users and all OSI staff will be developed and delivered by the software and configuration vendor as described in the SOW sections of the PMP.
5.6.1 P5.6.1 PROJECTROJECT T TEAMEAM T TRAININGRAINING
Describe training if any needed by project team members. This is not to include training for end users, system administrators or business owners; those should be handled within a training document or part of the transition to operations planning.
Training for IT, Users and all OSI staff will be developed and delivered by the software and configuration vendor as described in the SOW sections of the PMP.
ResourceCost Estimate
Estimated Hours Availability Skill Set Work Product/Deliverable
None
6.0 PROJECT MANAGEMENT AND CONTROLS6.0 PROJECT MANAGEMENT AND CONTROLS
6.1 RISK AND ISSUE MANAGEMENT6.1 RISK AND ISSUE MANAGEMENTPMBOK©:
Risk: “An uncertain event or condition that, if it occurs, has a positive or negative effect on a project’s objectives.”
Issue: “A point or matter in question or dispute, or a point or matter that is not settled and is under discussion or over which there are opposing views or disagreements.”
Both Risks and Issues can significant impact a project’s success, and both should be handled in similar ways.
PAGE | 98
6.1.1 R6.1.1 RISKISK M MANAGEMENTANAGEMENT S STRATEGYTRATEGY
Provide a detailed explanation on the strategy for how risks are identified, analyzed/ quantified, mitigated, reported, escalated and tracked. Include the use of tools such as project management software, forms, and templates. A separate risk management plan may also be developed if needed for the project and included as an Appendix to this document. If that is the case, a high level summary of this plan needs to be included here with the specific reference.
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 OSI Paperless Project faces.
6.1.2 P6.1.2 PROJECTROJECT R RISKISK I IDENTIFICATIONDENTIFICATION
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 OSI Paperless project risks. 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 P6.1.3 PROJECTROJECT R RISKISK M MITIGATIONITIGATION A APPROACHPPROACH
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 R6.1.4 RISKISK R REPORTINGEPORTING ANDAND E ESCALATIONSCALATION S STRATEGYTRATEGY
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.
PAGE | 99
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 OSI Paperless project will follow a continuous risk management strategy. Risk will be assessed routinely to ensure that identified risks are being dealt with appropriately and that new risks are identified and dealt with as early as possible
6.1.6 ISSUE MANAGEMENT6.1.6 ISSUE MANAGEMENT
With any project, no matter how comprehensive the planning process, issues arise that need to be addressed. This section of the project management plan addresses how this process will be managed for the OSI Paperless, Web-based Environment project.
When the project team identifies an issue, it will be added to a document called OSI 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 OSI ESC attention. The process of tracking an issue is outlined here:
1) An issue is identified.2) It is added to the issue document, assigned an issue number with a brief explanation of
the issue and date entered.3) The issue is assigned to someone and potential action to be taken.4) As action is taken, it is noted with the issue.5) If possible, an estimated completion date is entered.
6) Upon completion of an issue, the actual completion date is noted with the resolution.
Listed below are examples of how an issue can be resolved:
An issue can become a task added to the project plan with proper approval, if new, or within scope of the project.
It could be resolved by an action taken. A document can be created which addresses the issue. A resolution could create new issues that need to be addressed.
A new policy could be created which addresses the issue.
The project team is primarily responsible to resolve issues or follow-up to be sure action is being taken to resolve an issue.
PAGE | 100
6.1.6.1 I6.1.6.1 INTERNALNTERNAL I ISSUESSUE E ESCALATIONSCALATION ANDAND R RESOLUTIONESOLUTION P PROCESSROCESS
This internal process is provided for issues that involve project resources, processes, procedures, or methodology that should be resolved within the Division that is responsible for managing the project without affecting the overall project schedule, cost, or quality. This process should be used for improving project processes as the project is executed and where the implementation of such improvements should not be postponed to Lessons Learned during Project Close.
6.1.6.2 E6.1.6.2 EXTERNALXTERNAL I ISSUESSUE E ESCALATIONSCALATION ANDAND R RESOLUTIONESOLUTION P PROCESSROCESS
The external process is provided for issues that involve project resources, processes, procedures, or methodology that cannot be resolved within the Division that is responsible for managing the project without affecting the overall project schedule, cost, or quality.
6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&VIndependent Verification and Validation (IV&V) means the process of evaluating a system 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 development organization. Describe the process that will be employed to meet IV&V requirements.
