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BUREAU OF VITAL RECORDS AND HEALTH STATISTICS IMAGING PLAN AND SYSTEM

UPGRADE

PROJECT MANAGEMENT PLAN (PMP)

EXECUTIVE SPONSOR – TERRY REUSSER

BUSINESS OWNER – MARK KASSOUF

PROJECT MANAGER – THOMAS CHEPUCAVAGE

ORIGINAL PLAN DATE: JANUARY 14, 2019REVISION DATE: FEBRUARY 25, 2019

REVISION: 8

REVISION HISTORY............................................................................................................................................ IV

1.0 PROJECT OVERVIEW................................................................................................................................... 4

1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT................................................................................................41.2 FUNDING AND SOURCES.......................................................................................................................................51.3 CONSTRAINTS.....................................................................................................................................................51.4 DEPENDENCIES...................................................................................................................................................61.5 ASSUMPTIONS...............................................................................................................................................71.6 INITIAL PROJECT RISKS IDENTIFIED.........................................................................................................................7

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE.............................................................................9

2.1 STAKEHOLDERS......................................................................................................................................................92.2 PROJECT GOVERNANCE STRUCTURE.........................................................................................................................10

2.2.1 Describe the organizational structure – Org Chart..................................................................................102.2.2 Describe the role and members of the project steering committee.........................................................102.2.3 Organizational Boundaries, interfaces and responsibilities.....................................................................11

2.3 EXECUTIVE REPORTING..........................................................................................................................................11

3.0 SCOPE......................................................................................................................................................... 12

3.1 PROJECT OBJECTIVES............................................................................................................................................123.1.1 Business Objectives.................................................................................................................................123.1.2 Technical Objectives................................................................................................................................12

3.2 PROJECT EXCLUSIONS............................................................................................................................................133.3 CRITICAL SUCCESS FACTORS...................................................................................................................................13

4.0 PROJECT DELIVERABLES AND METHODOLOGY.............................................................................................14

4.1 PROJECT MANAGEMENT LIFE CYCLE........................................................................................................................144.1.1 Project Management Deliverables..........................................................................................................154.1.2 Deliverable Approval Authority Designations..........................................................................................174.1.3 Deliverable Acceptance Procedure..........................................................................................................18

4.2 PRODUCT LIFE CYCLE.......................................................................................................................................194.2.1 Technical Strategy...................................................................................................................................204.2.2 Product and Product Development Deliverables.....................................................................................224.2.3 Deliverable Approval Authority Designations..........................................................................................234.2.4 Deliverable Acceptance Procedure..........................................................................................................33

5.0 PROJECT WORK........................................................................................................................................... 33

5.1 WORK BREAKDOWN STRUCTURE (WBS)..................................................................................................................335.2 SCHEDULE ALLOCATION – PROJECT TIMELINE............................................................................................................375.3 PROJECT BUDGET.................................................................................................................................................395.3.1 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE.............................................................................................415.4 PROJECT TEAM....................................................................................................................................................41

5.4.1 Project Team Organizational Structure...................................................................................................415.5 STAFF PLANNING AND RESOURCE ACQUISITION.........................................................................................................45

6.0 PROJECT MANAGEMENT AND CONTROLS....................................................................................................50

6.1 RISK AND ISSUE MANAGEMENT..............................................................................................................................506.1.1 Risk Management Strategy.....................................................................................................................506.1.2 Project Risk Identification........................................................................................................................506.1.3 Project Risk Mitigation Approach............................................................................................................506.1.4 Risk Reporting and Escalation Strategy...................................................................................................506.1.6Issue Management...................................................................................................................................58

6.2 INDEPENDENT VERIFICATION AND VALIDATION – IV&V...............................................................................................586.3 SCOPE MANAGEMENT PLAN..................................................................................................................................59

6.3.1 Change Control Process...........................................................................................................................626.4 PROJECT BUDGET MANAGEMENT............................................................................................................................64

6.4.1 Budget Tracking......................................................................................................................................646.5 PROJECT COMMUNICATION PLAN............................................................................................................................64

6.5.1 Project Communication Matrix................................................................................................................656.5.2 Project Status Meetings...........................................................................................................................666.5.3 Project Status Reports.............................................................................................................................66

6.6 PERFORMANCE MEASUREMENTS (PROJECT METRICS).................................................................................................666.7 QUALITY OBJECTIVES AND CONTROL.......................................................................................................................67

6.7.1 Quality Standards....................................................................................................................................686.7.2 Agency/Customer Satisfaction................................................................................................................696.7.3 Product Deliverable Acceptance Process.................................................................................................69

6.8 CONFIGURATION MANAGEMENT.............................................................................................................................706.8.1 Version Control........................................................................................................................................706.8.2 Project Repository...................................................................................................................................70

6.9 PROCUREMENT MANAGEMENT PLAN.......................................................................................................................70

7.0 PROJECT CLOSE............................................................................................................................................ 71

7.1 Administrative Close...................................................................................................................................717.2 Contract Close............................................................................................................................................71

REVISION HISTORY

REVISION NUMBER DATE COMMENT

0.1 January 14, 2019 Work In Progress Draft

4.0 February 14, 2019 Updates

5.0 February 15, 2019 Rosanna Comments

6.0 February 25, 2019 PMP for IV&V

8.0 March 11, 2019 IV&V Recommendations

1.0 PROJECT OVERVIEW The New Mexico Vital Records archive is currently in paper format and stored in a single location which presents a significant risk. Scanning the Vital Records not only secures them but provides efficiencies to provide better customer service to our customers. Operations will be streamlined and customers in our remote service centers will receive a higher level of service and may not need to make the journey to Santa Fe.

1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT The New Mexico Bureau of Vital Records and Health Statistics (BVRHS), a division of the New Mexico Department of Health (DOH), is charged with maintaining all the original paper birth and death certificates, and original adoption, paternity, legal name change, and other legal amendment documents for the citizens of New Mexico. These vital records are used for identification purposes and to conduct legal affairs for those who were born, or have died, in New Mexico. This project is geared toward the long-term care of these vital records.

Currently, the BVRHS maintains 14,000,000 vital records for which electronic storage and retrieval of the state’s vital statistics is not available. The project proposes not only capturing the images of the original documents, but also using this data to populate the Vital Records birth and death issuance database (E-Vitals – DAVE) which would allow for statewide issuance of all birth and death records. Currently, since the database has a significant amount of missing data, the issuance of birth and death records from the system is limited. This limitation requires manual intervention to search the paper records to locate the missing information and have that

information hand keyed into the system. Automation of this process would increase the efficiency of our Vital Records staff and provide better customer service to the citizens of New Mexico.

This project comprises two initiatives. The first safeguards the original documents entrusted to the bureau as they are unique. The need to image and index the millions of original records for safekeeping and use if a disaster occurs and the original records are destroyed is imperative to the operations of Vital Records and Health Statistics and to the ability to serve the citizens of New Mexico. The Document Management Solution (DMS) for Vital Records could later be extrapolated/expanded to other divisions and bureaus across DOH. The second initiative is to complete system upgrades to the Vital Records database (E-Vitals) to increase the efficiency and to assist our business partners (birthing facilities, hospitals, funeral directors, physicians, tribal authorities and the Office of Medical Investigator) in utilizing the system more effectively. The E-Vitals system has been in place since 2006. Since that time, several efficiencies to the system have been identified, but have not been implemented due to lack of funding. While the current system is functional, it does not meet current standards or the needs of our staff and users.

1.2 FUNDING AND SOURCES

SOURCE AMOUNT ASSOCIATED RESTRICTIONS

APPROVERS

FY19-FY20 (C2)Laws of

2018, Chapter 73 Section 7(26)

$X C2 funds for the specific project

1.3 CONSTRAINTSConstraints are factors that restrict the project by scope, resource, or schedule.

NUMBER DESCRIPTION

1 Staff Time- to do both regular daily duties and contribute to project.

2 Scope Creep – DOH imaging as a department outside of scope.

3 Cost – Labor and software.

4 Quality – 99.5-100% Accuracy Required.

5 Resources - If necessary, resources are not available, time to deliver will increase. This may also increase project cost, because alternate resources, if available, may be more expensive than planned.

6 Risk – Access to vital records by outside resources (HIPAA).

7 Procurement – Minimum 5 months to procure contract.

1.4 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 Entering into IV&V, PM and BA contracts Depends on PCC Initiation Certification

E

2 Contract for Enhancement work on VitalChek system depends on Sole source approval by DoIT/SPD and PCC Planning Certification

E

3 Initial Contract for Document Management Solution depends on PCC Planning Certification

E

NUMBER

DESCRIPTION TYPE M,D,E

4 Completion of project depends on FY20 C2 Funding M

1.5 ASSUMPTIONSAssumptions are planning factors that, for planning purposes, will be considered true, real, or certain.

NUMBER DESCRIPTION

ASSUMPTION 1

FY20 C2 FUNDING REQUEST APPROVED

ASSUMPTION 2

System will integrate with DoIT infrastructure and with Central Repository System selected by Records and Archives

ASSUMPTION 3

Data will be easily converted and without corruption or loss.

ASSUMPTION 4

Vendors will honor contractual obligations.

ASSUMPTION 5

Software will integrate with other system software.

ASSUMPTION 6

Adequate Budget will be available.

ASSUMPTION Adequate staffing levels with the proper skill sets necessary to ensure the

NUMBER DESCRIPTION

7 system will perform at level expected.

ASSUMPTION 8

Staff is trained properly on the operation of the system to ensure continued success of the program.

ASSUMPTION 9

Vendor will continue to support software and release upgrades/patches on a regular basis.

ASSUMPTION 10

Business Requirements will have minimal change over the life cycle of the project.

ASSUMPTION 11

New building transition may pose logistical and project changes. Mitigation Strategy will be to stay apprised of construction schedule, and adjust project schedule accordingly

1.6 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

Move to new building will disrupt schedule based on SME/Key personnel

Probability: Somewhat Likely Impact: MEDIUM

Mitigation Strategy: Schedule work that requires less SME/Key personnel participation during the move timeContingency Plan: have enough SMEs/Key personnel to help cover tasks as the move occurs

Risk 2

Work on the 2 areas of the implementation VitalChek and the Document Management Solution get

Probability: Not very likely Impact: HIGH

Mitigation Strategy: ensure good schedule planning and good communication and oversight of both aspects of the work to ensure work comes together when it needs to.

out of sync. Contingency Plan: Document everything well enough so if one side has to wait for the other, they can resume right away.

Risk 3

Solution does not meet intended business needs

Probability: Somewhat likely Impact: HIGH

Mitigation Strategy: Have strong project management and oversight throughout. Pay attention to IV&V findings/warning signs. Have good and thorough stakeholder engagement during requirements definition. Require thorough and complete project management plans from vendors. Contingency Plan: Have good vendor contracts that allow us to act if vendor is not performing well. Be willing to halt project for a time to take stock of situation and redirect if need be.

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE

2.1 STAKEHOLDERS

NAME STAKE IN PROJECT ORGANIZATION TITLE

Mark Kassouf Executive SponsorResponsible for management level subject matter related to the issuance of vital statistics.

DOH BVRHS CHIEF

Terry Reusser Technology Owner Ensures technology meets DOH IT requirements and standards.

DOH Information Technology System Department (ITSD)

Chief Information Officer (CIO)


Kent Augustine Owner of Project Process. Ensures standard DOH project management methodologies are adopted.


Project Management Office Bureau Chief

Pamela Espinosa Beneficiary of the project goals and objectives

DOH BVRHS Issuance Manager

BVRHS Staff Beneficiaries of improved, faster workflows

DOH BVRHS Staff

Tom Chepucavage Project Manager DOH Information Technology System Department (ITSD)

Project Manager

2.2 PROJECT GOVERNANCE STRUCTURE2.2.1 DESCRIBE THE ORGANIZATIONAL STRUCTURE – ORG CHART

2.2.2 DESCRIBE THE ROLE AND MEMBERS OF THE PROJECT STEERING COMMITTEE

ROLE RESPONSIBILITY

Executive Project Sponsor

The point person for the project within the highest level of the Department of Health.

