Implementation

Request for Certification and Release of Funds Form

All Certified Projects Must Follow NM State Policies and Procurement Code

Project Name

/ ISD2R\YES NM
Project Number / Date / 12/08/09
Lead Agency / Human Services Department (HSD) / Agency Code / 630
Other Agencies / Department of Health, Commission on Deaf and Hard of Hearing, Developmental Disability Planning Council, Aging & Long Term Services Department, Department of Workforce Solutions, Children, Youth, and Families Department / Project Phase / Implementation Phase 2

Executive Sponsor

/ Kathryn Falls
Secretary-Designee, Human Services Department
Project Manager / Jan Christine
Agency Head / Kathryn Falls
Secretary-Designee, Human Services Department
Agency CIO/IT LEAD / Terri Gomez
CIO, Human Services Department
Project Description (Provide a brief description and purpose for this project)
Continue the project to provide a “no wrong door” access for HHS clients account information, application submission, and eligibility screening. Start the implementation effort to replace the existing worker-facing portion of the ISD2 system used to provide Intake, Interview, Eligibility Determination, Benefits Calculation, Benefits Issuance, Benefits Recovery, Compliance Management (internal division quality control, external division audit, and various hearings), Reporting, Verification Interfaces, Transactional Interfaces, and Help for the approximately 1,100 workers in the Income Support Division (ISD) of HSD.
Planned Start Date / February 2007 / Planned End Date / April 2014
Amount Requested this Certification / $ 17,459,600
($ 7,856,800 GF/ $ 9,602,800 FFP)
Amount Previously Certified / $ 6,381,900 Total
Remaining Appropriation not Certified / $ 0 After this Certification
Total Amount (include any new funds)

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

Fiscal Year
/ Amount / Funding Source(s)
2005 / 90.0 / Laws 2005, Chapter 33, Section 7, Subsection 16
2007 / 634.6 / Laws 2005, Chapter 33, Section 7, Subsection 16
2008 / 275.0 / Laws 2007, Chapter 28, Section 7, Subsection 19
2008 / 1,101.0 / Laws 2005, Chapter 33, Section 7, Subsection 16
Laws 2007, Chapter 28, Section 7, Subsection 19
2009 / 4,281.3 / Laws 2005, Chapter 33, Section 7, Subsection 16
Laws 2007, Chapter 28, Section 7, Subsection 19
Laws 2007, Chapter 28, Section 7, Subsection 21
Proposed Certification Schedule for Current Fiscal Year (agency to complete for all phases)
Phases / Amount Requested /

Major Deliverable(s) / Performance Measure(s)

/

Due Dates

Initiation:
/ $90,000 / Evaluation of Alternative Systems in other states\ Spreadsheet with results / Complete
Planning:
/ $2,000,000 / Implementation Advanced Planning document/ Complete
Encounter Tracking proof-of-concept/Complete and approved by ISD / Complete
04/30/2010
Implementation: / $4,281,300
Phase I
Phase II
$ 17,459,600 / Imaging
Scanners Installed and functional in all ISD offices/ Reduce file retrieval time from an average of 15 minutes to 1 minute.
Business Intelligence
(25) reports, (3) dashboards, and limited ad hoc available to the initial (50) ISD users/ Reduce time to produce reports from 1-3 weeks to 1 hour.
YES NM R1
Eligibility Screening and Online application submission/ No wrong door for HSD ISD, DOH WIC, and CYFD Child Care Applications
Complete Imaging P1/ See above
Complete Gap Analysis/ Prioritized and estimated list of revisions to the transfer system.
Revise YES NM thru Intake Process/ Completed revisions to transfer code for this functional area
Complete Interview & EDBC
Transaction Interfaces
(Testing will not be complete until all other
modules are complete)
All of the above are estimated to be complete when the proposed certified funds are replete. / 12 months from signed contract
04/01/2010
02/2010
03/15/2011
04/30/2010
06/07/2010
12/24/2010
07/28/2011
04/26/2011
Closeout: / Will occur in 2014

Appropriation History (Include any previous project or phase certifications)

Date
/ Amount / Funding Source(s) (use specific citations to laws, grants, etc.)
2005 / 1,000.0 / ISD2R
General Fund
Laws 2005, Chapter 33, Section 7, Subsection 16
2007 / 1,500.0 / ISD2R
General Fund
Chapter 28, Section 7, Subsection 21
2007 / 2,000.0 / YES NM
General Fund
Chapter 28, Section 7, Subsection 19
2009 / 6,392.0 / ISD2R\YES NM
General Fund
Chapter 28, Section 7 , Subsection 8
Budget
Comments: Blue shading indicates Actual Expenditures to date.
White FY10 is the total budget including the actual expenditures listed in previous
column.