The IV&V contract with Horizons has been initiated, started on 6/6/2014, and contractually they are obligated to deliver to the SOW below.
A. Deliverable One- IV&V Project Management PlanDeliverable One Due Date Compensation
IV&V Project Management Plan
Ten (10) business days after contract initiation
Total = $6,238.10Including GRT
Task Item Sub Tasks
Description
Project Management Plan
Sub 1.1 The IV&V contractor shall develop an IV&V Management Plan. This Plan shall describe the activities, vendor personnel, deliverable schedule, standards and methodology for conducting the IV&V reviews.
Sub 1.2 The IV&V Management Plan will include a deliverable schedule and activity matrix.
Sub 1.3 The IV&V contractor shall use the report template Quality Assurance IV&V Template along with the Quality Assurance IV&V Guidelines found on the DoIT web site: http://www.doit.state.nm.us/project_templates.html
B. Deliverable Two – Conduct Initial Assessment Deliverable Two Due Date Compensation
PAGE | 101
IV&V Initial Assessment Thirty (30) business days after contract initiation
Total = $12,358.50Including GRT
Task Item Sub Tasks
Description
Initial Assessment Report
Sub 2.1 The IV&V Contractor shall prepare and deliver to the Procuring Agency an Initial IV&V report of the activities required of the project and the effectiveness of the Project Management. The IV&V Report shall indicate the initial status of the project and adherence to best practices in key areas, including but not limited to:Project TimelineProject BudgetProject Management and PlanningRisk and Issue managementStakeholder managementCommunication managementChange managementRequirements Definition Process DefinitionProcurement ManagementContract and Vendor managementSystem Design DocumentationOperations and Support PlanTrainingTransition to Operations planning
Sub 2.2 Contractor shall indicate in the report whether the project activities, components, and deliverables are meeting the schedule identified by the project manager.Verify milestones and completion dates are planned, monitored and met.
Sub 2.3 Assess participation, support and commitment by the Executive sponsor(s) and Business Owner(s), and verify that open pathways of communication exist between Project Management and Executive sponsor(s).
Sub 2.4 The initial report shall include a Risk Assessment of the Project Management activities. The initial report will include a risk assessment by identifying risks presented by the project and management team
Sub 2.5 The IV&V contractor shall use and complete the Quality Assurance IV&V Template along with the Quality Assurance IV&V Guidelines to complete this report. These can be found on the DoIT web site: http://www.doit.state.nm.us/project_templates.html.
PAGE | 102
C. Deliverable Three – Monthly ReportDeliverable Three Due Date Compensation
Conduct Monthly ReportOngoing from start of this contract
through 6/30/2016 (Monthly) and Final Review
Due Monthly, by the Fifth (5th) of the following month.
Starting 07/07/2014 through 06/30/2016
Total = $28,248.00Including GRT
Task Item Sub Tasks
Description
Periodic Review Reports
Sub 3.1 For each activity area evaluated, the report should contain the current status of the project, including any pertinent historical background information which may explain any problems or movement forward otherwise undisclosed. The report shall also contain a detailed analysis of each activity area evaluated, and answer, at a minimum, the following questions:• What are the project's current activity/tasks in this area?• How effective is the project in meeting best practices in this activity area?• Is the project making measurable progress in this area?• Is the project within budget and on schedule?• Is the project at risk, if so what are those risks and what are the mitigation recommendations? • What best practices or standards are applicable and or are being followed (State, industry IEEE, SEI, ISO, etc.)?• Is the documentation for this activity area accurate and up-to-date?• In reviewing the project, are the milestones being met and completed to the procuring agency's needs and requirements?The Contractor shall furnish such reports to the OSI Project Manager, OSI-CIO, and the DoIT Project Oversight and Compliance Division ([email protected]) as required by the date specified by the Agency.
Contract/Vendor Management
Sub 3.2 The Contractor shall quantify aspects of the report. Contractor’s report should also contain detailed recommendations for each identified area specifying what can be done immediately and in the long term to improve the agency and/or State's management of IT projects. Any technologies, methodologies, or resources recommended by the Contractor shall reflect industry standards for that item and be appropriate for the project. Contractor recommendations shall also specify a method of measuring progress during implementation of such recommendations.
Sub 3.3 Contractor follow-up reports shall have quantified information as to the progress made by the project towards meeting the recommendations from previous reviews. Follow-up reports shall also contain any additional and/or modified recommendations at the same level of detail as the initial recommendation.
Sub 3.4 The Contractor shall also provide the Procuring Agency with action items that mitigate any potential findings.