Responsibilities include: Champion the project. Consider potential changes facing the organization and assess

the organizational impact Decide which changes will be instituted, communicate

Kathy Kunkel DOH Cabinet

Secretary

Project Manager Rosanna Dill & Tom

Chepucavage

Executive Steering Committee Mike Landen, Terry Reusser, Mark Kassouf, Heidi Krapfl, Paul Brown and Matt Bailey

Mark Kassouf Business Owner

Cognosante IV&V

ROLE RESPONSIBILITY

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 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 ORGANIZATIONAL BOUNDARIES, INTERFACES AND RESPONSIBILITIES

The Project Manager will bridge the Bureau of Vital Records and Health Statistics with the PMO and DOH staff. The VitalChek LexisNexis staff will be engaged for the integration of systems and upgrade effort. Imaging/ECM Vendor will integrate with VitalChek and work onsite at BVRHS to handle documents within the NM BVRHS vault/archive.

2.3 EXECUTIVE REPORTINGMeetings will be conducted with DOH Management and project teams on a regularly scheduled basis.

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

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

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

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

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

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

The benefits of implementing Enterprise Content Management solutions for the DOH BVRHS team include:

• Increased efficiency and productivity through a well-managed records environment;

• Optimize business processes, decreasing number of steps, saving time;

• Lower the cost of government;

• Improved service delivery to constituency

This total cost estimate for the DOH/RMD FY19 ECM project is $X. The funding is to come from: C2 - HB2

3.0 SCOPE 3.1 PROJECT OBJECTIVES3.1.1 BUSINESS OBJECTIVES

NUMBER DESCRIPTION

BUSINESS OBJECTIVE 1 Protect the safety of the State of New Mexico’s original Vital Records (birth, death, adoption, paternity, legal name change, and

NUMBER DESCRIPTION

other legal documents and their amendments)

BUSINESS OBJECTIVE 2 Enhance business staff productivity by providing digital access to document artifacts. Optimize business processes, decreasing number of steps, saving time, removing silos;

BUSINESS OBJECTIVE 3 Improved service delivery to constituency

BUSINESS OBJECTIVE 4 Lower the cost of government

3.1.2 TECHNICAL OBJECTIVES

NUMBER DESCRIPTION

TECHNICAL OBJECTIVE 1

Image and index approximately 14,000,000 pages digitally for all events (e.g., birth, death, adoption, paternity, and other legal amendments, enabling digital retrieval and issuance of the state’s vital statistics, and be able to permanently, securely and archivally store original (paper) documents after scanning.


Define requirements to modify and increase functionality of the E-Vitals application and test enhancements to the application to insure proper functionality


Populate the state Vital Records system (E-Vitals) with missing and incomplete data and to capture legal documents that order a vital record to be amended


Establish processes and procedures for electronic document management including disaster recovery that can be later scaled up across all of DOH.

3.2 PROJECT EXCLUSIONSThe following activities and deliverables are out of scope for this specific project:

• Enterprise IT Security Management Program - As soon as an Enterprise Content Management expands to serve multiple departments' functions, an effective Enterprise IT Security Management Program needs to be in place. Identity Management and Directory Access

Services will be recommended as essential components of an Enterprise Model. However, identity management and security will be built into the implementation of the ECM solution.

• Implementing Enterprise Content Management across DOH. The project scope will be limited to Vital Records although the selected platform will serve other areas of the DOH at a later time.

3.3 CRITICAL SUCCESS FACTORS

NUMBER DESCRIPTION

QUALITY METRIC 1 INCREASE IN PERCENT OF PEOPLE REPORTING TO BE SATISFIED OR HIGHLY SATISFIED WITH VITAL RECORDS SERVICES.

QUALITY METRIC 2 REDUCTION IN PROCESSING TIMES AT LOCAL OFFICES

QUALITY METRIC 3 REDUCTION IN VITAL RECORDS ISSUANCE DELAY TIMES

QUALITY METRIC 4 ABILITY TO ISSUE BIRTH AND DEATH CERTIFICATES ELECTRONICALLY WITH FULLY POPULATED DATA

4.0 PROJECT DELIVERABLES AND METHODOLOGY4.1 PROJECT MANAGEMENT LIFE CYCLE

Phase Summary of Phase Key Deliverables

Initiating Develop Charter and contracts for PM and BA

Develop RFP for ECM and Imaging Vendor

Project Charter, Project Scope, Business Requirements, RFP, Assumptions, Constraints, Contracts

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.

Planning Issue RFP

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 and resources; Estimate work effort; Risk analysis and avoidance; Define and estimate all required costs; Obtain project funding approval; Communication Plan.

Project Plan, Critical success factors, Work Break Down Structures, Project Schedule

Executing Main elements include: Coordinate the resources, team development; Quality Assurance; Select subcontractors; Distribute Information; Work the plan.

Activities will be

Actual efforts, Project deliverables completion

implementation of ECM and imaging of documents with quality acceptance. A log of each image batch will be kept. The transition to the new BVRHS building will be in this phase.

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 PROJECT MANAGEMENT DELIVERABLES

Project Deliverables are work products or artifacts that are driven by the project management methodology requirements and standard project management practices regardless of the product requirements of the project.

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

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 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 Department of Health have established a template for all IT related contracts.

Risk Assessment and management

The DoIT Initial PROJECT RISK ASSESSMENT template which is meant to fulfill the following requirement:

“Prepare a written risk assessment report at the inception of a project and at end of each product development lifecycle phase or more frequently for large high-risk projects. Each risk assessment shall be included as a project activity in project schedule.” Project Oversight Process memorandum

Project Schedule A tool used to indicate the planned dates, dependencies, and assigned resources for performing activities and for meeting milestones. The defacto standard is Microsoft Project

Monthly Project Status Reports to DoIT

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.

4.1.2 DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS

Complete the following table to identify the deliverables this project is to produce, and to name the person or persons who have authority to approve each deliverable.

DELIVERABLE NUMBER

DELIVERABLE APPROVERS (WHO CAN APPROVE)

DATE APPROVED

PRJ-DEL-001 Project Management Plan (PMP) Executive Steering Committee

PRJ-DEL-002 Business Assessment and Requirements Report

Project Manager on behalf of Executive Steering Committee

PRJ-DEL-003 IV&V Contract & Reports PMO Bureau Chief

PRJ-DEL-004 IT Service Contracts Project Manager on behalf of Executive

DELIVERABLE NUMBER


DATE APPROVED

Steering Committee

PRJ-DEL-005 Risk Assessment and management reports


PRJ-DEL-006 Project Schedule Project Manager on behalf of Executive Steering Committee

PRJ-DEL-007 Monthly Project Status Reports to DoIT


PRJ-DEL-008 Architecture Plan Project Manager on behalf of Executive Steering Committee

PRJ-DEL-009 Hardware configuration and equipment


PRJ-DEL-010 Software licenses Project Manager on behalf of Executive Steering Committee

PRJ-DEL-011 Implementation services Project Manager on behalf of Executive Steering Committee

PRJ-DEL-012 Lessons Learned Project Manager on behalf of Executive Steering Committee

PRJ-DEL-013 Close out reports and documentation


4.1.3 DELIVERABLE ACCEPTANCE PROCEDURE

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

If the deliverable is rejected, the Project Manager 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 CYCLE “During the project management lifecycle, agencies shall select and implement a phase product development lifecycle methodology approved by the Department.” PROJECT OVERSIGHT PROCESS Memorandum

Phase Summary of Phase Key Deliverables

Initiating The requirements have been defined and documented. A Business Strategy Survey will be conducted to define goals, business processes, critical factors, current environment, sizing requirements, current vendor environment, # of users, work processing requirements, other needs.

REQUIREMENTS DOCUMENTS

Planning The Vendor will be required to deliver design documents for authentication, reporting, and the database feeds.

DESIGN DOCUMENTS

Executing 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

SYSTEMS SPECIFICATIONS

interface with DOH systems at minimal cost.

Executing The system will be open architecture and be certified on standard operating platforms – Windows or Unix. Architecture will be scalable to allow for growth, provide interoperability with other systems, have a secure web front end, be security rules based and provide multiple security layers for user authentication.

SYSTEMS ARCHITECTURE

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 TECHNICAL STRATEGY

Developing a project strategy is a process of choosing an approach to the work that maximizes strengths, minimizes weaknesses, takes advantage of opportunities and mitigates threats while

balancing the anticipated cost and potential benefit. A good strategy will minimize risk while maximizing return on investment.

The Work will be performed in three phases per the final determination of DOH and VR:

Phase 1 – Electronic Content Management Solution Implementationo Project management and Work Plan finalization;o System implementation; ando Pilot ECM acceptance

Phase 2 – One Percent Pilot Document Conversiono Project management and Work Plan finalization;o Document imaging and index conversion; ando Pilot Document Conversion acceptance.

Phase 3 – Ninety-nine Percent Document Conversiono Project management and Work Plan refinement;o Document image and index conversion; ando Document Conversion acceptance.

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

A package strategy however, is not without its own risks. 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? Swift implementation with robust training and change management will mitigate this.

For Backfile (white copy is how the department refers to the physical documents) imaging, Shipping of original certificates/documents off-site in any fashion is not permitted under any

circumstances. Shipping of imaged documents outside of DOH secure network or the Contractor’s locally secured hardware/software environment is strictly prohibited. The Contractor must abide by security measures and guidelines as described at DOH and VR Office. There will be a facility transition in the summer of 2019. There are paper documents stored in a separate location (State Archives) that will need to be included in this imaging phase.

Temporary Back File Hardware and Software Environment. The Contractor must deliver, implement, and conduct system unit testing and integration testing of its proposed “temporary” image server, document scanning, and index/QA hardware and software solution with the Integrated Document Management (ECM) solution as one of the initiating activities of Phase 1.

The equipment (including lights, automated feeders, etc.) used for all image capture must not damage original materials nor may the manner of its use cause damage. All scanning equipment is subject to the approval of the State before Contract award.

The Contractor will be responsible for training VR QA staff on the appropriate operation of the QA retrieval and viewing software implemented.

Books and Documents Environment. Vital Statistics manages the documentation of vital events occurring in the State, such as birth and death certificates. The scope of this Work will involve the scanning of the document records and all attachments that belong to these certificates.

Most of the documents that are stored at the State are numbered numerically by State File Number (SFN), such as SFN 134-2005-000001. The SFN is unique only when combined with the year and is always reset to 000001 at the beginning of each year. Each certificate accepted for registration is numbered with a unique SFN for the year and then bound in a book, either by glue or screw pins. Each book is then labeled as a volume, and usually contains 250 or 500 pages, dependent on the year. At some point, a document may be removed (referred to as a “cut out”) from the book and reissued using a different certificate number. When this happens, the book will no longer have 250 or 500 pages, and the information pertaining to this cut out must be maintained. When accounting for all the pages of a book (i.e., all certificates in a volume), the Contractor must convert the information on the cut-out margin in order to account for the proper amount of certificates contained in the book. Some certificates are maintained with additional documentation attached, such as affidavits, court ordered corrections, medical supplements or name changes. When these additional documents are with the original certificate, the certificate

must be indexed with the original information first, and then another indexed layer indicating the data changes. All the documents and books are stored in the safety vault within the VR office. Table 1 provides the description and the approximate volume of documents currently stored at VR:

Note: The document volumes and characteristics provided in the following tables are estimates.

Table 1 – Document Volumes

CONVERSION ORDER DOCUMENT TYPE

APPROXIMATE NUMBER OF

PAGES

1 Birth records TBD

2 Acknowledgement of Paternity Affidavits TBD

3 Reissued Birth records TBD

4 Delayed (Probate Court) Birth registrations TBD

5 Affidavit Attachments (Birth and Death) TBD

6 Name Changes (Birth records only) TBD

7 Death records TBD

8 Medical Supplements (Death records only) TBD

9 Out of Country Births TBD

10 Pre-1908 Birth records TBD

Note: The figures mentioned below are estimates.

