DWS BartsInitCertReq v2 by leF306

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									                Project Planning
                  Request for Certification and Release of Funds Form
                               ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE



 PROJECT NAME                         BARTS – UI Claims Audit, Fraud, and Overpayment system

 PROJECT NUMBER                                                                  DATE                  3/24/2010

 LEAD AGENCY                          NMDWS                                      AGENCY CODE           631

 OTHER AGENCIES                                                           PROJECT PHASE Initiation
 EXECUTIVE SPONSOR                    Charles Mather – Quality Assurance Project Lead for UI Claims

 PROJECT MANAGER                      TBD

 AGENCY HEAD                          Ken Ortiz

 AGENCY CIO/IT LEAD                   John Salazar – CIO



 PROJECT DESCRIPTION (PROVIDE A BRIEF DESCRIPTION AND PURPOSE FOR THIS PROJECT)
 Purchase and install OnPoint® Technology’s BARTs software COTS solution. The software will allow the
 UI Claims Bureau, Benefit Payment Control Section, to automate the overpayment establishment and
 payment process.

       This project is funded by a USDOL Supplemental Budget Request (SBR). The award is specific for
        this particular solution. NMDWS will provide an Award Letter with specific language defining the
        project.
       NMDWS will submit a Sole Source justification letter through SPD to support this procurement
        vehicle and provide the PCC a copy of this letter. This solution is used in 10 states and is the sole
        provider for this solution to deliver to USDOL needs.
       A PM contract has been awarded to ACRO Service Corp. and has been signed by all parties. It is
        pending execution by final approval of certification through the PCC.
       An IV&V contract is being negotiated between two vendors to determine which vendor can meet
        the project budget, timeline, and reporting requirements.



 Planned Start Date                   March 24, 2010                    Planned End Date          October 30, 2010
 Amount Requested this Certification                                    $ 137,000
 Amount Previously Certified                                            $0
 Remaining Appropriation not Certified                                  $ 1,242,350
 Total Appropriated Amount (include any new funds)                      $ 1,242,350 FF / $137,000 Operating
                                                                        Total: $1,379,350



 CERTIFICATION HISTORY (INCLUDE ANY PREVIOUS PROJECT OR PHASE CERTIFICATIONS)

        Date                 Amount                 Funding Source(s) (use specific citations to laws, grants, etc.)
 March 24, 2010       $137,000                 Initiation: DWS Operating Budget: UI Claims


                This is a controlled document, refer to the document control index for the latest revision
Revision: 2/14/08                                   Page 1
                  Project Planning
                    Request for Certification and Release of Funds Form
                                  ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE




 PROPOSED CERTIFICATION SCHEDULE FOR CURRENT FISCAL YEAR (AGENCY TO COMPLETE FOR ALL PHASES)
 Phases                        Amount                  Major Deliverable(s) / Performance Measure(s)                Due
                              Requested                                                                             Dates
 Initiation:             $137,000                PM, IV&V                                                       3/24/2010
 Planning:               $0                      TBD                                                            4/21/2010
 Implementation:         $1,242,350              System configuration, transition to operations,                5/21/2010
                                                 testing, training, Hardware, Software


 Closeout:               $0                                                                                     12/27/’10

 APPROPRIATION HISTORY (INCLUDE ALL FUNDING SOURCES, E.G. FEDERAL, STATE, COUNTY, MUNICIPAL LAWS OR GRANTS)

    Fiscal Year                Amount                                        Funding Source(s)
 2010                   $1,242,350 FF            USDOL Supplemental Budget Request
                                                   -      UIPL 31-09 for State UI Technology
                                                          Infrastructure Grants
 2010                   $ 137,000 FF             DWS – UI Claims operating budget.
                                                   -      UI Claims Base Federal Funding to NMDWS




 BUDGET

 Comments:
 Project is 100% funded by Federal Funds. Contract staff is provided through the UI Claims base
 budged through USDOL. System implementation funds are provided through a USDOL SBR.

                    Description          FY07 & Prior            FY08           FY09             FY10               FY11
 Staff -
 Internal

 Consulting         1. PM,                                                                   $137,000          FF
 Services               IV&V
                    (pending                                                                 $1,279,350 FF
                    negotiations)
                    2. Integration
 Hardware           Servers                                                                  $ 100,000 FF

 Software




                  This is a controlled document, refer to the document control index for the latest revision
Revision: 2/14/08                                       Page 2
                Project Planning
                  Request for Certification and Release of Funds Form
                               ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE



    TOTAL                                                                                  $1,379,350



 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:

 This is a turnkey COTS solution that will be integrated into the agency infrastructure network
 and security. Details will be defined in the Planning Phase.

