Change Request for Project Planning Centralized Electronics Records Repository (CERR) NM DoIT PCC Presentation 3-25-15 Presented by: Pete Chacon Leo Lucero Prepared by: Linda Trujillo Melissa Salazar Felicia Lujan Emmanuel Rodriguez Jane Betterton

Executive Overview & Objectives The State Records Administrator (SRA) is mandated by statute to provide efficient and effective records management programs The SRA does not have the means of establishing effective management over electronic records, which compromises the ability to perform statutory functions The SRA has identified the Centralized Electronic Records Repository (CERR) for the management and storage of electronic public records, with a priority on the classification of e-mail records The primary objectives of the CERR project are: Provide a standardized method and tools for State agencies to capture, manage, store and provide retrieval of electronic records Implement the standardized method and tools with agencies to effectively and efficiently manage electronic records throughout their lifecycle.

CERR Project - Appropriation History Appropriation Date Amount Funding Source July 2012 $450,000.00 Laws of 2012, Chapter 19, Section 7, Item 9 July 2014 Re-appropriation of 2012 Funds Laws of 2014, Chapter 63, Section 7, Item 8 July 2013 $822,400.00 Laws of 2013, Chapter 227, Section 7 Amount Funding Source (Original) Funding Source July 2008 (FY 09) – For Phase I (for Needs Assessment) $150,000.00 Laws of 2008: Chapter 3, Section 7, Item 16 NA – Funds spent July 2012 (FY13) – For Phase II (This project) $450,000.00 Laws 2012, Chapter 19, Section 7, Item 9 Funds to extend to 6/30/2016 July 2013 (FY14) – for Phase III (This project) $822,000.00 Laws of 2013, Chapter 227, Sec. 7 Extension submitted. No answer as of 1-12-15 Current Expiration is: 6/30/2015 Total (Excluding Phase I) $1.272,000.00  

CERR Project – Schedule Overview PCC Project Phase Start Date End Date Objectives Initiation August 2012 June 2014 Research existing approaches and identify model/ approach for CERR Planning July November 2016 Evaluate approach to provide enterprise SaaS based solution in statewide roll out Conduct Proof of Concept using CPR as model agency and 2 pilot agencies to develop enterprise solution model Implementation December 2016   TBD Roll out an enterprise solution to provide a standardized method and tools for State agencies to capture, manage, store and provide retrieval of electronic records Closeout Support and project close-out

Planning Phase – Status Updates The CERR Project remains in the planning phase. Since last presenting to the PCC, the core team completed the following activities: Secured the services of a project manager Secured the services of a RFP developer for SaaS Researched best practices & and attended digital asset training Conducted Health Check of current HP TRIM system Analyzed and identified potential pilot agencies Conducted collaborative exchange with DoIT Enterprise Services See next slide for more activities

Planning Phase – Status Updates Continued Selected SaaS model based on utilizing DoIT Enterprise Services for Implementation Phase Reassigned Records Management Bureau staff to work on functional schedules Met with HP to evaluate enterprise pricing models Met with DoIT EPMO Team Selected Proof of Concept approach posed by DoIT EPMO Team Developed SOW for Integration Services & IV&V Services for POC work Created scope of work for IV&V contract Completed POC System Design and submitted to TARC

Planning Phase Change Request Justification to Conduct Proof of Concept The purpose of this change request is to release additional funds to complete the Planning Phase of the Centralized Electronic Records Repository (CERR) project with the Proof of Concept (POC) work The justification for the change is based on the following events in the Planning Phase Opportunity to work with DoIT Enterprise Services arose to provide SaaS Model for Agency deployment and billing Results from HP TRIM Health check provided an approach to conduct POC activities to define the needed approach for implementation of CERR Define technical architecture for an enterprise solution as a SaaS model Upgrade to HP RM 8 takes advantage of providing state with future cost savings avoiding object based pricing for new customers The change to remain in the planning stage and complete a POC allows us to update and optimize the HP TRIM application, design and develop a CERR “Model Agency” deployment system  and approach, and deploy the CERR solution across the SRCA as the initial “Model Agency”. The deliverables resulting from this project will enable the Administrator to take a major step in meeting statutory obligations to provide efficient and effective records management programs for State agencies with respect to inactive electronic public records, to include e-mail.

