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ISD2 Replacement/YES NewISD2 Replacement/YES New Mexico Project CharterMexico Project Charter

EXECUTIVE SPONSOR KATIE FALLS, SECRETARY DESIGNATE

BUSINESS OWNERS HELEN NELSON, INCOME SUPPORT DIVISION ACTING DIRECTOR

TERRI GOMEZ, CHIEF INFORMATION OFFICER

PROJECT BUSINESS LEAD: CHRIS HAYES ISD

INFORMATION TECHNOLOGY PROJECT MANAGER: JAN CHRISTINE ITD

ORIGINAL PLAN DATE: NOVEMBER 28, 2007

REVISION DATE: DECEMBER 16, 2009

REVISION: 2.0

AABOUTBOUT T THISHIS P PROJECTROJECT C CHARTERHARTER D DOCUMENTOCUMENT

PERMISSION TO PLAN THE PROJECT 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 Information Technology (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 State Department of Information Technology (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 State DoIT project oversight process. See “IT Project Oversight Process” Memorandum July 5th 2007 on the OCIO-DoIT web site.

ISD2R/YES-NM Project Charter ii

TABLE OF CONTENTS

1.0 PROJECT BACKGROUND...........................................................................................................11.1 Executive Summary - Rationale For The Project..........................................................................11.2 Project Core Principles..................................................................................................................11.3 Summary Of The Foundation Planning And Documentation For The Project.............................21.4 Project Certification Requirements...............................................................................................2

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS....................................................................42.1 Agency Justification......................................................................................................................42.2 Business Objectives.......................................................................................................................42.3 Technical Objectives.....................................................................................................................52.4 Impact on Organization.................................................................................................................52.5 Transition to Operations................................................................................................................6

3.0 PROJECT/PRODUCT SCOPE OF WORK.................................................................................73.1 Deliverables...................................................................................................................................73.2 Success and Quality Metrics.........................................................................................................9

4.0 SCHEDULE ESTIMATE..............................................................................................................105.0 BUDGET ESTIMATE...................................................................................................................11

5.1 Funding Sources..........................................................................................................................115.2 Planning Phase Budget By Major Deliverable Or Type Of Expense.........................................115.3 Infrastructure Sub-Project Budget...............................................................................................115.4 Implementation Budget...............................................................................................................115.5 Budget By Project Phase Or Certification Phase........................................................................12

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE...................................136.1 Stakeholders................................................................................................................................136.2 Project Governance Plan.............................................................................................................156.3 Project Management....................................................................................................................166.4 Project Team Roles And Responsibilities...................................................................................166.5 Project management Methodology..............................................................................................18

7.0 CONSTRAINTS.............................................................................................................................198.0 DEPENDENCIES..........................................................................................................................209.0 ASSUMPTIONS.............................................................................................................................2110.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY.......................................................2211.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING.............................................24

11.1 Prerequisites For Project Success................................................................................................2411.2 Revision Of Project Governance Documents And Processes.....................................................2411.3 Document Preparation and Approval..........................................................................................2411.4 Change Management Process......................................................................................................2411.5 ISD2R/YES NM Project Change Management Team................................................................24

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V...........................................2513.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES...................................................26

ISD2R/YES-NM Project Charter iii

REVISION HISTORYRevision Number

Date Author Comment

November 28, 2007

Various Adopted by Executive Steering Committee

1.0 October 20, 2008

Chris Hayes Updated HSD IT Division name from Division of Information Technology (DoIT) to Information Technology Division (ITD)Updated project to reflect ISD2R and YES as one projectUpdated project timelinesBudget ChangesUpdated team listings

2.0 December 16, 2009

Chris Hayes Updated for implementation phase

ISD2R/YES-NM Project Charter iv

1.01.0 PROJECT BACKGROUNDPROJECT BACKGROUND

1.1 EXECUTIVE SUMMARY - RATIONALE FOR THE PROJECTISD2 is an automated eligibility determination, benefit delivery, and case maintenance system that supports the administration of the Human Services Department’s (HSD) assistance programs. The system processes eligibility determination, benefit calculation, and establishment of claims as well as numerous interfaces including the Medicaid Fiscal Agent’s MMIS system, Administration of Children and Families, Food and Nutrition Service, Social Security Administration, Homeland Security and the Internal Revenue Service.

The HSD Income Support Division (ISD) Integrated Service Delivery (ISD) System, ISD2, has been in operation for over 22 years. Programming, support, and maintenance of this system is not only becoming more costly, but inefficient as well. Changes to the system must be hard-coded in COBOL, which is the most time-consuming method to update software. As the people who have managed and administered this system retire or leave, finding replacements has become challenging and problematic. Continuing to rely on the aged ISD2 system puts HSD at the risk of facing catastrophic system failure

HSD intends to migrate from the mainframe platform to a platform that is flexible, modular, and conforms as much as practical and possible to the Service Oriented Architecture (SOA). This approach will allow HSD to create interoperable, standards-based services that can easily be combined and reused, instead of maintaining an environment that is inflexible and costly.

