Schedule IV-B for FL WINS Program.pdf

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SCHEDULE IV-B FOR FL WINS

PROGRAM

For Fiscal Year 2023-24

DEPARTMENT OF COMMERCE

09/18/2023

SCHEDULE IV-B FOR FL WINS PROGRAM

FLORIDA DEPARTMENT OF COMMERCE

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Contents I. Schedule IV-B Cover Sheet

II. Schedule IV-B Business Case – Strategic Needs Assessment

A. Background and Strategic Needs Assessment

1. Business Need

2. Business Objectives

B. Baseline Analysis

1. State of the Program

2. Assumptions and Constraints

C. Business Process Requirements

3. Business Process Requirements

4. Recommended Business Solution

D. Functional and Technical Requirements

1. Functional Requirements

2. Technical Requirements

III. Success Criteria

IV. Schedule IV-B Benefits Realization and Cost Benefit Analysis

A. Benefits Realization Table

B. Cost Benefit Analysis (CBA)

Cost Benefit Analysis Results

V. Schedule IV-B Major Project Risk Assessment

VI. Schedule IV-B Technology Planning

A. Current Information Technology Environment

1. Current Systems

2. Information Technology Standards

C. Proposed Technical Solution

D. Capacity Planning (historical and current trends versus projected requirements)

VII. Schedule IV-B Project Management Planning

Project Phasing Plan/Baseline Schedule

Project Organization

Implementation Plan

Implementation of Category and Individual Projects:

Procurement Strategy

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VIII. Appendices

I. Schedule IV-B Cover Sheet Schedule IV-B Cover Sheet and Agency Project Approval

Agency:

Department of Commerce

Schedule IV-B Submission Date:

TBD

Project Name:

FL WINS

Is this project included in the Agency’s LRPP?

____ Yes ____ No

FY 2022-23 LBR Issue Code:

FY 2022-23 LBR Issue Title:

Agency Contact for Schedule IV-B (Name, Phone #, and E-mail address):

AGENCY APPROVAL SIGNATURES

I am submitting the attached Schedule IV-B in support of our legislative budget request. I have reviewed the estimated costs and benefits documented in the Schedule IV-B and believe the proposed solution can be delivered within the estimated time for the estimated costs to achieve the described benefits. I agree with the information in the attached Schedule IV-B.

Agency Head:

Printed Name:

Date:

Agency Chief Information Officer (or equivalent):

Budget Officer:

Planning Officer:

Project Sponsor:

Schedule IV-B Preparers (Name, Phone #, and E-mail address):

Business Need:

Cost Benefit Analysis:

Risk Analysis:

Technology Planning:

Project Planning:

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II. Schedule IV-B Business Case – Strategic Needs Assessment

A. Background and Strategic Needs Assessment

Purpose: To clearly articulate the business-related need(s) for the proposed project.

In 2021, the Florida Legislature passed House Bill 1507, establishing the Reimagining Education and Career Help (REACH) Act. Governor Ron DeSantis signed the REACH Act into law on June 24, 2021.

This innovative, system-wide approach to workforce development and education in Florida will create opportunities for meaningful employment and economic freedom for Floridians. The “Core Workforce Partners” include FloridaCommerce, the REACH Office (REACH), the Florida Department of Children and Families (DCF), the Florida Department of Education (DOE), CareerSource Florida (CSF), and Florida Digital Services (FL[DS]). If implemented successfully, this initiative will create a “more efficient pipeline from the classroom to the workplace” and will:

— Improve access and opportunity

— Enhance transparency and accountability of workforce programs

— Promote self-sufficiency

— Target investments to enhance career readiness and successful, long-term employment in high-demand, high-earning occupations

FL WINS is a multiyear program that employs a range of strategies, including modernization, integration, and coordination of information systems; realignment of program oversight; data-driven and performance-based decision-making; programmatic reform; and the adoption of new solutions, aimed at reimagining the state’s workforce development system and driving toward a “one-workforce strategy.” This effort will require collaboration between the workforce partners to streamline processes and minimize duplicative data entry from both individuals and workforce-related programs by creating and establishing a common intake form, public facing portal, and a data hub connecting the existing workforce related programs.

1. Business Need

Currently, Floridians who may benefit from employment, training, and/or self-sufficiency programs must navigate through multiple locations (physical and digital) and complete applications for each program separately. There is no formal data sharing or referral system in place between partner entities, thus making it difficult for Floridians to seamlessly access programs and services offered by different partners.