The document information and characteristics by year are provided in Table 2 below:

Table 2 – Document Characteristics by Year

DOCUMENT TYPE

PAPER SIZE

CERTIFICATE YEAR

PAPER QUALIT

Y

APPROXIMATE NUMBER

OF DOCUMENT

S

TYPE OF BINDING USED

ON BOOKS

CONVERSION ORDER

Births 8.5X11 20-2019 Good/Fair/Poor

TBD Unbound 1

And so forth…

Note: The order provided in Table 2 is the anticipated order of document conversion preliminarily identified by VR. Any change to the document conversion order will be discussed with the Contractor during project status meetings and changes will be mutually agreed to by VR and Contractor. However, if an operational need mandates a change in order, VR reserves the right to make final decision about the order.

Table 3 below provides VR assessment of various other document characteristics that are relatively typical of all the book contents:

Table 3 – Document Characteristics

CHARACTERISTIC ESTIMATED NUMBER OF DOCUMENTS

Taped TBD

Duplex TBD

Acid skin TBD

Photographs TBD

Stapled TBD

Multi-page TBD

Back File Conversion.

Imaging Conversion and Index Generation.

Location of Scanning & Indexing Operations. Due to an acute concern regarding the possible loss of even one certificate from VR files, all scanning and indexing must be done where the records are stored at the VR-supplied office space located at 1105 S St Francis Dr, Santa Fe, NM 87505.

Document Conversion Procedures and Processes. The Contractor is responsible for taking the books from the shelving units, inventorying the documents within each book to account for the proper amount of pages, creating “fly sheets” for those certificates that have been cut out from a book, disassembling the book, preparing the documents, batching, scanning, indexing, and re-filing the documents onto the shelves in the safety vault. The Contractor is responsible for performing all activities necessary to produce scanned document images stored at 600 dpi in TIFF 6.0 (compressed using Group 4 compression) format.

The Contractor is responsible for inventorying and returning all documents and books to the appropriate shelving units.

The Contractor’s staff must take possession of the documents and books and is responsible for document preparation prior to scanning and indexing. Document preparation includes, at a minimum, the following tasks:

Removal of documents and certificates from bound books. Bursting of attached forms (affidavits, supplements, etc.) that are glued or taped onto

documents into individual pages. Sorting and grouping of documents in batches by book, SFN, category and/or

document type, if appropriate.

Maintain the existing time-ordered sequence for documents scanned so that during retrieval, sorting of the scanned documents on the scanned date/time index field will result in a presentation order similar to what is available in the book today.

Copying documents as needed prior to scanning to improve clarity of the scanned image.

Special preparation of small attachments or documents in poor condition to ensure quality of the scanned image.

Properly extracting hand-written information that is contained on the “cut out” margins of those certificates removed from a book. This information must be transcribed to a full-size paper (8.5X11 inches) prior to the book being disassembled, in order to account for all of the book’s 250 or 500 pages.

In the delivered digital document image, the top of the original document or page must appear at the top of the display screen. VR requires presentation of the entire original sheet or page. In no event may the actual document be cropped. In addition, images must not be skewed.

It will also be required to be able to scan a document in two or more zones and identify it with external parameters. These zones will be integrated with the Integrated Document Management (ECM) solution to restrict access to confidential information. For example, a 2003 birth certificate is split into confidential medical information (bottom two-thirds of the certificate) and public demographic information (top one-third of the certificate).

The Contractor must maintain a scanning log that includes, at a minimum, the date and general description of the material scanned, as well as noting exceptions, problems, irregularities, and anomalies. The log must also include the identification of the scanning operator and the scanning equipment used. The scanning log may be in (preferably) machine-readable or paper form. If a machine-readable log is proposed, it must be in commonly used software (e.g., MS Word 2016, MS Excel 2016, MS Access 2016, etc.) format and delivered as a comma delimited ASCII file. A web-based application via SharePoint or other tracking applications are also welcome. The State will actively consult this log during the quality review of the materials delivered by the Contractor and during “emergency” retrievals of documents.

When delivered by the Contractor, the sets of images and indexes must also be coherently and logically named and/or numbered, placed in delivery directories and/or files, and

accompanied by a carefully maintained scanning log, printed directory list, and proof of internal quality assurance by Contractor staff. Each shipment of digital images delivered to the State must include an itemized packing list or manifest.

The Contractor must guarantee an accuracy rate of 99.5% for all documents scanned, imaged, and indexed, except for those specifications or image attributes requiring 100% accuracy. The Contractor must not fail to capture images completely, or to miss images, duplicate images, have images out of order, or insert blank pages. For example, a batch of images will be rejected if, in a random sample lot size of 200 images, more than one image is found to be missing, duplicated, illegible, or otherwise defective.

Examples of items required to be 99.5% accurate include: File and image characteristics: level of compression and image size Image quality: blurred or indistinct image, loss of distinct features or lines,

incomplete capture of page content, skewing, failure to apply treatment to printed halftones. The Contractor must provide a Best Available Image (BAI) list to indicate to VR that images of questionable quality are taken from originals of questionable quality

Accuracy of indexed data.

Examples of items required to be 100% accurate include: Content of file headers and tags File format (single-page TIFF 6.0) Compression algorithm (CCITT, Group 4) Resolution (600 dpi)

These quality and accuracy percentages of the delivered scanned images and indexes are vital to VR’s acceptance of work performed by the Contractor. If VR determines that document images or indexes are incorrect or that images are of poor quality resulting in failure to meet the established 99.5% accuracy rating, the Contractor must provide corrective action to reproduce accurate images and indexes for the records in error at no additional cost to VR.

Availability of documents to VR staff for conducting business activities is critical. Therefore, documents checked out to the Contractor must be processed and returned to VR along with the corresponding images and index data within five business days or less.

Due to the content of the documents, any lapse or mismanagement of the documents could lead to serious consequences.

Batching Documents. After a book has been scanned, the Contractor must attach a batch cover sheet. The batch cover sheet at a minimum will contain the following information:

The number of documents and pages contained in the batch; The batch number; and The date the batch was scanned.

Information contained on the batch cover sheet should be recorded in the “Letter of Authenticity” (see below) along with the scanner’s name. After four different members’/beneficiaries’/refunded members’ folders have been scanned, they must be grouped and placed in a manila folder. A letter of authenticity must be completed and attached to the top of the manila folder. The letter of authenticity certifies that the documents contained in the batches are the true and exact copies of original documents, that each batch has been verified for quality assurance, and that each document contained in the batches has been imaged and checked for image clarity and legibility. Information contained in the letter of authenticity at minimum will include the following:

The batch numbers of the batches contained in the envelope; The name of the person who scanned the batches: and The date the batches were scanned.

When indexing has been completed, the name and date of the indexer must also be recorded on the letter of authenticity.

Before the scanned documents are boxed for document storage, an DOH/VR supervisor must certify that all steps have been completed and that the letter of authenticity has been properly completed. The VR supervisor places a signature and date on the form certifying that the batches are complete and properly documented.

Once documents have been scanned and indexed, batches will be boxed in batch number order. The batch numbers contained in the box will be written on the outside of the boxes. If a batch must be located for retrieval of an original document, it can be located by referring to the Box Inventory log spreadsheet (VR will record and maintain this data via either a

spreadsheet or database tool). The Box Inventory log will identify the box number, date sealed, the batch numbers included in the box, and where the box is located (on-site or off-site). To locate an original document an individual will locate the document by the batch and box number.

Document Scanning & Indexing.

Index Information. The index data for Birth Certificates (Table 4) and Death Certificates (Table 5) must include the following index fields.

Table 4 - Document Indexes for Birth Certificates

INDEX Defined Size Average Size

Childs First Name 50 6

Childs Middle Name 50 6

Childs Last Name 50 6

Childs Name Suffix 3 1

Childs Date of Birth 10 10

Date Filed (File Date) 10 10

State File Number (numeric and Alphanumeric)

15 15

Mother’s Maiden Last Name 50 6

Gender (M/F/U) 1 1

Place of Birth (City) 50 9

Place of Birth (County) 50 7

Fathers Last Name 50 6

Local Registrar # (9999-99999) 10 10

Event Type Flag (Birth) 1 1

Event Type Flag (Birth amendment) 1 1


Event Type Flag (Date of amendment) 10 10

Event Type Flag (Paternity action) 1 1

Event Type Flag (Probate court) 1 1

Event Type Flag (Court ordered legal name change)

1 1

Event Type Flag (Court ordered correction) 1 1

Event Type Flag (Delayed death) 1 1

Event Type Flag (Delayed birth – date registered)

10 10

Event Type Flag (Birth) 1 1

Date of Death 10 10

Death certificate number 11 6

Place of Death (State) 2 2

TOTAL 450 characters 149 characters

Notes:1 Back file images will probably use “Back file” or some similar identifier. Day-forward and Integrated Document Management (ECM) images must be auto-assigned by system.2 Indexing and naming of images should not be proprietary based.3 Back file images must also contain information to track scan date, time and user.

Table 5 - Document Indexes for Death Certificates


Decedent’s First Name 50 7

Decedent’s Middle Name 50 3

Decedent’s Last Name 50 6


Gender (M/F/U) 1 1

Decedent’s Date of Death 10 10

Decedents Social Security Number 9 9

Decedent’s Date of Birth 10 10

Decedent’s Place of Birth (City and State or Foreign Country)

50 10

Place of Death (City) 50 9

Place of Death (County or Foreign Country) 50 7

Place of Death (State) 2 2

Decedent’s Alias First Name 50 ~0

Decedent’s Alias Middle Name 50 ~0

Decedent’s Alias Last Name 50 ~0

Decedents Name Suffix 3 1

Date Filed (File Date) 10 10

State File Number (9999-999999) 11 11

Local Registrar # (9999-99999) 10 10

Mothers First Name 50 6

Mother’s Maiden Last Name 50 7

Fathers First Name 50 7

Fathers Last Name 50 6

Foreign Country Indicator 1 1

Event Type Flag 1 1

TOTAL 718 characters 134 characters

Notes:Back file images will probably use “back file” or some similar identifier. Day-forward and Integrated Document Management (ECM) images must be auto-assigned by system.


Indexing and naming of images must not be proprietary based.Back file images must also contain information to track scan date, time and user.

Relationship of Document Names and Document Types. Each book (volume) of certificates contains 250 or 500 certificates along with additional types of documents (medical supplements, affidavits, amendments, etc.) that may alter the original information. These additional documents must be indexed appropriately by creating an index layer, or versioning. Some certificates may have two, three, or even four attachments on file changing the original document. The Contractor must ensure the latest version is shown as the most current index information for each certificate.

Currently, certificates contained within a book volume should be filed sequentially by the unique certificate number for that year. Attachments to the documents can be glued or taped to the certificate or inserted within the book next to that document. It is important that VR does not lose the sequencing of these changes as the back-file conversion proceeds. That is the purpose of the Indexed Date index being defined to the degree of precision requested above. A sort on this index field must be capable of sorting the documents into an approximation of the current document sequence within that person’s certificate entry.

Integrated Document Management (ECM)/ECM Environment. The Contractor must provide images and indexes in a format that can be imported without additional conversion or manipulation into the Integrated Document Management (ECM) solution. The Contractor must provide the images and associated indexes in a format that will allow for them to be easily loaded into the Integrated Document Management (ECM) solution in a batch mode at least daily.

Load Converted Images to Integrated Document Management (ECM)/ECM. The Contractor must load the converted document images and indexes into the Integrated Document Management (ECM) solution.

Day-Forward Processing & Strategy. A key criterion for success of this effort is not only the actual image back file conversion effort, but the on-going day-forward aspect with respect to new, incoming documents that are received by VR once back file conversion of files has

commenced. The Integrated Document Management (ECM) solution integrator is responsible for development of the day-forward strategy. The Contractor must adapt to the day-forward strategy developed by the Integrated Document Management (ECM) integrator. The Contractor should be aware that on day -1 (i.e., the day before the conversion begins), when new documents are received into VR, most of the books and certificates to be used for reference would still be available for end-users in the VR vault (i.e., the Contractor hasn’t taken the book to be converted). However, as the conversion work is completed and accepted, more and more book volumes will become unavailable and the certificate images will be viewed online via the Integrated Document Management (ECM) solution.

