ASPEN – STATE BASED MARKETPLACE
(SBM)
P R OJ EC T CHA R TER FOR C ER T IFIC A TION
EXECUTIVE SPONSOR – CHARISSA SAAVEDRA, HSD DEPUTY CABINET
SECRETARY
EXECUTIVE BUSINESS AND TECHNOLOGY OWNER – SEAN PEARSON, HSD/ITD
CHIEF INFORMATION OFFICER
NEW MEXICO HEALTH INSURANCE EXCHANGE OWNER – MIKE NUNEZ, INTERIM
CEO
SENIOR PROJECT MANAGER – MERV JERSAK
ORIGINAL PLAN DATE: 01/23/2014
REVISION DATE: 01/23/2014
REVISION: 1.0
TABLE OF CONTENTS
TABLE OF CONTENTS............................................................................................................................................... I
1. PROJECT BACKGROUND ..................................................................................................................................... 1
1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT ....................................................................................1
1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT .....................................1
1.3 PROJECT CERTIFICATION REQUIREMENTS ...........................................................................................................3
2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS...................................................................................................... 3
2.1 AGENCY JUSTIFICATION ......................................................................................................................................3
2.2 BUSINESS OBJECTIVES .........................................................................................................................................4
2.3 TECHNICAL OBJECTIVES ......................................................................................................................................4
2.4 IMPACT ON ORGANIZATION .................................................................................................................................4
2.5 TRANSITION TO OPERATIONS ...............................................................................................................................5
3.0 PROJECT SCOPE OF WORK................................................................................................................................ 6
3.1 DELIVERABLES ....................................................................................................................................................9
3.1.1 Project Deliverables .....................................................................................................................................9
3.1.2 Product Deliverables .................................................................................................................................11
3.2 SUCCESS AND QUALITY METRICS ......................................................................................................................12
4.0 SCHEDULE ESTIMATE ..................................................................................................................................... 13
5.0 BUDGET ESTIMATE ......................................................................................................................................... 14
Marketplace Funding .........................................................................................................................................14
5.1 FUNDING SOURCE(S)..........................................................................................................................................14
5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE – ..............................................................................15
6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE ............................................................................ 16
6.1 STAKEHOLDERS ...........................................................................................................................................16
6.2 PROJECT GOVERNANCE PLAN ..................................................................................................................18
6.3 PROJECT MANAGER .....................................................................................................................................19
6.3.1 PROJECT MANAGER CONTACT INFORMATION .........................................................................................19
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES ...................................................................................20
6.5 PROJECT MANAGEMENT METHODOLOGY ..........................................................................................................21
7.0 CONSTRAINTS ................................................................................................................................................ 21
ANYTHING THAT MAY GET IN THE WAY OF PROJECT SUCCESS ............................................................................ 22
8.0 DEPENDENCIES............................................................................................................................................... 22
9.0 ASSUMPTIONS ............................................................................................................................................... 23
10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY ......................................................................................... 23
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING ................................................................................. 24
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V ............................................................................... 26
13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES................................................................................... 26
14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE ......................................................................... 26
i
Revision History
REVISION NUMBER
DATE
COMMENT
1.0
February 5, 2014
Original ASPEN-SBM PMO Document
ii
PROJECT CHARTER ASPEN-SBM
1. PROJECT BACKGROUND
1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT
On March 23, 2010, President Obama signed comprehensive health reform, the Patient
Protection and Affordable Care Act, into law. The changes made to the law by subsequent
legislation, focuses on provisions to expand coverage, control health care costs, and improve the
health care delivery system. The following are the basic components of the Patient Protection
and Affordable Care Act:




Requires most U.S. citizens and legal residents to have health insurance.
Create state-based American Health Benefit Exchanges through which individuals can purchase
coverage, with premium and cost sharing credits available to individuals/families with income
between 133-400% of the federal poverty level (the poverty level is $19,530 for a family of three
in 2013)
Create separate Exchanges through which small businesses can purchase coverage. Require
employers to pay penalties for employees who receive tax credits for health insurance through
an Exchange, with exceptions for small employers.
Impose new regulations on health plans in the Exchanges and in the individual and small group
markets. Expand Medicaid to 133% of the federal poverty level.
Concurrent with the development and implementation of the ASPEN system, the State of New
Mexico elected to transfer ownership for the creation and implementation of the American
Health Benefit Exchanges for both individuals and small business to the New Mexico Health
Insurance Exchange (NMHIX or the “Exchange”).
The New Mexico Health Insurance Exchange (NMHIX) has decided to pursue a full State Based
Marketplace (SBM) with an expected production date of October 1, 2014. In accordance with
the Center for Medicare and Medicaid Services (CMS) requirements, the Human Services
Department (HSD) will have to make changes to ASPEN to accommodate the transition to a
SBM. This project is solely focused on those changes required to the ASPEN system.
1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT
The New Mexico Legislature passed SB 221 and 589 as amended, the “New Mexico Health
Insurance Exchange Act,” (the “Act”) during the 2013 Regular Session, and Governor Suzanna
Martinez signed the Act on March 28, 2013. The New Mexico Health Insurance Exchange (the
“Exchange”) is created as a nonprofit public corporation (501c4).
The Exchange is governed by a 13-member board of directors that was appointed in April 2013.
Since then the board has made the following decisions:
 The Exchange will be a Hybrid model in 2014 and a State based Exchange in 2015;
 The Exchange will create the SHOP for small business and will use the Federal platform to enroll
individuals until the Exchange system is ready to enroll consumers in 2015.
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PROJECT CHARTER ASPEN-SBM
Currently New Mexico has a high rate (23%) of uninsured; health workforce shortages, language and
cultural barriers, significant poverty, poor educational attainment, and a significant number of its
small businesses do not offer health insurance to employees. Of New Mexico’s population of two
million, Medicaid covers 550,000 individuals; Medicare covers 300,000 and 430,000 are uninsured.
Of the uninsured, an estimated additional 175,000 may become eligible for Medicaid and up to
211,433 for the Exchange between 2014 and 2020. An estimated 171,557 uninsured will enroll in
2014; approximately 89,000 through Medicaid expansion, and 82,557 in the Exchange. All numbers
are preliminary and will be adjusted as early open enrollment numbers are released and analyzed.
Open enrollment started October 1, 2013, and will continue through March 31, 2014. The effective
start date of coverage for consumers who enrolled in a plan prior to mid-December is January 1,
2014.
NMHIX has been working with GetInsured (GI) as a technology vendor, Public Consulting Group
(PCG) as a project management vendor, and Deloitte as the HSD IT vendor working on NMHIX
integration with Medicaid. The GI HIX solution for SHOP went live on October 1, 2013. The GI
HIX solution for the individual marketplace is scheduled to go live October 1, 2014.
HSD received the initial ASPEN-SBM description from the NMHIX on October 17, 2013. The initial
estimate was provided back to the NMHIX board on October 25, 2013. Three scoping/requirement
sessions were conducted from November 7 through December 5, 2013. The estimates were reviewed
with HSD and the NMHIX IT Committee, with the final presentation to the NMHIX Board on
December 18, 2013. Approval was received for both the requirements and costs.
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PROJECT CHARTER ASPEN-SBM
1.3 PROJECT CERTIFICATION REQUIREMENTS
The project meets the Department of Information Technology (DoIT) certification requirements
in dollar size and impact to multiple agencies. Included in this is the requirement to provide
monthly project reporting to DoIT, Independent Verification and Validation (IV&V) risk
assessment reporting, project management guidance and leadership to the project.
2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS
2.1 AGENCY JUSTIFICATION
PAGE 3
NUMBER
DESCRIPTION
JUSTIFICATION ONE
Federal Requirement - Patient Protection and Affordable Care Act on
3/23/2010 requires the creation of state-based American Health Benefit
Exchange through which individuals can purchase coverage, with
premium and cost sharing credits.
JUSTIFICATION TWO