To achieve the objectives of the REACH Act each of the Core Workforce Partner agencies will need to adapt in one way or another – either to extend existing capabilities to support other agencies or build new capabilities which will enhance the interoperability between these programs. To determine a path to successful implementation of FL WINS, FloridaCommerce engaged KPMG, Inc. to provide an assessment of the current systems in use by the Core Workforce Partners. Recommendation areas in the KPMG assessment were streamlined services, empowered individuals, universal access, and increased accountability. As further elaborated below, the assessment identified a strategy that outlines both the business and technology related procurements that are fundamental for all workforce partners to achieve successful project completion. The initial state assessment findings and ongoing Business Process Reengineering (BPR) efforts are categorized into four focus areas consisting of:

— Business Integration

— Policy and Program Management

— Customer Service and Experience

— Technical Requirements.

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The key findings identified in the current state assessment for each of these four focus areas include:

Business Integration Considerations

1) Each agency is predominantly operating strictly according to the requirements of their program policies. Programs have integrated vertically with their partners – such as DOE data sharing with educational institutions – but not horizontally between programs / agencies.

2) Data sharing between programs does occur, but these efforts appear to directly address specific program requirements – such as DCF identifying new cases with workforce requirements to FloridaCommerce, who respond with identified compliance issues.

3) No data sharing or referrals exist beyond these basic requirements. There is no use of master data to share common demographic data or documents to validate identity, income, or work / educational status.

4) Referring customers to other programs which could assist their self-sufficiency efforts are predominantly made as ad hoc suggestions directly to customers based on the knowledge of the individual case worker and do not leverage case management systems.

5) Each agency has established its own customer channels (e.g., online portals, phone support), requiring applicants and customers to contact each agency separately.

Policy and Program Management Considerations

6) While not desirable, it is common across other states to require applicants to follow multiple intake processes for each individual workforce program.

7) A workforce technology solution that can interface with WIOA agencies and partners will decrease data entry processes while increasing data quality and streamlining service delivery to customers.

8) Multiple states have had success sharing contact channels as an integration point; fewer have implemented a shared data hub or shared case management system.

9) There is a complex series of federal, state, as well as corporate rules, laws, and regulations which govern the full spectrum of workforce related programs and services and their required data collection, use, and sharing.

10) In addition to the policy driven data collection and management requirements, there is a complex set of privacy and security rules which govern the sharing of data and the matching of records required to do so.

11) Detailed planning and design will require a concerted effort of a legal and policy working group to identify detailed policy barriers and address options to mitigate such limitations.

Customer Service and Experience Considerations

12) The in-scope systems cover a wide spectrum of workforce services across the Workforce Partners.

13) A universal web portal across Commerce, CareerSource Florida, DCF, and DOE that would provide fully integrated services directly to Floridians does not exist today.

14) For the feasibility of a common intake form and the broad leveraging of customer data, the analysis is still pending as we study the very large data intake forms and their associated data models.

Technical Requirements Considerations

15) The Workforce Partner system architecture is extremely diverse, including some very modern systems and some running on aging and challenging technologies.

16) The technology mixtures range from first generation mainframe technology to second generation client-server technologies, to more modern technology ecosystems around cloud and Software as a Service end-to-end solutions.

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17) Adherence to Florida’s cloud first strategy.

2. Business Objectives

The primary business objective is to bring to fruition the Workforce Innovation and Opportunity Act’s goal of establishing a more unified system for providing workforce services, education, and public benefits. First, this project seeks to improve the fundamental customer experience of job seekers and employers by better aligning, coordinating, and integrating Workforce Innovation and Opportunity Act (WIOA) core programs with one another and with required American Job Center (AJC) partner programs. Second, the project promotes the alignment of the workforce, education, and economic development systems in support of a comprehensive, accessible, and high-quality workforce development system. Third, this project creates the opportunity to provide continual feedback that will support the Workforce Partners in providing the best services possible. The assessment and recommendations are focused on:

— Streamlining services: Florida’s workforce systems must be coordinated and consolidated to best serve participants.

— Empowering individuals: Individuals must be able to make informed decisions including all options to meet their workforce development needs through a “No Wrong Door” approach.

— Universal access: Services must be streamlined and consumer-friendly to ensure widespread accessibility to all Floridians.

— Increased accountability: The state must be able to measure and assess return on investment for the utilization of public funds to provide services to Floridians.

NOTE: For IT projects with total cost in excess of $10 million, the business objectives described in this section must be consistent with existing or proposed substantive policy required in s. 216.023(4)(a)10, F.S.

B. Baseline Analysis

Purpose: To establish a basis for understanding the business processes, stakeholder groups, and current technologies that will be affected by the project and the level of business transformation that will be required for the project to be successful.