Quality Assurance for Converted Images & Indexes. The Contractor must inspect the accuracy of filenames and directories for all digital images, index data, and associated files produced under this Contract. The Contract must conduct continuous inspection of hardware, software, and scanning activities to ensure that all appropriate quality and accuracy requirements of the scanning and indexing of documents are met. The Contractor must perform sufficient image inspection to ensure that the delivery of images and indexes to VR meet the acceptance criteria discussed below.

The Contractor must ensure that image quality meets the following acceptance criteria: Complete page content has been captured; Images are not skewed, speckled, blurred or indistinct; Correct treatment has been applied to printed halftones; Images of colored originals (including highlighter marks on white originals) are fully

legible; and Image size, position, level of compression, page orientation, and image resolution are

correct.

In addition to ensuring that the complete page content has been captured, the Contractor must ensure that the complete source document has been scanned according to instructions provided, and that special instructions relating to specific materials have been followed. This includes ensuring that:

Images and indexes are produced correctly for every required page and that no pages are missing;

Page images have not been duplicated during the scanning process; and Page images are numbered and delivered in the order they appear in the book volume

unless otherwise instructed.

The Contractor must document all quality control activities, including actions taken to correct any problems, and submit a quality assurance/quality control report along with (or as a part of) the scanning log with each delivery of converted images and associated indexes to VR.

Phase 2: Installation of the Contractor’s temporary imaging and document capture solution. Delivery and acceptance of an updated Phase 1 Work Plan. This phase must be completed within 45 days of Contract award. This phase will be

evaluated as the Proof of Concept phase. No work is to commence on this phase until an updated Work Plan has been submitted to and approved by the State.

The scanning, document imaging, indexing, and QA of the converted images. Transfer of images to the Integrated Document Management (ECM) solution for retrieval

and viewing by VR staff for QA and acceptance purposes. No imaging/indexing is to commence on this phase until the State has received, reviewed,

and approved the refinement of written procedures for all manual processes from pulling, picking, inventorying, and packing, through receipt and quality assurance. These procedures are to include a list of all document types and names.

The State reserves the right to terminate the Work at the end of the 1% document conversion phase or extend the duration of this phase to allow for remediation at its sole discretion at no additional cost to the State.

Upon final acceptance of the refined approach, processes, and procedures implemented in Phase 1 and acceptance of the related Deliverables, the State will make a final determination of whether to move forward with Phase 2.

Phase 3: This phase of the Work includes completing the remaining back file conversion of paper

documents and certificates. This phase will be initiated only on completion of the 1% Document Conversion,

“refining” of the activities and updating the Work Plan for Phase 2. No work may commence on this phase until an updated detailed Work Plan has been submitted to and approved by VR.

No imaging/indexing is to commence until the State has received, reviewed, and approved the written activities for specific documents for all manual processes from pulling, picking, and packing, through receipt and quality assurance of a random sample of images, including an updated list of all document types and names.

Both Phase 2 and Phase 3 will include the following; The Contractor must systematically take books/documents from the various shelving

units in the VR offices, logging each book or document so that its whereabouts is always known. The Contractor must then transport the book or document to the on-site scanning location, prepare the documents, account for all paperwork, and create the images and index key information.

The safety and security of the documents must be a high priority throughout the Work. The Contractor will internally quality assure the scanning, document imaging and indexing activities. The Contractor will then deliver the images and files containing indexes and keys, along with a manifest of the documents and the required control sheet, to VR for QA and acceptance and return source documents to VR vault and re-file them. Proof of the Contractor’s internal quality assurance of batches will be provided to VR via the quality assurance/quality control report.

The Contractor must load the converted images and their indexes into the Integrated Document Management (ECM) solution where they will be viewed and accepted or rejected by VR QA staff. The Integrated Document Management (ECM) solution will be used for the storage of all day-forward scanned images. The Contractor is responsible for the successful loading of this information, and for guaranteeing that this information can be retrieved. It is expected that the Contractor will convey to VR any technical concerns or shortcomings so that VR and technical staff have adequate time to respond to the concerns if required.

Staffing Requirements. The Contractor must provide one fulltime Contract (Project) Manager and one fulltime Quality Assurance Manager for the Work. This Contract Manager and Quality Assurance Manager must work on-site at the identified DOH and VR locations and facilities.

The Contractor must employ the proposed Contract Manager and Quality Assurance Manager as a regular, fulltime employee on the Proposal submission date and throughout the term of the Contract, including all renewals of it. Contractor’s full-time regular employees must perform at least 50% of the effort required to complete the Work. The Contractor may use its personnel or subcontractor personnel to meet the remaining 50% of the effort.

Contractor Responsibilities and Deliverables. The Contractor must meet all RFP requirements and complete all Work milestones and Deliverables as provided in the Work Plan.

The selected Contractor’s responsibilities will include:

Scanning of all birth and death back file documents and certificates. Indexing and QA of all converted documents. Refinement and implementation of processes and procedures manuals addressing:

o Back file conversion effort;o Document inventory of the handling and retrieval process, including if the

documents are required for a business function while in the imaging process, ando Restoration of a filing system so the hard copy document (certificate plus any

attachments) that already has been imaged is available for search and retrieval. This must comply with archival standards.

Temporarily (until acceptance of all converted images) provide all software and hardware (image servers, including unattended backup and restore capabilities) to support document scan, imaging and indexing processes and VR QA and verification process of converted images, storage and retrieval.

Work Plan. The Contractor must provide back file conversion project management services as an integral part of the Work. To ensure complete success, VR requires that the Contractor provide and maintain a Work Plan throughout the Work. The Contractor must update the Work Plan submitted with its Proposal (see Attachment Two) and submit a detailed Work Plan, in electronic (Microsoft Project 2016) and paper form, to the Contract Representative for approval within ten business days after the State issues a purchase order under the Contract. Thereafter, the Contractor must:

Formally update the Work Plan, including the Work schedule, and provide the updated Work Plan as part of its weekly and monthly reporting requirements during the Work; and

Ensure the Work Plan allows adequate time for the State to review, comment on, and approve all Deliverables, including plans and other documents.

To support its project management responsibilities, the Contractor must provide and maintain a detailed Work Plan. The Work Plan must address the following:

An implementation schedule that identifies time frames for delivery of services to be provided based on this two-phase approach. The implementation schedule must reflect the priority of work established by document categories and conversion order as identified in this RFP and the Contractor’s Proposal.

Measurable Deliverables and milestones to be achieved over the life of the Work. A quality assurance/quality control plan. Structure of weekly status meetings and progress/issue reports

No imaging or indexing activities pertaining to Phase 2 will start until Phase 1 has been accepted by VR and the Phase 2 Work Plan activities have been updated and completed by the Contractor and reviewed and accepted by VR.

The back-file conversion services project has two phases, and the following must be included in each phase.

The Contractor must provide a detailed Work Plan for document conversion and quality assurance and deliver and implement a temporary imaging system.

The Contractor’s detailed Work Plan must include the following: Definition of all roles and responsibilities; Description of all steps to be followed; Flowcharts and narratives of all processes; Submission of a complete and detailed Work Plan to VR for review and acceptance; Delivery of all tools, checklists, and reports so that VR can track the status of folders at

various phases (e.g., pulled, in transit, in scanning, in indexing, optical media returned to VR, QA, etc.);

Finalize the document index structures with VR and the Integrated Document Management (ECM) solution integrator before the start of the back-file conversion services;

Structure of weekly status meetings and progress/issue reports; A detailed quality assurance plan; A detailed communication plan; Transfer of images and indexes to DOH servers on a minimum weekly basis; and Refinement of all back-file processes and procedures that VR and the Contractor will use to

accomplish the 1% document conversion.

No imaging or indexing activities will start for each Phase until its Work Plan has been reviewed and accepted by VR.

The Contractor must provide to VR five copies of the Work Plan and two sets of diskettes, CDs, or DVDs that contain the MS Word 2016 documents and MS Excel 2016 spreadsheets that comprise the methodology.

VR, at its sole discretion and with no further or additional cost, will have the option to continue to Phase 2 at the agreed upon price or terminate the effort at the end of Phase 1.

A preliminary schedule must be provided as described above, which is based on the Contractor’s proposed Work Plan and priorities established in the RFP. The Contractor will be required to maintain/update the Work Plan as necessary throughout the conversion services Work.

The Work Plan must allow at least ten business days for State staff to review all Deliverables and 15 business days for lengthy or complex Deliverables, as the parties agree. (See Attachment Two for components of the Work Plan.)

Meeting Attendance and Reporting Requirements. The Contractor must continually apprise VR of the status of the back-file conversion services and Work. The Contractor's management approach to the Work must adhere to the following meeting and reporting requirements:

Immediate Reporting - The Contract Manager or a designee must immediately report any staffing changes for the Work to the Contract Representative (see: Attachment Three: Part Two: Replacement Personnel).

Attend Weekly Status Meetings - The Contract Manager and other Work team members must attend weekly status meetings with the Contract Representative and other people deemed necessary to discuss Work issues. These weekly meetings must follow an agreed upon agenda and allow the Contractor and the State to discuss any issues that concern them.

Provide Weekly Status Reports - The Contractor must provide written status reports to the Contract Representative at least one full business day before each weekly status meeting.

At a minimum, weekly status reports must contain the items identified below:o Progress and achievements during the reporting period;o Progress and achievements expected for the next reporting period;o Reconciliation of progress during the reporting period with expected progress per

the previous period’s status report;o Any potential problems experienced during the reporting period and the steps

taken/ recommendations proposed for resolving them;o Any problems anticipated during the next reporting period;o Updated GANTT chart, along with a copy of the corresponding Work Plan files

(i.e., Microsoft Project files) on electronic media acceptable to the State;

o Status of currently planned tasks, specifically identifying tasks not on schedule and a resolution plan to return to the planned schedule;

o Issues encountered, proposed resolutions, and actual resolutions;o The results of any tests;o A Problem Tracking Report must be attached;o Anticipated tasks to be completed in the next week;o Task and Deliverable status, with percentage of completion and time ahead or

behind schedule for tasks and milestones;o Proposed changes to the Work schedule, if any;o Identification of Contractor staff assigned to specific activities;o Planned absence of Contractor staff and their expected return date;o Modification of any known staffing changes; ando System integration activities.

The Contractor's proposed format and level of detail for the status report is subject to the State’s approval.

Prepare Monthly Status Reports - During the Work, the Contractor must submit a written monthly status report to the Contract Representative by the fifth business day following the end of each month. At a minimum, monthly status reports must contain the following:

o A description of the overall completion status of the Work in terms of the approved Work Plan schedule;

o Updated Work schedule;o The plans for activities scheduled for the next month;o The status of all Deliverables, with percentage of completion;o Time ahead or behind schedule for applicable tasks;o A risk analysis of actual and perceived problems;o Testing status and test results; ando Strategic changes to the Work Plan, if any.

The weekly and monthly reports must cover activity through the close of business on the Friday ending the reporting period and delivered to VR no later than the close of business the following business day via e-mail. All activity identified in the status report must tie into specific references (e.g., tasks or Work Breakdown Structure entries) within the Work Plan.

The status reports must provide a narrative that summarizes key events or activities, noting special problems or difficulties encountered, and addressing proposed methods for correction of

such problems as the Work continues. The reports must indicate the agreed-upon Work Plan schedule, progress relative to the schedule, and must clearly state any deviations from the schedule with accompanying explanations. The reports must note changes in equipment or procedure and provide statistics that indicate the accomplishments of the period described. Performance metrics must be included in both statistical and graphical form for both current and phase-to-date activities. Information such as, but not limited to, the following is to be reported:

Number of images scanned, indexed, QA’d – project to date and this period; Number of scan batches completed – project to date and this period; Number of rejected images – project to date and this period; Number of reworked images – project to date and this period; and Number of scanned images waiting indexing – project to date and this period.