Sub 3.5 The Contractor shall attend the project meetings and interview stakeholders as needed
Sub 3.6 Contractor will identify risks related to the procurement management, contract development and administration and vendor management.
PAGE | 103
Project Management PM-1 Verify that a project management plan is being followed. Evaluate the project management plans and procedures to verify that they are developed, communicated, implemented, monitored and complete.
PM-2 Verify milestones and completion dates are planned, monitored, and met. Verify that schedule is proactively managed for potential risks and issues due to resource allocation or other constraints.
Risk Management PM-3 Verify that the project is managing risks through reporting, logging and acting on reducing risk. Ascertain that the project is following the state’s requirement for an initial and then periodic risk assessment reports. Evaluate the project’s risk management plans and procedures to verify that risks are identified and quantified and that mitigation and contingency plans are developed, communicated, implemented, monitored, and complete.
PM-4 Verify that risk triggers are regularly monitored, communicated and managed to minimize probability and/or impact, should those risk events materialize.
Change Management PM-5 Verify that a change management plan is created and being followed. Evaluate the change management plans and procedures to verify they are developed, communicated, implemented, monitored, and complete, and that project managers anticipate and prepare for resistance to change.
Scope Management PM-6 Verify that a scope management plan is created and being followed. Evaluate the scope management plans and procedures to verify they are developed, communicated, implemented, monitored, and complete. Verify that the project is managed within scope with well managed change control process to avoid scope creep.
Financial and Budget Management
PM-7 Verify that a budget management plan is created and being followed. evaluate the project financials and budget management plans and procedures to verify they are developed, communicated, implemented, monitored, and complete.
Scheduling PM-10 Review schedules to verify that adequate time and resources are assigned for planning, development, review, testing and rework.
PM-11 Examine relevant supporting data to determine if the project team has accurately estimated the time, labor and cost of software development efforts. Verify that project schedule is proactively managed to avoid slippages and risks related to overruns.
Requirements Management
RM-1 Evaluate and make recommendations on the project’s process and procedures for managing requirements.
RM-2 Verify that business, technical and system requirements, as well as operations requirements are well-defined, understood and documented.
System Integration Test
ST-1 verify that an appropriate level of test coverage is achieved by the test process, that test results are verified, that the correct code configuration has been tested, and that the tests are appropriately documented, including formal logging of errors found in testing
ST-2 Verify that user acceptance testing has been completed to the user requirements.
User Acceptance Test ST-5 Evaluate the plans, requirements, environment, tools, and procedures for acceptance testing the system.
ST-6 Verify that a sufficient number and type of case scenarios are used to ensure comprehensive but manageable testing and that tests are run in a realistic, model office-like environment.
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Interface Testing ST-7 Evaluate interface testing plans.
User Training and Documentation
TR-1 Verify that all training is given on-time and is evaluated and monitored for effectiveness, with additional training provided as needed.
TR-2 verify that all training is adequately done to the project’s requirements
Implementation Planning
IP-1 verify that all training materials, end user and system administrator for using the contractor-supplied and or contractor customized software is taken through a testing and user acceptance process to assure than it matches the actual finished and delivered software solution
IP-2 Review and evaluate implementation plan, including consideration of training, agency productivity and scheduling and other factors that could interfere with a successful implementation.
Close out IV&V Report
Contractor shall present a written report of the status of the project relating to the success of the completed project. The report shall:• Identify and evaluate project accomplishments, and major deliverables,• Identify lessons learned and areas which the project could have improved its actions and methods,• Evaluate methods used to obtain user satisfaction feedback to determine areas for future improvements,• Evaluate the implementation of the integrated systems for effectiveness and efficiency.Review and acceptance of the project shall be determined by the approval of the Executive Steering Committee.
6.3 SCOPE MANAGEMENT PLAN6.3 SCOPE MANAGEMENT PLANDescribe the process that is going to be used to manage the scope of the project. Make sure to address managing stakeholder expectations.
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 bi-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
the OSI ESC 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.
Quality Management – OSI Paperless project quality management will be established for each deliverable based on the quality mechanisms of the responsible organization, and the OSI Quality Management Plan.
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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 four 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.
6.3.1 C6.3.1 CHANGEHANGE CCONTROLONTROL
6.3.1.1 C6.3.1.1 CHANGEHANGE C CONTROLONTROL P PROCESSROCESS
Change Control establishes how change will be managed, including capturing, tracking, communicating, and resolving change. Due to much ambiguity regarding change, it is vital that we document and discuss the change process with the executive sponsor.
