2004 INNOVATIONS AWARDS PROGRAM
                             Application Form

(INSTRUCTIONS: Please complete, and submit this document electronically if
possible, e.g. a Word document. The application form is available online at our
Web site, www.csg.org, in the Programs section. Please determine the
appropriate Program Category from the enclosed Program Categories sheet, and
list the category under the Category section below on the right.)

                                                ID #: 04-MW-17MN
                                            Category: Infrastructure and
                                                       Economic Development
                                            State: Minnesota

1. Program Name
   Mental Retardation or Related Conditions (MR/RC) Waiver Management
   System (WMS)

2. Administering Agency
   Minnesota Department of Human Services (DHS) Disability Services Division

3. Contact Person (Name and Title)
   Peg Booth, Manager Operations Unit, Disability Services Division

4. Address
   444 Lafayette Rd. North
   St. Paul, MN 55155-3856

5. Telephone Number
   (651) 634-5484

6. FAX Number
   (651) 582-1960

7. E-mail Address

8. Web site Address

   Due to the private nature of the information included in the MR/RC WMS,
   and as this information is available on-line, access to the program is
   only available to county staff who have been identified as authorized

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9. Please provide a two-sentence description of the program.

      The Mental Retardation or Related Conditions (MR/RC) Waiver*
      Management System (WMS) is a Web-based management information
      system combining technology with existing management systems to
      provide a cost effective, secure, waiver recipient allocation and fiscal
      information tracking system. The MR/RC WMS is currently being used by
      the state of Minnesota, and county agency staff from Minnesota’s 87
      counties to manage critical home and community based waiver recipient,
      allocation, and fiscal information, for the MR/RC Waiver within the
      parameters of state and federal requirements.

      *The Mental Retardation Related Conditions (MR/RC) Waiver provides
      funding for home and community-based services for children and adults
      with mental retardation or related conditions. Currently over 14,200
      Minnesotans receive services through the MR/RC Waiver.

10. How long has this program been operational (month and year)? Note:
    the program must be between 9 months and 5 years old on May 1, 2004
    to be considered.

   DSD launched the MR/RC Waiver Management System in July 2002

11. Why was the program created? (What problem[s] or issue[s] was it
    designed to address?)

   The goal of the MR/RC Waiver Management System was to provide a
   management tool for both state and county staff. Each fiscal year, the
   counties are required to manage the number of recipients they serve within a
   set budget. Counties utilize the planning features within the WMS to ensure
   their budgets will be met prior to authorizing services. The WMS also
   provides additional management coordination features such as:

         Notification when case management activities are due, and
         Notification regarding what services are being delivered

12. Describe the specific activities and operations of the program in
   chronological order.

         Define who is receiving MR/RC Waiver services
         Define who is eligible to receive services
         Track the used and available allocations
         Perform simulation activities to ensure the budget is met
         Perform pending activities to reserve space for a new recipient
         Monitor spending

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13. Why is the program a new and creative approach or method?

  Through frequent systems updates from the Minnesota’s Medicare
  Management Information System (MMIS), authorized users have at their
  disposal a complete portrayal of their waiver programs as well as the
  opportunity to project and simulate future costs whereby aiding compliance
  with their established resource amounts.

  Categories of information in the WMS include:

      Individual person information for historical, current and potential
       waiver persons
      Fiscal information specific to individual county agencies as well as
       county partnerships and alliances which includes current and
       projected authorized, allowable and paid dollar amounts
      Resource information on all aspects of the MR/RC Waiver program,
      Opportunity to contact the Disabilities Services Division for technical

  In addition to person information, county fiscal information and access to
  resource information, the WMS is the means by which counties complete
  certain "functions" including:

        Informing DHS of waiver program changes
        County planning

     WMS program functions available include:

        Identification of potential persons entering the waiver program
        Identification of current persons exiting the waiver program
        Simulation of persons entering or exiting
        Simulation of possible changes in individual person service costs

     Security and Access

     Due to the private nature of the information included in the WMS and as
     this information is available on-line, access to the program is only
     available to county staff who have been identified as authorized users.

     Security of the WMS program must be assured: therefore, several
     requirements for authorized users have been implemented and include
     extensive training and registration. Each county is responsible for the
     identification of the authorized users for their county.

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14. What were the program’s start-up costs? (Provide details about specific
    purchases for this program, staffing needs and other financial
    expenditures, as well as existing materials, technology and staff already
    in place.)

   The development of the WMS took approximately 3 FTE staff for one year.

   Training and dissemination on the WMS took approximately 4 FTE for 3

15. What are the program’s annual operational costs?

   On-going training and support requires approximately 1.5 FTE staff per year.

   On-going development and program maintenance requires approximately .25
   FTE per year.

16. How is the program funded?
    State Funds

17. Did this program require the passage of legislation, executive order or
    regulations? If YES, please indicate the citation number.

18. What equipment, technology and software are used to operate and
    administer this program?

   The WMS system utilizes Intel servers and an NCR Teradata Data
   Warehouse machine. One server hosts the system database and one
   functions as the Web server. The system utilizes RSA security devices and
   servers for dynamically assigning and authenticating user passwords at the
   time of login. The WMS uses Web technology to extract financial expenditure
   and budgetary allocation information from a central database. The system is
   updated from the Department of Human Services Data Warehouse on a
   monthly basis.

   The WMS system utilizes Microsoft Windows operating system software, SQL
   Server 2000 database management software, and Internet Information

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19. To the best of your knowledge, did this program originate in your state?
    If YES, please indicate the innovator’s name, present address,
    telephone number and e-mail address.


      The development of the WMS was a collaborative effort involving a
      number of DSD staff. The Project Lead for the WMS project was, Patti

      Telephone: (651) 582-1916
      E-mail Address: Patti.Harris@state.mn.us

20. Are you aware of similar programs in other states? If YES, which ones
    and how does this program differ?

21. Has the program been fully implemented? If NO, what actions remain to
    be taken?

22. Briefly evaluate (pro and con) the program’s effectiveness in addressing
    the defined problem[s] or issue[s]. Provide tangible examples.

       Feedback from counties have been very positive
       Counties have a clear understanding of their spending versus their
       The system utilizes existing information systems to extract data
        whereby eliminating additional data entry efforts
       Dissemination of data via the Internet provides quick, consistent data
       System is secure by utilizing 2 factor authentication
         Data problems can be resolved in one source (MMIS)

23. How has the program grown and/or changed since its inception?

   Due to the success of the MR/RC WMS, in March 2004, a new WMS for three
   additional home and community-based waiver programs (Community
   Alternative Care Waiver, Community Alternatives for Disabled Individuals
   Waiver and Traumatic Brain Injury Waiver) was made available to DSD
   county partners.

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24. What limitations or obstacles might other states expect to encounter if
    they attempt to adopt this program?

         An IT infrastructure to support Web-based tools is needed.

         The data environment can be very complex. A very clear
          understanding of the data and all the data elements is essential. The
          structure of the data must also be adaptable to change, as it must
          respond to legislative activity.

Add space as appropriate to this form. When complete, return to:
CSG Innovations Awards 2004
The Council of State Governments
2760 Research Park Drive, P.O. Box 11910
Lexington, KY 40578-1910

DEADLINE: All original applications must be received by April 20, 2004, to be
considered for an Innovations Award for 2004.

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