The ISD2 replacement project, named ISD2R/YES NM, includes the creation of a public facing web portal, named Your Eligibility System New Mexico (YES NM) and replacement of the existing ISD2 worker facing backend (ISD2R). YES NM will provide New Mexico residents and service providers the ability to screen for and apply for state social service programs which will incorporate 26 programs administered by six sister health and human services agencies. YES NM is the first step toward the state’s goal of aligning eligibility processes within a Social Services Architecture (SSA) plan to enhance access to services as well as consistent delivery of services.

HSD’s solution for delivery of benefits and claims is based on open systems architecture. This architecture requires modern equipment, new software, and extensive training of Department resources. The new rules-based eligibility system will easily conform to State and Federal standards due to its adaptability, scalability, and modularity. The chosen technologies will enable the Department to comply with current federal requirements and implement future requirements with less effort, less expense, and increased accuracy.

1.2 PROJECT CORE PRINCIPLES 1.2.1. IMPROVE CLIENT ACCESS TO SERVICES Description: Periodic analyses of client populations matched with demographic information indicate the effectiveness of our information dissemination and service availability.

Rationale: Access to services can present a major barrier for our clients. Clients and providers must be able to access information and services regardless of their entry point or the nature of the service they need. Clients must be able to evaluate a full spectrum of service offerings in order to select those that best meet their needs.

1.2.2. MEET THE NEEDS OF ALL STAKEHOLDERS Description: The State of New Mexico’s human services are client-driven rather than program-driven. Regular contact with providers and clients is used as a feedback mechanism to determine how service delivery and access can be improved.

ISD2R/YES-NM Project Charter 1

Rationale: Services are delivered through many channels, utilizing a variety of partners. Both the client population and provider community have valuable insight into how service availability and delivery can be improved. Clients must have readily available information, and a means to provide feedback.

1.2.3. PROTECT CLIENT PRIVACY Description: Using the most effective security measures, client information is protected. Dissemination of information is governed by the principle of providing the minimum information needed to perform business functions. The project will adhere to HIPAA policies. Clients are always to be aware of their rights regarding privacy.

Rationale: Information about clients is a key component to assessing effectiveness. At the same time, protecting our client’s privacy must be among the project’s highest priorities. Balancing those two needs requires constant monitoring and attention.

1.2.4. MINIMIZE DUPLICATION OF EFFORT Description: Taking a broad view of all systems used in delivering service, duplication will be eliminated by sharing tools and ignoring department or agency “data silos.” The adoption of standards from other enterprise teams ensures that delivery systems serve the widest possible uses. As technology is developed elsewhere in the state, it will be evaluated for possible application to the project’s needs.

Rationale: Opportunities to share functionality offer advantages in conserving resources and minimizing overhead costs such as frequent retraining and rising maintenance expenditures.

1.2.5. DESIGN USING A SERVICE-ORIENTED ARCHITECTURE Description: The project team views systems as services, and will design and measure the effectiveness of the systems against that services model. The project’s technical standards optimize the re-use and scalability of components and services.

Rationale: The technology supporting our service delivery systems is not the end-point, the service is. Technology exists to allow systems to be built from re-usable components. For example, a case management component can be built once and used many times. The interoperability of systems can be enhanced by “wrapping” legacy systems with an intermediate layer that provides a standards-based interface. The use of SOA will keep the focus on service delivery and not the specific technology used.

1.3 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT

The initial documentation for the project began with the one-page business case submitted to the State Office of the Chief Information Officer (OCIO) in July 2004. The full business case was presented in August 2004. The project is included in the Human Services Department’s (HSD) FY 2008, FY 2009, FY 2010, and FY 2011 IT plans.


1.4 PROJECT CERTIFICATION REQUIREMENTSCRITERIA YES/

NOEXPLANATION

Project is mission critical to the agency:

HSD MissionTo reduce the impact of poverty on people living in New Mexico and to assure low income and disabled individuals in New Mexico equal participation in the life of their communities.