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.
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Establish the baseline productThe OSI project plan is developed around a “package” strategy. Further, the strategy specifically specifies minimal modifications to the package. Functional modifications are to be limited in the SBS product.
Agreement from the OSI ESCThe baseline product described above and strategy for implementation is to be reviewed and approved by the OSI Executive Steering Committee. Requests to change the scope will also be reviewed and approved by the OSI ESC.
Enforce a formal change control processThe software package/implementation process is never static. Some changes are to be expected during the SBS 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.
6.3.1.2 C6.3.1.2 CHANGEHANGE C CONTROLONTROL B BOARDOARD (CCB) (CCB)
Insert a graphic or textual description identifying the Change Control Board (or function) for this project. The CCB may be an individual or group of individuals authorized to approve changes to the project plan.
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6.4 PROJECT BUDGET MANAGEMENT6.4 PROJECT BUDGET MANAGEMENTCosts estimates are the costs applied to an activity in a project by assigning resources with associated rates or fees. Resources can include equipment, material, technology, processing cycles, or people. The total cost is critical and should be consistent with the proposal; include breakdowns as needed. Match these cost estimates with the actual billed amounts. Use an appropriate format for the project size and customer requirements (e.g., by WBS, milestone, or deliverable).
6.4.1 B6.4.1 BUDGETUDGET T TRACKINGRACKING
Budget is reported on bi-weekly budget summary spreadsheet and reviewed in bi-weekly ESC meeting
6.5 COMMUNICATION PLAN6.5 COMMUNICATION PLANCommunication planning involves determining the information and communication needs of the stakeholders, executive sponsors, project team and others as needed. The communication plan needs to address who needs what information, when they will need it, how it will be given to them, and by whom. The complexity of the project may require a separate communication plan; however, a high level summary of that plan will need to be included here and a reference made to the appropriate Appendix.
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.All project documents are archived in the share drive locations below.Note: All Project and OPTins documentation is located at: Paperless Web Based Project ( \\\\OSICAPSQLSVR\GROUPSOSICAPSQLSVR\GROUPS) (S:)Note: All SBS documentation is located at: sbs (\\OSICAPSQLSVR\GROUPS\\OSICAPSQLSVR\GROUPS) (V:)
6.5.1 C6.5.1 COMMUNICATIONOMMUNICATION M MATRIXATRIX
Stakeholders: PD = Project Director, PM = Project Manager
Deliverable/Description Target Audience
Delivery Method
Frequency Responsible Party
OSI Project Status ESC Email Weekly PM
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Face-to-Face Bi-weekly
OSI ESC meeting agenda ESC Email Bi-Weekly PM
OSI ESC meeting summary
ESC Email Bi-Weekly PM
Project notices OSI SME Email & F-F As needed PM
DoIT Project Status DoIT Email Monthly PM/PD
Ad hoc Vendor, OSI personnel
As needed As needed PM/PD
6.5.2 S6.5.2 STATUSTATUS M MEETINGSEETINGS
The Executive Steering Committee will meet at a minimum on a monthly basis in order to review project progress, deliverables/milestones, provide direction to the Project Director, and team. The Project Director is required to provide formal status reports to the ESC and will present the report during the ESC meetings. The Project Director is also required to report on the overall status of the project on a monthly basis, per standard DoIT procedures.
Specific requests for expenditure authorization should be forwarded to the ESC representatives for the agencies. If funding approval is an agenda item on the regular ESC meeting, the request and associated justification for spending should be circulated to committee members at least seven (7) days in advance of the ESC meeting. If funding approval is required in a timeframe that does not coincide with the ESC meeting schedule, it is the responsibility of the Project Director to send a request and justification directly to the ESC committee members. A reminder notice should be sent out after seven (7) days if there has been no response from ESC committee members. A final attempt to contact ESC members should be made at fourteen (14) days if there has been no response. Summary of any such action should be documented in team status reports and reported to the ESC at the next meeting.
