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EDMS HSD Project Charter
 

EDMS HSD Project Charter

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    EDMS HSD Project Charter EDMS HSD Project Charter Document Transcript

    • Electronic Document Management System EDMS Project Charter for HSD / ASD - SDU / CSED ____________________________________________ EDMS HSD Stakeholders – Bridget R. Trujillo, Acting ASD Director Kathleen B. Valdes, Acting CSED Director Conny R. Maki, HSD CIO HSD / ASD - SDU / CSED Business Owners – Allen Thompson, ASD - SDU Jason B. Romero, CSED Dawn Weatherston, CSED EDMS Project Director, Jane Hamlet Original Charter Date: January 19, 2006 Revision Date: January 25, 2006 Revision: 1.2 – 2nd Draft for Approval Prepared By: Jane Hamlet EDMS HSD Project Charter.doc Page 1 of 14
    • Electronic Document ECM (aka EDMS) Enterprise Content Management Management System (EDMS) Project Charter for HSD (ECM) Signature Approvals We the undersigned approve this revision of the Electronic Document Management System Project Charter for HSD / ASD - SDU / CSED. We believe that the Project Charter effectively establishes the course to successfully implement the EDMS for HSD / ASD - SDU / CSED. Approved: By: _____________________________________ Date: __________________ Bridget R. Trujillo, Acting Director Administrative Services Division Human Services Department Approved: By: _____________________________________ Date: __________________ Kathleen B. Valdes, Acting Director Child Support Enforcement Division Human Services Department Approved: By: _____________________________________ Date: __________________ Conny R. Maki, Chief Information Officer Division of Information Technology Human Services Department EDMS HSD Project Charter.doc Page 2 of 14
    • Electronic Document ECM (aka EDMS) Enterprise Content Management Management System (EDMS) Project Charter for HSD (ECM) Revision History Revision Date Comment Number 1.0 1/19/2006 First Draft for Approval 1.2 1/25/2006 Updated based on feedback from Stakeholder Steering Committee Cover Page - Changed to HSD seal Updated names and titles on cover page and signature page Consistently updated references to HSD / ASD – SDU / CSED EDMS HSD Project Charter.doc Page 3 of 14
    • Electronic Document ECM (aka EDMS) Enterprise Content Management Management System (EDMS) Project Charter for HSD (ECM) Table of Contents 1. Project Title.................................................................................................5 2. Purpose of Charter.....................................................................................5 3. Project Background ...................................................................................6 Accomplishments during FY05 and FY06.............................................................................. 6 Goals for FY06....................................................................................................................... 6 4. Enterprise Content Management (aka EDMS) Defined ...........................7 Also known as an Electronic Document Management System (EDMS) ................................ 7 5. Project Objectives ......................................................................................8 Objectives for Child Support Remittance Processing ............................................................ 8 6. HSD / ASD – SDU / CSED Change Management .....................................9 Keys for Success ................................................................................................................... 9 EDMS HSD Project Communication Plan .................................................................................................... 9 EDMS HSD / ASD – SDU / CSED Project Stakeholders ............................................................................ 10 EDMS HSD / ASD – SDU / CSED Change Management Project Team .................................................... 10 Roles and Responsibilities.......................................................................................................................... 10 7. Change Management Major Deliverables/Milestones...........................12 Deliverables Descriptions for EDMS HSD / ASD – SDU / CSED Change Management ..... 12 1. Change Management Project Charter and Scope Document ....................................................... 12 2. Measurements Documents............................................................................................................... 12 3. Detailed Analysis............................................................................................................................... 13 4. Improvement Documents ................................................................................................................. 13 5. Control Documents ........................................................................................................................... 13 Appendix A – EDMS Project Organization.....................................................14 EDMS HSD Project Charter.doc Page 4 of 14