An ongoing review of the current Workforce Partner systems is being conducted from both a functional and technical perspective to develop a current state assessment. The scope of the assessment is to develop an understanding of the current systems and functional capabilities, technical environments, applicable state and federal rules and laws, and program requirements across all partners and systems. The current state assessment also includes an evaluation of the services available through the Workforce Partner systems and the current system technical architecture so that a baseline could be established for the development of functional and technical requirements needed to improve the delivery of these services.

The major project areas include:

— Project Management and Governance Support

— Planning and Communications

— IT Operations, Data, and Architecture

— Systems Integration

— Data Integration Hub

— Analytics and Reporting

— Customer Portal

— Core Technologies

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1. State of the Program

NOTE: If an agency has completed a workflow analysis, include through file insertion or attachment the analyses documentation developed and completed by the agency.

Each of the Workforce Partners has established their operational structure and service delivery capabilities in strict accordance with the program policies that fund and govern program administration. Because there do not appear to have been any policy instruments prior to The REACH Act that specifically direct interoperability between these agencies, each has followed a development and improvement path that focuses on the needs of their clients within the boundaries of their own program. As such, access, coordination, collaboration, incentivization, and accountability are the central drivers of this reform.

Systems rationalization and modernization also serve as key enablers.

In the current state, FloridaCommerce implements multiple automated information systems to deliver and manage services and hosts the state’s online labor exchange. The current labor exchange and case-management system—Employ Florida—does not presently integrate with the state’s Supplemental Nutrition Assistance Program (SNAP) or Temporary Assistance for Needy Families (TANF) case management system, ACCESS Florida. Additionally, the main in-scope State level systems at FloridaCommerce, DCF, and DOE do not interact with any of CareerSource Florida’s (CSF) Local Workforce Development Boards (LWDBs). These are the numerous entities that partner to make up the Workforce Development System (WDS) individually operate their own information- and case-management systems. According to the Bill Analysis that was prepared by the State House of Representatives Staff, these “fragmented case management systems and siloed data collection…hinder coordination of service delivery.” The REACH Act advances several initiatives to streamline case management systems and data collection efforts to better coordinate service delivery.

The current and ongoing interactions among Workforce Partner systems are shown in the graphic below from both a functional and technical perspective. Workforce Partners’ levels of data sharing consists of manual referrals and transfers and are fairly immature where they exist.

There appear to be sufficient differences in how agencies interact with clients and broader stakeholders that encourage silos and increase barriers to integration. This lack of coordination presents significant missed opportunities in serving Floridians.

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There are varying levels of automation and standardization in how Floridians who are participating in one program are informed about other complementary programs. For example, DCF provides automated referrals through data transfers of updated caseloads, yet this referral strategy is not reciprocated by FloridaCommerce. Case workers simply provide clients with information on how they can apply to DCF programs if they feel that the client might be eligible. Whether or not a customer is referred to other programs (which could assist them gain self-sufficiency) is highly dependent on the skills and experience of the case worker to which they are assigned. Because FloridaCommerce provides referral information only to the customer, it is extremely difficult to track the association of FloridaCommerce referrals to DCF applications. FloridaCommerce’s reciprocal information sharing is limited to informing DCF of clients to be sanctioned for failing to fulfil their TANF workforce requirements. Referral activity to and from DOE is fairly limited as few students or prospective students interact directly with the agency unless there are specialized programs such as vocational rehabilitation from which the individual gets direct case management support.

Logically, each agency has developed their service delivery models to predominantly operate according to the requirements of their specific program policies. Programs have integrated vertically with their partners

– such as data sharing between DOE and educational institutions – and are horizontally integrated between programs/agencies to directly address specific program requirements – such as DCF identifying new cases with workforce requirements to FloridaCommerce, who responds with identified compliance issues;

however, this basic information sharing and some warm-transfer referral calls are the extent of current integration between the Workforce Partners. Each agency maintains its own client portals, its own call centers or phone support, and separate physical office locations. There has been no integration of customer support operations to simplify customer contact points and train intake staff to triage requests to potentially support multiple programs. Each agency is independently responsible for collecting the data that it requires through its dedicated channels.

2. Assumptions and Constraints Based on the analysis of the current state, we found that some of the core Workforce Partner systems have been recently developed on modern technical platforms, and others still operate on aging technologies.

Based on workshops and discussions with departmental staff, we also evaluated their abilities to meet business needs. The following assumptions can be made about the current systems and likelihood for integration, interoperability, improvements, or replacement:

Maintain / Consolidate

Employ Florida and the DBS/DVR Aware systems are both modern systems that have the capacity to perform well against integration requirements listed later in this document.

Improve Business Functionality

EMOP and WIDb are all special purpose data-based systems that perform well for only a subset of requirements. These systems – especially EMOP – have the capacity to be invested in to perform enterprise level data management functions.