YES ISD2R/YES NM will improve public access to services through web access and will streamline provision of services by providing field staff with a more efficient and intuitive eligibility tool

Project cost is equal to or in excess of $100,000.00 YES Total anticipated cost is $51,000,000Project impacts customer on-line access YES The system will include a web portal

to provide 24/7 public access to program information, applications, and case information

Project is one deemed appropriate by the Secretary of New Mexico DOIT

YES

Will an IT Architecture Review be required? YES Per 1.12.6 NMAC Implementation Phase only


2.02.0 JUSTIFICATION, OBJECTIVES AND IMPACTSJUSTIFICATION, OBJECTIVES AND IMPACTS

2.1 AGENCY JUSTIFICATIONHSD GOAL NUMBER JUSTIFICATION

6.4 Expand Health Care For School-Age Children And Youth Through School-Based Health Services

The YES NM portion of the project will enable school based service providers to assist clients to screen for and apply for benefits

6.5 Provide "No Wrong Door" To State Services Through Enterprise Eligibility Information Technology And Common Resource Directory Capacity

The ISD2R/YES NM project will create the foundation to create a single access to NM social services programs

6.6 Administrative Effectiveness:

Improve efficiencies in central office and the field by meeting IT needs for hardware and software.

Improve support for non-contracted databases. Continue to reduce number of constituent complaints about

customer service. Improve work efficiency, staff morale and retention by

implementing ISD2 replacement system

2.2 BUSINESS OBJECTIVESNUMBER BUSINESS OBJECTIVE

Business Objective 1

Increase productivity and efficiency of field and program personnel by creating a more logical , user-friendly workflow for processing and managing cases by effectively integrating program eligibility and processing rules into one system

Business Objective 2 Incorporate LIHEAP, Claims, and New Mexico Works Tracking onto the new system

Business Objective 3Reduce worker training time by streamlining processes and more effectively incorporating and integrating program rules and processes into the system

Business Objective 4 Reduce worker turnover by providing enhanced and simplified case management tools and by reducing case processing times

Business Objective 5 Provide more timely and accurate reports. Allow for enhanced ad-hoc reporting capability for more effective business management

Business Objective 6 Enhance case record management by providing document imaging and electronic case files

Business Objective 7

Increase client access to services by creating a public facing web portal to enable New Mexico residents and service providers 24/7 access to program information, eligibility screening, application submission, benefit status, and change reporting

Business Objective 8 Reduce program administrative costs


2.3 TECHNICAL OBJECTIVESNUMBER TECHNICAL OBJECTIVE

Technical Objective 1Remove the current ISD2 system from production and replace the antiquated, fragile technology with State of the Art hardware and software.

Technical Objective 2Choose the replacement technology in order to obtain the advantages of open source software, and up-to-date design techniques, such as, those incorporated in Service Oriented Architecture (SOA).

Technical Objective 3 Provide increased flexibility and shorter timeframes for implementing modifications required by changes in state and federal policy

Technical Objective 4Implement Best Practice solutions embedded in available systems to meet and exceed the current functionality required to support HSD ISD.

Technical Objective 5Provide foundation technology required for the current system functionality: Business Intelligence, Imaging and Electronic Document Management, and Multi-agency Eligibility Screening.

Technical Objective 6 Cleanse, migrate, and convert data from IBM mainframe into a web client\server platform.

Technical Objective 7 Provide a development, test, and production environment that is State of the Art and provides a flexible, modular design.

2.4 IMPACT ON ORGANIZATION AREA IMPACTEnd User Field staff will have a more reliable, consolidated, and intuitive tool to

determine and track integrated program eligibility and ongoing case management.

Management will have accurate and detailed data reports on demand. New Mexico residents will have improved access to social service

programs HSD will be able to implement new program initiatives previously

blocked by limitations within ISD2Business Processes Updating the system with policy and rule changes will be accomplished

easily and quickly ISD2R/YES NM will enhance the ability for ISD to initiate process

changes on a local or statewide level. New processes will require evaluation of current staff positions

IT Operations And Staffing

This project will require additional staff for HSD ITD to support and maintain the system. Training will also be required for the existing IT staff


2.5 TRANSITION TO OPERATIONSAREA DESCRIPTIONPreliminary Operations Location And Staffing Plans

The project is currently housed at the HSD ITD office located at San Miguel Plaza, 725 St. Michaels. The initial staffing plan for the project planning phase included a Project Manager, Project Business Lead, and 2 business analysts.

For the implementation phase, ISD will double fill 18-21FTEs to accommodate the business needs of the project. The project will increase the ITD FTEs in the implementation phase depending on funding. Contractors and vendors will be engaged at various points in the project as needed

A Request for Proposals (RFP) has been issued to procure space to relocate the project to Albuquerque to increase the recruiting area for business staff and improve recruiting opportunities for IT staff.

