DOT IIDA Change ReqForCertification by VU24O1e

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


 CHANGE TYPE:                                                      Scope                   Budget            Schedule

 PROJECT NAME                         NM STRS – Ignition Interlock Data Analysis (IIDA) Project – Phase 1

 PROJECT NUMBER                                                                  DATE                  12/04/08

 LEAD AGENCY                          NEW MEXICO DEPARTMENT OF                   AGENCY CODE           805
                                      TRANSPORTATION – TRAFFIC
                                      SAFETY BUREAU
 OTHER AGENCIES                       Office of the Governor, DWI                 PROJECT PHASE        Implementation
                                      Coordinator; NM Department of
                                      Information Technology;
                                      Department of Finance and
                                      Administration; Department of
                                      Taxation and Revenue; Department
                                      of Public Safety; New Mexico
                                      Judiciary; Probation and Parole; NM
                                      Law Enforcement; and US
                                      Department of Transportation,
                                      National Highway Traffic Safety
                                      Administration (NHTSA).
 EXECUTIVE SPONSORS
                                      New Mexico Department of Transportation (NM DOT)
                                      Rhonda G. Faught, P.E., Cabinet Secretary
                                      Patricio Guerrerortiz, P.E., Deputy Secretary
                                      Muffet Foy Cuddy, Division Director
                                      Robert Ashmore, Chief Information Officer
                                      Michael R. Sandoval, Traffic Safety Bureau (TSB) Director
                                      Sandra Martinez, TSB, Traffic Records Program Director

 PROJECT MANAGER                      Geoff Escandon, TSB, Bency & Associates

 AGENCY HEAD                          Muffet Foy Cuddy, Division Director

 AGENCY CIO/IT LEAD                   Robert Ashmore, Chief Information Officer



 PROJECT DESCRIPTION (PROVIDE A BRIEF DESCRIPTION AND PURPOSE FOR THIS PROJECT)
 The IIDA implementation at NMDOT will complete the creation of a statewide Ignition Interlock
 database that will allow stakeholder agencies to monitor Ignition Interlock offender compliance with
 court ordered and administrative ordered installation of an ignition interlock device in their vehicle.
 Standards can be implemented to allow for consistent monitoring and reporting practices. Deploying
 the web application will allow for monitoring of high BAC and other violations occurring in the last 60
 days of the installation. The implementation will be conducted in three phases:

 Implementation Phase 1 - Data Capture & Database Population and IIDA Records Repository
 Implementation Phase 2 - IIDA Reporting
 Implementation Phase 3 - Web application Pilot and Data Exports

 Planned Start Date                   December 2007                Planned End Date        August 2009


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Revision: 2/14/08                                                                                                 Page 11
                    Change Request for Certification and Release of Funds Form
                               ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE



 JUSTIFICATION FOR CHANGE IN CERTIFICATION (INCLUDE BUDGET ADJUSTMENT REQUEST; BUSINESS VALUE AND/OR
 PROGRAM RESULTS)

 History: The State currently does not have a fully implemented comprehensive, centralized electronic
 system for collecting, monitoring and reporting ignition interlock information. In 2005, the NM
 Legislature passed a number of DWI-related laws designed to help reduce DWI in the state. The most
 far-reaching of these new laws requires that all first-time convicted DWI offenders install interlock
 devices on the vehicles that they drive for a period of one year. The law increased the time ignition
 interlock devices must remain installed on vehicles of those convicted on 2nd and subsequent DWI
 offenses (2nd-time offenders for 2 years, 3rd-time offenders for 3 years, and 4th-time offenders for life)
 This new law also applies to juveniles. The NMDOT/ TSB are developing a database that will allow for
 evaluation of this groundbreaking legislation. In addition to this project being one of Governor Bill
 Richardson initiatives, the project will be supporting the following New Mexico Ignition Interlock
 Administrative rules and state statues: PART 18.20.11.20.B.4 AND PART 18.20.11.21.B.5

 CHANGE OF SCHEDULE
 The Ignition Interlock Data Analysis Project (IIDA) – Phase 1 was certified by the Department of
 Information Technology on December 27, 2007. The initial “Planned Start Date” was shown as
 December 2007 and the “Planned End Date” was listed as December 2008.

