Project Closeout Report

Project Name / Central Electronic Records Repository (CERR)/TRIM Implementation (change of scope) / Date / August 19, 2010
Executive Sponsor / Sandra Jaramillo / Lead Agency / SRCA
Project Manager / Marla Gabaldón/Peter Chacon / Agency Code / 369
Project Description (Provide a brief description and purpose for this project)
The purpose of the project was to provide the State Records Center and Archives (SRCA) with a needs assessment analysis of the SRCA’s ability to implement and manage a Central Electronic Records Repository CERR) along with a thorough analysis of the IT infrastructure requirements to support such a system. The CERR is an enterprise content management (ECM) solution that will enhance the SRCA's ability to provide agencies with a state-of-the-art tool for capturing, managing, storing and providing access to electronic public records. This is a multi-phase, multi-year project which supports managing electronic records in a systematic and economical manner that complies with State recordkeeping laws and regulations. The needs assessment was completed in June 2009 by Vincent and Associate and included: an as-is analysis of current SRCA business processes; a to-be-analysis of SRCA business processes; an IT infrastructure analysis; a report on current enterprise content management solutions available; an ECM implementation strategy; an SRCA staffing analysis; and CERR needs analysis recommendations.
Funding for phase I of this project was appropriated during the 2008 legislative session (Laws 2008, Chapter 3, Section 7, Item 16). The agency received a multi-year appropriation of $150.0 for expenditure in FYs 2008 through 2010 to conduct an assessment of the SRCA operations. As only $87.0 of the original $150.0 was expended for the assessment, DoIT approved a project Change-of-Scope on June 24, 2009 to allow for the purchase of a COTS application as a replacement for the SRCA warehouse records inventory application used to manage the location and retention of inactive paper and microform records. The COTS application, a records location and retention tracking module, is one module within an ECM system that will serve as the first step towards implementation of the CERR.
During FY 2010 the SRCA purchased hp TRIM, through a State Purchasing Division statewide price agreement with ABBA technologies. Implementation of the application began in January 2010; however, due to problems with validation of the data from the old system and its migration to the new, the SRCA requested reauthorization of the appropriation. The appropriation was reauthorized for expenditure through FY 2012 (Laws 2010, 2nd Special Session, Chapter 6, Section 7, Item 8). Full implementation of hp TRIM was completed by July 14, 2010.
Schedule and Budget
Planned Start Date / 9/1/2008 / Actual Start Date / 9/15/2008
Planned End Date / 6/30/2010 / Actual End Date / 7/14/10
Planned Cost: (Budget) / $150,000 / Actual Cost: (Total) / $149,912.06
§  Professional Services / $150,000 / §  Professional Services / Needs Assessment: $68,677.14
Project Management:
$18,254.25
Integration (Change of Scope): $42,586.47
§  Hardware / N/A / §  Hardware / $4,846.20
(scanners)
§  Software / $20,000 / §  Software / $15,548.00
§  Network / N/A / §  Network / N/A
§  Other / N/A / §  Other / N/A

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

Fiscal Year
/ Amount / Funding Source(s)
2009 / $150,000 / Subsection 16 of Section 7 of Chapter 3 of Laws 2008
2010 / $150,000 / Extension to Subsection 16 of Section 7 of Chapter 3 of Laws 2008
2012 / $150,000 / Extension - Laws 2010, 2nd Special Session, Chapter 6, Section 7, Item 8.
Scope Verification /

Requirements Review

/ Yes / No /

Explanation/Notes

/
Were the project objectives (expected outcomes) accomplished? / x
Were all Deliverables submitted and accepted? / x
Did the IV&V vendor verify that all deliverables met the requirements? / N/A / IV&V waived
Have all contracts been closed? / x
Have all final payments been made (i.e., invoices paid) / x
Has adequate knowledge transfer been completed? / x
Transition to Operations: (Describe agency plan to migrate project solution to production. Include DoIT impact if different than previous report)
The final Image 2000 (I2K) database file was delivered via FTP to UrsaNav the integration vendor. UrsaNav working at their home office migrated the I2K data into the hp Trim database. SRCA retrieved the migrated data file via FTP and working with UrsaNav installed onto a local server at the SRCA. UrsaNav staff was on site at SRCA the week of July 5, 2010 to complete the data migration, address outstanding issues, and install data entry web forms.
System testing was performed by the SRCA. In order to certify data integrity, a two percent subset of the total number of records in the TRIM system was verified using the I2K legacy system. Additionally, web form testing was completed by creating records and verifying the record data in TRIM. All errors were reported to UrsaNav until the SRCA could certify that all issues had been resolved.
The TRIM Context software application has been fully deployed in production since July 14, 2010.
Maintenance/Operations
/ Yes / No /