FY07 & Prior

/ FY08 / FY09 / FY10 / FY10 / FY11
Staff - Internal
/ 140.5 / 15.2 / 626.2 / 2,400.8
Consulting Services / 664.9 / 572.7 / 2,214.3 / 8,857.2
Hwre Swre
Travel / 487.6 / 100.6 / 2,187.6 / 1,145.4
Total / 38.2 / 119.4 / 1,293.0 / 688.5 / 5,028.1 / 12,403.4

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 Enterprise/DoIT infrastructure.
o  Hardware
§  TARC Held and received approval 12/09/09
§  Documents from this can be furnished with the submission
§  (60) servers in four environments.
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?)
·  UAT and Production environments will be hosted at DoIT
·  Development and Test will be hosted at PSM
·  Summarize your collaboration with DoIT on moving this project from initialization through close (full production). Identify points of contact, dates of discussions, and results
o  One discussion has been held to date (12/09/09 TARC). The installation at DoIT will have to be a separate sub project of the overall project that will require weekly communications during times of infrastructure builds.
·  Provide Application Architecture Schematic (Provided at TARC).

business Continuity Strategy

On this document, or as an attachment, provide a summary response, including changes, of your business Continuity Strategy.
·  Provided at TARC

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

The entire application is a three-tier architecture compatible with YES NM phase 1 architecture currently installed at DoIT. A security analysis will be performed as a baseline when the transfer code is received from Michigan, periodically through the development process, and a final time before the first pilot in production.

Independent Verification & Validation (Include summary of the latest IV V report)

The size of the project requires that HSD issue an RFP for IV&V as well as other services. The State Price Agreement ceilings will be too low for the services that will need to be provided. An RFP draft is currently at DoIT.

Significant Risks and Mitigation Strategy

Risk 1: Funding Shortfall or Discontinuation

Mitigation 1: Provide constant communication with financial decision makers. Incremental replacement of the existing system is not possible. the front end is CICS (green screens) and the back end is VSAM (flat files, not a database).

Risk 2: Delays in the approval process for contracts, PCC documents, RFIs, RFPs

Mitigation 2: make additional attempts to create a streamlined process with “trading Partners” inside and outside HSD and agree to mutually acceptable performance measures.

Risk 3: Lack of experience of technical and architectural staff.

Mitigation 3: contract with experienced staff.

Risk 4: Limitations for volume and failover of the current HSD network

Mitigation 4: Two separate efforts are underway in an attempt to address this risk 1) increase bandwidth wherever possible, 2) work with telecommunications providers to create redundancy.

Risk 5: Loss of staff during the changes in Executive Leadership of the State 2010.

Mitigation 5: HSD is continuously informing a non-exempt Deputy CIO regarding the project, in order that this knowledge be retained. ITD is also operating in a PMO mode, keeping other project managers informed such that someone else could resume project management activities for the project, should the current ITPM move to another position.

Record Retention Policy (Describe the Agency’s records retention requirements for this project)

The existing Records Retention policy with SRCA will be adhered to during the entire project. SRCA possesses an RFP that will obtain Electronic Records Management. The only action the ISD2R\YES NM project can take at this time to comply with the SRCA HSD retention policy in force is to provide the necessary meta data fields in the Imaging project, that will allow SRCA to automatically archive the electronic information later, when SRCA Records Management system is implemented.
Current SRCA policy enforced for paper records:
http://www.nmcpr.state.nm.us/nmac/_title01/T01C018.htm
1.18.630 Chapter for HSD policy

Maintenance Strategy (Describe how the agency plans to maintain this project after deployment)

In accordance with the IT consolidation, HSD intends to maintain the application and environment with State personnel. Laws of 2009 provided for twelve (12) State positions. These positions will form the core of the application maintenance and enhancement team. HSD intends to have a full application maintenance team of (20) programmers and six (6) program (HSD Income Support Division) personnel permanently assigned to application maintenance. In addition, the intention exists to create an SLA with DoIT for network and systems engineering, enterprise backup, and Disaster Recovery services.

Interoperability (Describe how this project interfaces with existing systems/Applications within the agency)

A file interface exists between the current ISD2 system and the other two major systems in use at HSD today (CSES – Child Support Enforcement, MMIS – Medical Assistance Division).
The replacement system will not change these interfaces.
Actions are underway to consolidate to one common Imaging platform for ISD and CSED, using the platform that will be installed during Implementation Phase 1 of ISD2R\YES NM.

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Revision: 2/14/08 Page 6