Improve Technical Structure

Both RECONNECT and ACCESS Florida have some strong capabilities that could be leveraged, but the aging technology of the core systems are expected to require more effort to integrate with other workforce

FY 2023-24 Page 8 of 115 systems. ACCESS Florida in particular comprises multiple components, some of which would score much higher if considered independently, while others would not score as well.

The business value and technical quality (BV/TQ) of these current state systems was assessed in the initial IV-B. However, in the past year the Business Process Reengineering project validated in-scope programs and applications and found the original assessment to be incomplete. To ensure that the BV/TQ of each in-scope program and system is accurate, there are ongoing efforts to conduct gap analyses and to ensure that the FL WINS Program accounts for other Workforce Partner modernization efforts. This is a continuous and ongoing initiative throughout the life of the Program.

Collaboration

Implementation of the FL WINS program will require continuous collaboration and “buy-in” among REACH, FloridaCommerce, DCF, DOE, CSF, and FL[DS].

A known constraint is establishing and maintaining a shared vision among the workforce partners. This is a critical dependency for the long-term success of the program, as different visions could arise among workforce partners that could hinder the success of the program. It is crucial for workforce partners to agree on a shared vision from the start and sustain it throughout the life of the projects and program.

The core workforce partner agencies will be required to review their resource needs specific to the FL WINS program and identify resources to contribute to project success throughout their programs. Each agency will determine whether existing agency staff are available to allocate to the FL WINS program or if staff must be hired or procured to meet those needs. Program resources may fluctuate in the amount of time required on project activities throughout the life of the program. Workforce partner agencies will need to identify resources available in each applicable legal, budget, contract, program area, and information technology (IT) office. In addition, each workforce partner agency may need to submit a legislative budget proposal to acquire additional staff to allocate to this program.

Cost Specific Assumptions:

— Existing Program costs for FY 2022-23 were provided for each system by the responsible agency.

Future year costs were straight-lined using the 2022-23 data where additional cost data was not available.

— This project will primarily utilize vendor resources (Managed Services) for development, implementation, and project management. State-managed personnel needs are assumed to be minimal (10 FTE and 5 OPS). Costs have been adjusted to reflect higher Applications Maintenance (Managed Services and Software) costs.

— Cost estimates were developed by researching comparable large scale transformation projects and leveraging industry experiences on some of those transformation projects. The effort and cost required for the integration development for each of the existing systems, however, is difficult to estimate without more detailed IT cost data. In addition, there are always some cost differences even with comparable projects due to scope differences and the competitive marketplace at the time of procurement.

— Cost estimates were developed for integration of college and university systems; however more specific estimates will be required when more detail is available on college systems.

— Costs could increase should the State’s requirements include a broader set of functionalities than the baseline comparators used in the feasibility study.

— The total project cost assumes transitional operations and maintenance costs only. Transitional operations and maintenance are costs that occur in the six months following full implementation, which may be needed to address defects or deficiencies. Ongoing costs for operations and maintenance following this six-month transitional period are not reflected. The reason for this treatment is that the IV-B is not a request for ongoing operating funds, but a request for non-recurring funds needed to implement the project. Any costs necessary for ongoing systems operations and maintenance will be requested separately.

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— The CBA was developed with the assumption that all aspects of the project would be funded using General Revenue (either supplemented with State Fiscal Recovery Funds or with state GR). It is possible that federal administrative dollars provided to each agency could be used for some implementation and/or ongoing/transitional costs.

Project specific assumptions and constraints and updates can be found within their respective projects in the Implementation Section of this document.

C. Business Process Requirements Purpose: To establish a basis for understanding what business process requirements the proposed solution must meet in order to select an appropriate solution for the project.

3. Business Process Requirements

As outlined in II.A.1. The business process requirements are grouped into four focus areas:

— Business Integration

— Policy and Program Management

— Customer Service and Experience

— Technical Requirements

Business Integration

— The ability to provide coordinated services among Workforce Partners.

— The ability to inform Floridians on all complementary programs available through different agencies via:

i. A wholistic integrated system that is designed to serve all Floridians across all possible service scenarios including integrated eligibility and enrollment logic for public assistance, reemployment benefits, labor exchange, and education and training.

ii. Career counselors, case workers, and local workforce development centers.

Policy & Program Management

— The ability to evaluate each Workforce Partner and whether they are meeting program requirements.

— The ability to provide customer profiles and customer segmentation statistics.

— The ability to provide volume metrics across each program area with DOE, DCF, and Commerce.

— The ability to compare performance capabilities against similar systems in other states.