    • Electronic Document ECM (aka EDMS) Enterprise Content Management Management System (EDMS) Project Charter for HSD (ECM) 1. Project Title The descriptive title of this project is Electronic Document Management Systems (EDMS) for the Human Services Department (HSD), Administrative Services Division (ASD) - State Disbursement Unit (SDU) for the Child Support Enforcement Division (CSED). The acronym for this project is EDMS HSD / ASD – SDU / CSED The short name for this project is EDMS HSD. 2. Purpose of Charter Based on the Project Management Body of Knowledge (PMBOK), a project charter is a document that formally authorizes a project. It provides the project manager with the authority to apply organizational resources to project activities. The project charter: • Identifies the primary entities and individuals impacted by the implementation of an Electronic Document Management System; • States the guiding principles under which the EDMS project is initiated, developed, implemented and maintained; • Defines the strategic business objectives of the EDMS project with respect to HSD / ASD – SDU / CSED, thus setting the initial project scope; • Specifies a process for refining the initial project scope; • Provides a foundation for identifying business process improvement opportunities that will be explored during the HSD / ASD – SDU / CSED Change Management process; • Defines approach for preparing, implementing and approving project documents such as the Project Charter, and the Process Improvement Document; • Defines Roles and Responsibilities for the EDMS Project Stakeholders, Project Director and Project Team members; • Establishes process to manage risks associated with HSD / ASD – SDU / CSED change management and EDMS implementation; • Establishes the governance structure for oversight, decision making and guidance for the total EDMS HSD / ASD – SDU / CSED project. The project charter represents an agreement between the project stakeholders, the project director and project business owners at a particular point in time of the project life cycle and is therefore subject to future change. Any significant future change in project direction will result in updates to the project charter that will be reviewed and approved by the EDMS HSD Stakeholders Steering Committee (SSC). EDMS HSD Project Charter.doc Page 5 of 14
    • Electronic Document ECM (aka EDMS) Enterprise Content Management Management System (EDMS) Project Charter for HSD (ECM) 3. Project Background For the FY05 funding cycle, two Agencies, the Human Services Department (HSD) and the Taxation & Revenue Department (TRD), submitted funding requests (C-2) for an Electronic Document Management System (EDMS). Additionally, the State Records Center and Archives (SRCA) submitted a request to fund an electronic records-management needs assessment for the State. SRCA is the agency with statutory responsibility (Public Records Act) for establishing effective and efficient records management programs for the State of New Mexico. The State CIO combined these requests into a multi-agency funding request (C-3) due to their obvious synergies. The three agencies - HSD, TRD and SRCA administer the EDMS Project in a joint effort. Since HSD has the infrastructure and administrative capacity to manage large projects, HSD is acting as the lead agency for this project. The EDMS Executive Steering Committee (ESC) provides strategic, high-level guidance with regard to project technology, budget, procurement, progress, and risks. The Executive Steering Committee is charged with taking an enterprise view to ensure this project supports the delivery of an enterprise model. Membership of the Steering Committee is comprised of representatives from the participating State Agencies, HSD, TRD and SRCA. Accomplishments during FY05 and FY06 • October 2004 - Project Certified for Planning Phase; • April 2005 - Project Director Hired; • June 2005 - Joint Powers Agreement approved; • June 2005 - Needs Assessment completed by Optimos, Inc.; • June 2005 - EDMS Project Management Plan, approved by the Steering Committee; • June 2005 – Advanced Planning Document (APD) submitted to ACF for Federal Funds. • August 2005 - Enterprise Requirements Workshops; • July 2005 - Project Certification for Implementation Phase; • October 2005 - Request for Proposal (RFP) completed and procurement in progress; Goals for FY06 • Change Management for HSD / ASD – SDU / CSED – February to May 2006; • Implement EDMS for HSD / ASD – SDU / CSED – June through July 2006. EDMS HSD Project Charter.doc Page 6 of 14
    • Electronic Document ECM (aka EDMS) Enterprise Content Management Management System (EDMS) Project Charter for HSD (ECM) 4. Enterprise Content Management (aka EDMS) Defined Also known as an Electronic Document Management System (EDMS) The State of New Mexico EDMS project was conceived when the generally accepted industry terminology was Electronic Document Management System (EDMS.) The term Enterprise Content Management (ECM) has become the industry standard for a combination of functions that includes: document imaging, electronic document management, electronic records management and workflow management. For Child Support Remittance Processing, the EDMS solution will include the following: Document scanning – this can be desktop scanning through flatbed scanners, and can occur at locations such as field offices. It