Project Closeout Report - GSD ECM

Project Name GSD-ECM Date 7/28/2010 Executive Sponsor Arturo Jaramillo Lead Agency GSD Project Manager Jane Hamlet Agency Code 350

PROJECT DESCRIPTION (PROVIDE A BRIEF DESCRIPTION AND PURPOSE FOR THIS PROJECT) The GSD Risk Management Division (GSD/RMD) has identified opportunities to improve the management of paper business processes for all seven bureaus within the Risk Management Division. Those bureaus are Workers’ Compensation, Insurance, Finance, Loss Control, Legal, Property and Casualty, and Employee Benefits. All of these bureaus deal with paper documents, onsite file storage, as well as off site file storage. GSD/RMD prioritizes their document imaging and management needs into planned phases:  Phase I – Workers’ Compensation (Active & New) - approximately 2000 files are active open cases, with 10 staff carrying an average caseload of 200. New claims are received daily. Active and New Workers’ Compensation business processes are priority for implementing document imaging, electronic document management and workflow management. Claims involve forms, medical history, medical treatment notes, mediation, judge’s rulings, etc. Proposed ECM Project Objectives/Performance Metrics – 5 Primary Objectives:  Integrate records management into RMD work processes, information systems and the IT Enterprise Architecture;  Support managing electronic records according to statutory requirements codified as rules in records retention and disposition schedules administered by SRCA and other federal requirements;  Adhere to metadata standards to support interoperability across GSD Divisions and other agencies;  Adhere to ECM Application Architecture Standards that support executive management, IT functions and legal requirements;  Reengineer RMD business processes: – fundamental to implementing an Enterprise Content Management solution. – Content, documents and document management are inherent within RMD business processes.

Schedule and Budget Planned Start Date 09/01/08 Actual Start Date 07/08/08 Planned End Date 12/31/09 Actual End Date 7/19/10 Planned Cost: (Budget) $1.1 Actual Cost: (Total) $1.1 . Profess TOTAL $670.0 . P TOTAL $677.0 ional Services Project Management - $279.0, rofessional Project Management - $305.0 Implementation - 328.0, Services Implementation – $339.0 IV&V - 55.0, IV&V - $16.0 Training - 8.0 Training - $17.0 . Hardw $103.0 . H $153.0 are ardware . Softwa $311.0 . S $263.0 re oftware . Networ -0- . N -0- k etwork . Other $16.0 . O $7.0 ther

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Appropriation History (Include all Funding sources, e.g. Federal, State, County, Municipal laws or grants)

Amount Funding Source(s) Fiscal Year FY07 $2.3 (Note: HB Funding Source, Risk Management Reserves, Laws of 2007, Chap 28, Sec- does not breakout tion 7, Subsection 8 appropriation by project. ECM was budgeted @$1.1

Scope Verification Requirements Review Yes No Explanation/Notes  Records management integrated into RMD work processes  Electronic records management adheres to Were the project objectives (expected outcomes) accomplished? X statutory requirements  Metadata standards support interoperability across RMD Division  RMD business processes re-engineered Were all Deliverables submitted and accepted? X Vendor, IV&V and PM Did the IV&V vendor verify that all deliverables met the requirements? X Have all contracts been closed? X As of 7/25/10 Have all final payments been made (i.e., invoices paid) X Has adequate knowledge transfer been completed? X Yes – ongoing training required

TRANSITION TO OPERATIONS: (DESCRIBE AGENCY PLAN TO MIGRATE PROJECT SOLUTION TO PRODUCTION. INCLUDE DOIT IMPACT IF DIFFERENT THAN PREVIOUS REPORT) Software application was loaded on a test environment for training and debugging purposes for a 3 month period prior deployment. All fixes to application issues are migrated to the test system for re-test and acceptance prior deployment to production system. Agency technical staff will be supported by on-site vendor technical support for “go-live” production roll out. A Remote System Administration agreement will be put into place for a 6-month period with the vendor to assist in supporting the system and technical training purposes for the agency during this significant learning curve.