— Measurable results to assess the return on investment for the public funds used to provide services to Floridians.

Customer Service and Experience

— Reduction in burden on the customer by providing consistent self-service options and information intake.

— Individuals must be able to make informed decisions including all options to meet their workforce development needs through a “no-wrong-door-entry strategy” approach.

— Reduction in duplicate interactions across programs through improved data sharing.

— Improved transparency to track customer progress across programs.

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Technical Requirements

— Application Architecture (modern COTS (commercial off-the-shelf) software applications vs. older custom development models) including application integration (end-to-end application elegance, self service capabilities).

— Platform Architecture (On premise vs. modern cloud technology) and the necessary Security structure for each.

— Application Maintainability Factors (source code, modularity, outsourced vs. insourced, code brittleness, modern application programming interfaces (APIs) are available).

— Data Management Architecture (data as an Asset) ability to extend from reporting to advanced analytics.

— Master Data Management / Common Client Identifier

4. Recommended Business Solution

NOTE: For IT projects with total cost in excess of $10 million, the project scope described in this section must be consistent with existing or proposed substantive policy required in s.

216.023(4) (a) 10, F.S.

Hybrid Integration

To move from the current state of the workforce partner’s systems to the future integrated state, Commerce procured a vendor in 2021 to complete a Feasibility Study to gather a baseline of existing business and technical capabilities from each workforce partner to establish the requirements needed to improve the delivery of services to Floridians. A hybrid integration option was selected as the best option to move forward with for implementation. This option addresses functional and technical requirements in six areas of integration:

— Data management

— Case management

— Public access

— Analytics and reporting

— Referrals

— Application/intake

The integration of core workforce partner systems will remove barriers to interoperability among services provided to Floridians and will provide a no-wrong-door point of entry to access information from all participating Workforce Partners. This will result in improved and efficient alignment of workforce services for Floridians across state agencies and streamlined processes that will minimize duplicative data entry from both individuals and workforce related programs. Integration will enable more comprehensive data in one place to enhance analytics and outcome performance measurement. There are no existing, comprehensive market solutions available to completely replace the existing Workforce Partner systems, and as the Workforce Partner programs currently operate with very different data definitions, case lifecycles, business rules, and processes, a system to replace all of those would require a great deal of custom development, configuration, and data conversion, which presents a very high level of complexity and risk.

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The addition of the shared customer portal will provide a centralized location where Floridians can access information about services available from the Workforce Partners. Floridians will be able to create an account and use it to apply or access a variety of self-service options. Implementation of a public portal will improve access, communication, and opportunity; promote self-sufficiency; drive efficiency; and improve the overall experience of interacting with the workforce system. It also promotes the following benefits for the partnership: streamlined eligibility; reduced manual data-entry; more consistent applicant and client data; and reduced levels of effort required for making referrals, noticing and reminding, and providing information and support. It could also improve back-office data management and provide a rich source of data for analytics.

With a single account sign-on, common data elements and documents collected from customers can be directly stored at the integration layer rather than collecting and disseminating them from existing systems.

The is being planned and developed in major phases, operating in parallel with existing portals at first to reduce risk. The common portal will start with an initial shared account for collecting basic household data and document management and then add a single dynamic intake form in time.

Example Graphic of a Potential “To-Be” Technical Architecture Diagram

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Hybrid integration’s front and back-office enhancements can advance the state’s strategic objectives and do so without the complex case-record changes that would be needed for a large-scale public portal. In addition, this model addresses the functional and technical requirements established for this workforce transformation.

― Data Management:

- Data integration capabilities will enable data sharing across agency partners. Existing systems will remain in use.

- Data will be extracted, transformed, validated, integrated, and accessible by appropriate Workforce Partners and customers.

- Data will flow in and out using the enterprise service layer, and the entire system will stay in sync.

― Case Management:

- Preserves existing and familiar case-management applications.

- With data sharing and integration through the integration effort, the analytics and dashboard components can provide perspectives approaching a 360-degree client view.

― Public Portal:

- The portal included will enable a range of public-facing functionality.

- Implementation of the portal will follow a well-developed roadmap, with initial steps providing links to the existing systems and extension of general information.

- Additional features will be deployed to the public portal as they are developed and tested.

- More powerful account management and self-service offerings can also be supported.

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― Analytics and Reporting:

- Integration will allow more comprehensive data from across the Workforce Partner systems to be accessed by appropriate Workforce Partner staff, which will enable enhanced analytics.

- Information extraction can yield a wide range of choices with focused perspectives.

- Access to more data will encourage better insights and enable utilization of artificial-intelligence techniques, such as recommended referrals when options are available.

