Statement of Work

Statement of Work

For

A Document Management System for the

University Medical Group (UMG)

Table of Contents

1.0 Introduction 5

1.1 Project Title 5

1.2 Background 5

1.3 Objectives 7

1.4 Reference to other applicable documents 8

2.0 Staffing Roles and Responsibilities 9

2.1 Staffing 9

2.2 Roles and Responsibilities Matrix 10

3.0 Key Assumptions 16

4.0 Risks 20

5.0 Scope of Work 21

5.1 Inclusions 22

5.2 Exclusions 23

5.3 Deliverables 23

5.4 Milestones 24

6.0 Work Approach 24

7.0 Completion Criteria and Final Acceptance 26

7.1 Completion Criteria 26

7.2 Final Acceptance 27

8.0 Schedule 27

9.0 Project Management 27

9.1 Enterprise PMO 27

9.2 Project Status Reports 28

10.0 Relevant Organizational Policies, Standards, Supported Software & Environment 29

11.0 Timeline and Period of Performance 31

12.0 Compensation and Payment Schedule 31

13.0 Miscellaneous 33

14.0 Appendices 34

Statement of Work

1.0 Introduction

1.1  Project Title

This work is being performed for the University Medical Group (UMG).

This Statement of Work (SOW) for the Document Management System (the “Project”) is made and entered into by and between University Medical Group, LLC (“UMG”) and [Contractor]. This SOW incorporates by reference the terms and conditions of Contract Number [XXX-XXX-XXX] in effect between UMG and [Contractor]. In case of any conflict between this SOW and the Contract, the Contract shall prevail. The UMG and Contractor agree as follows:

1.2 Background

The University Medical Group (UMG) is a physician’s practice comprised of 150 physicians across 20 specialties. UMG physicians are on the staff of University Medical Hospital, serving patients across the greater Chicago area. Specifically, UMG maintains:

·  One main facility (located on the campus of University Hospital), housing 80 physicians, including 68 specialists and 12 primary care physicians (PCPs).

·  Ten other office locations across the Chicago area, each of which houses between five and eight physicians. There are 50 PCPs located across these clinics as well as 20 specialists.

·  An offsite paper records storage facility managed by a 3rd party, Iron Mountain, for all paper records ≥ five years old. Iron Mountain provider shreds all records ≥ 10 years old.

At UMG our Mission is to deliver the highest quality of care to the communities in which we operate. We seek to improve both patient outcomes and patient satisfaction in a cost effective manner, and leverage our relationship with University Hospital to bring the latest advances in medical research to the patients we serve.

In 2010, UMG implemented Epic, an electronic medical records (EMR) system, and has successfully deployed computerized physician’s order entry (CPOE), clinical documentation, and clinical decision support modules. Any system proposed to UMG must be compatible with and integrate into the currently installed Epic environment.

While successful in the implementation of its EMR system, UMG is still challenged with the on-going presence of paper documents in its workflow. Since the implementation of the Epic system in 2010, standard practice has been to capture all patient information using the clinical documentation features of the system. However, historical paper charts are still kept in each facility. Physicians perpetuate the paper form factor when they request that information from the EMR be printed out; they then update that information on paper to be included in the chart.

As a result of this dual workflow, UMG has not realized the full benefits from its investment in an EMR, and must also maintain a large medical records department (both in terms of personnel and space) in several locations. Added to this cost is the contract in place (expiring at end of 2012) with Iron Mountain to store/shred records ≥ five years old in accordance with Illinois guidelines and UMG’s policies. UMG staff is often required to travel back and forth to retrieve documents from Iron Mountain’s facility, located one hour from downtown Chicago.

UMG is seeking to eliminate the paper chart and reduce related costs through the electronic capture, storage, and viewing of longitudinal patient data in the EMR system. The ideal system will also integrate and coordinate overall records retention schedules (both paper and electronic, onsite and offsite), and provide document status (e.g. offsite, being scanned, in record). Timeframe for start of enterprise-wide deployment of a document management system is July of 2012, with completion of roll-out and transition to new workflows/systems complete by December 2012.

1.3 Objectives

The key objective of the Project is to establish a common digital repository comprised of all patient data that will be shared, accessed, and updated across all UMG locations. This requires not only that historical paper-based documents be digitized, tagged, and included in individual patient records, but that a system and set of processes be put into place to enable on-going, real time capture of information during patient visits. Other objectives of the Project include:

·  Improving patient care through enabling clinicians’ real time access to a patient’s longitudinal record during the patient visit. The EMR will contain adequate historical data for the clinicians to provide safe care for their patients, and patients will be satisfied that their physician has appropriate information in the EMR for their care.

·  Leveraging the investment already made in our existing EMR to include the full patient record, including paper input provided from third party providers (e.g. lab results, physicians outside the UMG practice). Any proposed system or process must be fully compatible and integrated with the current Epic EMR system.

·  Facilitating physician acceptance of a fully electronic environment through improvement of physician workflows/schedules. This should in turn increase the practice capacity for seeing additional patients.