       Describe or estimate this project’s impact on the Enterprise/DoIT infrastructure.
               o Hardware: Scoped in the prototype solution specification and will be defined in the
                  Planning Phase
               o Network (Include Diagram:) To be defined in the planning phase.
               o Software / Applications: This is proprietary vendor provided software.
               o Where is this system hosted? For the first year, the system will be hosted at DWS.
                  This will allow for local management of planning, implementation, and warranty
                  periods of the project. Thereafter, DWS will work with DoIT to incorporate into the
                  Albuquerque Data Center. DWS will begin working on an Exception Request for
                  hosting at DWS during this development period.
                           If not hosted at DoIT Data Center what is your strategy to host at DoIT Data
                            Center: (When, Why?) DWS is meeting with DoIT to define strategic
                            directions relating to an Albuquerque Data Center solution. (Target date is
                            3/19/2010) This scheduled meeting includes Sec. Marlin Mackey and staff.
                           DoIT Migration Collaboration
       Summarize your collaboration with DoIT on moving this project from initialization through
        close (full production). Identify points of contact, dates of discussions, and results.
         DWS is working on an interim Hosting Exception Request to be followed by completion of the
         DoIT RFP for an Albuquerque Data Center.
       Provide Application Architecture Schematic: This will be defined in the Planning phase. If a
        draft version becomes available before the PCC, DWS will submit to DoIT for inclusion in the
        document package.




 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 – No Change. This will be incorporated into our existing
        BC/DR process.

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Revision: 2/14/08                                   Page 3
                Project Planning
                  Request for Certification and Release of Funds Form
                               ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE


       Business Resumption
       Operational Recovery Planning


 SECURITY STRATEGY (APPLICATION AND DATA SECURITY PROCESS, PLAN, OR STANDARD)


 System is proposed to be Hosted at DWS for first year, behind the DWS firewall. The solution security will
 be defined during the Planning phase and presented during the TARC meeting in April or May.




 INDEPENDENT VERIFICATION & VALIDATION (INCLUDE STATUS OF IV & V PROCESS)


 This task will be contracted in the Planning Phase and scheduled to begin during the Implementation Phase.
 Release of funds is being requested during this request to proceed with the contract negotiation process.




 SIGNIFICANT RISKS AND MITIGATION STRATEGY

 RISK 1: PROJECT LEADERSHIP
      MITIGATION 1: AS A COTS SOLUTION, THE CONTRACT PM, EXECUTIVE SPONSOR AND I.T.
      WILL NEED TO DEVELOP AND USE A CLEAR COMMUNICATION PLAN AND WORK SCHEDULE.

 RISK 2: KNOWLEDGE TRANSFER AND TRAINING
      MITIGATION 2: IN THE PLANNING PHASE, THE AGENCY WILL NEED TO CLEARLY DEFINE
      WITHIN THE WORK PLAN THE APPROPRIATE LEVEL OF TRAINING NECESSARY TO TAKE
      OWNERSHIP OF THE SOLUTION BEFORE ACCEPTANCE.



 RECORD RETENTION POLICY (DESCRIBE THE AGENCY’S RECORDS RETENTION REQUIREMENTS FOR THIS PROJECT)


 NMDWS UI Claims records retention policy and guidelines will manage records for this business unit.




 MAINTENANCE STRATEGY (DESCRIBE HOW THE AGENCY PLANS TO MAINTAIN THIS PROJECT AFTER DEPLOYMENT)


 For the first year after implementation acceptance, the system will be under warranty. During the planning
 phase the agency will define support requirements for the post-acceptance phase.




                This is a controlled document, refer to the document control index for the latest revision
Revision: 2/14/08                                   Page 4
                Project Planning
                  Request for Certification and Release of Funds Form
                               ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE




 INTEROPERABILITY (DESCRIBE HOW THIS PROJECT INTERFACES WITH EXISTING SYSTEMS/APPLICATIONS WITHIN THE AGENCY)


 This system will integrate with agency databases for the UI Claims system. Because the data is platform
 neutral the data sharing needs (schema) for information exchange will be defined in the planning phase.




                This is a controlled document, refer to the document control index for the latest revision
Revision: 2/14/08                                   Page 5

								
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