DATE



Project Name |New Mexico Interagency Behavioral Health Purchasing Collaborative Data Warehouse | |

|Project Number | |Date |June 24, 2009 |

|Lead Agency |New Mexico Human Services Department |Agency Code |63000 |

|Other Agencies |NM Behavioral Health Purchasing Collaborative |Project Phase |Implementation Phase |

| |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 |Linda Roebuck, CEO |

|Project Manager |Debra Saiz, HSD/ITD |

|Agency Head |Bill Belzner, Deputy CEO |

|Agency CIO/IT LEAD |Terri Gomez, CIO |

|Project 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, state and 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 will be completed in phases. |

| |

|This document addresses the short-range goal: Phase I, which will be the receipt of four (4) years of behavioral health data from |

|ValueOptions New Mexico (VONM).  They are the contracted Statewide Entity (SE) and have been collecting all the Collaborative data for the |

|past four years. |

| |

|On December 18, 2008, a new SE was chosen for New Mexico.  OptumHealth New Mexico was the successful bidder and will be managing the |

|combined funds of several publicly funded behavioral health services for the 15 state agencies and the Governor’s office that make up the |

|Collaborative.  The contract will be effective July 1, 2009 through June 30, 2013. This makes the need to establish the Collaborative Data |

|Warehouse and get the data from VONM even more urgent as their contract will expire June 30, 2009. |

| |

|Activities associated with the receipt of four years of behavioral health data were requested at the initiation and planning stage of Phase|

|One of this project.  The Implementation request for certification includes, IV&V services (contract), Systems Administration services |

|(contract) deployment of the development, test and production environment, building and updating the physical data model, and migrating the|

|data from development, to test, to production. |

|Planned Start Date |January, 2009 |Planned End Date |October 2009 |

|Amount Requested this Certification |$ 0.00 |

|Amount Previously Certified |$156,990.00 |

|Remaining Appropriation not Certified |$ 0.00 |

|Total Appropriated Amount (include any new funds) |$156,990.00 |

|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 for Current Fiscal Year (agency to complete for all phases) |

|Phases |Amount Requested |Major Deliverable(s) / Performance Measure(s) |Due Dates |

|Initiation: |$118,500.00 |Purchase Hardware/Software for Data Warehouse Infrastructure. |FY08 & FY09 |

| | |Establish Behavioral Health Data Warehouse (BH DW) Steering Committee| |

| | |& Data Modeling and Technical workgroups. | |

|Planning: |$ 38,490.00 |Establish the IT infrastructure (Development, Test & Production |June 2009 |

| | |environments) that will support the data warehouse. Work with VONM on| |

| | |what data to supply and file and record layouts. Design and Develop | |

| | |the Data Warehouse to include: Creating the Extract, Transform & Load| |

| | |(ETL) Process: Building the Logical & Physical Model (DBs); testing | |

| | |the data feed and testing the Data Warehouse, etc. | |

| | |Contract with IV&V vendor. | |

| | |Contract with systems administration vendor. | |

|Implementation: |-0- |Build and configure Development, Test and Production servers (SQL); |October 2009 |

| | |Test, process and import four years of behavioral health data | |

| | |received from VONM into the Production system. | |

|Closeout: |-0- |Final documentation and invoices from contractor(s) and final report |October 2009 |

| | |to the PCC. | |

|Appropriation History (Include all Funding sources, e.g. Federal, State, County, Municipal laws or grants) |

|Fiscal Year |Amount |Funding Source(s) |

|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 |

|Budget |

|Comments: |

| |Description |FY07 & Prior |FY08 |FY09 |FY10 |FY11 |

|Staff – Internal |Project Manger | | | | | |

|FTEs |Technical Lead | | | | | |

|Assisting with |Data Modeler | | | | | |

|Project |Committee Members | | | | | |

|Consulting Services| | | |$29,373.00 | | |

|Hardware | | |$63,000.00 |$17,266.00 | | |

| Software | | |$34,000.00 |$13,007.00 | | |

|Total | | |$97,000.00 |$59,646.00 | | |

|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 Enterprise/DoIT infrastructure. |

|For Phase One of this project the impact to the Enterprise/DoIT infrastructure will be minimal. 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. For Phase One of this |

|project, a data warehouse will be 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 will be attached to a SAN for data |

|storage. |

|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. |

|Software / Applications: For Phase One, all the tasks involve manual interaction. These tasks include: receiving data from the VONM |

|FileConnect system (Appendix Three), loading the raw data into the development database server, and cleaning and validating the data. |

|Scripts will be developed during Phase One after receiving the final data load from VONM. Scripts are used to generate the data model. |

|Where is this system hosted? One SQL server each will be deployed in the HSD development and test environments. These databases will only |