Develop, Submit, and Update High-Level Plans. As part of the Work, the Contractor must develop a high-level Work management plan (Work Plan). The Contractor also must update the Work Plan with more detail throughout subsequent Work phases to address, at a minimum, the following subjects:

Scope, Time, Quality, Staffing, Communications, Risk, and Procurement.

The Contractor must develop and maintain the Work Plan from information that the Contractor’s and the State’s personnel provide. State personnel assigned to the Work will have varying percentages of their time to devote to the Work, and the Contractor must consider their time commitments to the Work in creating the Work schedule and when obtaining information from State staff to create the above plans.

State Resources. VR will provide the following resources to the Contractor in support of the back-file conversion Work:

A Contract Representative for coordinating VR staff availability. The Contract Representative will also have quality assurance responsibilities on behalf of VR. The Contract Representative will monitor back file conversion processes to ensure accuracy and quality control. The Contract Representative will have the authority to recommend and implement changes to procedures and operational activities based upon the results of

the monitoring process, and answer questions from the Contractor during the life of the Work.

Up to four VR Quality Assurance Technicians (dedicated full time) will be provided to perform quality assurance and verification of scanned images and indexes. The QA Technicians will also assist Contractor staff in resolving quality issues after the Contractor has performed its internal quality assurance process and before VR accepts batches.

VR will supply up to five workstations for use by VR staff for the QA of converted images and indexes. The Contractor will be responsible for specifying the minimum hardware configurations recommended for the VR-supplied QA workstations as well as ensuring that the workstations are equipped with all necessary software (as well as written procedures) such that VR staff can review, and QA document images and indexes delivered for acceptance.

VR will provide a facility for the Contractor to use. Space for up to three scan stations will be provided at 1105 S St Francis Dr, Santa Fe, NM 87505. Indexing is anticipated to be completed by the Contractor’s Work staff at the DOH office located at 1105 S St Francis Dr, Santa Fe, NM 87505. VR provided QA staff may be co-located with Contractor’s staff.

QA Conducted by VR. The Contractor will be held to specific performance review criteria over the life of the Work to ensure that Work Deliverables, as outlined in the RFP and attested to in the offeror’s Proposal, are being met. Review of Work Deliverables as identified in the Work Plan will occur at intervals agreed upon by both the designated VR Contract Representative and the Contractor. The QA review criteria will be based on the following five (5) factors:

1. Overall accuracy.2. Skillfully handling historic documents.3. Speed of operation.4. Ease of tracking documents.5. Quality of image scanned.

Incomplete or missed Work Deliverables as specified in the Proposal and illustrated in the Work Plan without prior notification to an agreement by the designated VR Contract Representative will result in remedial action that may include but is not limited to:

1. Adjustment of overall Work cost basis.2. Re-engineering of solution to correct inconsistencies by Contractor at the Contractor’s

cost.

VR must be able to assure the confidentiality of its records. In the event that the offeror is selected to perform the back-file conversion services, all Contractor and subcontractor identified project staff assigned to the Work in any capacity will be required to execute an Agreement of Confidentiality in order to participate in the Work (see Supplement Four).

Inspection and Acceptance . VR may inspect the Contractor VR-provided operating facilities during the actual production of images and indexing data, including work and storage areas.

Vital Records Building Transition: As of today the new building will be ready March 1, 2020. With that timeline it might make sense to complete Phases 1 and 2 at the current location and Phase 3 in the new location. All records will need to be accessible on opening day at the new facility.

The project strategy is based on the strategic direction established by the BVRHS Imaging Plan and System Upgrade Executive Steering Committee, and the lessons learned from others in the Information Technology industry that have implemented package software. Five principles guide the project strategy:

Project Management

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

“Project Management is the application of knowledge, skills, tools and techniques to project activities to meet project objectives. Project Management is accomplished using the processes such as initiating, planning, executing, controlling, and closing. The project team manages the work of the projects, and the work typically involves:

Competing demands for: scope, time, cost, risk and quality. Stakeholders with differing needs and expectations. Identified requirements.

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

Rapid Implementation

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

Well-defined Objectives

The project must be tightly focused on a well-defined set of objectives. The “keep it simple” approach minimizes risk and implementation time. It empowers the team to concentrate on those objectives that offer the maximum return on the invested time and effort while allowing the team to spend adequate time and energy on validation, testing and documentation – tasks that are the first to be sacrificed in a more complex and drawn out implementation plan. The net result is a successful package implementation on which further development and enhancements are more likely and have a better chance of ultimate success.

Support Extensibility

The objective is to procure an Enterprise Content Management solution designed to easily allow the addition of new features later. This allows the New Mexico Department of Health to start with a limited subset of functionality, and limiting initial costs, with the option to expand to greater functionality in the future.

PRODUCT AND PRODUCT DEVELOPMENT DELIVERABLES

Product Deliverables are work products or artifacts that are driven by the product management methodology requirements and standard project management practices regardless of the product requirements of the project.

REQUIREMENTS DOCUMENTS

The requirements have been defined and documented. A Business Strategy Survey will be conducted to define goals, business processes, critical factors, current environment, sizing requirements, current vendor environment, # of users, work processing requirements, other needs.

DESIGN DOCUMENTS The Vendor will be required to deliver design documents for authentication, reporting, and the database feeds.

SYSTEMS SPECIFICATIONS

Software will be a web application that will require no additional desktop software to run and minimal customization. It will have the ability to interface with DOH systems at minimal cost.

SYSTEMS ARCHITECTURE

The system will be open architecture and be certified on standard operating platforms – Windows or Unix. Architecture will be scalable to allow for growth, provide interoperability with other systems, have a secure web front end, be security rules based and provide multiple security layers for user authentication.

SYSTEM AND ACCEPTANCE TESTING

The Program users will test system functionality, performance, reporting accuracy and response times.

IT Technical Support Staff will test system operational performance.

OPERATIONS REQUIREMENTS

The Vendor will be required to deliver design documents for authentication, Reporting, and the Database feeds. Vendor will also integrate data from legacy system.

DELIVERABLE APPROVAL AUTHORITY DESIGNATIONS

Complete the following table to identify the deliverables this project is to produce, and to name the person or persons who have authority to approve each deliverable.

DELIVERABLE NUMBER


DATE APPROVED

PRJ-DEL-001 Project Management Plan (PMP) Project Manager on behalf of Executive Steering Committee

PRJ-DEL-002 Business Assessment and Requirements Report


PRJ-DEL-003 IV&V Contract & Reports Project Manager on behalf of Executive Steering Committee

PRJ-DEL-004 IT Service Contracts Project Manager on behalf of Executive Steering Committee

PRJ-DEL-005 Risk Assessment and management reports


PRJ-DEL-006 Project Schedule Project Manager on behalf of Executive Steering Committee

PRJ-DEL-007 Monthly Project Status Reports to DoIT


PRJ-DEL-008 Architecture Plan Project Manager on behalf of Executive Steering Committee

PRJ-DEL-009 Hardware configuration and equipment


PRJ-DEL-010 Software licenses Project Manager on behalf of Executive Steering Committee

DELIVERABLE NUMBER


DATE APPROVED

PRJ-DEL-011 Implementation services Project Manager on behalf of Executive Steering Committee

PRJ-DEL-012 Lessons Learned Project Manager on behalf of Executive Steering Committee

PRJ-DEL-013 Close out reports and documentation


PROJECT CERTIFICATION

Description – Project Certification Committee (PCC) certification of the Imaging Project Manual is required for each phase of the Imaging project. PCC provides a recommendation to the ITC for certification and release of funds.

Deliverable Acceptance Criteria – Certification by PCC & ITC approval to release funds

Standards for Content and Format – Provided by the State PMO and PMI methodologies.

Quality Review – Review by BVRHS Imaging ESC and the project management team.

ECM SOLUTION - SELECTION CRITERIA

Description – Develop Functional and Technical Selection Criteria List for ECM solution. Rank each criterion in terms of A - Critical Need, B – Medium Need, C - Nice to Have. Rate Vendor solutions

Deliverable Acceptance Criteria – BVRHS Imaging ESC approval

Standards for Content and Format – N/A

Quality Review – BVRHS Imaging ESC

INFRASTRUCTURE ANALYSIS & DESIGN (IA&D)

Description – Infrastructure Design of the Imaging environments (Production, Development, Test and Training). Design will include:

o Document logistics analysis & designo Hardware specifications & sizing req.o System software requirementso Communication (network)

requirementso Data interchange requirementso Cost estimates

Deliverable Acceptance Criteria – Approved infrastructure design capable of hosting all Imaging environments.

Standards for Content and Format – Content and Format should follow DOH established standards for platform design.

Quality Review – Review and approval by DOH technical architects.

PROFESSIONAL SERVICES PROCUREMENT

Description – Professional Services contract with a vendor to support the design, development and implementation of the ECM solution as well as back file imaging. An open RFP process will be used to garner proposals and select a vendor.

Deliverable Acceptance Criteria – Signed and approved professional services contract

Standards for Content and Format – Contract follows NM standards for professional services

Quality Review – DOH, State Purchasing & DFA.

VENDOR PLANNING AND DOCUMENTATION

Description – Vendor documentation required for successfully planning and managing all aspects of the Imaging development and implementation, including Quality Assurance plan and processes,

Deliverable Acceptance Criteria – BVRHS Imaging ESC Approval

Standards for Content and Format – Content and Format should follow DOH established standards.

Communications Plan, Change Management Plan, Issues & Risk Management Plan, Work Plan, Service Level Agreements (SLAs), product documentation, Security Plan, Transition Plan, and Metadata & Taxonomy Best Practices document.

Quality Review – Review and approval by Imaging Project Manager. Imaging Project Manager will route documentation to the appropriate project team members as required for review and approval.

SYSTEM HARDWARE & SOFTWARE PROCUREMENT

Description – All necessary system hardware and software required to fully implement ECM solution for all system environments as designed.

Deliverable Acceptance Criteria – Possession of all system hardware and software as designed

Standards for Content and Format – Meets the design requirements specified

Quality Review – DOH tech team

INFRASTRUCTURE

Description – Installation and configuration of all necessary hardware and software necessary to fully implement the ECM solution for all system environments. Deliverable includes system documentation.

Deliverable Acceptance Criteria – Fully installed & configured infrastructure to support ECM

Standards for Content and Format – DOH established standards.

Quality Review – Review and approval by Imaging Project Manager with DOH tech team.

FUNCTIONAL ANALYSIS & DESIGN

Description – Functional Analysis & Design includes designing the content management structure, records management structure and

Deliverable Acceptance Criteria – Approved Functional Analysis and Design Document

designing the metadata and taxonomy. Standards for Content and Format – Best Practices document for metadata and taxonomy

Quality Review – BVRHS Imaging ESC and project team

DISASTER RECOVERY PLANNING

Description – Develop Disaster Recovery Plan and Strategy for the ECM solution.

Deliverable Acceptance Criteria – Approved Disaster Recovery Planning document for the ECM

Standards for Content and Format – Industry Best Practices for Disaster Recovery

Quality Review – BVRHS Imaging ESC and Project Team

HOSTING STRATEGY AND SERVICE LEVEL AGREEMENTS (SLA)

Description – DOH will develop a hosting strategy for the ECM solution. Based on the approved hosting strategy, SLAs will be developed.

Deliverable Acceptance Criteria – BVRHS Imaging ESC Approval for Hosting Strategy document



PHYSICAL MOVE PLAN

Description – DOH will develop a plan for the physical building move for the ECM solution. Based on the approved hosting strategy, SLAs will be developed.

