Project Planning
Request for Certification and Release of Funds Form
All Certified Projects Must Follow NM State Policies and Procurement Code
Project Name
/ New Mexico Interagency Behavioral health purchasing collaborative data warehouse Phase II / Project NumberAgency CIO / Brian Pietrewicz, Acting CIO / Date / 4/28/10
Lead Agency / Agency Code / Human Services Department/63000
Other Agencies / Behavioral Health Purchase Collaborative including:
· Aging and Long-Term Services Department
· Administrative Office of the Courts
· Children, Youth and Families Department
· New Mexico Corrections Department
· Department of Finance and Administration
· Department of Health
· Department of Workforce Solutions
· Department of Transportation
· Developmental Disabilities Planning Council
· Division of Vocational Rehabilitation
· Governor’s Commission on Disability
· Governor’s Health Policy Advisor
· Health Policy Commission
· Human Services Department
· Indian Affairs Department
· Mortgage Finance Authority
· Public Education Department
Executive Sponsor(s)
/ Linda Roebuck, CEO / Project Manager / Teresa Henke, Interim Project ManagerProject Description (Provide a brief description and purpose for this project)
The long-range goal of this project is to build a fully operational data warehouse for New Mexico’s Interagency Behavioral Health Purchasing Collaborative (the Collaborative) which will contain data on behavioral health clients served by some of the Collaborative Agencies. This data will be used for decision support, federal reporting, legislative inquiries and the Governor’s Performance and Accountability Contract, as well as ad hoc reports and other as yet undefined requests.
The Behavioral Health Data Warehouse project has been designed to be completed in three phases, all treated as separate projects. Phase I, which has just been completed, consists of the receipt of four (4) years of behavioral health data from ValueOptions New Mexico (VONM). VONM was the contracted Statewide Entity (SE) and collected all the Collaborative data from 7/1/05 through 6/30/09 when their contract ended.
This document addresses Phase Two which will be the implementation of ongoing data feeds from the new SE, OptumHealth-NM (OHNM) whose contract began on 7/1/09. In Phase two we also plan to obtain historical data from Medicaid and create standard reports for Collaborative Stakeholders. In addition, this phase will include a Proof of Concept for data analysis and reporting. The POC will provide a basis for a Business Intelligence roll-out in Phase III of this project.
Planned Start Date / April, 2010 / Planned End Date / June 30, 2011
Requested amount this Certification / $144,000 / Remaining Appropriation not Certified / $56,000
Certification History (Include any previous project or phase certifications)
Date
/ Amount / Funding Source(s) (use specific citations to laws, grants, etc.)1/28/2009 / $97,000.00 / Health Resources Services Administration (HRSA) Federal Grant FY08 Grant Number HRSA-05-146;CFDA 93-888
1/28/2009 / $21,500.00 / Funds from the Drug and Alcohol Services Information System (DASIS); Federal dollars associated with substance abuse reporting
4/30/2009 / $17,990.00 / Funds from the Data Infrastructure Grant (DIG); Federal Grant Number 5HR1SM058118
4/30/2009 / $20,500.00 / Funds from the Drug and Alcohol Services Information System (DASIS); Federal dollars associated with substance abuse reporting
Proposed Certification Schedule
Phases / Planned Certification Date / Amount to be requested /
Major Deliverable(s) / Performance Measures
Initiation:
/ April 2010 / $-0- / During the Initiation Phase of this project the major deliverables are to:· Establish the project start up by defining the primary objective and Scope of Work (SOW) for Phase II
· Specify a budget and request certification approval for the use of the funding
· Establish Committees/Teams
o Project Steering Committee including stakeholders and SMEs from the various agencies of the Behavioral Health Purchasing Collaborative.
o Policy Development Team
o Data Modeling Team
o Technical Team
o Other as needed
· Develop a project charter
· Begin process to hire IV&V Vendor
· Establish a Library for Document Storage
o Project Documentation
o Policies and Procedures
o Lessons Learned
o Other documentation
Planning:
/ April, 2010 / $144,000 / During the Planning Phase of this project the major deliverables are to:· Develop the Project Management Plan
· Contract with IV&V Vendor
· Contract with a part-time Project manager
· Contract with Business Analyst for Requirements Documentation
· Contract with an ETL Developer
· Identify and gather the collection, reporting and analysis requirements from all project stakeholders
· Identify and gather the requirements for data collection primarily from Optum Health NM (OHNM) and the Medical Assistance Division (MAD)/Medicaid data
· Begin developing a Proof of Concept (POC) for data quality and sample reporting
o Identify System Requirements
o Identify Sample Reports and Analysis tools
· Identify Hardware & Software Requirements
Implementation:
/ July 2010 / $56,000 / During the Implementation Phase of this project the major deliverables are to:· Build a data model to store imported data from OHNM, Medicaid and historical data from VONM and other data sources as needed.