State Requirement - Governor Martinez’s administration announced
its intent to establish a State-based Exchange on November 15, 2012.
On January 3, 2013, New Mexico received conditional approval from
the U.S. Department of Health and Human Services (HHS) to establish
a state-based Marketplace. The New Mexico Legislature passed SB 221
and 589 as amended, the “New Mexico Health Insurance Exchange
Act,” (the “Act”) during the 2013 Regular Session, and Governor
Suzanna Martinez signed the Act on March 28, 2013.
PROJECT CHARTER ASPEN-SBM
2.2 BUSINESS OBJECTIVES
NUMBER
Business Objective #1
Business Objective #2
Business Objective #3
DESCRIPTION
Create a real-time eligibility service for the SBM for Advance Premium
Tax Credits (APTC), Cost Sharing Reductions (CSR), and Medicaid
assessments.
Reduce churn between NMHIX and Medicaid.
Reduction in HSD field staff workload through real-time eligibility
determination from applications received from NMHIX SBM.
2.3 TECHNICAL OBJECTIVES
NUMBER
Technical Objective #1
DESCRIPTION
Create a real-time eligibility ‘web service’ that can then be used for
other interfaces as appropriate in the future with other state and
federal agencies.
2.4 IMPACT ON ORGANIZATION
The impacts on the organization are areas that need to be addressed by the project through its
planning process. They may not be internal project risks, but they can impact the success of the
project’s implementation.
AREA
DESCRIPTION
END USER
No changes to current ASPEN end user interfaces.
BUSINESS
PROCESSES
IT OPERATIONS AND
STAFFING
PAGE 4
1. New process or functionality to be created to alert caseworkers to new
pending cases created through the ASPEN – SBM interface
1. The current ASPEN maintenance and operations option year will be
modified to include additional contractor staff, whose primary purpose
will be to develop, implement and provide ongoing support to the new
PROJECT CHARTER ASPEN-SBM
AREA
DESCRIPTION
ASPEN –SBM interface.
2.5 TRANSITION TO OPERATIONS
BUSINESS TRANSITION TO OPERATIONS
AREA
DESCRIPTION
BUDGET
TRANSITION
Budget transition to operations will be included in the current ASPEN
project transition to operations.
PRELIMINARY
OPERATIONS
LOCATION AND
STAFFING PLANS
Operations location will be at the same location as the current ASPEN
project (or Siler). Preliminary staffing plans are being created by
implementation vendor and will be in addition to the current ASPEN
project staff.
BUSINESS
CONTINUITY
No impact as all changes will affect the SBM and not current ASPEN
business continuity.
MAINTENANCE
STRATEGY
No impact as all changes will affect the SBM and not current ASPEN
business operations.
RECORD RETENTION
The project will comply with state record retention requirements.
TECHNICAL TRANSITION TO OPERATIONS
AREA
DESCRIPTION
BUDGET
Technical budget transition to operations will be included in the current
ASPEN project transition to operations.
PRELIMINARY
OPERATIONS
LOCATION AND
STAFFING PLANS
The preliminary operations locations and staffing plans are dependent upon
Operations location will be at the same location as the current ASPEN
project (or Siler). Preliminary staffing plans are being created by
implementation vendor and will be in addition to the current ASPEN
project staff.
DATA SECURITY,
BUSINESS
CONTINUITY
Included within the current ASPEN project.
MAINTENANCE
Maintenance transition to operations will be included in the current ASPEN
PAGE 5
PROJECT CHARTER ASPEN-SBM
STRATEGY
project transition to operations.
INTEROPERABILITY
There are no changes to the existing interfaces with other systems,
Those remain intact.
However, a major requirement for this project is to repurpose the
existing interface with the Federally Facilitated Marketplace (FFM) to
exchange data with the NMHIX SBM. This data exchange will facilitate
account transfers between ASPEN and the SBM.
The SBM will send validated accounts to ASPEN for Medicaid
eligibility determination. If the applicants are found Medicaid eligible
under ACA rules, ASPEN will retain that case. If not eligible, ASPEN
will calculate the Advance Premium Tax Credits/Cost Sharing
Reductions and return the data to the SBM for its processing.
For applications that originate with ASPEN, cases that are not eligible
according to ACA rules will be referred to the SBM for its processing.
DOIT
CONSOLIDATION
STRATEGY
Servers are housed in DoIT facilities, existing DoIT database as a
service (Exadata) will be used for this project implementation.
3.0 PROJECT SCOPE OF WORK
The new system allows for enhanced real time eligibility determinations where NMHIX relies on
Medicaid rules engine for APTC and CSR determination and where NMHIX has ownership of
the Federal Hub interface. Medicaid allowed NMHIX ownership of the Federal Hub as Medicaid
does not currently access the Federal Hub except for exchange of account transfers. Medicaid
currently uses alternate State verification resources.
The NMHIX Customer Experience:
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PROJECT CHARTER ASPEN-SBM