Deliverable Acceptance Criteria – BVRHS Imaging ESC Approval for Move Strategy document



SYSTEM DEVELOPMENT, CUSTOMIZATION AND TRANSITION

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

Deliverable Acceptance Criteria – N/A


Quality Review – N/A

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

DEFINE BPR PROJECT TEAM AND BPR SCOPE

Description – A BPR Project Team Charter and Stakeholders must be defined. The BPR Project Team members must be chosen based on their subject matter expertise, their demonstrated contributions as a team member, and their ability to champion the vision to all associates affected by the BPR

Deliverable Acceptance Criteria – Imaging Executive Steering Committee (ESC) approval and Division Management approval

Standards for Content and Format – BPR Industry Best Practices and the Project Management Institute’s (PMI) Project Management Body of Knowledge (PMBOK)

and implementation. The BPR Scope document defines the boundaries for the BPR effort, which includes, defining at a high level, the issues and solutions, estimating the BPR impact, and creating a first draft AS-IS process map.

Quality Review – Review by Project Team members, BVRHS Imaging ESC and Division Managers

MEASUREMENTS DOCUMENT

Description – Developing a measurement document consists of collecting current baseline performance metrics based on identifying the Inputs, Processes & Outputs (IPO). Collect current policy and procedure manuals, detail the AS-IS process map and perform Strength, Weaknesses, Opportunities, Threats & Issues (SWOTI) analysis.


Standards for Content and Format – Industry Best Practices


DETAILED ANALYSIS

Description – Detailed analysis consists of various methods for separating the whole into its component parts. Based on specific needs, use appropriate analysis methods, including gap analysis, identifying root causes, comparative analysis, stratifying process and data, regression analysis. The SWOTI analysis will be refined




IMPROVEMENT DOCUMENT

Description – The Improvement document consists of generating solution ideas, determining solution impacts &benefits,


evaluating & selecting solutions, designing the TO-BE process map, & updating and/or developing policy & procedure manuals. Develop & present a Storyboard, communicating solutions to Stakeholders



CONTROL DOCUMENT

Description – The control document details expected performance metrics, as well as policies and procedures to monitor, correct and control performance during and after the implementation of new systems and processes. Integrate and manage solutions in daily work processes. Integrate lessons learned




ImplementationThe Department of Health is responsible for Implementation. This includes an approved implementation plan for reengineered business processes, training, system integration, content security and a content migration plan.

IMPLEMENTATION PLAN FOR REENGINEERED BUSINESS PROCESSES

Description – The implementation plan consists of a process transition plan, a system cutover plan and a communication plan for stakeholders and all affected associates.




TRAINING

Description – Training starts with an Approved Training Plan, to develop and distribute Approved Training Documents, including user manuals and quick references

Deliverable Acceptance Criteria – BVRHS Imaging ESC approval and Division Management approval

Standards for Content and Format – Best Practices and Standards for Training


SYSTEM INTEGRATION

Description – System integration brings together work done while developing the application and technology infrastructure, completing the functional interface design, technical interface design, interface development, unit, system & integration testing and finally User Acceptance Testing (UAT)

Deliverable Acceptance Criteria – BVRHS Imaging ESC approval and Division Management UAT Sign-off

Standards for Content and Format – DOH established standards for functional & technical design documents.


CONTENT SECURITY

Description – Ensure the security features built into the Enterprise Content Management solution are activated for content and documents. Test the security features

Deliverable Acceptance Criteria – BVRHS Imaging ESC approval and Division Management UAT Sign-off

Standards for Content and Format – DOH established standards for document security


CONTENT MIGRATION

Description – Content Migration plans need to be developed giving serious consideration to the costs & benefits of migrating paper documents or microfilm to the electronic document repository. Questions that need to be considered include the frequency or likelihood the documents will be accessed in the future, and the labor and time to scan the volume of documents.




IMPLEMENTATION FOR DOH RELEASE 1.0

Description –Implementing Release 1.0 is based on completing and signing off on all prior deliverables included in Application and Technology Infrastructure and BPR




TRANSITION

Description – Sign-off on transition document signaling the successful completion of transition to NM State staff for maintenance and operations of the ECM solution.

Deliverable Acceptance Criteria – Signed transition document.

Standards for Content and Format – Content and Format should follow DOH established standards.

Quality Review – Review and approval by Project Manager. Internal review by DOH staff.

Electronic Records Rules and StandardsThe work breakdown structure for Electronic Records Rules and Standards includes a communication plan, clarifying content ownership, creating a content management strategy, establishing a Content Review Board for metadata standards, and planning & budgeting for ERMS administrative and operational support.

COMMUNICATION PLAN

Description – Establish a formal communication plan for to assist agencies with buy-in, compliance and education for the ERMS

Deliverable Acceptance Criteria – DOH Management approval

Standards for Content and Format – Electronic Records Management Best Practices

Quality Review – Review by DOH Project Team members.

Supporting Organizational InfrastructureAn organizational infrastructure needs to be set up to support the ECM product after the initial implementation project ends. This also includes training for new users, and administration of the system to support the existence of the product.

Description – Establish and staff formal organizations for the operation, maintenance and ongoing staff support of the ECM solution.

Deliverable Acceptance Criteria – Imaging Executive Steering Committee (ESC) approval


o DOH trained ECM Operations Staffo DOH Trained ECM Administration

Staffo Trained End-Userso Governance model approved by the

Executive steering committee.o Continuing ECM Executive Steering

Committee (new formation)o ECM User Group

Quality Review – Review by Project Team members, BVRHS Imaging ESC

Enterprise ModelEnterprise Content Management and an Electronic Document and Records Management Systems framework is just one component of an Enterprise Model allowing the State of New Mexico Department of Health to move towards a fully electronic services interface for technology enabled customers

Description – Establishing an Enterprise Model involves research, creating an Enterprise Model document and promoting awareness and acceptance of the Enterprise Model.

o Approved Enterprise Content Management Best Practices Documents

o Approved Survey of Other States Practices Document

o Approved Industry Trends Documento Approved Blueprint for Enterprise

Modelo Presentation to DoIT

Deliverable Acceptance Criteria – Imaging Executive Steering Committee (ESC) approval


Quality Review – Review by Project Team members, BVRHS Imaging ESC

DELIVERABLE ACCEPTANCE PROCEDURE

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

If the deliverable is rejected, the Project Manager 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.

5.0 PROJECT WORK5.1 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.

The project implementation strategy is developed from the perspective of products to be delivered. Each of the activities and tasks required to implement the DOH ECM

BVRHS Imaging Project

Project ManagerApplication & Technology

Infrastructure

Business Process Reengineering Implementation

Electronic Records Governance

Supporting Organizational

InfrastructureBack File Imaging VitalChek Integration Enterprise Model

Move Buildings

NM BVRHS Imaging ProjectWork Breakdown Schedule

(Imaging/ERMS) strategy has a specific associated deliverable. At a high level, the work is organized into ten separate work categories:

Project Management Application & Technology Infrastructure Business Process Reengineering Implementation Enhance Electronic Records Management Governance Model Set up DOH ECM-Imaging Support Organizational Infrastructure Back file Imaging New Building Transition VitalChek Integration Promote Enterprise Model

Project ManagementThe discipline of the project management concept offers a variety of tools and techniques to deal with and control complex projects. The State of New Mexico Department of Information Technology is implementing the Project Management concepts at the state level and within each department as part of a strategy to better manage and coordinate the state’s information technology resources and budget.

Application & Technology InfrastructureThe strategy for designing the application and technology infrastructure for the DOH ECM must necessarily consider the enterprise architecture. ECM is just one component of the overall enterprise model. Extensibility, flexibility and scalability are the criteria that must be used to ensure that the architecture for ECM that is implemented now can also support the enterprise architecture that is evolving over the next few years.

Business Process Reengineering (BPR)Process reengineering is the most essential work of implementing Enterprise Content Management and Imaging platforms. A process is a group of tasks that together create a result of value to a customer or a state constituent. As the famous CEO of Intel Andy Grove once said “A corporation (organization) is a living organism; it has to continue to shed its skin. Methods have to change. Focus has to change. Values have to change. The sum total of those changes is transformation.”

Moving towards a process-oriented culture, is training everybody in habits of thinking and acting that allow the whole organization to work more smoothly and effectively. The question to

be asked continuously is, “How do we improve our day to day process?”

“A bad system will beat a good person every time.”–W. Edwards Deming

Now more than ever the customer experience matters and process impacts internal morale.

Deming estimated that problems were caused by process approximately 94 percent of the time and by people 6 percent of the time. 1

ImplementationThe strategy is to implement an ECM package using external resources. Under the guiding principles, the initial implementation will be completed as quickly as possible. This initial ECM implementation will be used to gain additional knowledge about the product, its operational environment and to help the project team develop a department model for the State of New Mexico Department of Health.

Supporting Organizational InfrastructureThe effective operation and support of a large software application requires formal organizational thought and structure. Enterprise Content Management will require more organizational thought than most because it is one component of an enterprise model. The strategy is to provide department resources as the organizational staff necessary to support the ECM application while working to refine the Enterprise Content Management governance model.

Electronic Records Governance ModelThe Department of Health already has a records governance model in place to deal with paper-based documents. With the DOH ECM (Imaging/ERMS) implementation, a new electronic records environment is to be created. The strategy here is to align the current governance model to the effective ongoing management of electronic records and archives within the new Enterprise Content Management environment.

Enterprise ModelEnterprise Content Management, and an Integrated Electronic Document and Records Management Systems framework is just one component of an Enterprise Model allowing the State of New Mexico Department of Health to move towards a fully electronic services interface for technology-enabled customers. Another component of an enterprise model includes Enterprise IT Data Interchange capability, to allow instant online access to information across

1 https://www.azquotes.com Grove and Deming Quotes

https://www.azquotes.com/

multiple application systems. A pre-requisite to any type of department-wide access to applications and data is an Enterprise IT Security Management Program, which includes Identity Management, and Access Directory Services. A third component is the Business Process Platform, “As enterprises emphasize business processes, they need to establish a business process platform, specific to their needs, to enable business process creation, deployment and monitoring using service-enabled applications.”2 Service Oriented Architecture (SOA) is the foundation supporting the enterprise model.

2 “Flexibility Drives the Emergence of the Business Process Platform” GARTNER Research, Publication Date: 26 April 2005

PROJECT MANAGEMENT PLAN FOR BUREAU OF VITAL RECORDS AND HEALTH STATISTICS IMAGING PLAN AND SYSTEM UPGRADE

5.2 SCHEDULE ALLOCATION – PROJECT TIMELINEMilestone Due PhaseProject Charter 9/12/2018 InitiationIV&V (project management plan) 10/30/2018 InitiationProject Manager Contract Prep 12/15/2018 InitiationBusiness Analyst Contract Prep 1/30/2019 InitiationIV&V (risk assessment) 2/26/2019 InitiationSole Source procurement for existing E-Vitals vendor for Upgrades and interoperability ** 4/1/2019 Initiation

Alternatives analysis- External market scan for viable vendors currently rooted in the document management market space.** 4/1/2019 Initiation

As-Is Current Process Documentation related to the process and procedures associated with BVRHS document management 6/1/2019 Planning

Detailed Documented Requirements including Workflows and use cases, resulting in a Requirements Traceability Matrix (RTM) 6/1/2019 PlanningRFP 6/1/2019 PlanningTechnical/Architectural Documentation 6/15/2019 PlanningRollout plan- BVRHS specific deployment plan 7/1/2019 ImplementationField mapping between E-Vitals and the Document Management Solution 8/1/2019 PlanningTest plans 8/30/2019 ImplementationChange management plan-including external (customer) communications 8/30/2019 PlanningDisaster recovery plan 9/1/2019 Planning

Phase 1 - Vendor contract for Document Management solution- procured via statewide price agreement, GSA or RFP 9/1/2019 Planning/ImplementationFully tested, operationally ready upgraded E-Vitals system 10/1/2019 ImplementationFully tested, operationally ready Document Management Solution 12/15/2019 ImplementationPhase 2 Backfile Imaging 1% Proof of Concept 1/1/2020 ImplementationTraining 2/1/2020 ImplementationBuilding Move and Phase 3 Backfile Imaging 99 % completion commences. 2/14/2020 ImplementationClerical Staff Augmentation Contract(s) for scanning assistance. 3/2/2020 ImplementationProject Manager Contract Performance 6/26/2021 Init, Plan, Imp, CloseBusiness Analyst Contract Performance 6/26/2021 Init, Plan, Imp, Close

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Closure 7/1/2021 Close

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5.3 PROJECT BUDGET

ITEM COST ESTIMATE

Project Charter* 0

PCC Initiation Certification Forms* 0

PCC Planning Certification Forms** Included

IV&V Plans and reports- Initiation Phase $x

IV&V Reports-Planning Phase $x

Expansion plan- At end of this project, begin a plan for deploying Document management solution to enterprise. *

0

Staff Augmentation Project Manager (PM) Contract to coordinate and lead project*

0

Staff Augmentation Business Analyst (BA) Contract to perform QA analysis*

0

Coordination plan- plan for coordination of Document Management Solution with Managed Print Services**

Included

Staff Augmentation Project Manager (PM) Initiation phase deliverables

$x

Staff Augmentation Project Manager (PM) Planning phase deliverables

$x

Staff Augmentation Business Analyst (BA) Initiation Phase deliverables

$x

Staff Augmentation Business Analyst (BA) Planning Phase deliverables

$x

IV&V contract prep* 0

Sole Source procurement for existing E-Vitals vendor for Upgrades and interoperability **

Included

Alternatives analysis- External market scan for viable vendors currently rooted in the

Included

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ITEM COST ESTIMATE

document management market space. **

Vendor contract for Document Management solution- procured via statewide price agreement, GSA or RFP

TBD

Clerical Staff Augmentation Contract(s) for scanning assistance.