·  Decreasing patient wait times and increasing patient satisfaction due to elimination of patient interview forms each time a visit is made.

·  Complying with Meaningful Use guidelines in order to be eligible for Federal and State subsidies for EMR implementation, as well as to continue to be eligible for full reimbursement rates for Medicare/Medicaid patients post-2014 (deadline for implementing an EMR system).

·  Reducing the amount of space being consumed by paper chart storage in each facility, which in turn should enable consolidation of physician practice offices.

·  Reducing the number of clerical staff currently focused on managing paper charts.

·  Reducing and ultimately eliminating the cost for Iron Mountain, as well as eliminate time/delays spent/incurred by UMG staff retrieving records from that facility.

·  Better compliance with the State of Illinois record retention policies.

1.4 Reference to other applicable documents

The following can be found in the Appendix:

·  Project Charter

·  Project Plan

·  Formal Request for Proposal sent to potential vendors

·  Standard UMG Contract Language, Terms and Conditions

·  EpicCare System documentation

·  Map of UMG current network infrastructure

·  List of supported hardware, software

·  UMG security standards

2.0 Staffing Roles and Responsibilities

2.1 Staffing

The Contractor’s Project Manager is:

Name:

Address:

City:

Organization & Zip:

Phone:

Cell:

Fax:

UMG’s Project Manager is:

Name: Charlie Kesinger

Address: 2020 Enforcer Way

City: Pluto

Organization & Zip: PMO Consultants, 75309

Phone: (111) 222- 3434

Cell: (111) 246- 9876

Fax: (111) 222-5000

Email:

2.2 Roles and Responsibilities Matrix

Contractor Staff, Roles and Responsibilities:

The Contractor will provide the following support to the UMG Document Management Project Team:

Contractor Role / Function / Responsibilities
Executive Sponsor / This individual will be a high level member of the Contractor’s Senior Leadership Team—not a Sales resource. He/she will represent the Contractor at all read-outs to the Project Steering Committee. / Overall relationship management between Contractor and UMG
Project Leader / This individual will be dedicated 100% to the Project, and will interface directly with the UMG Document Management Project Leader. The Contractor Project Leader will be tasked with reporting out to the Steering Committee on an agreed upon schedule. / ·  Primary responsibility will be to ensure contractor delivers against plan on time and on budget. The contractor Project Leader will function in close association with the UMG’s Project Manager to ensure successful implementation of the project.
Technical Leaders, both Application and Infrastructure / These resources will interface with their respective counterparts on the UMG team, and will ensure solution meets UMG’s application and infrastructure standards. / The contractor will provide technical support for the analysis, build, and implementation of the project. The technical team leaders will work closely with the CIO to ensure installation of the software and optimal technical performance of the system.
Legal/Procurement resource / Represent the Contractor in all contract discussions. / Will act as the primary contact for all contract discussions and negotiations, with input from the Contractor’s and UMG’s broader team.
Training / Transfer knowledge for the new system and processes to UMG users, including physicians, nurses, clerical staff, and others in the organization. / The trainer is responsible for ensuring transfer of knowledge in use and minor troubleshooting of the system to the HIM director and the clerical/EDM analysts. The training sessions are expected to occur one-one and last two hours to ensure individualized attention to the steps in the process and using the system.
Testing / Ensure the system meets the acceptance criteria as outlined in Section 7. / The testing support person will work with the trainer, CIO, PMs and technical lead regarding testing of the interface, scenarios testing to ensure all functionality is assessed and optimized.
Project Analyst / Ensure communications both with the contractor team as well as between contractor and UMG. / The analyst will assist in scheduling meetings for the project team, ensure meeting rooms are selected, send meeting reminders, provide communications with the corporate office and provide minutes of meetings as well as documentation of testing logs. The analyst will also assist EDM team members in other duties as required.

The contractor will provide a project manager (PM), training team, and project analysts. Support for the technical build will be provided by the contractor, in close collaboration with the organization’s CIO, with respect to infrastructure, hardware and interfaces. For the planning and go-live phases of the project, the CIO is expected to be committed full time to the project with subsequent involvement on an as-needed basis.

The contractor will provide for additional support services on an ongoing basis, with a plan for decrementing the support hours beyond the first six months. After the first six months, the support contract will change to the maintenance agreement as outlined in separate documentation. Support will be charged to the physician organization on an hourly basis dependent.