Consumer will come to NMHIX Marketplace Portal (GetInsured) to apply for coverage;

NMHIX Marketplace will utilize streamlined application to collect consumer personal data;

Using Federal Data Services HUB NMHIX will perform verification of income (compatibility
test), citizenship, SSN, incarceration etc.;

Based on the information entered consumer will be given an option to apply for financial
assistance. If they choose to apply for financial assistance, application will be transferred to
HSD ASPEN (Medicaid System) in real-time utilizing Account Transfer services. Repurposing
of existing account transfer functionality from the FFM to the SBM/NMHIX;
A
B
The NMHIX Customer Experience (Continued):
PAGE 7
PROJECT CHARTER ASPEN-SBM
Detailed HSD/ASPEN Services provided to NMHIX
C

ASPEN will create a Medicaid case and update data collected for each NMHIX referral to
assist in the real-time eligibility determination. ASPEN will utilize automated file
clearance functionality to be able to establish NMHIX-referred clients as either unique
(new) clients to the system, or existing HSD clients whose identification information can
be reused;
D

ASPEN will verify data sent by NMHIX against State Data Sources in real-time;
E

ASPEN will receive response from State data sources
F

ASPEN does a real-time Medicaid eligibility determination

If Consumer is determined Medicaid eligible, ASPEN will retain the consumer and will
notify SBM/NMHIX of Medicaid eligibility in real-time;

If Consumer is determined Medicaid ineligible ASPEN, leveraging the Corticon rules
engine for calculations, will do an eligibility determination for APTC/CSR and calculate
APTC/CSR amounts. This information will be transmitted to NMHIX in real-time;

