1. Presented to the Project Certification Committee on September 28, 2011
NEW MEXICO PUBLIC REGULATION COMMISSION
Request for Project Closeout :
Public Regulation Commission Insurance Division Document Management and Workflow Project
Presented to the Project Certification Committee on September 28, 2011
November 14, 2018

2. Appropriation History Certification History
NEW MEXICO PUBLIC REGULATION COMMISSION
Introduction
Objectives
Appropriation History
Certification History
Major Project Deliverables and Schedule
Future Plans - FY13 C-2 Request
Q&A
November 14, 2018

3. NEW MEXICO PUBLIC REGULATION COMMISSION
Introduction
In September 2009, PRC received an appropriation from assessments authorized by section 59A NMSA 1978 for the Insurance Division to analyze, evaluate and implement a document management system.
Due to extenuating circumstances, the project was not able to proceed and be completed.
November 14, 2018

4. NEW MEXICO PUBLIC REGULATION COMMISSION
Objective
Request approval from the PCC to close out the Public Regulation Commission (PRC), Division of Insurance (DOI), ECM Gap Analysis Project:
“Gap Analysis” was performed by CSW Enterprises, LLC from March through June 30, The Gap Analysis focused on documenting existing systems and business processes, formulating recommendations for modernizing existing systems by implementing industry “best-practices”, and utilizing an Electronic Content Management COTS solution.
November 14, 2018

5. Appropriation History
NEW MEXICO PUBLIC REGULATION COMMISSION
Appropriation History
Appropriation Date
Amount
Funding Source
September 2009
$930,000.00
Agent surcharge funds, Laws 1996, Ch. 6, as amended by Laws 2003, Ch. 306 and Laws 2005, Ch. 278; some provisions not codified; see 59A for surcharge imposition; Current appropriation in Laws 2009, Ch. 124, Sec.7, Item 7.
November 14, 2018

6. Certification History
NEW MEXICO PUBLIC REGULATION COMMISSION
Certification History
Date
Amount
Funding Source
Sept 2009
$92,000.00
Agent surcharge funds, Laws 1996, Ch. 6, as amended by Laws 2003, Ch. 306 and Laws 2005, Ch. 278; some provisions not codified; see 59A for surcharge imposition; Current appropriation in Laws 2009, Ch. 124, Sec.7, Item 7.
March 2011
$0.00
Same as above
November 14, 2018

7. Gap Analysis Project Major Deliverables Schedule
NEW MEXICO PUBLIC REGULATION COMMISSION
Gap Analysis Project Major Deliverables Schedule
Major Project Deliverable
Project Deliverable Date
Deliverable Amount
Project Work Plan
April 22, 2011
$4,066.00
Current Business Processes and Technical Environment (As-Is Documentation)
May 13, 2011
$30,495.00
Best Practices Documentation
June 10, 2011
$25,412.50
Gap Analysis Documentation
June 30, 2011
$20,330.00
November 14, 2018

8. Deliverable 1: Project Plan Deliverable Description:
NEW MEXICO PUBLIC REGULATION COMMISSION
Deliverable 1: Project Plan
Deliverable Description:
CSW Enterprises was responsible for developing a project plan to track all activities associated with the Gap Analysis.
Plan was developed utilizing Microsoft Project and presented to PRC CIO for review and approval
November 14, 2018

9. NEW MEXICO PUBLIC REGULATION COMMISSION
Deliverable 2: Summary of Current Business Processes and Technical Environment (As-Is Documentation)
PRC Division of Insurance (DOI) business processes are paper intensive, error-prone and at risk for compliance and legal discovery
There are nine (9) software systems in place, all with different technologies and support channels.
The current core application - the Insurance Division Electronic Application Licensing (IDEAL), was developed 12 to 15 years ago.
The underlying toolsets and frameworks are at end-of-life and are no longer supported.
Due to this obsolete architecture, IDEAL cannot meet the regulatory needs established by the National Association Insurance Commissioners (NAIC).
In addition, there are several instances of data loss as a result of multiple data entry applications and workflows.
November 14, 2018

10. Deliverable 3: Summary of Industry Best Practices Documentation
NEW MEXICO PUBLIC REGULATION COMMISSION
Deliverable 3: Summary of Industry Best Practices Documentation
Explores opportunities for the PRC, DOI, to evaluate the implementation of an ECM system that can be used to:
Create a business strategy to streamline current and future business processes to increase efficiency, maximize and protect revenue and improve consumer and staff experiences for:
Workflow with task tracking, alerts and calendaring
E-forms/templates
Website content management and search
Records management and search
Document imaging/scanning, view and storage
Document composition, version control, viewing and archiving
Self-service portal viewing
Providing an environment for supporting Blogs and Web-chats
Identify and evaluate industry best ECM software solutions
Document Best Practices in New Mexico and other states utilizing effective ECM systems
November 14, 2018

11. Deliverable 4: Summary of Gap Analysis (To-Be Documentation)
NEW MEXICO PUBLIC REGULATION COMMISSION
Deliverable 4: Summary of Gap Analysis (To-Be Documentation)
Compares three (3) leading ECM applications relative to DOI business. 1) IBM FileNet; 2) Oracle Content Management Suite; and, 3) Microsoft SharePoint.
Identifies “To-Be” environment that improves division and bureau synergy, cost, efficiency, effectiveness, quality, customer service and growth
Provides a roadmap focusing on the future ECM solution to include a web portal, e-IDEAL.
Details a phase-in pilot implementation plan using a Governance Board to review project materials, test developed products, and review needs as they emerge.
Provides summary conclusions that illustrate expected efficiencies
November 14, 2018

12. NEW MEXICO PUBLIC REGULATION COMMISSION
Future Plans:
As a result of the “Gap-Analysis Study, PRC has submitted a 1.9 million dollar FY13 Special Appropriations C2 Funding Request for an “e- IDEAL” ECM Cots solution with integrated back-end Insurance Case Management System. System objectives include:
Providing a technical computing environment with associated PRC DOI business process improvements, where a ROI can be realized, by implementing a web-based e-IDEAL solution integrated with document scanning, electronic document management, automated business process management and electronic records management.
Desired outcomes include; improving productivity, achieving cost savings, reducing risks associated with paper records and improving service delivery to constituents.
November 14, 2018

13. NEW MEXICO PUBLIC REGULATION COMMISSION
Q&A
November 14, 2018