Data Security & Business Continuity

During the planning phase, a security strategy document consistent with statewide security requirements at the enterprise level has been created. Strategy will adhere to the following NM documents and standards: NM State policies: Enterprise IT Security Policy S-Guide-002-006 effective October 18,

2005 Firewall Functionality Standard N-STD004.001 effective date: October 18, 2005

Network Security Standard S-STD005.00 effective date: April 7, 2005 Authentication and Directory Services S-STD001.001 October 18, 2005 Backup Standard S-STD010.001 effective date: May 26, 2005 IT Physical Security S-STD009.001 effective May 26, 2005

Maintenance Strategy The system will be maintained by HSD ITD and the production environment will be hosted by the State DoIT. The maintenance strategy will include allowances for security, backup strategy, and disaster recovery. The maintenance strategy will allow for a training plan, and an annual budget cost allocated among each of the participating programs.

Interoperability A full list of interfaces will be completed during the initiation phase of the project.

Record Retention Record retention requirements will be formulated in coordination with State Records Center and Archives (SRCA).

Consolidation Strategy ISD2R/YES NM will include incorporating the stand alone Low Income Home Energy Program (LIHEAP), New Mexico Works (NMW) Work Program Tracking, and the HSD Claims systems into the new system. As part of the consolidation strategy, DoIT will host this enterprise system


3.03.0 PROJECT/PRODUCT SCOPE OF WORKPROJECT/PRODUCT SCOPE OF WORK The project scope includes:1. Infrastructure improvements:

a. Document imaging and workflow solution to provide field staff the ability to more effectively manage document processing and storage. The RFP process has been completed with implementation scheduled to begin January 2010

b. Business Intelligence (BI) solution to enhance reporting capabilities and to provide management information tracking which is scheduled for completion March 2010.

2. Replacement of the current ISD2 legacy system with a web based eligibility system and incorporation of LIHEAP, Claims, and NMW Work Programs into the replacement.

3. Provide the technical framework for YES NM to develop no wrong door access to social service programs via multi-channels of contact, such as a web portal, Integrated Voice Response (IVR) system, and kiosks. The YES NM web portal is the first step in this plan. The eligibility screening component of YES NM was deployed in July 2009 and application submission component is anticipated to be deployed January 2010.

3.1 DELIVERABLES3.1.1. PROJECT DELIVERABLES DELIVERABLE DESCRIPTIONProject 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 the planning to certify the initiation phase of the project.

Certification 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 The Project Management Plan is a formal document approved by the executive sponsor and the State DoIT. It is developed in the planning phase and used to manage project execution, control, and project close. The primary uses of the project plan are to document planning assumptions and decisions, facilitate communication among stakeholders, and document approved scope, cost, and schedule baselines. A project plan includes at least other plans for issue escalation, change control, communications, deliverable review and acceptance, staff acquisition, and risk management plan.

IV&V Contract & Reports 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. The State DoIT requires all projects subject to oversight to engage an IV&V contractor unless waived by the State DoIT.

IT Service Contracts The State DoIT and the State Purchasing Division (SPD) of General Services (GSD) have established a template for all IT related contracts.


DELIVERABLE DESCRIPTIONRisk Assessment And Management

The State 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 the 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 standard is Microsoft Project

Monthly Project Status Reports To State DoIT

Project status reports: For all projects that require State DoIT oversight, the lead Project Manager shall submit an agency approved project status report on a monthly basis to State DoIT.

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 DELIVERABLE DESCRIPTIONRequirements Documents A detailed business function requirements document will be developed

during the planning phase with input from all levels of stakeholders. This document will be used as a basis for a gap analysis comparison of potential transfer systems, cost benefit analysis, and to track design and development specifications.

Design Documents Among the design-level activities are: Design of the Solution Architecture for the project Development of the Logical model (e.g. Entity Relation Diagram or

Object Model) for the project Development of the Physical Data Model for the project Data Dictionary Systems Architecture Requirements The Design deliverables include a high-level design document as well as

a detailed level design document. A preliminary design review (PDR) will be conducted after the high-level design document and a critical design review (CDR) will be conducted after the detailed design review.

Systems Specifications Software Requirements Specification (SRS) will address the following high level list of requirements and questions: Define the functions of the system Define the Hardware and Software Functional Partitioning Define the Performance Specification Define the Hardware and Software Performance Partitioning Define the User Interface Functionality - What is the software supposed to do? External interfaces - How does the software interact with people, the

system’s hardware, other hardware, and other software? Performance - What is the speed, availability, response time, recovery

time of various software functions, etc.? Attributes - What are the portability, correctness, maintainability,

security, etc. considerations? Design constraints imposed on an implementation - Are there any

required standards in effect, implementation language, policies for database integrity, resource limits, operating environment(s) etc?