can also be batch scanning, where documents are centralized and batched, and scanned in bulk through a high speed scanner. For scanning at field offices, the images will need to be transmitted to the centralized document imaging system through wide-area networks. Optical Character Recognition (OCR) – also known as ICR (Intelligent Character Recognition) is a process where the contents of the document are retrieved through sophisticated software while the document is scanned. This function will be useful for activities such as NCP payments, case initiation, as well as location letters, where the information on the document needs to be captured automatically and posted to CSES, as well as the image. Document storage – once captured, the electronic document needs to be physically saved in storage devices. Since digitized image can be sizable, large volume of disk space will be required. Document association – Documents do not exist in isolation, they need to be associated to the Custodial Parent (CP) or the NCP. This means that CSES will need to have entry points to document images. For example, the NCPR screen in CSES will associate the RECIEPT ID with the check and related Payment Instrument documents. Document retrieval – electronic documents will need to be retrieved for viewing, as part of the CSED business process. Field Office staff will have the ability to see the document images directly from CSES. This will greatly improve the efficiency in the Field Offices. Document management – Together with storage, the document image needs to be managed. Management activities include indexing, providing security, and the checking in/out of documents. Records management - this refers to the management of documents through their lifecycle. It is a series of controls, based on NMAC Rules that are exercised over the creation, distribution, retention and eventual disposition of electronic documents. Workflow management – increasingly there will be processes that employ workflow. It is a technology that uses electronic systems to control business processes. These systems manage the flow of work through the CSED organization. They move information and electronic documents among departments and workers based on a set of pre-defined rules. Workflow is an integral part of document processing as it enables electronic documents to be shared and passed through the business process. Document conversion – this is the process of converting existing paper documents into electronic documents. This is a time consuming and very expensive process. It is not likely that document conversion will be performed for existing CSED paper file documents. EDMS HSD Project Charter.doc Page 7 of 14
    • Electronic Document ECM (aka EDMS) Enterprise Content Management Management System (EDMS) Project Charter for HSD (ECM) 5. Project Objectives Key objectives specific to HSD are to increase productivity and reengineer business processes. By scanning, indexing, co-relating, storing and retrieving documents, staff can be re-deployed to accomplish other tasks, processing efficiencies will be achieved, and accuracy levels will be improved. Decreasing manual input by OCR/ICR and decreasing chance for lost documents will increase accuracy and timeliness in service delivery. Specific HSD objectives include: • Productivity; • Accuracy; • Reengineering Business Processes; • Lowering the Cost of Government; • Improve Service Delivery to Constituency. The State Disbursement Unit (SDU) for the Child Support Enforcement Division (CSED) will be the first HSD Division to integrate the document imaging and electronic document management into the automated system and in business practices. HSD submitted an Advanced Planning Document (APD) requesting Federal Financial Participation for ECM implementation from the Administration of Children and Families. HSD’s remaining Division’s will integrate ECM components following the initial CSED implementation. Objectives for Child Support Remittance Processing • Achieve benefits through Change Management and the implementation of an Enterprise Content Management solution. • Improve HSD / ASD – SDU / CSED services and business processes with ECM solutions including document imaging technology, electronic document management and workflow management. Extract mail and scan documents automatically • Replace the outsourced lockbox service with in-house mail extraction & document imaging Vendor partnership relationship is outsourced to Wells Fargo and Regulus to provide front-end support, procedures and physical transportation; • Reduce posting staff by 50% - with freed up staff reassigned to duties in HSD; • Save HSD an estimated $600,000 over a five year period. Post child support remittance data to CSES automatically • Capture data automatically using OCR/ICR technology; • Apply intelligence to the posting process with minimal key entry effort by posting operators; • Increase accuracy of Child Support Payment data posted to CSES; • Improve timeliness of posting child support payments. Enable data driven decision making and performance measurements • Provide key measurements in Management Reports daily or on-demand; • Support quantified workflow improvements including; Continuous improvements in staff performance, accuracy and timeliness; Continuous improvements to service provided for CSED and custodial parents. Display and print child support imaged documents from CSES • Supply CSED access to information immediately from document images; EDMS HSD Project Charter.doc Page 8 of 14