· Develop the Extract, Transform and Load (ETL) routines to process initial and incremental data from OHNM
· Develop the Extract, Transform and Load (ETL) routines to import Medicaid data from MAD
· Begin importing and testing data from OHNM and MAD
· Perform reconciliation to ensure data accuracy, consistency and validate ETL
· Configure and install necessary hardware and/or software as identified from Planning phase.
· Begin work on a POC data analysis and reporting data model in preparation for Phase III of the BHDW project.
· Develop POC Online Analytical Processing (OLAP) cubes
· Design and Develop POC Standard Reports
Closeout:
/ June 2011 / $-0- / During the Closeout Phase of this project the major deliverables are to:· Ensure all contracted vendors have met the required deliverables
· Ensure all invoices from vendors have been paid
· Finalize and store all project documentation in the Project Library.
· Obtain Customer Acceptance
· Document Lessons Learned
· Develop a closeout report
· Obtain project closeout approval
Appropriation History (Include all Funding sources, e.g. Federal, State, County, Municipal laws or grants)
Fiscal Year
/ Amount / Funding Source(s) (use specific citations to laws, grants, etc.)FY08 / $97,000.00 / Health Resources Services Administration (HRSA) Federal Grant FY08 Grant Number HRSA-05-146;CFDA 93-888
FY09 / $42,000.00 / Funds from the Drug and Alcohol Services Information System (DASIS); Federal dollars associated with substance abuse reporting
FY09 / $17,989.00 / Funds from the Data Infrastructure Grant ; Federal Grant FY ’09 Grant Number 5HR1SM058118-02 CFDA 93.243
FY 10/11 / $200,000 / SOMMS Funds from the Drug and Alcohol Services Information System (DASIS); Federal dollars associated with substance abuse reporting
Budget
Comments:
Description
/FY07 & Prior
/ FY08 / FY09 / FY10 / FY11Staff - Internal
/ Project MangerTechnical Lead
Data Modeler
Committee Members
Consulting Services / $29,373.00 / $2,529.00 / $141,471.00
Hardware / $63,000.00 / $17,266.00 / $56,000.00
Software / $34,000.00 / $13,007.00
Total / $97,000.00 / $59,646.00 / $2,529.00 / $197,471.00
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.
This project leverages the Transaction Interface Exchange (TIE) infrastructure housed at NM DoIT and will use the same operational support as TIE. TIE operations include server and data backup, patch management, system monitoring, application updates, etc.
Hardware: The production environment will be sharing the Transaction Interface Exchange (TIE) infrastructure. In Phase I of this project, a data warehouse was built on SQL server 2005. The SQL servers implemented in this project are QUAD CORE XEON X5450 PROCESSOR 2X6MB CACHE, 3.0GHZ, 1333MHZ FSB, PE2950 with 73GB, SAS 3.5-INCH 15K RPM HARD DRIVE. The SQL servers are attached to a SAN for data storage.
o Network (Include Diagram): See Appendix One of this document, for the development and test diagram; and Appendix Two of this document, for the production diagram.
o Software / Applications: For Phase Two, all the tasks involve manual interaction. These tasks include: receiving data from the OptumHealth New Mexico and Medicaid, loading the raw data into the development database server, and cleaning and validating the data. Scripts will be developed and will be used to generate the data model.
o Where is this system hosted? One SQL server each is located in the HSD development and test environments. These databases will only be accessible from the internal HSD network. For production, two SQL servers reside at NMDoIT data center in a cluster and failover mode. Developers would only be able to access these databases through VPN. These databases reside behind the firewall.