TBD

RFP (if needed)** Included

As-Is Current Process Documentation related to the process and procedures associated with BVRHS document management

Included in BA deliverables

Detailed Documented Requirements including Workflows and use cases, resulting in a Requirements Traceability Matrix (RTM)

TBD

Technical/Architectural Documentation TBD

Test plans TBD

Field mapping between E-Vitals and the Document Management Solution

TBD

Disaster recovery plan TBD

Change management plan-including external (customer) communications

TBD

Rollout plan- BVRHS specific deployment plan

TBD

Fully tested, operationally ready upgraded E-Vitals system

TBD

Fully tested, operationally ready Document Management Solution

TBD

Training TBD

TOTAL $X

* Item produced by Internal Staff

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**Item produced by Staff Aug PM in collaboration with internal staff. Included in PM contract cost.

5.3.1 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE

PHASE COST ESTIMATE

INITIATION $X

PLANNING $X

IMPLEMENTATION $X

CLOSEOUT $X

TOTAL $X

5.4 PROJECT TEAM5.4.1 PROJECT TEAM ORGANIZATIONAL STRUCTURE


TOM CHEPUCAVAGE Project Manager DOH PM

Mark Kassouf Executive SponsorResponsible for management level subject matter related to the issuance of vital statistics.

DOH BVRHS CHIEF

Terry Reusser Technology Owner Ensures technology meets DOH IT requirements and standards.


Chief Information Officer (CIO)

Pamela Espinosa Beneficiary of the project goals and objectives

DOH BVRHS Issuance Manager

BVRHS Staff Beneficiaries of improved, faster workflows

DOH BVRHS Staff

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

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

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

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

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

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

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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 Manager 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 Manager on issues and risks Address, review, and approve all deliverables, such as project

structure and team activities Monitor the project activities, assuring adherence to the project

plan Ensure involvement of participants in order to meet deadlines Review and approve expenditures of funds Represent the point of view of key stakeholders including

technology-enabled customers and state government executives

NM DOIT Provide project implementation oversight Ensure proper project management and cost reporting Certify and approve funding prior to each phase of the project

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Project Manager Report to ESC on project status, issues, budget, and activities Address, review, and submit deliverables to ESC from the DOH

Project Team members Prepare Steering Committee meeting agenda and meeting materials Establish and maintain a coordinated project manual that includes

all IT and non-IT tasks and activities necessary to fully execute the project and to achieve project goals

Monitor and report the activities of the DOH Project Team, assuring adherence to the project plan, budget and schedule

Ensure involvement of participants in order to meet deadlines Ensure mitigation of project issues and risks Maintain a current copy of the project budget Facilitate development of ECM selection criteria Prepare the RFP/CVR for ECM Implementation Services Vendor Procure hardware and software for DOH ECM (Imaging/ERMS) Comply with approved IT Infrastructure policies & procedures Lead Business Process Reengineering efforts Facilitate defining document metadata and setting up document

taxonomy Plan system interfaces and document migration processes Manage testing and validating DOH ECM (Imaging/ERMS)

solution Provide contract and Vendor oversight Assure Vendor deliverables meet the business & system

requirements Monitor the project and contract to ensure delivery of complete,

accepted deliverables on schedule Serve as a contact for the Vendor Team Manager, review and

accept weekly status reports, project milestones, deliverables, and issues logs

Advise the Vendor Team(s) on issues and risks Review and approve all Vendor documentation Document Enterprise Content Management Model Work closely with DOH team to create an approved, published

electronic-records management framework Provide a road map for Agencies to automate records management

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BVRHS 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 Participate in developing Imaging selection criteria Make recommendations to Imaging Project Manager concerning

the project deliverables Review any necessary interim and final APD documentation for

approval Assist with project coordination and issues where escalation is

necessary Review Vendor deliverables and participate in test walk-through Approve and sign off on project documentation for HSD and TRD Work closely with Project Manager to create an approved,

published electronic-records management framework Advise the Project Manager in developing an Imaging Enterprise

Model

DOH Team Members

Participate in Hosting Strategy Development Support installation of hardware and technology infrastructure Participate in SLA development

IT Specialists (CSES PM and Programmers, DOH Imaging System Administrators, DOH System Experts and Developers

Provide IT subject matter expertise Share expertise on Document Imaging and Key from Image (KFI)

systems Work with Project Manager to determine hardware, software,

network and technical requirements. Work with Project Manager 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 ACQUISITION

The responsibility assignment matrix (RAM) is a table that relates the project organization structure to the work breakdown structure to ensure that each element of the project’s scope of work is assigned to a responsible organization or individual. Larger projects may define

PAGE | 71


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

DoIT

ECM/Imaging

Project

Team

ESC Project Management

Vendor

Implement Services

Vendor

IV&V

Vendor

Project ManagementPlanning

Project Charter -- R A R -- --Business Requirements -- R A S -- --Imaging Project Manual -

Project Management

Plan including

Scope & WBS

Project Schedule

S R A R -- --

Software Selection

Criteria Checklist-- R A S -- --

RFP Development -- R A S -- --Risk Management S R A S S SCommunication S R A S S SControl

Establish Controls S R A R -- -- Project Process Review -- R A R -- --Resource Management

Project Manager r Hiring -- S R -- -- --

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Responsible

Organization

WBS Task

DoIT

ECM/Imaging

Project

Team


Vendor

Implement Services

Vendor

IV&V

Vendor

IV&V Services Contract R/A A S S Procure Vendor Services

For Implementation

(RFP Process)

S R A S - --

Vendor Services

ContractR A S R

Funding

NM DoIT

Project Certification

Committee

DoIT Approval Phase 1

– Planning-- R A -- -- --

DoIT Approval Phase 2

- Implementation-- R A R -- --

PCC Approval Phase 3

- Closeout -TransitionS R A R -- --

App/Tech Infrastructure.

Select ECM Vendor R A R Sign License Agreement

& Acquire ECM

Solution Package

-- R A S -- O

(Select DOH Document

Imaging Vendor)-- R A S -- --

Infrastructure Analysis &

DesignS R A S S O

Hardware/Software

ProcurementS R A s S O

Functionality Analysis &

DesignS R A S S O

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Responsible

Organization

WBS Task

DoIT

ECM/Imaging

Project

Team


Vendor

Implement Services

Vendor

IV&V

Vendor

System Development &

CustomizationS R A S W O

Disaster Recovery

PlanningW R A S S O

Transition S R A S W OBusiness Process Reengineering

Define -- R/W A S S -- Measure -- R/W A S S -- Analyze -- R/W A S S -- Improve -- R/W A S S -- Control -- R/W A S S --Implementation

Implementation Plan for

Reengineered

Business Processes

R R/W A S S O

Training Plan

Training Manuals S R/W A S S O

System Integration S R/W A S S O Content Migration S R/W A S S O Development &

ImplementationS R/W 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

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Responsible

Organization

WBS Task

DoIT

ECM/Imaging

Project

Team


Vendor

Implement Services

Vendor

IV&V

Vendor

ERMS Standards S R A S S O ERMS Rules S R A S S OSupporting Organizational Infrastructure

Trained Operational Staff R/W R A -- S O Trained Admin Staff S R A -- S O Trained End-Users S R A -- S O ECM User Group S R A -- S -- ECM Governance Body S R A -- -- --Enterprise Model

Enterprise Model

Document-- R A -- S O

Champion Enterprise

Model-- R A -- -- --

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

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6.0 PROJECT MANAGEMENT AND CONTROLS6.1 RISK AND ISSUE MANAGEMENT Information technology (IT) projects have many inherent risks associated with them. The technology itself, risks associated with introduction of new and/or innovative ideas, organizational change issues, internal project issues, external issues such as politics and the economy not to mention social concerns around the introduction of technology. The list of potential risks is almost limitless.

Risk management is the process of identifying potential project risk, assessing the probability and severity of risk events, and planning appropriate responses. Risk management is a priority task on any IT project and is managed just like cost, schedule, scope and quality.

6.1.1 RISK MANAGEMENT STRATEGY

The best way to deal with a large amount of data/information is to categorize it in such a way to begin understanding the relationships between the data and start to see structure. The Software Engineering Institute (SEI) has developed a Taxonomy of Software Project Risk that offers a way to systematically think about the potential risks that are faced by software development/implementation projects. This taxonomy is used to stimulate thinking about the potential risks that the Imaging Project faces.

6.1.2 PROJECT RISK IDENTIFICATION

To ease the documentation and tracking of identified risks, a risk evaluation tool is used, built with an excel spreadsheet. This is the primary tool to be used to list and categorize Imaging 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 PROJECT RISK MITIGATION APPROACH

The process of mitigating the possibility of the risk and assigning responsible individuals to identified risks. All identified risks will have appropriate mitigation strategies/plans. For those risks that are highly probable and have, significant impact to the project will develop contingency plans.

6.1.4 RISK REPORTING AND ESCALATION STRATEGY

Risk Monitoring and Control – The process of tracking, evaluating and responding to ongoing developments relative to project plans, risk mitigation plans and specific contingency plans.

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Risk management is an integral component of integrated project control. This is an ongoing process for the duration of the project and will be part of every project status meeting.

Risk identification is the responsibility of all members of the project team. The Project Manager 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 Imaging project will follow a continuous risk management strategy. Risk will be assessed routinely to ensure that identified risks are being dealt with appropriately and that new risks are identified and dealt with as early as possible

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BVRHS Imaging Project Risk Management

# Risk Title Date Opened

Rating Prob Impact Description Effect Mitigation Trigger Event Contingency

1 DOH Resource Availability

1/14/2019 Medium High Medium Lack of DOH resources to complete project activities.

Delays in project schedule

Ensure Senior Management are involved and support the project. Ensure Imaging implementation is a priority among DOH team members.

Delays in project activities.

Have 2nd layer of individuals defined who may be able to cover task responsibilities.

2 DoIT SLA's and cost structure methods

1/14/2019 Medium Medium

High DoIT Service Level Agreements need to be refined. Cost structure methods undefined and/or not clearly communicated.

Agency's experience downtime and/or GSD cost surprises.

Continue to work with GSD to refine the SLA process and cost structure methods.

System downtime not within SLA criteria. Unexpected GSD charges to agency budget.

Host systems within each agency.

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3 Extended Procurement Process

1/14/2019 High Medium

Medium Delays in procurement process

Extend the project schedule

Designate a dedicated Procurement Manager to manage to the Procurement timeline.