Proof of Concept - Objectives The CERR Proof of Concept includes the work to upgrade the current HP TRIM infrastructure, develop and deploy CPR as a model agency and test the model on 2 pilot agencies. All Proof of Concept (POC) work will be conducted in the PCC’s Planning Phase to determine the design of the enterprise solution The objectives of the POC work are as follows: Simplify and consolidate the existing HP TRIM environment Optimize the HP TRIM environment by upgrading to HP Records Manager 8.1 Develop a CERR Model solution which includes a simplified e-mail classification approach Deploy the CERR Model solution using CPR as a Proof of Concept and make subsequent refinements Deploy the CERR Model solution using two pilot agencies (still as part of this overall POC initiative)

CERR POC– Key Outcomes to Move Project into Implementation Phase Functional schedules that support standardization across agencies and ease of use in filing of electronic records especially e-mail Standardized agency model (standard configuration, process, business rules and change management activities) Analyzed data to show potential cost savings of implementing an enterprise solution for state agencies Roles of CPR, DoIT and agencies defined for the implementation and operational management of enterprise solution

CERR POC – Schedule Overview Month 1 2 3 4 5 6 7 8 9 10 11 12 13 15 16 Normalize and Prepare Design & Test Tasks Deploy and Refine (CPR-Model Agency) Deploy & Refine (Pilot Agencies) POC Close Out & Prep for Implementation

CERR POC- Project Stakeholders Stake in Project name, Title Executive Sponsor Linda Trujillo, CPR State Records Administrator Deputy Executive Sponsor Melissa Salazar, CPR Deputy State Records Administrator CERR Project Lead Leo Lucero, CPR Records Management Division Director Project Financial Oversight Ruben Rivera, CPR Chief Financial Officer IT Business Process Owner Pete Chacon, IT Division Director Business Process Owners Felicia Lujan, CPR Acting State Archives Director, Emmanuel Rodriguez, CPR Records Center Bureau Chief, Pilot Agency Directors Service Providers PM Services - Jane Betterton, PMP (Contracted through ABBA), Integrator – Information First, IV&V Services – TBD DoIT - Enterprise Project Management Office (EPMO)/ Project Oversight and Compliance Mike Baca, Director Darshana Kanabar, Deputy Director Bernadette Jaramillo, IT Oversight Consultant DoIT - Enterprise Services Office John Padilla, Enterprise Services Director

CERR POC - Project Governance Executive Sponsor Linda Trujillo CERR Project Lead* Leo Lucero Project Manager* Jane Betterton Business Process Owners* Felicia Lujan Emmanuel Rodriguez POC Integrator Information First IV&V Provider TBD Deputy Executive Sponsor* Melissa Salazar IT Division Director* Pete Chacon Provide group guidance and support to resolve issues & approve changes impacting scope, schedule & budget Day to Day Coordination & Resolution of issues that do not impact overall scope, schedule, & budget * CERR Core Team Members

CERR POC – Planning Phase Funding Change Request Planning Phase Item Funding Request Integrator Services* $659,373 Hardware $25,000 Software (HP RM Modules (Auto-classification, Advanced Disposal, OCR) $115,154 Software (100 HP RM Licenses for Pilot Agencies) $38,566 Project Management Services $80,000 IV&V Services $50,000 Total $968,093 *See next slide for Integrator Services Deliverable and Cost Detail

Integrator Services - Deliverables & Cost Detail Budget Normalize and Prepare $130,322 Upgraded (HP RM 8)/ Consolidated HPTRIM Data Set Completed Technical Architecture Report Completed HP RM IT/Sys Administrator Training Completed Design & Test Tasks $114,504 System Testing & New Features Testing Completed Email Management Solution Design Completed Administrator & Power RM User Training Completed Deploy and Refine (CPR-Model Agency) $179,933 CPR Deployment Plan Completed CERR Deployment to CPR Completed User Acceptance Testing Completed Deploy & Refine (Pilot Agencies) $158,036 Pilot Agency #1 & 2 Completed Integrator Community Outreach Activities $3,647 Project Management Reporting $72,931 Total $659,373 Total appropriated = $6,230,000 Fast contract 5,800,000 IV& V contract 108,188 PM contract 321,812

CERR Project Funding Balance Item Amount Amount Appropriated $1,272,400 Funds Spent & Encumbered During Initiation & Planning Phases $205,273 Remaining Funding $1,067,127 Current Request $968, 093 Balance Remaining $99,034

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