DELIVERABLE DESCRIPTIONSystems Architecture The System Architecture will be SOA, which will be services that are

loosely coupled. SOA services also run in "safe" wrappers such as Java or .NET, which manage memory allocation and reclamation, allow ad-hoc and late binding, and provide some degree of indeterminate data typing and will provide optimal degree of fault-tolerance, backward compatibility, forward compatibility, extensibility, reliability, maintainability, availability, serviceability, and usability. The systems architecture document will be produced in the design phase.

System and Acceptance Testing

Includes the infrastructure needed for the testing, how the testing will be carried out, number of end users from each agency, format for the testing and defining acceptable test results. The plan will identify the method for defining the necessary Use Cases, the method for development of the test scripts, and the coordination of test execution with the users. Both the systems and user acceptance documents will be produced during the design phase

Operations Requirements Operations requirements include capacity planning for the systems networking and hardware needs, the number of staff and types of skill sets needed to maintain the system

3.2 SUCCESS AND QUALITY METRICSNUMBER METRIC DESCRIPTIONQuality Metric 1 Improved quality of eligibility determinations as evidenced by Quality

Control (QC) and Supervisory reviewsQuality Metric 2 Improved case processing timeliness as evidenced by QC reviews and

caseload statistical reportsQuality Metric 3 Decrease the number of client visits in field officesQuality Metric 4 Improved state and federal reportingQuality Metric 5 Ability to initiate policy and program changes quickly and accurately with

a minimum amount of effort


4.04.0 SCHEDULE ESTIMATESCHEDULE ESTIMATE TENTATIVE DATE MILESTONEMarch 2010 Deploy Business Intelligence Sub-projectDecember 2009 Complete Planning Phase including federal approval of the

Implementation Advance Planning Document (IAPD)January 2010 Deploy Apply for Benefits (AFB) phase of YES NMDecember 2010 Deploy Document Imaging and Workflow Sub-ProjectOctober 2009 Evaluate available COTS rules engine software for use in ISD2R/YES NM

– Completed.March 2010 Encounter Tracking proof of concept


5.05.0 BUDGET ESTIMATEBUDGET ESTIMATE

5.1 FUNDING SOURCESSOURCE AMOUNT ASSOCIATED RESTRICTIONSSubsection 16 of Section 7 of Chapter 33 of Laws 2005 - Computer Enhancement Funds

$1,000,000 GF

Subsection 21 of Section 7 of Chapter 28 of Laws 2007 – Computer Enhancement Funds

$1,500,000 GF

Subsection 19 of Section 7 of Chapter 28 of Laws 2007

$2,000,000 GF

Subsection 8 of Section 7 of Chapter 124 of Laws 2009 computer systems enhancement funds

$6,392,000 GF

General Fund (GF) Total $10,892,000JPAs with YES NM Agencies

$100,600

Anticipated Federal Match $13,312,444 Dependent on federal approvalTOTAL $24,305,044 Total Funding to Date

5.2 PLANNING PHASE BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE

ITEM COST ESTIMATEProfessional Services $1,113,150Hardware & Software $ 230,000State Salaries $ 656,850TOTAL $2,000,000

5.3 INFRASTRUCTURE SUB-PROJECT BUDGETITEM COST ESTIMATEDocument Imaging/Management $2,500,000Screening & Limited Application Phase of YES NM Sub-Project $1,163,190Business Intelligence Sub-project $618,000Encounter Tracking proof of conceptTOTAL $4,281,190


5.4 IMPLEMENTATION BUDGETITEM COST ESTIMATE

TOTAL

5.5 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASEPHASE / ACTIVITY MAJOR DELIVERABLES BUDGET ESTIMATE Phase 0 $ 90,000Phase 1 – Project Preparation & Planning

Business & Technology Strategic Analysis Selected State Software Implementation Advance Planning

Document (APD) Business Requirements

$2,000,000

Phase 2 – Project Implementation

Project Plan Technical Design Development Test Plan Disaster Recovery Plan Back out Plan Risk Management Plan Security Plan UAT Plan Training Plan System & End-User Documentation

$TBD

IV&V Deliverables Outlined in IV&V RFP $ TBDPhase 4 – Project Closing

Administrative Closeout $ TBD

TOTALS


6.06.0 PROJECT AUTHORITY AND ORGANIZATIONAL PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURESTRUCTURE

6.1 STAKEHOLDERSNAME STAKE IN PROJECT ORGANIZATION TITLEUS Dept Health & Human Services

Federal Financial Participation TANF, Medicaid, & LIHEAP

US Dept. of Agriculture

Federal Financial Participation Food Stamps

NM Legislature Funding allocationNew Mexico Residents

Business Customers

Katie Falls Executive Sponsor HSD Secretary Designate

Helen Nelson Executive Steering Committee Chair & Project Oversight

HSD – ISD Acting Director

Michael Rogers Project Oversight HSD – ISD Acting Deputy Director

Terri Gomez Information Technology and Project Management support and Operations and Maintenance

