Child Support Enforcement System Replacement (CSESR)
Project Charter For
Initiation Certification
Executive Technology Owner – Sean Pearson CIO ITD
Executive Business Owner - Andrew Vallejos, CSED Director
IT Project Manager – Helen Yackel, HSD ITD
CSED business management – John Bacon, HSD CSED
Original Plan Date: December 18, 2013
Revision Date:
Revision: v1.1
About This Project Charter DOCUMENT
Permission to plan the projec t and setting the governance structure
The Project Charter provides the project manager and project team with permission to proceed with the work of the project, within the scope delineated in this document. The Project Charter should be the outcome of a number of documents that went into the pre-planning for the project, and in many cases the agency IT Plan, Business Case for appropriations, Federal funding requests and the like.
Project sponsors sign the Project Charter signifying that they have agreed to the governance structure for guiding the direction for the further planning of the project, discovery and defining the requirements, acquiring necessary resources, and within that context the statement of work for any related contracts including a contract for the Independent Validation and Verification.
The Project Charter is also the foundation for the creation of the project management plan, and much of the thinking and writing for this charter will be immediately usable for that project management plan.
Project certification Initial phase documentation
The Project Charter is also used within the State of New Mexico IT Project Certification process as evidence of the project’s worthiness for the Initial Phase certification. The Initial Phase certification is especially critical to many state and agency projects because of its related release of the initial funds required for the project.
Initiation Phase funding is requested by an agency for use in developing project phases, developing Independent Verification and Validation (“IV&V”) plan and contract; address project review issues and/or to develop an overall project management plan. Note: Waiver of the IV&V requirement requires specific written approval by the Secretary of the DoIT.
DoIT “Project Certification” Memorandum July 2, 2007
The Project Charter and the Request for Certification Form are meant to provide a comprehensive picture of the project’s intention and initial planning, that includes the project’s place in the context of the State of New Mexico’s IT Strategic Plan, Enterprise Architecture, and DoIT project oversight process. See “IT Project Oversight Process” Memorandum July 5th 2007 on the OCIO-DoIT web site.
table of contents
About This Project Charter DOCUMENT
table of contents
1.0 project background
1.1Executive Summary -rationale for the project
1.2Summary of the foundation planning and documentation for the project
1.3 Project Certification Requirements
2.0 Justification, Objectives and impacts
2.1 Agency Justification
2.2 Business Objectives
2.3 Technical Objectives
2.4 Impact on Organization
2.5 Transition to Operations
3.0 Project/Product Scope of Work
3.1 Deliverables
3.1.1 Project Deliverables
3.1.2 Product Deliverables -
3.2 Success and QUALITY METRICS
4.0 Schedule Estimate
5.0 Budget Estimate
5.1 Funding Source(s) - planning
5.2. Budget By Major Deliverable or Type of expense
5.3 Budget By Project Phase or Certification Phase
6.0 Project Authority and Organizational Structure
6.1.1 Steering committee
Director ASD, CFO
6.1.2 CSESR Project Team Stakeholders
6.2 PROJECT GOVERNANCE PLAN
6.3 PROJECT MANAGER
6.3.1 PROJECT MANAGER CONTACT INFORMATION
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES
6.5 Project management Methodology
7.0 Constraints
8.0 Dependencies
9.0 Assumptions
10.0 Significant Risks and Mitigation Strategy
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
13.0 Project Charter Agency Approval Signatures
14.0 Project Charter Certification Approval Signature
Revision History
Revision Number / Date / Comment1.0 / August 14, 2007 / Original DoIT PMO Document
1.1 / December 18, 2013 / CSES Replacement - Initiation PCC
1
CHILD SUPPORT ENFORCMENT SYSTEM REPLACEMENT1
1.0project background
An automated child support system is required by the Federal Office of Child Support Enforcement (OCSE) to support the NM Child Support Enforcement Division (CSED) business and ensure compliance with federal and state law and regulations in support of New Mexico’s children by assisting parents with their child support responsibilities. In March 1998, the federal government certified New Mexico’s Child Support Enforcement System (CSES). Today, CSES maintains case records and account information on more than 59,000 active cases.More than $132.1Million is distributed annually in child support payments via CSES (including $3 Million for Navajo Nation) was collected from non-custodial parents in FY13. Collections provided assistance with child rearing expenses for over 100,000 New Mexico and Navajo Nation children. It allows the State to conduct automated matches with numerous data sources, and it automatically generates income withholding notices, driver’s licenses suspension notices, and numerous other notices to custodial parents, non-custodial parents, and employers without requiring caseworker intervention.
1.1Executive Summary -rationale for the project
The purpose of the Child Support Enforcement System Replacement (CSESR) Project will be to fully enhance or replace the current Child Support Enforcement System (CSES) in order to support CSED and ensure compliance with federal and state laws and regulations.
The current child support system has been in operation since 1998 and is based on technology over 20 years old (it was a transfer system) and is maintained internally by HSD ITD staff. CSES uses older technologies (COBOL, VSAM, DB2 and CICS) with several older interconnected subsystems including but not limited to the eCSES, eEmployer and eReporting Web Portals, forms processing (batch and user generated), and a document management system.The CSES application currently operates on a mainframe environment hosted by the Department of Information Technology (DoIT).