Maintenance/Operations Yes No Explanation/Notes $59,000 per Year software Are there recurring maintenance/operational costs for the product/service? X maintenance (listed in contract 1st yr) As of 7/19/10 there are no other enhancements know at this time. As this system is used Are there any recommended enhancements or updates? TBD and RMD becomes more knowledgeable with the system and Division needs, there may be enhancements required.

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BUSINESS PERFORMANCE MEASURES (COMPLETE FOR ALL PHASES) Comments: This Project has met the Business objectives of the Division by accomplishing the following;  A web-based system was implemented  Interface to Risk Management Information System was successful  Business process reengineering occurred  UAT was thouroughly conducted  End user training was well managed and provided to all end-users  Imaged Documents resolution is acceptable and readable  eForms have been developed and useable  Workflow has been accepted Although the project was delayed due to Risk Management Information Systems RFP issues, the project still came in within budget and has been rolled to production.

COMPLETION PHASES GOALS/OBJECTIVES AMOUNT RESULTS DATE Finalize Business Requirements, Finalize PM contract, Hire Project Manager. Product development Rationale, End All tasks completed. Vision and purpose, Project Scope, Work $50,000 09/24/08 PCC certified and funds Break Down Schedules, Workers Compensation Bureau Business released for next phase Requirements/Needs Assessment and Initiation: develop workflow Develop Project schedule, Project team structure, Risk/Mitigation, Project Management Plan, Detailed Requirements Analysis, Architecture and Network Tasks completed. PCC 12/17/08 Design, Release IV&V CVR & finalize $217,000 certified and funds re- contract, Release CVR for SW/Integrator. leased for next phase Hire IV&V contractor, inventory of existing related infrastructure/ records Planning: management practices for Worker’s Comp. Order Hardware, Finalize SW/Integrator vendor contract, Implement Hardware, Software, solution design, data integration, Tasks completed. and workflow setup, system configuration Production cut- and installation, Technical Testing, and over7/21/10, transition 01/28/10 $833,000 End user training for GSD RMD Workers’ to Operations. SW Comp Claims, Administration and User Vendor, PM & IV&V training, Develop Interfaces with existing deliverables met systems. Develop hosting strategy and Implementation: SLAs, Test and validate solution, Cutover. Closeout: 07/19/10 Closing out project $0.0 All contracts closed, product acceptance and Lessons Learned. Close-out documents preparation for PCC

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presentation

Lessons Learned Comment 1) The transition from the enChoice Sales  Server Sizing requirements should have been team to the enChoice Professional Services teams signed off by the enChoice architect BEFORE should have occurred at the time we purchased purchasing equipment. However the NM Purchase equipment in May 2009. The enChoice Architect Order for enChoice Software and Services was not did not see the design specifications until July approved until June 2009, six weeks after 2009. equipment was purchased. Difficult to correctly size storage requirements because there is no 2) More funding could have been held in current baseline. Many working review sessions contingency to address ECM Training needs. were conducted to calculate sizing requirements. 3) Kofax Capture configuration  In May 2009, ECM Training needs were not fully requirements when forms received are 80% hand- understood and funding was limited. written –a learning process for all involved about  Caution: some vendors may have additional costs the quality of forms and how Kofax Capture can to set up a separate Kofax Batch Class after recognize the forms. realizing that 80% of the forms are hand-written. 4) Electronic Content Management  Other bureaus would benefit by improving the consists of highly complex integrated software quality of their forms long before scanning begins. components.  NM GSD needs to be funded to fully support ECM 5) The transition from the enChoice with appropriate staffing and training. Professional Services team to their Maintenance  The enChoice transition to their Maintenance team team was initially difficult. The enChoice occurred while the ECM system was still in the Executive VP’s addressed issues within a week. Production Cutover process. 6) The implementation of RMIS while initially scheduled months earlier, pushed directly into the same timeframe scheduled for ECM implementation. This lead to resource constraints within RMD and TSSB and impacted the length of time for ECM testing originally planned for.