HSD – ITD CIO

YES NM Joint Agency Team (JAT)

Executive Steering for issues specifically impacting the YES NM functionality

HSD Department of Health

(DOH) Aging & Long Term

Services Department (ALTSD)

Commission for deaf & Hard of Hearing (CDHH)

Developmental Disabilities Planning Council (DDPC)

Children, Youth & Families Department (CYFD)

Department of Workforce Solutions (DWS)

Various

ISD2R/YES NM Executive Steering Committee

Project Oversight HSD Various

Van Horner Project Field Champion HSD – ISD Regional Operations Manager

Business Advisory Council

Subject Matter Experts HSD – ISD VariousISD

Business Focus Groups

Subject Matter Experts HSD Various Department Wide


6.2 PROJECT GOVERNANCE PLAN


6.3 PROJECT MANAGEMENT6.3.1. PROJECT MANAGER CONTACT INFORMATION NAME ORGANIZATION PHONE # EMAILJan Christine HSD ITD 505-827-9425 [email protected]

6.3.2. PROJECT BUSINESS LEAD CONTACT INFORMATION NAME ORGANIZATION PHONE # EMAILChris Hayes HSD ISD 505-476-7348 [email protected]

6.3.3. PROJECT MANAGER BACKGROUND The skills required for this position include the following:

Bachelor's degree in computer science or related discipline, or 10 years equivalent work experience 10 years of project management experience, with 4 years managing projects of increasing complexity Experience in managing projects converting from legacy mainframe systems to modular web-services

based platform Experience in all phases of software development life cycle (SDLC) Experience leading cross-functional/cross-departmental teams Expert in Microsoft Visio, Excel and Word programs Excellent oral and written communication skills (technical and business writing samples required) Knowledge of health and human service agency eligibility and case management functionality Demonstrated ability to think strategically and drill down into, as well as elicit, technical and business

detailed requirements Experience with and knowledge of the federal planning process, (i.e., Advanced Planning Documents,

etc.) Familiarity with the State of New Mexico’s Department of Information Technology’s policies and

procedures Familiarity with the State of New Mexico’s procurement processes

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIESMEMBER RESPONSIBILITIESExecutive Steering Committee (ESC)

Provide strategic direction Promote the vision for ISD2R/YES NM Advise project on policy issues Resolve all inter-divisional issues Ensure involvement of participants in order to meet deadlines Seek funding options Meet on a monthly basis Guide overall project Review IV&V deliverables Identify policy, implementation and financing issues Recommend financing approaches Approve and help defend APD’s, proposals to State DoIT, budget

requests, etc. Oversee RFP production and other procurement deliverables


mailto:[email protected]

mailto:[email protected]

MEMBER RESPONSIBILITIESYES NM Joint Agency Team (JAT)

Provide project oversight to issues related to the YES NM portion of the project

Identify project risks specific to the program they represent Ensure staff participation in meetings as necessary Attend project-level meetings as necessary Review and approve project documents as necessary

Project Manager (PM) Create all contract documents Provide Contract and Vendor oversight Provide and publish project tracking for all project and subproject tasks

and budgets Report to Executive Steering Committee and Joint Agency Team on a

monthly basis on project status, issues, and activities Ensure involvement of participants in order to meet deadlines Address, review, and submit deliverables to the Executive Steering

Committee Collaborate with the Project Business lead on Executive Steering

Committee and Joint Agency Team meeting agendas and meeting materials

Ensure mitigation of project issues and risks Manage the Code Change Management process Co-facilitate change management with Project Business Lead Provide the Organization Change Management Plan and co-manage

implementation with Project Business Lead Assure Vendor deliverables meet the business & system requirements Monitor the project and contract to ensure delivery of complete,

accepted deliverables on schedule Serve as a contact point for the Vendor Team Manager, review and

accept weekly status reports, project milestones, deliverables, and issues logs

Ensure seamless communication with the Project Business LeadApplication Development Manager

Project Business Lead Ensure business needs are met Ensure business resources are made available Report to Executive Steering Committee and Joint Agency Team on a

monthly basis on project status, issues, and activities Collaborate with the IT-PM on Executive Steering Committee and Joint

Agency Team meeting agendas and meeting materials Prepare ESC meeting agenda and meeting materials Co-facilitate change management with PM Lead in requirements gathering Assure vendor deliverables meet the business requirements Report to ESC on a monthly or as needed basis on project status, issues,

and activities Lead in preparing end users for business process changes Lead in end user training Ensure mitigation of project issues and risks Act as the departmental lead during UAT Review ISD2R/YES NM vendor deliverables and documentation Ensure constant communication with the Project Manager