6.5.3 P6.5.3 PROJECTROJECT S STATUSTATUS R REPORTSEPORTS
The Project Manager submits through email a weekly summary project status report to all Project Stakeholders and review the status report during the bi-weekly Executive Steering Committee meeting. All project documents are archived in the share drive locations below.Note: All Project and OPTins documentation is located at: Paperless Web Based Project ( \\\\OSICAPSQLSVR\GROUPSOSICAPSQLSVR\GROUPS) (S:)Note: All SBS documentation is located at: sbs (\\OSICAPSQLSVR\GROUPS\\OSICAPSQLSVR\GROUPS) (V:)
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6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)The Project Manager and Executive Sponsor define the project metrics that will be used to control the project. Each project will need to have an established metrics program. Metrics are collected for measuring the progress of a project against its planned budget, schedule, resource usage, and error rates, and of establishing a historical database, which will aid in planning and forecasting future projects. At a minimum metrics must be established for time (schedule), cost (budget) and quality.
6.6.1 B6.6.1 BASELINESASELINES
Project Area Category Measure
Project Management Project Manager deliverables Schedule & Quality
Project Management Configuration Vendor deliverables
Schedule, Cost, Quality
6.6.2 M6.6.2 METRICSETRICS L LIBRARYIBRARY
Metrics are reported in the weekly status report and during the bi-weekly Executive Steering Committee and logged/recorded on the OSI Web Based Project Share drive site.
6.7 QUALITY OBJECTIVES AND CONTROL6.7 QUALITY OBJECTIVES AND CONTROLQuality 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. If a separate Quality Plan is used, include a high level summary in this document and refer to the appropriate appendix.
6.7.1 6.7.1 QUALITYQUALITY S STANDARDSTANDARDS
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
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No. Quality Standard Tracking Tool or Measure
3 Quarterly project reviews show contractors deliver requirements specified in the contract by due dates or pay penalties.
• Vendor Contract• Final Customer
Acceptance
4 Project issues are resolved and documented within 10 calendar days of identification or extensions are justified.
• Issues Tracking
5 Project will be completed based on the original project scope and approved scope changes.
• Project Charter• Project Plan• Control Change
Request
6.7.2 P6.7.2 PROJECTROJECT ANDAND P PRODUCTRODUCT R REVIEWEVIEW AND ASSESSMENTS AND ASSESSMENTS
Review Type Quality Standard Reviewer Reports
Requirements Defined in SOW PM and ESC Weekly Status
PlansDefined in SOW PM and ESC Weekly Status
MilestonesDefined in SOW PM and ESC Weekly Status
TestingDefined in SOW PM and ESC Weekly Status
6.7.3 A6.7.3 AGENCYGENCY/C/CUSTOMERUSTOMER S SATISFACTIONATISFACTION
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.
Examples:
Areas of feedback When How Often
Agency awareness Business Owner Meetings Monthly minimum or as needed
Quality of communications ESC Steering committee meetings
Bi-Weekly or more frequently as needed
Manages project tasks ESC Steering committee meetings
Bi-Weekly or more frequently as needed
Productive Meetings ESC Steering committee meetings
Bi-Weekly or more frequently as needed
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6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESS6.7.4 PRODUCT DELIVERABLE ACCEPTANCE PROCESSHow the client takes procession of the product. 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 to operate the product.
Deliverable Final Approval Process Customer Acceptance Criteria
Project Management ESC and Project Director Defined in SOW
Software Configuration Vendor
ESC and Project Director Defined in SOW
IV&V Vendor ESC and Project Director Defined in SOW
6.8 CONFIGURATION MANAGEMENT6.8 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 V6.8.1 VERSIONERSION C CONTROLONTROL
OSI will implement a software solution to manage version controls for documentation and products. The software will secure documents and products for access by a single individual. The software will track usage, stalled workflow, and version. The proposed software will have the ability to also merge changes to a central repository.
6.8.2 P6.8.2 PROJECTROJECT R REPOSITORYEPOSITORY (P (PROJECTROJECT L LIBRARYIBRARY))“Provide to the Department all project management and product deliverables. Deliverables shall include but not limited to the project plan, project schedule, initial and periodic risk assessments, quality strategies and plan, periodic project reports, requirements and design documents for entire project. The lead agency must make available all deliverables in a share drive repository with open access for the Department.