ASPEN will support new reporting requirements to support the NMHIX account transfer
activity.
G
G
PAGE 8
PROJECT CHARTER ASPEN-SBM
Simply stated under the new real time eligibility determination system, once the NMHIX
application data is verified, the application data will be sent to Medicaid for APTC and CSR
determination. If the application is deemed eligible for Medicaid, the application will be retained
by Medicaid for full determination. If the application is deemed APTC and CSR eligible, the
application data will be sent to the exchange for processing.
3.1 DELIVERABLES
3.1.1 PROJECT DELIVERABLES
This initial list of project deliverables are those called for by the IT Certification Process and
Project Oversight memorandum, but does not exhaust the project deliverable documents.
Project Charter
The Project Charter for Certification sets the overall scope for the
project, the governance structure, and when signed is considered
permission to proceed with the project. The Project Charter for
Certification is used to provide the Project Certification
Committee with adequate knowledge of the project and planning
to certify the initiation phase of the project.
Certification Form
The Request for Certification and Release of Funds form for the
Planning Phase will be presented to the Project Certification
Committee (PCC) in February 2014.
Project Management Plan
The Project Management Plan (PMP) is a formal document
approved by the executive sponsor and the Department and
developed in the plan phase used to manage project execution,
control, and project close. The primary uses of the project plan
are to document planning assumptions and decisions, facilitate
communication among stakeholders, and documents approved
scope, cost and schedule baselines. A project plan includes other
plans for issue escalation, change control, communications,
deliverable review and acceptance, staff acquisition, and risk
management.
IV&V means the process of evaluating a project to determine
compliance with specified requirements and the process of
determining whether the products of a given development phase
fulfill the requirements established during the previous stage,
both of which are performed by an organization independent of
the lead agency. Independent verification and validation
assessment reporting. The Department requires all projects
subject to oversight to engage an independent verification and
validation contractor unless waived by the Department.
IV&V Contract & Reports
ASPEN Contract Amendment
PAGE 9
Amending the current ASPEN contract is the mechanism for the
design, development, and implementation of the ASPEN – SBM
project.
PROJECT CHARTER ASPEN-SBM
Risk Assessment and Management
The DoIT Initial PROJECT RISK ASSESSMENT template
which is meant to fulfill the following requirement:
“Prepare a written risk assessment report at the inception of a
project and at end of each product development lifecycle phase or
more frequently for large high-risk projects. Each risk assessment
shall be included as a project activity in project schedule.”
Project Oversight Process memorandum.
Project Schedule
A tool used to indicate the planned dates, dependencies, and
assigned resources for performing activities and for meeting
milestones. The default standard is Microsoft Project.
Monthly Project Status Reports to
DoIT
Project status reports. For all projects that require Department
oversight, the lead Agency project manager shall submit an
agency approved project status report on a monthly basis to the
Department.
Project Closeout Report
This is the Template used to request that the project be officially
closed. Note that project closure is the last phase of the
certification process.
PAGE 10
PROJECT CHARTER ASPEN-SBM
3.1.2 PRODUCT DELIVERABLES
DELIVERABLE
DESCRIPTION
Change Control Document
for ASPEN SBM
Eligibility Service Changes
Contractor will conduct Joint Application Design (JAD) sessions with
Procuring Agency subject matter experts to gather requirements for the
enhancements. Contractor will lead the JAD sessions with qualified staff
who are knowledgeable in the subject matter, and who are able to guide
Procuring Agency staff in determining optimum solutions to the required
enhancements, as required by applicable state and federal law.
Change Management that will include, at a minimum:
 Modified or new screen design, as required
 Modified or new report design, as required
 Modified or new interface design, as required
 Modified or new batch processes, as required
 New or changed storyboards to describe changes in screens,
reports, interfaces, batch processes
 Modified or new processing logic, as required
 Database design changes, as required
 High-level User Acceptance Test Plan to help guide the HSD UAT
Test team to develop detailed test scripts
 Update technical documentation, as required
Quality Assurance Testing
PAGE 11
Contractor will document and deliver Quality Assurance Testing Plan and
Quality Assurance Test results to indicate that the enhancements are ready
for User Acceptance Testing (UAT).
PROJECT CHARTER ASPEN-SBM
DELIVERABLE
DESCRIPTION
Support UAT and
Implement ASPEN SBM
Eligibility Changes
Contractor will support Procuring Agency UAT testers with instructions in
system operation, with execution of batch jobs in applicable UAT
environments as required, and with interpreting results that do not comply
with the UAT expected results. Contractor will review and fix all UAT
Work Requests as they are reported.
Contractor will document and deliver User Acceptance Testing results to
indicate that the enhancements are ready for implementation into the
Production environment.
Contractor will deliver updated training materials and technical
documentation.
Contractor will implement the enhancements into the Production
environment according to the agreed upon Implementation date.
3.2 SUCCESS AND QUALITY METRICS
Metrics are key to understanding the ability of the project to meet the end goals of the Executive
Sponsor and the Business Owner, as well as the ability of the project team to stay within
schedule and budget.
NUMBER
DESCRIPTION
QUALITY METRIC 1
Number of “Real-Time” Eligibility determinations from the SBM.
QUALITY METRIC 2
QUALITY METRIC 3
PAGE 12
Number of Advance Premium Tax Credits (APTC), Cost Sharing Reductions
(CSR), and Medicaid assessments determined for the SBM.