UMG Organization Staff, Roles and Responsibilities

The Project Sponsor is the CEO. She will be joined on the project Governance Board by the CIO/CTO, CMIO, the CFO/Practice Administrator, the General Council, the COO. The overall UMG organizational structure is as follows:

Relative to the Project, the Senior Leadership Team has the following roles/responsibilities, and will form the Steering Committee for the overall Project Team:

Management Role / Function / Responsibilities
Chief Executive Officer (CEO) / The CEO of UMG has overall responsibility for ensuring that the practice consistently delivers on our Mission of delivering the highest quality of care to the communities in which we operate in a cost effective manner. The CEO also has responsibility for ensuring that UMG complies with all state and federal laws regarding healthcare delivery. The CEO also ensures that investments made in facilities and systems are on track with and contribute to the success of UMG’s strategy. / The CEO must sign off an all investments $15,000.
Chief Medical Informatics Officer (CMIO) / The CMIO translates the needs of the Practice into the requirements for clinical support systems, and has overall responsibility for ensuring that UMG’s clinical support systems (including the EMR and the document management systems) meet the needs of UMG’s various constituencies.
The CMIO will also work to develop physician buy-in of the project and enhance communications regarding project goals. This will include project kick-off meetings with physicians at each clinical site and prior to the implementation, as well as meeting with leadership at each clinic weekly during the implementation phase. The CMIO will be present for the first day of implementation at each clinic including the end of the day team huddles. / The CMIO must sign off on all user requirements, as well as any new clinical system or clinical system upgrades prior to moving to implementation, regardless of level of investment.
Chief Financial Officer/Practice Administrator (CFO) / The CFO has a fiduciary responsibility to ensure that the UMG remains a profitable entity, able to meet both its current obligations as well as positioned to invest in its future. The CFO is also responsible for ensuring proper controls are in place to manage, monitor, and forecast both UMG’s revenues and costs. / The CFO must sign off on all investments greater than $10,000.
Chief Information Officer (CIO) / The (CIO) has overall responsibility for both IT infrastructure and IT applications. The CIO must sign off on all new clinical or business system or system upgrades prior to moving to implementation. / The CIO must sign off on all investments greater than $10,000.
General Counsel (GC) / The GC is responsible for ensuring that UMG is in compliance with all state and federal mandates related to healthcare delivery (including HIPAA Compliance), as well as represents UMG in all matters of litigation. / The GC must approve all contracts requiring investments greater than $5,000, and/or any contract with a multi-year investment horizon.
Chief Operating Officer (COO) / The COO has day-to-day responsibility for the UMG practices (150 physicians across 20 specialties), including all facilities (real estate). / The COO must approve all contracts requiring investments greater than $5,000.

The Steering Committee will meet with the Project Team for two hours weekly during the planning phase of the project, and will meet with the Project Team and the Contractor’s Executive Sponsor and Project Leader on a monthly basis. After implementation, the Project Team will meet with the contractor regarding verification of contract deliverables.

The UMG Document Management Project Team organizational structure is as follows:

Project Role / Function / Responsibilities
Document Management Project Leader / Has overall responsibility for the Document Management Team and the RFP process. / ·  RFP construction, process
·  Communication with Steering Committee
·  Recommendation of solution
·  Vendor negotiation
·  Delivery of solution on time and on budget
Business Owner “Super User” / Represents the needs of the UMG constituents, including but not limited to physicians, clerical workers, and nurses. / ·  RFP construction, process
·  Communication with Steering Committee
·  Recommendation of solution
·  Vendor negotiation
·  Implementation
IT Application Lead / Is the key technical resource for UMG for any application being introduced into the environment. / ·  Ensure all business requirements are translated to technical requirements.
·  Ensure application use of database consistent with best practices and standards.
·  Ensure application is consistent with UMG standards, including HIPAA standards for personal health information (PHI).
·  Manage and complete unit testing.
IT Infrastructure Lead / Is the key technology resource for UMG relative to network hardware, systems hardware, network connectivity and network security. / ·  Ensure systems, hardware, and network infrastructure are consistent with UMG standards, including HIPAA standards for personal health information (PHI).
·  Working with Application Leader, manage and complete unit testing.
Financial Analyst / Responsible for financial analysis of vendor responses, as well as modeling competing responses. / ·  Develop business case for investment/ROI, including upside/downside sensitivities.
·  Perform analysis of vendor responses.
·  Work with team to recommend solution that meets both technical and business requirements.
QC Acceptance Testing and Functional Performance / Quality and performance assessment workgroup / ·  Plan and develop the SOW and project plans for the testing workgroup
·  Provide input to the high-level business requirements
·  Plan, develop, and perform the functional performance and acceptance tests
·  Define and create the service broker testing environment
·  Select, install and evaluate the acceptance testing and functional performance test tools
·  Develop and maintain test drivers and test cases
·  Develop and maintain a test log and bug lists
·  Prepare workgroup progress reports for the project manager
·  Review performance of other workgroups.
·  Attend scheduled project team meetings
Legal/Procurement / Responsible for overall negotiations and execution of contract. / ·  Ensure the RFP process is done fairly and ethically
·  Once a final vendor is chosen, negotiate final contract.
·  Ensure any contracts are include UMG’s standard terms and conditions.

Support from the physician practice group will include subject matter experts (SME) from each specialty clinic and several of the primary care clinics. These SMEs will be clinicians who are expected to dedicate time for two meetings for planning/build phase of the project to ensure the processes are reasonable and to provide additional comment/feedback regarding the plan. This time commitment is expected to be approximately four hours for each SME. The SMEs must have experience with use of the EMR. They are not expected to be EMR super-users but should have a good understanding of the goals for their organization and willingness to help lead colleagues in the direction of those goals.