6.9 PROCUREMENT MANAGEMENT PLAN6.9 PROCUREMENT MANAGEMENT PLANProjects often have some element of procurement, i.e. the requirement to purchase goods and/or services from outside the organization. The procedures to be used to handle these procurements
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should be included here. Activities such as a make-or-buy analysis; writing requirements; solicitation planning, evaluation and selection; inspection and acceptance; contract closeout should all be included.The procurement process included:
Complete requirements definition, business requirements, and procurement justification Complete Scope of Work Survey industry for best fit candidates to meet requirements From three top candidates, acquire three cost estimates. Complete analysis, present to ESC Receive ESC recommendation Follow SPD requirements for procurement
7. 0 PROJECT CLOSE7. 0 PROJECT CLOSEProject 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 ADMINISTRATIVE CLOSE7.1 ADMINISTRATIVE CLOSEAdministrative Close occurs at both the end of phase and end of project. This closure consists of verification that objectives and deliverables were met. Acceptance is formalized and phase activities are administratively closed out. Administrative closure occurs on a “by-phase” basis in accordance with the WBS and should not be delayed to project end. At that point, the burden of closing is too great and audits inaccurate. The specific project close activities for a given project are contingent on the project’s complexity and size. Project managers should work with the project’s project management consultant to tailored Project Close procedures to compliment the project’s objectives
7.2 CONTRACT CLOSE7.2 CONTRACT CLOSEContract close is similar to administrative close in that it involves product and process verification for contract close.
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APPENDIX A – OSI PAPERLESS PROJECT TIMELINE, APPENDIX A – OSI PAPERLESS PROJECT TIMELINE, SCAN/LINK TIMELINE AND SBS PROJECT TIMELINESCAN/LINK TIMELINE AND SBS PROJECT TIMELINE
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APPENDIX B – OSI PAPERLESS PROJECT DEFINITIONSAPPENDIX B – OSI PAPERLESS 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 PowerPoint 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 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.
“Custodial agency” means the agency responsible for the maintenance, care, or keeping of public records, regardless of whether the records are in that agency’s actual physical custody and control.
“Data” is the plural for “datum” which means a single piece of information. Data refers to a collection of information, electronic or non-electronic. Data can also refer to raw facts, figures, or symbols.
“Database” means a collection of information stored in magnetic or hardcopy form (with or without any particular structure).
“Destruction” means the disposal of records of no further value by shredding, burial, incineration, pulping, electronic overwrite, or some other process, resulting in the obliteration of information contained on the record.
“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
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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.
“Enterprise Content Management (OSI)” 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 OSI,
is becoming increasingly important in organizations, allowing the participants in a business process to come together to optimize the process to mutual benefit. This brings partners, suppliers, customers and agencies together in a controlled way, manages, and leverages collaboration content such as discussion threads, voting results, and documents.
“Enterprise Records & Retention Management (ERRM)” is a process that monitors documents (for example, papers, books, maps, e-mail, Web site content, photographs and messages) throughout their life cycle; from the time they are created to the time they are destroyed. Records are documents used to maintain information created or received while conducting an organization's activities. They are held for several reasons, including business continuity, legal or statutory requirements, or as permanent records of the enterprise. In many cases, ERRM is a mandatory program, and enterprises have no choice but to spend money to meet legal or regulatory requirements. Penalties for lack of compliance can range from censure to fines or, in extreme cases, to suspension of business activities. (From Gartner Research)
(Note: see also the definition for “Public Record,” and note the distinction for record destruction vs. record disposition.)
“Forms capture and processing” Forms-capture and forms-processing software apply recognition technologies such as OCR, ICR and bar code against an electronic document (such as scanned paper and electronic fax) to increase the data entry throughput with a lower labor component. In the simplest case, a document is scanned, and key fields (for example, name, account number, age, purchase amount, tax owed) are recognized and translated, verified and passed to a database or line-of-business application. The leading forms processing and capture vendors are providing multichannel, multiprotocol (paper, Web, fax, e-mail) capture and export capabilities.
“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.
“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.
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“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.
“Pending litigation” means a proceeding in a court of law whose activity is in progress but not yet completed.
“Program” means a coded set of instructions, written by humans, that directs a computer’s functions. The program can be stored on disk (in which case the program is software) or in a chip (which is firmware).
“Public record” means all books, papers, maps, photographs or other documentary materials, regardless of physical form or characteristics, made or received by any agency in pursuance of law or in connection with the transaction of public business and preserved, or appropriate for preservation, by the agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the government, or because of the informational and historical value of data contained therein.
“Records custodian” means the statutory head of the agency or his or her designee.“Records Liaison Officer (RLO)” means the individual in the custodial agency designated by the
records custodian to cooperate with, assist, and advise the General Services Department in creating efficient and effective records management programs. The RLO in an agency is responsible for implementing the records retention and disposition schedules within his or her
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agency. The records liaison is also responsible for authorizing the storage and or destruction of his or her agency’s records.
“Records management” means the systematic control of all records from creation or receipt through processing, distribution, maintenance and retrieval, to their ultimate disposition.