Number of account transfers sent back and forth “Churn” between the SBM
and ASPEN.
PROJECT CHARTER ASPEN-SBM
4.0 SCHEDULE ESTIMATE
ASPEN - SBM
Milestones / Critical Path
2013
2014
Approval Process
1/22/14
Grant Approved
11/15/13
Grant Submitted
Amend Contract
2/24/14
Contract Amended
12/18/13
Board Approval
Planning
2/24/14
Requirements /
Design
4/7/14
Development
6/10/14
QAT
8/10/14
UAT
10/1/14
PAGE 13
PROJECT CHARTER ASPEN-SBM
5.0 BUDGET ESTIMATE
MARKETPLACE FUNDING
The New Mexico Department of Human Services received a federal Exchange Planning grant of
$1 million in 2010. The Office of Health Care Reform requested and was granted a 12-month
budget extension on the Planning grant funds for a new project end date of September 29, 2012.
On November 29, 2011, the New Mexico Human Services Department received a federal Level
One Establishment grant of almost $35 million. The grant funding will be used to refine the
vision and objectives of the Marketplace, continue stakeholder engagement, develop a multi-year
business and operational plan, and examine the information technology infrastructure and
functionality necessary to operate the Marketplace by 2014. In October 2012, New Mexico
requested an extension of the Level One grant. On July 9, 2013 the New Mexico Human
Services Department received an additional Level One Establishment grant of $18.6 million.
This award will be used to support comprehensive outreach, education, and marketing activities,
establishing the state’s Navigator program, and supporting the state’s in-person assistance
personnel.
In creating its third Level 1 Grant Request, NMHIX, GetInsured (system integrator), Public
Consulting Group (project Management vendor), HSD and Deloitte (Medicaid system integrator)
jointly developed the system requirements and costs for a real-time eligibility interoperability
system. This third Level 1 Grant was submitted on 11/15/2013 and approval was received
January 23, 2014. This grant will provide the funding for the ASPEN-SBM project costs.
5.1 FUNDING SOURCE(S)
NMHIX Funding
Submission
Date:
New Mexico Health
Insurance Exchange 3rd
Level 1 Establishment
Grant (1.3)
11/15/2013
PAGE 14
Approval Date:
01/23/2014
PROJECT CHARTER ASPEN-SBM
5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE –
ASPEN State Based Marketplace Project
Estimated Budget
SFY2014
Services $
4,177,640
HW/SW $
938,930
Facilities $
Total
$
5,116,570
PAGE 15
SFY2015
$
9,747,825
.
$
237,726
$
9,985,551
Total Budget
$ 13,925,465
$
938,930
$
237,726
$ 15,102,121
PROJECT CHARTER ASPEN-SBM
6.0 PROJECT AUTHORITY AND ORGANIZATIONAL
STRUCTURE
ASPEN-SBM Project Structure
Executive
Sponsor
Executive
Steering
Committee
Charissa Saavedra
Executive
Business &
Technical
NMHIX
Sidonie Squier
Charissa Saavedra
Brent Earnest
Danny Sandoval
Mark Pitcock
Sean Pearson
Michael Nunez
Mike Nunez
Sean Pearson
Strategic
PMO Leadership Team
Tactical
Technical
Project
Owner
Senior
Project
Manager
Merv Jersak
Kathy Martinez
Program
Project
Owner
NMHIX
Project
Manager
Tony Curatola
Sean Pearson
PMO Leads
Budget &
Contracts
ASPEN
Integration
Vendor
Mary White
Surranjan Kumar
NMHIX
Integration
Vendor
Shankar Srinivasan
6.1 STAKEHOLDERS
Stakeholders should be a mix of agency management and end users who are impacted positively
or negatively by the project.
Executive Sponsor:
Charissa Saavedra, HSD Cabinet Deputy Secretary
Executive Steering Committee:
Name
PAGE 16
Title
Stake in Project
PROJECT CHARTER ASPEN-SBM
Charissa Saavedra
HSD Cabinet Deputy Secretary
Executive Sponsor
Mike Nunez
NMHIX Interim CEO
NMHIX Sponsor
Sean Pearson
ITD Chief Information Officer
Executive Owner
Business &
Technology
MAD Deputy Director –
Medicaid
Mark Pitcock
Medicaid Policy & Business Processes
Danny Sandoval
ASD Director
Budgets / Funding
Brent Earnest
HSD Cabinet Deputy Secretary
Finance
Sidonie Squier
HSD Cabinet Secretary
HSD
PMO Leadership Team:
Title/Role
Stake in Project
Sean Pearson
ITD Chief Information Officer
Business Owner
Mike Nunez
NMHIX Interim CEO
NMHIX Sponsor
Kathy Martinez
ITD ASPEN Bureau Chief
Technical Owner
Merv Jersak
Senior Project Manager
Project Management
Mary White
Budgets & Contracts
Project Management
Tony Curatola
NMHIX Project Manager
Project Management
Surranjan Kumar
Deloitte Project Manager
ASPEN Integration
Vendor Lead
Shankar Srinivasan
Get Insured
NMHIX Integration
Vendor Lead
Subject Matter Advisors:
Title/Role
Stake in Project
Nathan Adams
OGC Legal Counsel – Legal Advisor
Subject Matter Expert
Patrick Maltby
ASPEN Project Manager
Project Management
Karmela Martinez
ASPEN Release Planning Manager
User Acceptance
MAD Staff Manager –
Medicaid
Liz Martinez
PAGE 17
Medicaid Policy Advisor
PROJECT CHARTER ASPEN-SBM
6.2 PROJECT GOVERNANCE PLAN
This has been initiated with the integration of the current ASPEN Issue Resolution, Change
Management and Work Approval Processes along with the PMO governance structure and
reporting. In addition to Project Control Processes, key business and technical activities will
commence. Communication plans and approach will be finalized involving all stakeholders both
within and outside of state government.
The PMO team utilizes standard industry project methodologies, approach and governance from
the project inception. Clear goals and deliverables are communicated. A master project plan and
schedule will be created for all tasks and deliverables. Every task will have a single owner and be
tracked against effort and completion. Schedules will be reviewed on a weekly basis to facilitate
timely delivery.
ASPEN-SBM Project Governance Model
ASPEN Executive Sponsor
Executive Steering
Committee
State Purchasing
Division
NMHIX
PMO Leadership
Team
DoIT
Project Oversight
Federal Partners
Project Mgt
IV & V Contractor
PMO Core Team
Business
PAGE 18
Technology
Vendor
Contracts
Budget
PROJECT CHARTER ASPEN-SBM
6.3 PROJECT MANAGER
6.3.1 PROJECT MANAGER CONTACT INFORMATION
NAME
ORGANIZATION
PHONE #(S)
EMAIL
Sean Pearson
ITD CIO
505-490-4223
Sean.Pearson@state.nm.us
Merv Jersak
PMO Senior Project Manager Dewpoint
916-719-4635
Merv.Jersak@state.nm.us
Mary White
PMO Project Manager Dewpoint
505-490-4259
Mary.White1@state.nm.us
Tony Curatola
NMHIX Project Manager
PAGE 19
fcuratola@pcgus.com
PROJECT CHARTER ASPEN-SBM
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES
Roles and Responsibilities are subject to change based on on-going project needs.
Role
Responsibilities
Executive Sponsor