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: The Business Continuity of HSD reflects a partnership between HSD, the New Mexico Department of Information Technology (NM DOIT), and contractors identifying risks in the various systems and applications supporting the citizens of New Mexico. The main goal is to ensure that the citizens of New Mexico will continue to receive their allotted benefits. The disaster recovery plan details exactly who, how, what, and where decisions are made in order to maintain business continuity during a minor or major disaster.HSD management has developed a Business Continuity Plan called “CONTINUITY OF OPERATIONS PLAN (COOP).” The COOP’s purpose is to “establish guidance to ensure the execution of mission essential functions under all circumstances and to redirect the relocation of personnel and resources to an alternate facility capable of supporting operations if necessary. All Divisions/Offices will create plans for evacuation of its staff, if necessary, and accountability and notification of staff during an emergency. Every Division/Office is to have an evacuation procedure, be able to account for its staff at all times, and notify staff of an emergency. All offices should have an updated emergency contact form for its staff. All Divisions/Offices will designate alternate operating facilities and prepare their personnel for the possibility of unannounced relocation of essential functions. Facilities may be identified from existing agency infrastructures, or external sources.”
Business Resumption: Phase Two of the Data Warehouse will require limited response if there is an outage. All data is imported into a production server.
For backup and recovery:
1. The backup process at New Mexico DoIT is through the VERITAS Server.
2. Recovery is done with the SQL server restoration process
Severity / Impacts / Response
Power Outage / Data access / Verify data is accessible after power returns
Total Equipment Failure / Data Access / Load data to another SQL server
Loss of Data Center Facility / Data Access / Load data to another SQL server
Operational Recovery Planning: For Phase Two of this project, there is no public user interface so the speed of the recovery process has no impact on the business side. The allowable outage time is 24 hours.
· The recovery process involves SQL Server recovery including SSIS packages.
Security Strategy (Application and Data Security Process, Plan, or Standard)
The system is designed to comply with the HIPAA security standards (administrative, physical and technical). Administrative safeguards focus on the policies and procedures put in place by a covered entity to pursue its ability to insure the confidentiality, integrity and availability of electronic protected health information (EPHI). Physical safeguards deal with the physical security measures in place to secure EPHI. The technical safeguards detail the standards for access control, auditing, user authentication and the other technical measures involved in securing stored and transmitted EPHI.Generally, the security rule requires a covered entity to:
1) Ensure the confidentiality, integrity, and availability of all EPHI the covered entity creates, receives, maintains, or transmits;
2) Protect against any reasonably anticipated threats or hazards to the security or integrity
of such information.
3) Protect against any reasonably anticipated uses or disclosures of such information that are not permitted or required under the Privacy Rule; and
4) Ensure compliance by its workforce.
Independent Verification & Validation (Include Status of IV V Process)
An external contractor from the State Price Agreement will be used for Independent Verification and Validation (IV&V). The IV&V contractor has been identified and the contract is in process, waiting for PCC certification.Significant Risks and Mitigation Strategy
Risk 1: Possible change in Statewide Entity
In anticipation of the need for future changes in the administration and delivery of mental health and substance abuse services, Governor Bill Richardson has directed the Behavioral Health Collaborative to issue a Request for Proposals (RFP) for the Statewide Entity (SE) as soon as possible. If the current SE is not selected, their response to our Phase II Requirements could be strained if they begin to slow down operations, let staff go, etc.Mitigation 1:
The RFP process and readiness review will take a minimum of a year. We begin working with OptumHealth in implementing regular data feeds as early as possible in Phase II.
Risk 2: Staffing
The Data Warehouse currently has one dedicated FTE. Grant funding for a second FTE has expired. Also, the project manager has been temporarily assigned to another bureau.Mitigation 2:
For Phase II, one staff currently assigned to other projects will assist with the data architecture. We plan to contract with a part-time project manager, an ETL developer, and a Business analyst.Risk 3: Timeline
There is no control over the quality of the data received. The reconciliation of the data could affect the timeline.Mitigation 3:
Hire a Business Analyst to help with the Business Requirements gathering. The developers will create a rapid response quality improvement feedback loop during the initial testing of the data received to make sure our Business Requirements are solid and deal with any quality issues as soon as possible.Record Retention Policy (Describe the Agency’s records retention requirements for this project)
Project and system documentation and the data contained in the behavioral health data warehouse will be retained for at least seven (7) years and according to the state and federal records retention policies.Maintenance Strategy (Describe how the agency plans to maintain this project after deployment)