- On-going analysis will promote improved reporting consistency.

― Referral:

- Hybrid integration and a public portal could support a broad range of common, high-value referral tools.

- Self-service options can also be offered.

― Application / Intake:

- Will support functionality ranging from retention of current intake processes to the extension of a centralized application that can support program choice and dynamic, coordinated questioning, eliciting the information needed by any or all programs.

While there are clear advantages to this approach, the needed process and data integrations will still present design and development challenges.

D. Functional and Technical Requirements Purpose: To identify the functional and technical system requirements that must be met by the project.

This section outlines the high-level system requirements that define an integrated and coordinated workforce-partnership program. With the vision of the REACH Act in mind, business objectives were explored with agency stakeholders in relation to their needs and the needs of their partners and clients.

This ongoing evaluation of the current capabilities will open opportunities to leverage technology to enhance capabilities, quality, and accountability. The requirements that follow are the result of this effort.

Three kinds of requirements are included: “Functional” requirements answer “what” questions: What must the system do? The answers describe system features and use. “Data” requirements describe how information flows through the system and answer how information is collected and shared. Finally, “technical” (or “non-functional”) requirements address “how” questions, describing how the system is to be built. Collectively, the answers shed light on the three pathways, and support directional choice.

1. Functional Requirements

Future State Functional Requirements – Client Portal

TITLE REQUIREMENT

Information Access

Provide information about programs and services for which users may qualify and links to other sites and events.

Login/Logout Provide a page that will create and manage an individual’s login account and username and password information.

Single Sign-On Have a single sign-on account for all clients that can access personal data from multiple programs.

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TITLE REQUIREMENT

Data Wallet Manage personal, basic information, such as name, address, phone, and email.

Case Information Provide a capability that will maintain the history of all: referrals submitted, approved consents, and forms or documents submitted by or on behalf of the user.

Communications Provide an interface that will support access to communication channels, such as a ChatBot, e-mail, and phone. The interface must support bi-directional interactions and channel transmission of notifications about upcoming events and opportunities.

Mobile Access Enable a user to access the portal and all portal functionality from a mobile device.

Document Management

Provide the ability to upload documents and forms, such as: identification, proof of employment, and home address, among others.

Search Provide search functionality, enabling users to find available programs and offers (e.g., job boards, training, tech, higher education, etc.), using keywords, search criteria, and filters.

eNotices Provide the ability to opt in to electronic-notification access via their accounts and to receive electronic notifications instead of mailed, paper notices.

Program Management

Provide the ability to view case information, such as: the status of all open and relevant cases, case-management assignments, upcoming requirements, milestones, etc.

Future State Functional Requirements – Application/Intake

TITLE REQUIREMENT

Dynamic Intake Common intake processes will include dynamic forms that only solicit the data that is required, based on information provided and programs selected.

Intake Form Grant access for users to submit and manage an intake form.

Potential Intake Options

Elicit and utilize user input to recommend programs; support dynamic, common intake form.

Process Information Provide information about upcoming activities that are related to submitted and received referrals.

Alerts and Notifications

Send notifications, such as: confirmation of intake-form receipt, existence and availability of created drafts, and reminders of upcoming meetings, outstanding intake forms, or the need to submit referral requests.

Related Programs Allow the user to view information about other programs or services for which they may be eligible.

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Future State Functional Requirements – Case Management

TITLE REQUIREMENT

Alert and Notifications

When a client is actively enrolled in multiple programs, send an alert to a program when the case record for another related program is created or changed.

Information Management

When a client is actively enrolled in multiple programs, data entered in a case record for one program must be automatically added to case records for other active, related cases.

Case Definitions Individual case definitions must be supported for each program’s requirements.

Multiple Case Association

Solution must be able to associate the same individual with one or more cases or multiple individuals to the same case, as some case types may include more than one person.

360 Degree Client View

Provide a 360-degree view of the client, such that data entered in the case record for one open or closed case can be displayed in the case records for other active, related programs.

Casework Allocation

Support assignment of work and information sharing for either case-based or task-based case-management systems.

Program Review Cycle

Coordinate periodic program reviews for multiple, active cases.

Activity Monitoring Activities and interactions that have taken place in one active or closed program may be displayed in other active, related cases.

Information Sharing Restrictions

— Information shall only be shared if permitted by law, policy, or configurable accessibility settings.

— Sending and receiving programs shall have the ability to configure the sharing rules for individual programs, program groups, and data types.

Case Manager Communications

Case managers must have the ability to communicate with other identified case managers who are supporting an individual or group in other common, active cases.

Future State Functional Requirements – Referrals

TITLE REQUIREMENT

Program Recommendations

System must be able to support eligibility screening and program suggestions.