    • Electronic Document ECM (aka EDMS) Enterprise Content Management Management System (EDMS) Project Charter for HSD (ECM) • Make available documents requested in the Field Offices; in 3 to 5 seconds, reduced from 3 to 5 days; • Lower the Cost of Government; • Improve Service Delivery to Constituency. Compliance with State & Federal laws • Archive Child Support records per statutes automatically; • Support Child Support record retention and disposition schedules; • Compliance with “1.18.630.345 NMAC” for Child Support Remittance Processing. 6. HSD / ASD – SDU / CSED Change Management Change Management is the most essential work of implementing Enterprise Content Management or an EDMS. The question to be asked continuously is, “How do we improve our day to day process?” Keys for Success Stakeholders approve and support the initiative Benefits are understood Scope is manageable and reasonable Risks are mitigated Work and schedule is predictable o Project team members will be required 1 to 2 hours per week from now through the beginning of EDMS implementation for HSD / ASD – SDU / CSED. o Project team members’ time requirements will increase during EDMS implementation from mid June through mid July 2006. EDMS HSD Project Communication Plan Communication is fundamental to effective project management. The Communications Plan outlines the roles and responsibilities of participants in the dissemination, review and approval of project information. A communications plan that is well implemented will help manage expectations of the project, assure appropriate levels of communication with internal and external project stakeholders, provide relevant, accurate, consistent information at all times and help generate and sustain enthusiasm and support for the project. The EDMS HSD Stakeholder Steering Committee (SSC) will meet at a minimum on a monthly basis in order to review project progress, deliverables/milestones and provide direction to the Project Director and team. The Project Director is required to provide formal status reports to the SSC and will present the report during the SSC meetings. The Project Director is also required to report on the overall status of the project on a monthly basis, per standard OCIO procedures. EDMS HSD Project Charter.doc Page 9 of 14
    • Electronic Document ECM (aka EDMS) Enterprise Content Management Management System (EDMS) Project Charter for HSD (ECM) EDMS HSD / ASD – SDU / CSED Project Stakeholders Secretary of Human Services HSD Deputy Secretary for Programs HSD Deputy Secretary for Finance HSD Chief Information Officer HSD CSED Director HSD ASD Director EDMS HSD / ASD – SDU / CSED Change Management Project Team HSD Administrative Services DBM / ASD State Disbursement Unit Bureau Chief Child Support Enforcement DBM / CSED Change Management Liaison CSES IT PM DoIT Project Personnel SDU Supervisors Roles and Responsibilities Given in the tables below are the roles and responsibilities of each of the team members. Role Responsibilities EDMS HSD / ASD – Meet at least once a month SDU / CSED Provide strategic direction Promote the vision for HSD / ASD – SDU / CSED Change Management Stakeholders and EDMS benefits Steering Committee Advise project on policy issues Direct the Project Director on issues and risks Address, review, and approve all deliverables Ensure involvement of participants in order to meet deadlines EDMS HSD Project Charter.doc Page 10 of 14
    • Electronic Document ECM (aka EDMS) Enterprise Content Management Management System (EDMS) Project Charter for HSD (ECM) Role Responsibilities Project Director Report to Stakeholder Committee on project status, issues, and activities Address, review, and submit deliverables to Stakeholder Steering Committee from the EDMS HSD / ASD – SDU / CSED Change Management Project Team members Prepare Stakeholder Committee meeting agenda and meeting materials Monitor and report the activities of the EDMS HSD / ASD – SDU / CSED Project Team, assuring adherence to the project plan and schedule Ensure involvement of participants in order to meet deadlines Ensure mitigation of project issues and risks Facilitate Change Management and workflow mapping efforts Facilitate defining document metadata and setting up document taxonomy Plan system interfaces Manage testing and validating ECM solution Provide Contract and Vendor oversight Assure Vendor deliverables meet the business & system requirements Monitor the project and contract to ensure delivery of complete, accepted deliverables on schedule Serve as a contact point for the Vendor Team Manager, review and accept weekly status reports, project milestones, deliverables, and issues logs EDMS HSD / ASD – Facilitate EDMS HSD / ASD – SDU / CSED Change Management Project SDU / CSED Project Team meetings Change Management Assist in preparing Stakeholder Committee meeting materials Liaison Escalate issues to Project Director for resolution Participate in EDMS HSD / ASD – SDU / CSED Change Management Co-lead and