MEMBER RESPONSIBILITIESField Champion Serve as the primary contact for field office input

Communicate project status and information to field staff Participate in activities relating to business process reengineering Participate in project meetings as needed

Business Advisory Council

Participate in all project meetings as needed Act as subject matter experts for the participating divisions Coordinate risks and issues with the Project Business Lead and PM Carry out requests from Project Business Lead and Project Manager Provide written reports as necessary. Review project documents as necessary Review ISD2R/YES NM vendor deliverables and documentation as

necessaryBusiness Focus Groups Serve as subject matter experts as needed

6.5 PROJECT MANAGEMENT METHODOLOGY The project management life cycle will closely follow the guidelines of the Project Management Body of Knowledge (PMBOK). The PMBOK’s knowledge areas of Scope, Time, Cost, and Resources will be heavily utilized for guidance.

The five Project Management Institute (PMI) processes of Planning, Initiation, Execute, Control, and Close will be used for each project phase and evolution.

The project will seek to follow the guidelines of the Software Engineering Institute’s Capability Maturity Model-Integration (CMM-I) Level 3.


7.07.0 CONSTRAINTSCONSTRAINTSNUMBER CONSTRAINT

1 Inter-divisional requirements will be difficult to aggregate and could be more time-consuming than planned.

2

The lack of adequate funds available for the project during State Fiscal Year (SFY) 2011. The general funds appropriated by the state legislature thus far will not be enough to complete the project.

Should the legislature not approve the SFY 2011 budget request in full, Phase II implementation of the main ISD2R system will experience a severe slowdown


8.08.0 DEPENDENCIESDEPENDENCIESM - Mandatory dependencies are dependencies that are inherent to the work being done. D - Discretionary dependencies are dependencies defined by the project management team. This may also encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle.E - External dependencies are dependencies that involve a relationship between project activities and non-project activities such as purchasing/procurement

NUMBER DEPENDENCY TYPE

1.Dependent on the ability to recruit business personnel and back fill positions to ensure continuity of service within the field offices during the life of the project

2. Dependent on the ESC and JAT for timely decisions on issues escalated to these groups M

3. Dependent on federal approval of APD’s and RFP’s in a timely fashion E4. Dependent on other agencies for their eligibility requirements M5. Dependent on continued funding to project completion E


9.09.0 ASSUMPTIONSASSUMPTIONSNUMBER ASSUMPTION

1. The team will have the proper software and hardware tools to accomplish the tasks

2. The selected contractors have experience designing and implementing enterprise eligibility requirements for other state project’s implementation

3. The Implementation APD will be approved within the current federal guidelines of 60 days from the date of final submission

4. DoIT will approve state funding5. Subject matter experts will be ready and available on schedule


10.010.0 SIGNIFICANT RISKS AND MITIGATION STRATEGYSIGNIFICANT RISKS AND MITIGATION STRATEGYRISK 1Legislature does not fund the full amount necessary for Phase II Implementation during all sessions through completion

Probability: Possible Impact: Very High Mitigation Strategy: Communicate early and often regarding the importance of the project and the programs supported by ISD and the ISD2R/YES NM system.Contingency Plan: Severely slowdown or halt the project

RISK 2Response lag for reviews and approvals of the necessary Contracts, PCC Documents, RFIs and RFPs

Probability: Probable Impact: Very High Mitigation Strategy: Gain trading partner approval to implement a re-engineered process for review and approval for the ISD2R/YES NM Project documents that reduces handoffs and multiple review loops through the same organization.Contingency Plan: None possible. Project delays will occur if the usual processes are followed. Usual process for Contract review and approval has at least Twenty-one (21) touch points across four Departments.

RISK 3Inexperience of State Personnel with the Planning Phase processes and Deliverables required by FNS and CMS

Probability: Closed Impact: HighMitigation Strategy: Hired contract personnelContingency Plan: Continue to utilize State FTEs and ask FNS and CMS for assistance.

RISK 4Lack of experience necessary for technical and architecture review of potential transfer systems.

Probability: Expected Impact: High Mitigation Strategy: Have one or more persons to address the fole of Systems Architect and Application ArchitectContingency Plan: None

RISK 5Negative impact on ISD2R/YES NM Planning Phase due to concurrent subproject implementation.

Probability: Closed Impact: HighMitigation Strategy: Final IAPD submitted October 29, 2009Contingency Plan: If experienced teams cannot be found, cease implementation tasks until they become available.

RISK 6Current network capacity will not be adequate to support the Imaging subproject implementation.