 The Start Date for implementation was contingent upon the execution of an Information Technology
 Professional Services Agreement (PSA) for a Project Manager. Processing of the PSA began in August
 2007. The Project Management PSA was signed and executed on May 13, 2008.

 The Planned End Date was contingent upon the completion of Database Programming Services. While
 initially expected to be contracted, Database Programming Services have been provided by NMDOT
 IT. This resource began in 12/2008. The Planned End Date schedule has been adjusted to October 16,
 2009.

 While the contracted PM Services and IV&V Service are extended through the end of the project, the
 services provided by NMDOT IT keep budget projection within the originally certified amount.



 Amount Requested this Certification                                    $0
 Amount Previously Certified                                            $300,000
 Remaining Appropriation not Certified                                  $0
 Total Appropriated Amount (include any new funds)                      $300,000



 CERTIFICATION HISTORY (INCLUDE ANY PREVIOUS PROJECT OR PHASE CERTIFICATIONS)
        Date                 Amount                 Funding Source(s) (use specific citations to laws, grants, etc.)

 FFY05                $154,000                 IIDB Pilot: Federal Grant (Project pre-dated Certification)
 6/15/06              $121,000                 Ignition Interlock Database Analysis Project (IIDA) – Phase 0:
                                               Federal Funds – Section 164, Alcohol Countermeasures
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                    Change Request for Certification and Release of Funds Form
                                  ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE


 12/27/07               $300,000                 IIDA Phase 1: Federal Funds, Section 164, Alcohol
                                                 Countermeasures


 APPROPRIATION HISTORY (INCLUDE ALL FUNDING SOURCES, E.G. FEDERAL, STATE, COUNTY, MUNICIPAL LAWS OR GRANTS)
    Fiscal Year                Amount                                        Funding Source(s)
 FFY05                  $154,000                 Federal Grant (IIDB Pilot completed 05/06)
 FFY07                  $121,000                 Federal Grant (IIDA-Phase 0 completed 06/07)
 FFY08                  $300,000                 Federal Grant, (IIDA-Phase 1, start date 1/1/08)
                                                 *based on estimated requirements


 BUDGET

 Comments: Based on estimated requirements due to the change in project schedule and budget.

                    Description          FY07 & prior          FY08             FY09             FY10          FY11
 Staff -
 Internal

 Consulting                                $275,000          $60,000          $205,000
 Services
 Hardware                                                     $5,000

 Software                                                                     $10,000

 IV & V                                                      $15,000           $5,000


    TOTAL                                 $275, 000          $80,000          $220,000



 INDEPENDENT VERIFICATION & VALIDATION (INCLUDE SUMMARY OF THE LATEST IV & V REPORT)
 Ignition Interlock Data Analysis (IIDA) Project – IV&V Periodic Review #3,
 DOT.IIDA_IVV.PD003C submitted by Productive Data Solutions, Inc.

 Executive Summary
 This document constitutes the third (3rd) IV&V IIDA deliverable by PDS. The title of this report is
 “DOT.IIDA_IVV.PD003C. IV&V Periodic Report #3”. The deliverable due dates for this deliverable
 and any subsequent deliverables were modified and are addressed under Amendment #1 (08-
 0012/Amendment #1). The following summarizes the key elements in this PDS IV&V report:
  The lack of Project resources; most importantly, the DB Programmer position; have impacted the
     Project Schedule.
     o As of the September 20th Project Schedule, a new Project end date has been identified. The
         new end date is October 16, 2009. The Project has been able to work around some of the
         resource limitations by completing other Project tasks, but now the DB programmer resource
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Revision: 2/14/08                                                                                              Page 31
                    Change Request for Certification and Release of Funds Form
                               ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE


         must be acquired for the IIDA Implementation Phase One (1) Automated Data Capture to
         continue. PDS understands that the contract for this position has been executed, but to date, the
         position has not been filled. PDS finds Management to aware of the resource issue and
         working to resolve it.
     o IV&V reporting will end (March 17, 2009) prior to the new proposed Project completion date
         (October 16, 2009).
  The implementation plan for Phase One (1) Automated Data Capture has been developed and
     published. Overall, the plan follows the recommended format by Department of Justice.
  Data quality was addressed in the proposed Data Exchange Specification and Error Summaries
     (v0.2, no document date) which addresses the flat file format, compliance requirements, data
     corrections, errors in format or data, mapping of manufacturer event codes to IIDA event codes,
     and record type definitions along with individual field definitions.
  The Requirements Traceability Matrix needs to be completed.
  Some IV&V rating may changed for this report are due to the resource impact and new proposed
     Project end date. There is no change in the risk ratings and no risks have been closed.
 PDS continues to believe the IIDA Project is well organized and planned with a good prospect for
 success. The Project Manager communicates regularly with the STRS Project Team and Program
 Manager and he continues to be cooperative and helpful to the IV&V effort. The active role of the
 IIDA Program Manager for business decisions in the Project is a positive indication of the team
 approach. The NMDOT STRS Program Manager is capable and has extensive knowledge of ignition
 interlock as well as other traffic safety programs. The Project has support from NMDOT top level
 management and State Government executives. The STREOC and STRCC steering committees have
 played a lead role in Traffic Safety for NM for several years and will add to Project success probability.
 The Project Management Team holds regular Project meetings to discuss the Project, make decisions,
 resolve issues and review Project plans. The positive attitude and support displayed by the Project
 Management Team and their cooperation with the IV&V Contractor is much appreciated and is
 important to the Project’s success.
 Detailed findings and updates for task items are located in Section 5.0 IV&V Periodic Review and for
 open Project risks in Section 5.4 IV&V Risk Assessment. IV&V ratings are explained in “Appendix B.
 Rating Information.”



 IMPACT OF CHANGE (MAY INCLUDE SIGNIFICANT RISKS & MITIGATION STRATEGY; SECURITY, CONSOLIDATION & MAINTENANCE
 STRATEGIES; RECORDS RETENTION; & BUSINESS PERFORMANCE MEASURES)
 Initial Risks, Mitigation Strategies, and Contingency Plans:
 Delay in approval of a contract for services - The process for formulating and approving an IT
 services contract is complex and may take longer than expected.
 Mitigation Strategy - DOT will coordinate efforts for approving an IT services contract with DOT
 Management and DOIT to ensure procedures are in place to expedite approvals.
 Unfilled positions required to establish the IIDA support -– FTE positions (TOOL Nos.) or
 contractual positions must be available in order to hire personnel.
 Mitigation Strategy – Program Director will coordinate with DOT to determine available FTE
 positions to hire, and assist with the recruitment and contracting of personnel as soon as possible.
 Team turnover - Personnel changes can impact the adoption and maintenance of the proposed system.

                This is a controlled document, refer to the document control index for the latest revision
Revision: 2/14/08                                                                                            Page 41
                    Change Request for Certification and Release of Funds Form
                               ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE


 Mitigation Strategy - Where possible, lead resources and backup resources will be assigned to prevent
 losing system knowledge and incurring delays in the schedule.
 Availability of existing IT members for project tasks - NMDOT IT agency is experiencing personnel
 shortfalls which could impact the schedule.
 Mitigation Strategy - The Project may need to hire additional resources.



 SECURITY STRATEGY (APPLICATION AND DATA SECURITY PROCESS, PLAN, OR STANDARD)
 IIDA Security is defined in cooperation with NM DOT Network Administration, and complies with
 NM DOT Security Protocol. Details may be found in the implementation plan (see attached
 iidaImplementation01.pdf).



 IT SYSTEM ANALYSIS
 All systems implemented by the IIDA project are hosted by the NM DOT. All systems involved with
 the IIDA are defined with full participation of the NM DOT IT Department, which are documented in
 the IIDA system documentation (see attached: iidaAutomatedDataCapture.pdf).



 BUSINESS CONTINUITY STRATEGY

 IIDA emergency and disaster management is defined by two categories:
       IIDA Databases: IIDA Databases are integrated in the NM DOT database resources, and are
         covered by the standard processes that are defined for all NM DOT database resources.
       IIDA Automated Data Capture: The Automated Data Capture system is an integrated
         system that streamlines the collection, validation, and storage of Ignition Interlock data. In
         the worst case, this system is backed up by a manual process. In event a partial system
         failure, alternate host resources may be identified by the NM DOT IT Department, and any
         system changes would be published by the Ignition Interlock Program Manager.




                This is a controlled document, refer to the document control index for the latest revision
Revision: 2/14/08                                                                                            Page 51

								
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