Document approval (sign-off).
Ensure the success of the project.
Ultimate decision maker.
Federal Partners


Review & approve APD Documents.
Review & approve contracts & RFPs >$5 million.
NM Department of
Information
Technology



IT Project Oversite.
Chair PCC meetings.
Review & approve all contracts associated with the ASPEN Project.
Executive Steering
Committee (ESC)

Responsible for the project's feasibility, strategy, business plan and
achievement of outcomes.
NMHIX


Approve strategy, requirements and design
Provide funding
Executive Owner –
Technical

Direct involvement and oversight of all technical aspects of the
project.
Notify ESC when serious risks arise.
Responsible for all technical activities and resources involved in the
ASPEN project.
Responsible to the PMO for working within the agency to coordinate
any technical strategies / requirements, setting priorities, identifying
resources and agency communications.



Executive Owner Business




Senior Project
Manager



PAGE 20
Direct involvement and oversight of all business aspects of the project
Notify ESC when serious risks arise.
Responsible for all business activities and resources involved in the
ASPEN project.
Responsible to the PMO for working within HSD to coordinate any
business strategies / requirements, setting priorities, identifying
resources and agency communications.
Single point of contact coordinating all activities and personnel
within the PMO, reporting to the Executive Sponsor and ESC.
Manage the overall executive relationship and facilitate all ASPEN
strategies, issues and decisions at the executive level while
simultaneously driving operational focus and accountability within
the PMO and delivery organizations.
Oversee all aspects of the delivery of the project and ensure all
activities are performed according to plans and scope.
PROJECT CHARTER ASPEN-SBM
Role
Responsibilities
Budget & Contracts




Technical Project
Owner


Focal point for managing any contract issues, changes or approvals
and steering them through the state’s procurement processes.
Facilitate the approvals of PMO / System Integrator contract
deliverables with the appropriate State staff.
Responsible for maintaining a database or spreadsheet with contract
due dates, submission dates, revisions and approvals.
Facilitate the collection of budget data from ISD, ITD and the
vendors to create a complete financial perspective and forecast for the
ASPEN project.
Focal point to identify resources for technical requirements and
design sessions (application), technical assessments, technical
documentation and interfaces.
Work closely with the system integrator for development and
implementation of additional technology.
6.5 PROJECT MANAGEMENT METHODOLOGY
The ASPEN-SBM Project Management Office (PMO) has been established to maintain overall
authority and control of the ASPEN-SBM effort. The overall goal is to deliver the ASPEN-SBM
project on time and within budget by driving focus, accountability, and management reporting.
The HSD Executive Steering Committee (ESC) relies on the ASPEN-SBM PMO for the day-today operational oversight necessary to maintain control of the effort. The PMO provides depth
and breadth of knowledge and experience in project management and technical control processes
to help ensure project delivery. The PMO consists of both State and Contract staff, and
represents the key stakeholders of the overall effort.
The ASPEN-SBM Project Team will follow the DoIT certification gates of: Initiation, Planning,
Implementation, and Closeout as the overarching framework. The ASPEN-SBM Project will
follow the Project Management Institutes, Project Management Body of Knowledge (PMBOK).
The PMBOK’s knowledge areas of Scope, Time, Cost, and Resources will be heavily utilized for
guidance.
7.0 CONSTRAINTS
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PROJECT CHARTER ASPEN-SBM
ANYTHING THAT MAY GET IN THE WAY OF PROJECT SUCCESS
NUMBER
DESCRIPTION
1.
Project success depends on adequate funding from NMHIX.
2.
Project success depends upon Executive Leadership involvement and timely decision
making.
3.
Project success depends on communication. Failure to communicate can lead to poor
decision making, increased project costs, schedule delays or project failure.
8.0 DEPENDENCIES
Types include the following and should be associated with each dependency listed.