Probability: Medium Impact: High Mitigation Strategy: An Architectural Review will be conducted October 15, with this being one of the major topics of discussion. HSD ITD and ITD will remain in close contact during the early stages of this subproject implementation. In addition part of the RFP is for the vendor to perform network capacity analysis and later automated load analysis before implementation of the equipment.


Contingency Plan: Implement the subproject in phases with the first phases being completed in urban areas where adequate bandwidth is available from our carrier.

Update 12/16/09: The first deliverable of the contract will be a dynamic load analysis of the existing Simms/PSM or Culter/HSD field office network

RISK 7Application Support can not be provided by internal personnel after implementation of the subprojects in 2008 and 2009.

Probability: Probable Impact: High Mitigation Strategy: Hire part of the expansion FTEs proposed for SFY10 with the technology background necessary to support the Business Intelligence, Imaging, and Eligibility Screening sub project implementations.Contingency Plan: Have implementation vendors quote on six months of support post-implementation and accept those quotes via separate contracts.

RISK 8Interoperability of proposed solutions for the subprojects with the later implementation of ISD2R/YES NM Phase II.

Probability: Closed Impact: HighMitigation Strategy: Choose solutions known to be compatible with the front runners for potential transfer systems from other states. Contingency Plan: Plan for some major enhancements to the transfer system during the first two years after implementation sufficient to include enough FTEs to finish the necessary revisions.Mitigation Strategy: Require the vendor to document services.Contingency Plan: By providing a fully annotated, service-oriented view of applications, a Business Service Registry speeds the development cycle. A Registry provides an automated process for developing, unifying, and replacing ad hoc procedures by identifying important versioning, technical information, and participant information related to particular development tasks, so that projects get up and running more quickly


11.011.0 COMMUNICATION PLAN FOR EXECUTIVE COMMUNICATION PLAN FOR EXECUTIVE REPORTINGREPORTING

11.1PREREQUISITES FOR PROJECT SUCCESSIt is understood by the Executive Steering Committee that successful implementation of the ISD2R/YES NM system and realization of the objectives identified in the project charter will require firm commitment and dedicated resources for extended periods. The resource requirements of this project preclude it from being successfully completed in anyone’s “spare time.” The Executive Steering Committee commits its support, including some personnel 100% dedicated to the project and other personnel on a part-time basis, as identified by the project plan. Each phase of the project, including but not limited to RFP development, requirements analysis, design, development, testing, training, and implementation will require specific staff resources. The regular workload of staff assigned to the I ISD2R/YES NM project will be reassigned as necessary to ensure their focus on their replacement project responsibilities.

11.2REVISION OF PROJECT GOVERNANCE DOCUMENTS AND PROCESSES

Once, approved by the Executive Steering Committee, the project’s scope document can only be amended by a majority vote by the same committee. There are six (6) members of the Executive Steering Committee, therefore it will require four (4) votes to alter or amend project documents.

11.3DOCUMENT PREPARATION AND APPROVALDocumentation for Executive Steering Committee approval may be generated by the Project Manager, Project Business Lead, Advisory Work Group and Business Analyst. Documentation will be approved by the Project Manager and Project Business Lead then forwarded to the Executive Steering Committee for their consideration, revision, and approval.

11.4CHANGE MANAGEMENT PROCESSProject changes can include anything that shapes the project including changes in the schedule, resources, scope, requirements, etc. Changes can have an isolated or global effect, may add to or delete from the project, and have a range of complexity

The ISD2R/YES NM change request (PCR) process will mirror the most current method used by the ISD2 Change Management Assessment Process (CMAP).

A PCR can be made at any time by the vendor, the participating divisions, the Project Manager, and the Project Business Lead. Since a PCR can affect the price, schedule, or other terms of work, both the Project Manager and the Project Business Lead must approve the request.

11.5ISD2R/YES NM PROJECT CHANGE MANAGEMENT TEAM The Change Management Team will be a sub group of the Executive Steering Committee and will be led by the HSD ITD CIO.


12.012.0 INDEPENDENT VERIFICATION AND VALIDATION - INDEPENDENT VERIFICATION AND VALIDATION - IV&VIV&V

PROJECT/PRODUCT AREA INCLUDEProject Management YESQuality Management YESTraining YESRequirements Management YESOperating Environment YESDevelopment Environment YESSoftware Development YESSystem and Acceptance Testing YESData Management YESOperations Oversight YESBusiness Process Impact YES


13.013.0 PROJECT CHARTER AGENCY APPROVAL PROJECT CHARTER AGENCY APPROVAL SIGNATURESSIGNATURES

Approved By: _____________________________________ Date: _________________Helen Nelson, Acting Director, Income Support Division

Approved By: _____________________________________ Date: _________________Terri Gomez, Chief Information Officer