“Records retention period” means the period of time during which records must be maintained by an organization because they are needed for operational, legal, fiscal, historical or other purposes.
“Records retention and disposition schedules,” means document that specifies actions for the retention and disposition of current, inactive, and non-current records series of an organization or agency.
“Records series” means file units, documents, or electronic records arranged according to a filing system or maintained as a unit because they relate to a particular subject or function, result from the same activity, have a particular form, or share some other relationship arising from their creation, receipt, or use.
“Storage” The State Commission of Public Records (SRCA) provides secure storage for in-active public records maintained by state agencies. The SRCA maintains two records center facilities; the Albuquerque facility has a storage capacity of 45,000 cubic feet and the records center in Santa Fe has a storage capacity of 75,000 cubic feet. The Record Center Services Bureau staff monitors and handles the transfer, receipt, storage, and withdrawal of in-active records housed in the record facilities for state agencies. When those records have met their legal retention, the staff executes the disposition of the records. The disposition would be one of two situations, 1) transfer to Archives or 2) destruction.
“Storage Area Network (SAN)” is a technology designed to overcome throughput and data-sharing issues that are common in existing data networks. SANs are fully scalable, fault-resilient shared data repositories providing unlimited mixing and matching of storage devices, storage space, and even files (under certain conditions) across the network. They are fast becoming the architecture of choice for centrally managed network storage tasks. SANs are high-speed, high-bandwidth I/O channels (usually Fiber 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.
“Transfer” means moving inactive records to a records center or archives. Moving records into the state archives also includes the transfer of custody from the custodial agency to the state archives.
“TIFF" means tagged image file format, a standardized format for storage of digitalized images, which contains a header or tag that defines the exact data structure of the associated image.
“Vital records” means records essential to the continuing operation of an agency. They are either intrinsically irreplaceable or irreplaceable because copies do not have the same value as the originals. They are essential to the continuity of services during a disaster or to the restoration of daily business when it has been interrupted. They are the records that would be required to protect the legal and financial interests of an agency, preserve the rights of the people, and resume operations after a major disaster like fire or flood.
“Voice mail” means a telecommunication message that is digitized and can be stored and subsequently retrieved in audio or visual format.
“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
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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.
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APPENDIX C – OSI PAPERLESS PROJECT ACRONYMSAPPENDIX C – OSI PAPERLESS PROJECT ACRONYMS
BA – Business Analyst
BPR – Business Process Re-engineering
CAO – Chief Administrative Officer
CERR – Centralized Electronic Records Repository
CFO – Chief Finance Officer
CIO – Chief Information Officer
DFA – Department of Finance and Administration
DoIT – Department of Information Technology
ESC – Executive Steering Committee
IDEAL – OSI Legacy Insurance System
IT – Information Technology
NAIC – National Association of Insurance Commissioners
OSI – Office of Superintendent of Insurance
PCC – Project Certification Committee
PM – Project Manager
PMBOK – Project Management Book of Knowledge
PMI – Project Management Institute
PRC – Public Regulation Commission
RFP – Request for proposal
SBS – State Based System
WBS – Work breakdown structure
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APPENDIX D - PROJECT MANAGEMENT DEFINITIONSAPPENDIX D - PROJECT MANAGEMENT DEFINITIONSBelow is a list of project management terms. These definitions were supplied by the NM Department of Information Technology office.
Acceptance Criteria
The criteria that a system or component must satisfy in order to be accepted by a user, customer, or other authorized entity. [IEEE-STD-610]
Acceptance Testing
Formal testing conducted to determine whether or not a system satisfies its acceptance criteria and to enable the customer to determine whether or not to accept the system. [IEE-STD-610]
Assumptions
Planning factors that for planning purposes, will be considered true, real, or certain. Assumptions generally involve a degree of risk. They may be documented here, or converted to formal risks.
Baseline
A specification or product that has been formally reviewed and agreed upon that thereafter serves as the basis for further development, and that can be changed only through formal change control procedures. [IEEE-STD-610]
Commitment
A commitment is a pact that is freely assumed, visible, and expected to be kept by all parties.
Configuration Management (CM)
A discipline applying technical and administrative direction and surveillance to identify and document the functional and physical characteristics of a configuration item, control changes to those characteristics, record and report change processing and implementation status, and verify compliance with specified requirements. [IEEE-STD-610]
Configuration Management Library System
These are the tools and procedures needed to access the contents of the software baseline library.
Constraints
Factors that will (or do) limit the project management team’s options. Contract provisions will generally be considered constraints.