Explanation/Notes

Are there recurring maintenance/operational costs for the product/service? / x / $5,220.00 annually
Are there any recommended enhancements or updates? / x
Funding source for maintenance/operational costs? (Describe) Maintenance and operating costs are included in the SRCA FY 12 appropriation request.
Business Performance Measures (Complete for all phases)
Comments:
Phases / Completion Date / Goals/Objectives / Amount / Results
Initiation:
/ May 2008 / Develop Project Charter and Project Management Plan. / $ 0.0 / Project certifications were approved.
Planning:
/ December 2009 / Develop functional specifications for the Needs Assessment. / $ 86,931 / Functional and technical specifications were identified by RMD and IT staff. Vendors were selected to complete the Needs Assessment and Project Management of the CERR.
/ June 24, 2009 / Change of Scope: Purchase COTS application as a replacement for the warehouse records inventory application used to manage the location and retention of paper and microform records. The COTS application is one module within an ECM system that will serve as the first step towards implementation of the CERR. / Software products were evaluated and the hp TRIM Context software application was selected by RMD staff. Purchase made through a statewide price agreement.
Implementation: / July 2010 / Fully deployed hp TRIM Context application software. / $62,981 / Worked closely with integration vendor to ensure that deliverables were met.
Production cut-over and transition to operations July 12, 2010.
System and web form testing.
Closeout: / October 2010 / Closeout CERR project per DoIT requirements. / $149,912 / All contracts complete. All invoices paid. Product acceptance document. Lessons learned. Closeout documents for PCC.
Lessons Learned
·  Due to the funding expiring at the end of FY 10, an aggressive but unrealistic timeline was established in order to complete the project. Deliverable deadlines were not met by the integration vendor consequently requiring an amendment to the contract resulting in a project delay. The funding extension should have been applied for the previous year.
·  Establishing functionality requirements for the web form development were not as clear as they should have been and created unintended ambiguity. Much more thought in every aspect of the requirements should have been studied and assumptions not made.
·  Involvement by the contracted vendor should have been made much sooner. The SRCA allowed the contract vendor to have minimal involvement in assisting with the project. Their eventual participation as intermediary between SRCA and integration vendor assisted with clarifying expectations and meeting deadlines and taking responsibility for project deliverables.

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:
·  Describe or estimate this project’s impact on the State Datacenter infrastructure.
o  Hardware (List type of hardware anticipated. Keep in mind the State Datacenter may have pre-built hardware stacks available): None – all hardware resides in the SRCA server room.
o  Network (Include Diagram): There is no impact to the DoIT network. A VPN was created so that the Records Center in Albuquerque could submit the web forms. The network traffic on the SRCA LAN is unaffected as the previous Image 2000 was a web-based system.
o  Software / Applications (Provide application schematic if available): hp TRIM Context will have no affect on the DoIT datacenter infrastructure
Hosting Considerations (If not hosted at the State Datacenter describe your strategy to host at the State Datacenter): The SRCA has received exemptions from the requirement to move production servers to the DoIT datacenter.

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 - Nightly tape backups are performed and stored offsite.
·  Business Resumption – Restore server and software.
·  Operational Recovery Planning - Recover system software from original software disks and tape backup.
Security Strategy (Application and Data Security Process, Plan, or Standard)
Physical Access Control: Server hardware and HP Trim Software are housed in a secure data center with keycard access control implemented.
Software Access Control: All HP Trim users require a software username and password assigned by the system administrator.
Network Access Control: Outside user access is controlled by a firewall hardware appliance with rules to control VPN connections from remote Albuquerque Records Center Site.
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
(or Designee)
Lead Agency Head
(or Designee)
CIO IT Lead
Project Manager

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Revision: 3/16/10 Page 5 of 6