For FY15-FY16, HSD is requesting a special appropriation of $1,036,100 Million in state general fund. The Administration of Children and Families, OCSE within the Federal Department of Health and Human Services will provide a federal match of 66% for $2,066,000. With the general fund appropriation and federal match, the agency will have $3,102,100 Million for the planning phase of the CSESR project. The planning phase will be complete end of SFY16.
The Human Services Department is not requesting certification of funds at Project Initiation. HSD will request certification of Planning Phase funds at the Planning PCC after Legislative approval has been obtained.
1.2Summary of the foundation planning and documentation for the project
Both CSED and ITD have committed full-time resources to some initial project activities. Currently there are five full-time CSED staff, involved with Business Assessment Review (BAR) and data cleanup activities.
Initial activities as well as Planning activities will be critical to assess and analyze alternative solutions and ultimately a recommended solution for enhancing or replacing the child support system and include:
- Planning Advanced Planning Document (PAPD) – Draft has been submitted to Federal Partner, OCSE with minimal comments related to cost allocation;
- Business Assessment Review (BAR) activities have been initiated with internal staff to review, update, and document business processes and flows. Business processes will be reviewed for accuracy, efficiency and changes to increase efficiencies.
- Data cleanup activities have been initiated with several specific data problems identified.
- Planning & Certification Committee (PCC) Initiation & Planning Certification
- Procurement of a Project Management Office (PMO)vendor to assist with complete needs assessment, feasibility study, alternatives analysis, and cost benefit analysis to analyze potential alternatives and return on investment (ROI). HSD is required to evaluate several alternative options including but not limited to the following:
- Enhancing and maintaining the current NM Child Support Enforcement System (CSES);
- Transfer system(s) from other State applications that may fit the requirements and environment for New Mexico CSES;
- A Hybrid System comprised of components from other States, COTS and Vendors
- Maintain the current CSES (status quo).
- Final Implementation Advanced Planning Document (IAPD) will compile the analysis completed in the Planning Phase to define, document and support the recommended solution determined to be most beneficial to CSED, HSD, and the State.
1.3 Project Certification Requirements
Does the project fit into the criteria for certification? Which and how?
CRITERIA / YES/NO / EXPLANATIONProject is mission critical to the agency / YES / The central automated application used by CSED for over 59,000 active cases, and over $130 Million distributed annually.
Project cost is equal to or in excess of $100,000.00 / YES / Cost of the full project will be definedbased on the recommended solution identified during the Planning Phase.
Project impacts customer on-line access / YES / Over 400 full-time staff would be impacted (CSED management, field staff, and ITD CSES staff)
Project is one deemed appropriate by the Secretary of the DoIT / TBD / IT Business Plan and C2 submitted August 2013. Pending approval.
Will an IT Architecture Review be required? / YES / A new architecture for the applications is envisioned and planned for review.
2.0 Justification, Objectives and impacts
The justification and objectives section relates the project to the purpose of the lead agency and describes the high level business and technical objectives for the project. The section also includes a high level review of the impact to the organization, and of the concerns for transition to operations.
2.1 Agency Justification
IDENTIFY AGENCY MISSION, PERFORMANCE MEASURE OR STRATEGIC GOALS TO BE ADDRESSED THROUGH THIS PROJECT
Number / Descriptionagencygoal#1 / HSD IT Strategic Goal 3: Increase infrastructure capacity and resilience to support expanding customer needs. Evaluate the current CSED needs and work with the Divisionto develop requirements for a replacement system.
Number / Description
AgencyGoal #2 / HSD IT Strategic Goal 5: Develop and implement an enterprise-wide Health and Human Services Information Technology model across all state agencies who deliver those services: Develop and implement a standard eligibility, enrollment, child support enforcement, and Medicaid enterprise system for a complete service solution.
Number / Description
agency goal #3 / Shared Project Management Office for CSES & MMIS Replacements: Combine resources to enable HSD to complete both the MMIS Replacement and the CSES Replacement through a shared project management office (PMO). This concept supports HSD’s effort to leverage its current technology investments in the ASPEN eligibility system and reduce the organizational impact of two large system replacements.
2.2 Business Objectives
Use the following table to list measurable business objectives
Number / DescriptionBusiness Objective 1 / Establish a technologically current child support system: The CSES system currently in use is based on 20+ year old mainframe technology. As a result, versatile and robust databases and applications for managing the complexities of current information technology systems arenot flexible. The CSESR project provides the New Mexico Child Support Enforcement Division an opportunity to implement a supporting system with standard architecture, a logically-structured relational database, up-to-datesecurity requirements (including IRS Safeguards), more easily managed forms processing, and an electronic document management system.In addition, the Federal Administration for Children and Families (ACF) National Human Services Interoperability Architecture (NHSIA)standards will be used as a framework to support integrated eligibility determination and information sharing will be implemented.