Program Selection — Users shall have the ability to electronically initiate application for programs or services that are of interest to them.

— Users shall have the ability to electronically initiate a referral request.

Additional Information

— Users must be able to electronically add information or upload documents supporting a referral request.

— The system must be configurable, such that the additional information or documentation can be program specific.

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TITLE REQUIREMENT

Consent — Users must be able to electronically create and sign consent for treatment or information sharing.

— System must be able to automatically to share information, as specified.

Referral Tracking The system shall log, generate, and display a list of all referral requests. The list shall include the name of the referee, the date the referral was sent, and the referral status.

Alerts and Notifications

The system must be able to send notifications of referrals sent, drafts created, and reminders to consider new programs and opportunities for which they may be eligible.

Case Manager Referral

Case managers must be able to initiate referrals. System must support automation of specified referral functionality.

Referral Data Sharing

— When a referral is made across programs, applicant or client data shall be made available to receiving programs and providers.

— Information shall only be shared if permitted by law, policy, or accessibility settings.

— Sending and receiving programs shall have the ability to configure the sharing rules for individual programs, program groups, and data types.

Referral Format Establish a consistent format for referral information that is shared across programs with consistent referral data, which includes referral to, referral from, case history, and other pertinent information.

Future State Functional Requirements – Data Management

TITLE REQUIREMENT

Common Client Identifier

Establish a common client identifier that can clearly map authoritative identification of an individual and their household relationships.

Client Account Matching

As a condition of cross-program data sharing, systems shall verify that the data to be shared matches the requirements of the receiving system. Verification shall be based on configurable, field-specific rules.

Common Data Data that is created by one program shall be available for use by other programs.

Shared Verifications — Before verification information or documentation is solicited from an applicant or client, the requesting system shall ascertain whether the information has already been verified by searching a repository of verified data.

— The repository mechanism shall include data from internal and external sources, as well as information or documentation that the applicant or client submitted previously.

— The repository mechanism of verified data shall include level-of-trust information.

Trust levels shall be based on configurable factors that shall include the date the information was verified and the methodology that was used to verify the information.

— Requesting systems shall utilize trust levels to determine whether pre-verified information shall be accepted.

— If the verified information satisfies the receiving system’s configurable trust levels, FY 2023-24 Page 17 of 115

TITLE REQUIREMENT

the receiving system shall accept the information as verified, and not generate a new verification request.

Validation Status Sending and receiving systems shall have the ability to track data-validation status, timing, and source of all data that is received from other programs.

Data Availability Data that is collected in one system shall be made available to other programs (real-time to batch).

Verification Method To maximize data protection and validation, systems must utilize stringent, configurable, verification methods.

Data Sharing Rules — Information shall only be shared if permitted by law, policy, or configurable accessibility settings.

— Sending and receiving programs shall have the ability to configure the sharing rules for individual programs, program groups, and data types.

Future State Functional Requirements – Analytics and Reporting

TITLE REQUIREMENT

Common Information Reporting

A configurable subset of common information from all programs shall be available to all programs for analytical purposes.

Standardized Reporting

The system must be able to generate standardized reports that are based on the most current available data. Reports must be available to authorized users.

Data Availability The system must support real-time inquiries about the availability and status of operational data.

Data Planning Reporting functionality must have access to de-identified, aggregated data for policy and planning purposes.

Program Outcome Tracking

The system must be able to generate and provide macro and case-level reports on program outcomes and accountability.

Trend Analysis The solution must have the ability to identify a program’s trend impacts, based on requirements that are configured for other programs.

Report Generation Reports must be available on demand.

Demographic Tracking

The system must have the analytical capability to report on demographics and trends across programs.

2. Technical Requirements

The following areas of consideration are critical for effective technology solutions:

FY 2023-24 Page 18 of 115

— Portal: Applicants, clients, partners, and departmental staff interact with a solution or a system via a portal, which typically serves as the face of the solution.

— Data: Compiling and analyzing data from multiple sources will provide organizations with crucial information. Data analytics and visualization methods can greatly assist organizations with turning raw data into meaningful, valuable, and actionable insights and trends.

— Security: Properly securing a system protects against fraudulent activities, data loss, and negatively impacted system performance.

— Others: Self-diagnosing and self-healing.

Future State Technical Requirements – Portal

TITLE REQUIREMENT

Portal Accessibility and Compatibility

— The portal must be responsive, user-friendly, compatible with all mainstream browsers, and easily accessible from desktop computers, as well as mobile devices.

— All intended users must be able to access the portal. It must fully comply with the Americans with Disabilities Act (ADA), and any other applicable state or federal accessibility standards.