Delayed procurement events

None

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4 Enterprise Identity Management Program


Medium Greater access to documents leads to greater access to private/secure content. As soon as Enterprise Content Management System expands to serve as a Web Content Management System, an effective Enterprise IT Security Management Program needs to be in place.

Security Breach leading to identity theft, non-compliance with HIPAA.

Ensure the security components within the Imaging are implemented effectively. Regularly audit security system implementation during and after deployment.

Breach of Security

Delay web content management system components of the ECM until the Statewide Enterprise Identity Management Program is in place.

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5 Integration with Enterprise Architecture


Medium Connecting and configuring the ECM solution with the DoIT storage architecture will require extensive coordination and effective management.

DoIT staff members time constraints and expertise with ECM solution.

Evaluate possibility of contracting with a vendor to configure storage requirements.

Imaging architecture no longer complies with Enterprise Architecture Design.

None

6 Application Maintenance


Medium Effective operations and maintenance of the Imaging after deployment may be a risk with COTS software.

Inadequately trained resources to effectively support Imaging after deployment.

The implementation service contract must require detailed system documentation, training for all state resources, and a comprehensive transition plan.

Poor Transition phase.

None

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7 Extended Timeline caused by State Approval Processes

1/14/2019 High High High State requirements for oversight as well as the procurement process provide numerous opportunities for extended project delays.


Plan for Procurement delays

8 Funding carryover

1/14/2019 Low Medium

Low The project is currently funded for only half of the need.


Plan for Procurement delays

9 Poor quality character recognition in scanned documents.

1/14/2019 High High High Accuracy required to be 99.5-100%

Vendor failure Plan for Poor quality

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10

Insufficient Funding

Low High Low High Not enough funding for vendors and expenses

Vendor terminates contract

Plan for Lack of funding

11

NM DoIT SLA's and cost structure methods

Medium Continue to work with NM DoIT to refine the SLA process and cost structure methods

Medium

Medium NM DoIT processes for Service Level Agreements that need to be refined: Cost structure methods undefined and/or not clearly communicated

Outages Define SLAs by contract

System downtime not within SLA criteria. Unexpected GSD charges to agency budget.

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6.1.6ISSUE MANAGEMENT

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

When the project team identifies an issue, it will be added to a document called Imaging 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 BVRHS Imaging ESC attention according to the change control process. 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.

6.2 INDEPENDENT VERIFICATION AND VALIDATION – IV&VIndependent Verification and Validation (IV&V) is a risk mitigation strategy designed to provide management with project oversight through an independent evaluation a project’s product and process quality. The New Mexico Bureau of Vital Records and Health Statistics ELECTRONIC DOCUMENT Management System project has adopted a low risk implementation strategy by using a package solution that is currently implemented in multiple commercial and government sites. Given that the project has adopted a package solution strategy, its IV&V plan will be tailored to address the unique risks associated with package implementation projects.

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The IV&V plan will:1. Evaluate and verify that processes, contracts, and system

designs comply with the specified requirements of the Enterprise Architecture and Standards

2. Evaluate and validate that products and deliverables of a given development phase fulfill the requirements and performance outcomes set forth in the scope and project plan

3. Provide a “close-out” report to the Executive Board at the end of project.

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

6.3 SCOPE MANAGEMENT PLAN

Project control is the mechanism by which the Project Manager in conjunction with the project team assesses progress relative to the project plan. The project control process is implemented through a weekly project status meeting. The meeting will be designed to identify variances from the project plan and to identify and initiate corrective actions where appropriate.

Cost Control –The Project Manager maintains a copy of the current budget and is to notify DOH of budget variances as they are identified.

Schedule Control – The project team is responsible for establishing and maintaining a project schedule. The project team will assess the current project schedule status and report variances as they are identified. Additionally, the team will identify and implement the appropriate corrective actions to eliminate or minimize schedule variances.

Scope Control – The detailed scope definition contained in this document will be used to evaluate project scope issues. Significant variances from scope will be submitted to a formal project change control mechanism (Section 7.4 Change Control Process).

Quality Management – DOH ECM (Imaging/ERMS) project quality management will be established for each deliverable based on the quality mechanisms of the responsible organization, and the DOH ECM (Imaging/ERMS) Quality Management Plan (Section 7.6) of this document.

Risk Management – Risk management is an ongoing process of identification and assessment. Risk Assessment is included as part of the routine status process of the project. This maintains an awareness of risk and the associated risk assessment and monitoring tasks required to manage the project effectively.

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

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

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6.3.1 CHANGE CONTROL PROCESS

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

Some changes are unavoidable – instances where changes must 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.

Establish the baseline productThe Imaging project plan is developed around a “package” strategy. Further, the strategy specifically specifies minimal modifications to the package. No functional modifications are to be made to the selected Imaging product. The package plus the Work Breakdown Structure and product descriptions in section 6.1 of this document represents the baseline product and therefore the criteria for determining the approved scope.

Agreement from the BVRHS Imaging ESCThe baseline product described above and strategy for implementation is to be reviewed and approved by the Imaging Executive Steering Committee. Requests to change the scope will also be reviewed and approved by the BVRHS Imaging ESC.

Enforce a formal change control processThe software package/implementation process is never static. Some changes are to be expected during the Imaging 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

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Only necessary changes are made, Changes are communicated to all affected parties, and Changes are implemented in an orderly fashion.

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6.4 PROJECT BUDGET MANAGEMENT

6.4.1 BUDGET TRACKING

The Department of Health ITSD PMO and BVRHS Bureau Chief will be responsible for managing the ECM-Imaging budget and will be a member of the Imaging Executive Steering Committee. The FSB employee will provide a budget update at each Steering Committee Meeting, identifying past expenditures, encumbrances, future encumbrances, personnel costs, and any other expense associated with the project budget.

6.5 PROJECT COMMUNICATION PLAN

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

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

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Project Stakeholders

Department of Health (DOH) DOH Cabinet Secretary DOH Deputy Cabinet Secretary DOH State Epidemiologist DOH BVRHS Bureau Chief DOH Chief Information Officer DOH Subject Matter Experts Project Manager Project personnel

Imaging Executive Steering Committee Committee Chairperson Committee at large

Implementation Vendor Account Executive Project Manager Project Personnel

6.5.1 PROJECT COMMUNICATION MATRIX

Stakeholders (PD = Project Manager, PMs = Project Manager

Deliverable/Description Target Audience

Delivery Method

Frequency Responsible Party

DOH / Imaging Project Status

DOH CIO Face-to-Face Weekly DOH PM

DOH / Imaging Project Status

DOH Team Face-to-Face As needed PD/PM

Weekly PD Status DOH PD Email Weekly PM

Imaging Project Status BVRHS Imaging ESC

Email 2nd & 4th Monday

PD/PM

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BVRHS Imaging ESC Meeting

BVRHS Imaging ESC

Face-to-Face 2nd & 4th Weds.

PD/PM

BVRHS Imaging ESC Meeting Minutes

BVRHS Imaging ESC

Email 2nd & 4th Fri. PM

DOIT Imaging Project Status

DOIT Email Monthly PD

Project Web Page As needed Web Page As needed PM Team

Ad hoc As needed As needed As needed As needed

6.5.2 PROJECT STATUS MEETINGS

The Executive Steering Committee will meet at a minimum on a monthly basis in order to review project progress, deliverables/milestones, provide direction to the Project Manager, and team. The Project Manager is required to provide formal status reports to the ESC and will present the report during the ESC meetings. The Project Manager 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 Manager to send a request and justification directly to the ESC committee members. A reminder notice should be sent out after seven (7) days if there has been no response from ESC committee members. A final attempt to contact ESC members should be made at fourteen (14) days if there has been no response. Summary of any such action should be documented in team status reports and reported to the ESC at the next meeting.

6.5.3 PROJECT STATUS REPORTS

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

6.6 PERFORMANCE MEASUREMENTS (PROJECT METRICS)

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

NUMBER DESCRIPTION

QUALITY METRICS 1 The project schedule, assigned tasks, resources and milestones are met.

QUALITY METRICS 2 Project does not exceed budget.

QUALITY METRICS 3 System can provide reports that accurately track utilities by building

QUALITY METRICS 4 All RMD operational and facility data information is successfully converted and migrated onto an electronic records management platform

QUALITY METRICS 5 Applicable RMD Legislative Performance Measures as stated in DOH FY19-20 Strategic Business and IT plan are met

QUALITY METRICS 6 System is secure, operable and stable

QUALITY METRICS 7 Data integrity is maintained

QUALITY METRICS 8 Staff is adequately trained

QUALITY METRICS 9 Conforms to BVRHS Records Management Policies

6.7 QUALITY OBJECTIVES AND CONTROL

Quality Management includes the processes required to ensure that the project will satisfy the needs for which it was undertaken. It includes all activities of the overall management function that determine the quality policy, objectives, quality assurance, quality control, and quality improvement, within the quality system

Quality Management is an important aspect of any project to ensure that the product delivered is accepted and works as designed. Each functional organization is responsible for the quality of its contribution to the project and will apply its internal quality standards to project products and services. The project team will assess the projects products and services based on the standards established by the functional organizations represented on the project.

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There are number of ways that quality has been built into this project. The first is IV&V, which will make sure the project meets its expected requirements through a third-party evaluation of the project. Please see section 7.7 for more details.

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

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

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

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

6.7.1 QUALITY STANDARDS

Describe the agency, industry or regulatory project performance standards that will be followed and assessed by the project. These quality standards will be used to assess whether the quality objectives were achieved.

Identify each of the project quality standards that are directly related to the project and not to the performance of the actual product and/or service. For each quality standard, identify the tracking tool or measure such as number of project reviews or Project Status.

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No. Quality Standard Tracking Tool or Measure

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

2 Project is completed within budget. • Project Charter• Project Status

3 Quarterly project reviews show contractors deliver requirements specified in the contract by due dates or pay penalties.

• Vendor Contract• Final Customer

Acceptance

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

• Issues Tracking

5 Project will be completed based on the original project scope and approved scope changes.

• Project Charter• Project Plan• Control Change

Request

6.7.2 AGENCY/CUSTOMER SATISFACTION

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

Areas of feedback When How Often

Agency awareness Business Owner Meetings Monthly

Quality of communications ESC Steering committee meetings

Monthly

Manages project tasks ESC Steering committee meetings

Monthly

Productive Meetings ESC Steering committee meetings

Quarterly

6.7.3 PRODUCT DELIVERABLE ACCEPTANCE PROCESS

The Department of Health’s Chief Information Officer (DOH CIO) will take delivery of media; manuals; contracts; licenses; services agreements; configuration settings; status of patches to COTS products; in-house or vendor developed code; test cases, routines, and scripts; and other

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items required for the project. The DOH CIO will take delivery of such products only after the product deliverables have been accepted by the DOH Imaging Executive Steering Committee.

6.8 CONFIGURATION MANAGEMENT

Configuration Management determines how project information (files, reports, designs, memos, documents, etc.) will be managed (tracked, approved, stored, secured, accessed, version control, etc.) and owned by (e.g., Agency managing the project or the Customer). Standards and team awareness are critical.

6.8.1 VERSION CONTROL

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

6.8.2 PROJECT REPOSITORY

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

6.9 PROCUREMENT MANAGEMENT PLAN

All procurement for project goods and services must be performed under the guidance and direction of New Mexico State Procurement Statues, which will be made available from the Imaging project website.

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7.0 PROJECT CLOSE

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

7.1 ADMINISTRATIVE CLOSE

Administrative Close occurs at both the end of phase and end of project. This closure consists of verification that objectives and deliverables were met. Acceptance is formalized and phase activities are administratively closed out. Administrative closure occurs on a “by-phase” basis in accordance with the WBS and should not be delayed to project end. At that point, the burden of closing is too great and audits inaccurate. The specific project close activities for a given project are contingent on the project’s complexity and size. Project managers should work with the project’s project management consultant to tailored Project Close procedures to compliment the project’s objectives

7.2 CONTRACT CLOSE

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

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