|be accessible from the internal HSD network. For production, two SQL servers will be deployed 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. |

|Summarize your collaboration with DoIT on moving this project from initialization through close (full production). Identify points of |

|contact, dates of discussions, and results |

|Date |

|Point of Contact |

|Results |

| |

|12/9/2009 |

|Conference call with Vicki Gottlieb |

|Discussion took place regarding the Initiation and Planning Phase for the Data Warehouse Project Phase One. |

| |

|12/17/2009 |

|Meeting with Vicki Gottlieb |

|Additional discussion took place regarding the Initiation and Planning Phase. Vicki provided guidance on to how to move forward. |

| |

|12/19/2009 |

|PCC Presentation and Documentation Training |

|Vicki Gottlieb provided training on the Project Certification requirements. |

| |

|1/5/2009 |

|Meeting with Mike Baca |

|Further discussion took place regarding the Initiation and Planning phases of the project. Mike provided further guidance. |

| |

|1/21/2009 |

|Communication with Mike Baca |

|All Project Certification for the Initiation Phase and Planning Phase were complete and sent to Mike Baca |

| |

|1/28/2009 |

|Presentation to the PCC |

|The BHC Data Warehouse Project Phase One was presented to the PCC for approval of the Initiation Phase and the Planning Phase. The Project|

|was approved. |

| |

|3/27/2009 |

|Meeting with Mike Baca |

|Discussion took place regarding the change in budget request and moving forward with the Technical Architecture Review and the |

|Implementation Certification. Budget request approved. |

| |

|5/8/2009 |

|Meeting with Mary Jo Vigil |

| |

|This meeting was to discuss the location of the BHC Data Warehouse production environment with Transaction Interface Exchange (TIE) |

|infrastructure currently housed at NM DoIT Data Center. |

| |

|6/10/09 |

|Presentation to the TARC |

|Phase One of this project was presented to the Technical Architecture Review. It was approved. |

| |

|6/24/09 |

|Presentation to the PCC |

|The BHC Data Warehouse Project Phase One will be presented to the PCC for approval of the Implementation Phase. |

| |

|October, 2009 |

|Presentation to the PCC |

|The BHC Data Warehouse Project Phase One will be presented to the PCC for final approval and closeout. |

| |

| |

| |

| |

| |

| |

|Provide Application Architecture Schematic: Application Architecture does not apply to Phase One of this project. |

| |

|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 One of the Data Warehouse will require limited response if there is an outage. All data is imported into a |

|development server, and it remains there until it is moved to a test and production server. |

|For backup and recovery: |

|Create DVDs and store in the HSD/ITD Vault |

|Bring from storage and load onto SQL server |

| |

| |

|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 One 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 not applicable for this phase. |

| |

|The recovery process only involves data recovery and there is no application that needs to be recovered. For more detail on the Operation |

|Recovery Planning, please refer to the BHC Data Warehouse Phase One Business Continuity Plan. |

|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 summary of the latest IV & V report) |

|An external contractor from the State Price Agreement will be used for Independent Verification and Validation (IV&V) during the |

|Implementation Phase of the Data Warehouse Project. Fox Systems is the selected vendor. The contract is approved and first deliverable is|

|due June 15th, 2009. |

|Significant Risks and Mitigation Strategy |

|Risk 1: Data staff from VONM who work with the data transition will no longer be available due to VONM’s loss of the statewide entity |

|contract. |

|Mitigation 1: Ensure there is a transition plan in place to turn the tasks of the data deliverables over to the remaining corporate staff |

|at VONM. The plan should include sources of information for contact and communication as well as coordination of remaining deliverables. |

|Risk 2: The (temporary) development database server currently being used is at capacity. |

|Mitigation 2: Deploy the BHDW equipment once the Systems Administration contract is finalized. |

|Risk 3: Some funding has been received; however limited funds are available for future project expansion. |

|Mitigation 3: Federal Grant Funds for the project have been applied for and funding is anticipated. As a contingency plan, request funds |

|from the Collaborative, state legislature, or other funding sources. |

|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) |

|For Phase One of this project, maintenance requirements are minimal. The Development and Test Environments will be hosted on the HSD |

|Infrastructure and sharing its maintenance requirements which consist of Antivirus patching, scanning, and backups for the servers; and |

|monthly backups for the database. The Production Environment of the data warehouse will be sharing the Transaction Interface Exchange (TIE)|

|Infrastructure maintenance servers used for patch management, system monitoring and data backup. |

|Interoperability (Describe how this project interfaces with existing systems/Applications within the agency) |

|Not applicable to Phase One. |

| |

| |

Appendix One:

Network Diagram for Development and Test Environments:

[pic]

Appendix Two:

Network Diagram for Production Environment

[pic]

Appendix Three:

Data Flow Diagram

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