Portal Availability The portal must be available 99.999% of the time.

Proactive Validations

The portal must offer front-end format validation to avoid any inclusion of bad or corrupt data, accurately inform the user about incorrect inputs, and provide pointers like “caps lock.”

Informing Unavailability

Using approved languages, the portal must accurately inform users about the unavailability of a component or content, due to scheduled maintenance.

Printing When users employ supported browsers, the portal must support the printing of webpage content and the downloading of content in HTML and PDF formats.

Colors The visible colors and combinations used within portal must be compliant with state and federal guidelines.

Preferred Language Selection

Users must be able to choose their preferred language, as required by state and federal policies, and the portal must be compatible with available translation tools.

Privacy of Information

— Based on configurable rules, all sensitive or confidential data must be either encrypted or blocked.

— Access to all information must be regulated by configurable role and person-based rules and comply with applicable state and federal law and policy.

— The portal must log user access to the system and to data.

Effective Communication

Portal design must ensure that, when they use a production system, users do not see technical implementation details in error messages. Any error messages must not impact the user experience.

Unsupported Browser

When the portal website is accessed through an unsupported or under-supported browser type, the system must display a dismissible alert.

Helpful Features The portal must provide online help, a site map, and frequently asked questions and responses.

FY 2023-24 Page 19 of 115

Future State Technical Requirements – Data

TITLE REQUIREMENT

Data Recovery The data solution must offer failover, backup, and disaster recovery (DR) including a business continuity plan (BCP) plan.

Data Expansion

Data integration capabilities must be cloud native and should offer scalability.

Data Security Data integration capabilities must ensure that data at rest or in transit is encrypted as specified in the organization’s guidelines.

Data Privacy Data sharing across organizations must comply with applicable state and federal laws and policy.

Data Speed The data solution must be a commercial Off-the-Shelf (COTS) or a commercially supported open-source platform, providing the needed transaction speed by the state.

Data Quality The data hub must have data-cleansing and quality modules to correlate and merge duplicate data with 99.999% accuracy.

Data Integration

Data integration capabilities solution must be able to integrate with all in-scope systems, including legacy technology, like mainframe IMS.

Data Hosting Data integration solution must be hosted on a state-approved government, public cloud ,or SaaS solution, as required by the state.

Data Environments

Data integration capabilities must include all environments necessary to develop and test changes and to support the solution-implementation lifecycle.

Data Bandwidth

Data integration solution provider must review the existing network architecture, determine the network and bandwidth requirements, and support any enhancements needed to achieve state-mandated performance levels.

Data Governance

Data integration solution must support governance capabilities, such as metadata management, data quality, and master data management (MDM).

Data Compliance

Data integration solution must maintain compliance with current state data policies.

Data Monitoring

Data integration solution must provide, configure, and operate tools and a monitoring function to monitor state-approved key performance indicators.

Data Tracking Data Integration solution must offer a dashboard that is capable of displaying performance indicators.

Data Architecture

Data integration solution must have an architecture with no single point of failure. It must support fault tolerance and failover of web, applications, database, storage devices, and secondary devices such as load balancer.

Data Resiliency The overall solution must ensure that the production integration layer, including its associated portals and interactions, are available 99.999% of the time.

Data Auditing The solution must ensure that all incoming and outgoing transaction data is logged, archived in human-readable formats, and reasonably available to support audit reporting and other business needs.

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TITLE REQUIREMENT

Data Retention The solution must comply with any applicable state and federal confidentiality requirements regarding the collection, maintenance, use, and protection of data.

Data Log Naming Convention

Data integration solution must store all log files and audit logs in a file with a standard, state-approved naming convention.

Integration Compatibility

The enterprise integration platform must act as the communication broker for all in-scope organizations.

Log File Naming Convention

All portal error reports and audit trails must be stored in a file with a standard, state-approved naming convention.

Future State Technical Requirements – Security

TITLE REQUIREMENT

User Authentication

The solution must include centralized identity access management (IAM) that is synchronized with the active directory of all in-scope organizations and must be able to authenticate users from state directory services.

Security Enrichment

The solution or portal must provide a mechanism for multi-factor authentication and set-up authentication.

Security Monitoring

The solution, portal, and data integration solution(s) must have a monitoring and reporting tool to continuously assess security posture to find and fix vulnerabilities.

Sensitive Information

The solution or portal must include authentication and authorization services to protect sensitive information.

Data Transfer Security

The solution or data integration solution must securely transfer data over public and private networks, using a state-approved transfer protocol.

Virus Scanning The solution or portal must have the capability to automatically scan all incoming files for viruses and other security-related vulnerabilities.

Access Control IAM…