Number / Description
Business Objective 2 / Improve customer service:The intent of the Child Support program is to facilitate and ensure the transfer of income and support between the noncustodial parent (NCP) and custodial parent (CP) to benefit their children. The CSED staff and their state and federal partners are working toward this mission, but with automated system support that is both limited and outdated, the system lacks the flexibility to support clients in this age of web-based access, data standards and efficiencies. This initiative will exhaust the possibilities to provide access to accurate data & architecture standards, and services to both internal and external clients.
Number / Description
Business Objective 3 / Maximize integration with other state and federal systems: The New Mexico Child Support Enforcement Division is tightly bound to processing by other Human Services Divisionsand judicial authorities. One key to increased child support program efficiency will be the preparation for additional integration with the other HSD Divisions(IV-A (TANF) and Medicaid Programs) and new integrations with the Children, Youth & Family Department Foster Care Division (IV-E), the Administrative Office of the Courts (AOC) system and other state and federal systems.
Number / Description
Business Objective 4 / Maximize automation of routine processing: In the past 25 years, automated system capabilities have expanded to provide more comprehensive support to automate workflow events, generate documents, monitor changing case management and financial management conditions, handle complex logical processes, anticipate next actions, and provide clear instructions to staff. Incorporating these features into a new system will lead to significant productivity gains.
2.3 Technical Objectives
Number / DescriptionTechnical Objective 1 / Replace the aging CSES mainframe with a modern event-driven web-based system to reduce manual intervention and increase automation.
Number / Description
Technical Objective 2 / Repurpose shared HSD architecture, technology and standards.
Number / Description
Technical Objective 3 / Leverage support resources across HSD to effectively reduce cost and maintain the system and supporting architecture.
Number / Description
Technical Objective 4 / Increase integration and interface ease and efficiencies with other partner systems.
Number / Description
Technical Objective 5 / Enhance existing services for HSD clients through applications and secure web portals through use of master client index (individual unique ID).
Number / Description
Technical Objective 6 / Comply with all privacy &security requirements and safeguards (including IRS).
2.4 Impact on Organization
The impacts on the organization are areas that need to be addressed by the project through its planning process. They may not be internal project risks, but they can impact the success of the project’s implementation.
Area / DescriptionEnd user / All CSED and CSES staff will be impacted by this project. The impact results should positively impact end users with improved efficiencies in processes and automation resulting in an increased client satisfaction.
Business Processes / CSED and CSES business processes will be documented, reviewed, evaluated and revised with the goal to improve workforce and automation efficiency.
It Operations and staffing / This project will require a complete evaluation and review of IT operations and staffing to evaluate time and effort related to application maintenance, changes and system reliability. Activities to leverage new technologies and HSD architecture will be expected through this project.
2.5 Transition to Operations
Area / DescriptionPreliminary Operations location and staffing plans / Contractswill require Contractors to maintain offices in Santa Fe and define minimum staffing levels. Contractorswill be required to provide organization charts for the Transition, Operations, and Enhancement phases and describe their approach in hiring and training. Requirements will include submission of a staffing and training work plans.
Data Security, Business Continuity / Contracts will require adherence to required privacy and security standards. Proposals must describe the vendor’s proposed security and audit trails in response to each major system component. Contractors will be required to adhere to NIST 800-34, Contingency Planning Guide for Information Technology Systems, and to perform an annual disaster recovery tests. Contracts will also require protection from a disaster through multiple levels of hardware and software redundancy, file backups, and offsite storage of files.
Maintenance Strategy / Contractors will be responsible for maintenance of all required systems procured under the contract.
Interoperability / A strategy to implement standards for interoperability (National Human Services Interoperability Architecture), data and interfaces.
Record retention / A strategy to address how records will be transitioned to the new system or archived will be planned.
Consolidation strategy / CSED and HSD will define and implement a strategy for consolidation of systems and subsystems for the Project. This strategy will also include a strategy for retirement of any legacy systems, pilot and wave phases, and timing for running the legacy system and new system in parallel before completely shutting off the legacy system.
3.0 Project/ProductScope of Work
In its efforts to move from the high level business objectives to the desired end product/service the project team will need to deliver specific documents or work products. The State of New Mexico Project Management Methodology distinguishes between the project and the product.
Project Deliverables relate to how we conduct the business of the project. Product Deliverables relate to how we define what the end result or product will be, and trace our stakeholder requirements through to product acceptance, and trace our end product features and attributes back to our initial requirements
3.1 Deliverables
3.1.1 Project Deliverables
This initial list of project deliverables are those called for by the IT Certification Process and Project Oversight memorandum, but does not exhaust the project deliverable documents that will be defined through project phases and defined as contract deliverables.
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 projectCertification 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 / TheProject Management Plan (PMP or Plan) is a formal document approved by the executive sponsor, Department and NM DoIT. The PMP is used to manage project execution, control, and project close. The primary use of the Plan is to document planning assumptions and decisions; facilitate communication among stakeholders; and document approved scope, cost and schedule baselines. A project plan may encompass 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 General Services 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
3.1.2 Product Deliverables -
This initial list of product deliverables does not exhaust the product deliverable documents that will be defined through the project phases.