document SDU workflow mapping Co-lead and document functional gap analysis and design Analyze and document metadata and taxonomy Facilitate designing and implementing changes to SDU procedures Provide input into a comprehensive test plan Review IV&V deliverables Ensure department system interfaces are appropriately modified to facilitate project implementation Collaborate with ECM Vendor on test plans, schedules, and specifications Review ECM Vendor deliverables and documentation as necessary EDMS HSD / ASD – Participate in EDMS HSD / ASD – SDU / CSED Change Management SDU / CSED Change Project Team meetings Management Project Escalate issues to Project Director for resolution Team Members Participate in EDMS HSD / ASD – SDU / CSED Change Management Contribute to SDU workflow mapping Provide input to the functional gap analysis and design Provide input to metadata and taxonomy Participate in designing and implementing changes to SDU procedures Provide input into a comprehensive test plan Provide input to department interface modifications Review ECM Vendor deliverables and documentation as necessary EDMS HSD Project Charter.doc Page 11 of 14
    • Electronic Document ECM (aka EDMS) Enterprise Content Management Management System (EDMS) Project Charter for HSD (ECM) 7. Change Management Major Deliverables/Milestones 1. Approved Project Charter including Stakeholders, Project Team and Project Scope 2. Approved Measurements Document – Current performance metrics document 3. Approved Analysis document including As-Is workflow diagrams 4. Approved Process Improvement Document – including To-Be workflow diagrams, and policies and procedures change management 5. Approved Control Document – Expected Performance metrics document Deliverables Descriptions for EDMS HSD / ASD – SDU / CSED Change Management Descriptions follow for each set of deliverables including, acceptance criteria, standards for content and format, and the quality review process. 1. Change Management Project Charter and Scope Document Description – A Change Management Project Deliverable Acceptance Criteria – EDMS Team Charter and Stakeholders must be HSD Stakeholder Steering Committee (SSC) defined. The Team members must be chosen approval based on their subject matter expertise, their Standards for Content and Format – demonstrated contributions as a team Workflow Industry Best Practices and the member, and their ability to champion the Project Management Institute’s (PMI) Project vision to all associates affected by the ECM Management Body of Knowledge (PMBOK) implementation. The Scope document defines Quality Review – Review by EDMS HSD / the boundaries for the change management ASD – SDU / CSED Project Team members effort, which includes, defining at a high level, the issues & solutions, estimating the impact, and creating a first draft AS-IS workflow map. 2. Measurements Documents Description – Developing a measurement Deliverable Acceptance Criteria – EDMS document consists of collecting current HSD SSC approval baseline performance metrics based on Standards for Content and Format – identifying the Inputs, Processes & Outputs Industry Best Practices (IPO). Collect current policy and procedure Quality Review – Review by EDMS HSD / manuals, detail the AS-IS process map and ASD – SDU / CSED Project Team members perform Strength, Weaknesses, Opportunities, Threats & Issues (SWOTI) analysis. EDMS HSD Project Charter.doc Page 12 of 14
    • Electronic Document ECM (aka EDMS) Enterprise Content Management Management System (EDMS) Project Charter for HSD (ECM) 3. Detailed Analysis Description – Detailed analysis consists of Deliverable Acceptance Criteria – EDMS various methods for separating the whole into HSD SSC approval its component parts. Based on specific needs, Standards for Content and Format – use appropriate analysis methods, including Industry Best Practices gap analysis, identifying root causes, Quality Review – Review by EDMS HSD / comparative analysis, stratifying process and ASD – SDU / CSED Project Team members data, regression analysis. The SWOTI analysis will be refined 4. Improvement Documents Description – The improvement documents Deliverable Acceptance Criteria – EDMS consist of generating solution ideas, HSD SSC approval determining solution impacts & benefits, Standards for Content and Format – evaluating & selecting solutions, designing the Industry Best Practices TO-BE workflow map, & updating and/or Quality Review – Review by EDMS HSD / developing policy & procedure manuals. ASD – SDU / CSED Project Team members Develop & present a Storyboard, communicating solutions to Stakeholders 5. Control Documents Description – The control documents detail Deliverable Acceptance Criteria – EDMS expected performance metrics, as well as HSD SSC approval policies and procedures to monitor, correct Standards for Content and Format – and control performance during and after the Industry Best Practices implementation of new systems and Quality Review – Review by EDMS HSD / processes. Integrate and manage solutions in ASD – SDU / CSED Project Team members daily work processes. Integrate lessons learned. EDMS HSD Project Charter.doc Page 13 of 14
    • Appendix A – EDMS Project Organization EDMS HSD Project Charter.doc Page 14 of 14