IT System Analysis On this document, or as an attachment, provide a summary response, including changes, to the following IT infrastructure topics relating to this project:

o Hardware – GSD/RMD ECM hardware architecture is designed to support the long run needs of the Risk Management Division through all project phases: . Architecture is designed for scalability as needed when additional RMD bureaus begin scanning their documents and using the ECM solutions; . Additional scanners can be integrated as needed. . ECM Architecture includes two hardware platforms: (Diagram included in Attachment A):  Production Environment – supports high availability for daily GSD RMD business processes;

This is a controlled document; this version supersedes all other versions. Revision: 3/16/10 Page 4 of 9 Project Closeout Report - GSD ECM  Dev / Test / Training – this environment mirrored production infrastructure to ensure that all components are tested thoroughly prior to migration;  Using existing DoIT SAN for storing document images hosted in the Simms Building o Network (Diagram included in Attachment B) - The GSD ECM Project will integrate within the existing GSD Network: . GSD Montoya network migrated to 1gig Ethernet network April 2010 o Software / Applications (Diagram included in Attachment C) - The primary ECM software components include imaging, capture and content management: . Imaging – Kofax capture software:  operates directly with the scanning equipment  captures the document image  features include image quality assurance, document clean-up, OCR . Capture – KwikWork provides the integration tools:  simplified user-interface and rapid workflow tool  validating the data captured from the document image  uses Active Directory for user authentication . Content Management – FileNet P8 provides software tools:  document management such as library services - version control, check-in and check-out, security  workflow management  electronic forms o Where is this system hosted? . If not hosted at DoIT Data Center what is your strategy to host at DoIT Data Center: (When, Why?) . The ECM Project is integrated within the existing GSD Network. The system is hosted at the Simms Building in DoIT leased 48U rack space. . Scanners and imaging equipment are co-located within the Risk Management Division offices in the Montoya Building o DoIT Migration Collaboration . DoIT collaboration to move this project from initialization through close (full production) is documented in the GSD RMD ECM Project schedule (MPP). Provide Application Architecture Schematic: See FileNet P8 Logical Architecture (Diagram included in Attachment C)

Business Continuity Strategy On this document, or as an attachment, provide a summary response, including changes, of your business Continuity Strategy.  Emergency and Disaster Management – the Production server environment has been configured with mirrored drives for failover. All redundant server environments are housed in the Simms Data Center at this time until the State and/or GSD has a DR off-site facility off-site.  Business Resumption – GSD plans to refine the Business Continuity Plan to ensure operations are maintained at the needed levels. The working draft GSD Business Continuity Plan was developed in December 2008. GSD will continue to build up the Business Continuity Plan during ECM Implementation. This is a controlled document; this version supersedes all other versions. Revision: 3/16/10 Page 5 of 9 Project Closeout Report - GSD ECM  Operational Recovery Planning – The redundancy built into the production server will provide system failover capabilities. Systems and data are included in DoIT Back-up schedule and off-site archiving and rotation. Incremental backups throughout the week with full back-ups on weekends. Adherence to GSD Change Management Policy is enforced.

Security Strategy (Application and Data Security Process, Plan, or Standard)

 Application – The web front-end provides a secure user log-in front page, System security rules are administered for multiple layers of user roles/permissions to the various regions of the system.  Data - The new server(s) connected to the DoIT SAN for data management and classification. GSD authorized staff have database access permissions.  Data Center Network – Servers placed on an internal facing network to support internal state user access only. DoIT maintains and monitors the Simms Data Center and WAN network monitoring, firewalls and network protection.  Servers –are housed in the DoIT Data Center a 7x24 secured facility and reside in a locked rack. Systems are password protected. Anti-virus has been applied. GSD will apply patches and upgrades as required. Maintenance Windows will be defined in accordance with GSD Server Maintenance plan. 3rd Party IT Security Assessment, scans and security penetration conducted in June 2010. GSD Technical staff has system level access authorization.  Identity Management - Authentication and Authorization are inherent components in the selected ECM software. FileNet authentication integrates directly with MicrosoftR Active Directory; GSD TSSB has integrated within the DoIT AD structure in the GSD Organizational Unit (OU). For authorization: When a security principal that has already been authenticated attempts to access FileNet P8 objects, Content Engine or Process Engine will attempt to retrieve that principal's user and group memberships from the directory service provider. If successful, the user or group will be authorized to carry out actions described by the access rights placed on the objects.