M -Mandatory dependencies are inherent to the work being done.
D- Discretionary dependencies are defined by the project management team. This may also encompass
particular approaches because a specific sequence of activities is preferred, but not mandatory in the project
life cycle.
E-External dependencies involve a relationship between project activities and non-project activities such
as purchasing/procurement
NUMBER DESCRIPTION
TYPE
M,D,E
1.
Dependent on the participation, coordination and timely decisions with NMHIX
and their SBM project.
M
2.
Dependent on coordination with ongoing changes required to the ASPEN
system.
M
3.
Dependent on the Executive Steering Committee (ESC) for timely decisions on
issues escalated to these groups.
M,E
4.
Dependent on federal approval of NMHIX Level 1 Grant
M,E
5.
Dependent on continued funding to project completion.
M,E
6.
Dependent upon the execution of the ASPEN M&O contract amendment.
M
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PROJECT CHARTER ASPEN-SBM
9.0 ASSUMPTIONS
NUMBER
DESCRIPTION
1.
DoIT will approve state expenditures.
2.
Subject matter experts will be ready and available on schedule, including the
NMHIX.
3.
Departments and State oversight agencies recognize the importance of the ASPEN
- SBM project.
4.
Existing ASPEN system must be maintained during this project with limited
impact to current business operations.
5.
Federal/State/Business requirements will not dramatically change during the
replacement project.
6.
Requirement changes during the replacement project may incur additional costs.
7.
ASPEN “work request” releases to production will continue.
10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY
Project risks are captured in the Project Management Center (PMC) tool used by the project.
Risks are monitored by the Project Leadership team and communicated monthly to the Executive
Steering Committee. The PMO facilitates the Risk Management meetings. Risks continue to be
maintained in the PMC tool. All active risks have written mitigation and contingency plans.
PAGE 23
PROJECT CHARTER ASPEN-SBM
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING
Communication between project stakeholders is key to the success of the project. The purpose
of this communication is to provide:
 Awareness:
o Communication is shared in a timely matter.
o Provide a structured way the project stakeholders receive information.
 Content:
o Advocate a transparent, honest, and multi-faceted approach to communication.
o Create a venue where all stakeholders can constructively debate ideas.
 Communication Flow:
o Coordinate communication with milestones, activities, and events.
o Keep all stakeholders informed while continuing to move the project forward.
 Effectiveness:
o Allow for the continuous oversight of all processes.
o Allow for effective change in management.
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PROJECT CHARTER ASPEN-SBM
To streamline the project, the following matrix outlines the communication expectations of
project stakeholders:
What
When/
Frequency
Type/Method(s)
To keep project
stakeholders
informed about
Senior Project
project strategy,
Manager,
progress & risks to
Executive Owners
success. To
maintain project
continuity & scope.
Monthly
3rd Thursday
Outlook
Notification/ InPerson Meetings
All ESC & Work
Team Members
Executive
To keep Federal
Owners,
Partners informed
(contributions by
of project progress.
others as needed)
3rd Thursday of
the Month
Outlook
Notification/
Conference Call
All PMO
Leadership Team
Members
To keep track of
task completion,
inform members of
progress on other
tasks and to
identify risks to the
project that need to
be escalated to the
ESC.
Weekly on
Thursdays
Outlook
Notification/ InPerson Meetings
As Needed
Outlook, Verbal
Notification/ InPerson Meetings
Weekly
Paper Documents,
Electronic
Documents
Daily (as needed
to update
progress)
Paper Document
and Electronically
Available on
Shared Drive
Audience
Executive Steering
Committee (ESC) All ESC members
Meetings
Federal Partners
Meetings
Project Work
Team Meetings
Purpose
Author(s)
Senior Project
Manager, Project
Manager, PMO
Leadership Team
Members
Strategic direction
Executive Sponsor,
and decisions. To
Executive Sponsor Select PMO
address any
Meeting
Leadership Team
ongoing issues in
Members
the project.
Senior Project
Manager, Select
PMO Leadership
Team Members
To keep project
stakeholders
informed about
project progress &
risks to success
Senior Project
Manager, IT
Project Manager,
PMO Leadership
Team Members
Status Reports
Work Team
Members
Project Timeline
To inform project
ESC, Work Teams,
Senior Project
stakeholders of
& Advisory
Manager, Project
tasks, milestones &
Stakeholders
Manager
deadlines visually
PAGE 25
PROJECT CHARTER ASPEN-SBM
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
The IV&V activities will focus two aspects of the project: the PMO Vendor and the Integrator
Vendor.
IV&V
Description
PMO &
Integrator
Vendor

13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES
SIGNATURE
DATE
EXECUTIVE SPONSOR
CHARISSA SAAVEDRA
EXECUTIVE BUSINESS
& ITD/CIO OWNER
SEAN PEARSON
SENIOR PROJECT
MANAGER
MERV JERSAK
14.0 PROJECT CHARTER CERTIFICATION APPROVAL
SIGNATURE
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PROJECT CHARTER ASPEN-SBM
NAME
PAGE 27
SIGNATURE
DATE