Contingency Planning
Contingency Planning is the development of a management plan that identifies alternative strategies to be used to ensure project success, if specified risk events occur.
Crashing
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Crashing is taking action to decrease the total duration after analyzing a number of alternatives to determine how to get the maximum duration compression for the least cost.
Critical Path
Critical Path is a series of activities that determines the duration of the project. The critical path usually defined as those activities with float less than or equal to specified value often zero. It is the longest path through the project.
Dependencies, Discretionary
Dependencies defined by the project management team. They should be used with care and usually revolve around current Best Practices in a particular application area. They are sometimes referred to as soft logic, preferred logic, or preferential logic. This may also encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle.
Dependencies, Mandatory
Dependencies inherent to the work being done. In some cases, they are referred to as hard logic.
Dependency Item
A product, action, piece of information, etc., that must be provided by one individual or group to a second individual or group so they can perform a planned task.
Deliverable
Any measurable, tangible, verifiable outcome, result, or item that must be produced to complete a project or part of a project that is subject to approval by the project sponsor or customer.
Duration
The number of work periods (not including holidays or other nonworking periods) required to complete an activity or other project element.
Duration Compression
Shortening the project schedule without reducing the project scope. Often increases the project cost.
End User
The individual or group who will use the system for its intended operational use when it is deployed in its environment.
Effort
The number of labor units required to complete an activity or other project element, usually expressed as staff hours, staff days, or staff weeks.
Fast Tracking
Compressing the project schedule by overlapping activities that would normally be done in sequence, such as design and construction.
Float
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The amount of time that an activity may be delayed from its early start without delaying the project finished date.
Formal Review
A formal meeting at which a product is presented to the end user, customer, or other interested parties for comment and approval. It can also be a review of the management and technical activities and of the progress of the project.
Integrated Project Plan
A plan created by the project manager reflecting all approved projects and sub-projects.
Lessons Learned
The learning gained from the process of performing the project. Lessons learned may be identified at any point during the execution of the project.
Method
Method is a reasonably complete set of rules and criteria that establish a precise and repeatable way of performing a task and arriving at a desired result.
Methodology
A collection of methods, procedures, and standards that defines an integrated synthesis of engineering approaches to the development of a product.
Milestone
A scheduled event for which some individual is accountable and that is used to measure progress.
Non-technical Requirements
Agreements, conditions, and/or contractual terms that affect and determine the management activities of an architectural and software project.
Performance Reporting
Collecting and disseminating performance information. This includes status reporting measurement, and forecasting.
Procurement Planning
Determining what to procure and when.
Product Scope
The features and functions that characterize a product or service.
Project Leader (Technical)
The leader of a technical team for a specific task, who has technical responsibility and provides technical direction to the staff working on the task.
Project Management
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The application of knowledge, skills, tools, and techniques to project activities to meet the project requirements. Project Management is also responsible for the oversight of the development and delivery of the architecture and software project.
Program
A group of related projects managed in a coordinated way. Programs include an element of ongoing work.
Program Management Office
An organizational entity responsible for management and oversight of the organization’s projects. As a specific reference in this document, the Office of the Chief Information Officer.
Project Manager
The role with total business responsibility for an entire project. The individual who directs, controls, administers, and regulates a project. The project manager is the individual ultimately responsible to the customer.
Project Charter
A document issued by senior management that formally authorizes the existence of a project. It provides the project manager with the authority to apply organizational resources to project activities.
Project Management Plan
A formal, approved document used to guide both project execution and project control. The primary uses of the project plan are to document planning assumptions and decisions, facilitate communication among stakeholders, and documents approved scope, cost, and schedule baselines. The Project Management Plan (PMP) is a project plan.
Project Schedule
A tool used to indicate the planned dates, dependencies, and assigned resources for performing activities and for meeting milestones. Software products such as ABT’s Workbench and Microsoft Project are tools used to develop project schedules.
Project Scope
The work that must be done to deliver a product with the specified features and functions.
Project Sponsor
The individual that provides the primary sponsorship for an approved project. This individual will play a key role in securing funding, negotiating for resources, facilitating resolution of critical organizational issues, and approving key project deliverables.
Quality
The degree to which a system, component, or process meets specified requirements.
The degree to which a system, component, or process meets customer or user needs or expectations. [IEEE-STD-610]
Quality Management
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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 E – WORK BREAKDOWN STRUCTUREAPPENDIX E – WORK BREAKDOWN STRUCTURE
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