Project Sign Off The signatures below certify that this project has been completed in accordance to the specified budget, schedule, scope, and achieved the intended outcome. STAKEHOLDERS NAME: SIGNATURE DATE Executive Sponsor Arturo Jaramillo (or Designee) Lead Agency Head Mike Wilson (or Designee)

CIO IT Lead Karen Baltzley

Project Manager Jane Hamlet

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42 U FileNet App New GSD 48-port Cisco Switch (1U) Engine Servers 2 U And Cisco ASA 5520 Firewall (1U) Simms DataCenter Abba Quote 19238 Network WebSphere Content Servers 4 U DoIT Fiber Channel Switch

1 U BigIP 1600 4G w/2nd PS FileNet Processing Engine Servers 2 U Dell 2950 VI3 Node 1

IBM Content 2 U Dell 2950 VI3 Node 2 Collector Server 1 U Dell 1950 Host for Virtual Center Virtualized Servers DoIT SAN Production 2 U Dell 2950 Database 1 Active Passive MS Cluster FileNet App 2 U Dell 2950 Database 2 Engine Server NEW PowerEdge 2950 Servers 2x Quad Core 2.33GHz WebSphere 2 U Capture Server 1 Dell 2950 2 x73gb SCSI HDD’s in Raid-1 Content Server 2x Qlogic Dual Ch 4GB FC HBAs VI3 Pair have 32GB RAM; FileNet 2 U Capture Server 2 Dell 2950 Database Pair have 16GB Processing Engine Server Mission Critical Support

NEW PowerEdge 1950 Server IBM Content Collector Server Dual Cr 3.0GHz; 2GB RAM 2x 250GB SATA HDD; ProSupport 7x24 Virtualized Servers Testing , Development , & Training 2 U NEW VMware VI3 Ent. Licenses: 4 proc+ Plat. Supp 1Yr + Start-Up Abba #18800 GSD Rack (DoIT Rented & Hosted)

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GSD Logical Network Architecture Wednesday, July 21, 2010

GSD SAN Vlan501 RMD Datacenter Network Diagram End User Unavailable for GSD Use 10.54.1.2

Database Server

DoIT Cisco Switch Database Server Datacenter Firewall Firewall 10.0.0.17 D2

VM Ware ESX Host Servers (2 + 2) Bell & Howell Scanner 2

Kofax Scanning Server 1 Kofax Scanning Server 2 Bell & Howell Scanner 1

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ECM Logical Architecture View

State of New Mexico – Enterprise Content Management Johnny Meissler – Technical Sales Consultant Chad Cain – Technical Sales Consultant Wednesday, December 31, 2008

Portal Integrations JCA Image Services Office Int Resource Adaptors

Workplace

Process OLAP Browsers Cube External Java API Analyzer Services Process Office, Optimizer Solution Outlook Process Templates Engine

Component Integrator ST EJBs Web Clients WCM Java JMS Connector Connector Packaged WCM Applications Web Application Engine and Toolkit Enterprise Enterprise Application Web Container EJB Container Data Integration Sources J2EE Application Server Content Presentation and Business Logic Tier Engine

File Rendition Enterprise Manager Systems Form Engine Designer Capture Database

Rules Rules Designer Engine

Client Applications Business Logic Tier Data Tier

IBM FileNet P8 Logical Architecture

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