NMSIIS
New Mexico Statewide Immunization Information System
Hosting, Maintenance and Support
Project Charter For Certification
New Mexico Department of Health
Immunization Program Services
Executive Sponsor –Jane Peacock
Project Director–Daniel Burke
Project Manager –Paula Morgan
Original Plan Date:January 22, 2014
Revision Date:N/A
Revision:1.0
About This Project Charter DOCUMENT
Permission to plan the project and setting the governance structure
The Project Charter provides the project manager and project team with permission to proceed with the work of the project, within the scope delineated in this document. The Project Charter should be the outcome of a number of documents that went into the pre-planning for the project, and in many cases the agency IT Plan, Business Case for appropriations, Federal funding requests and the like.
Project sponsors sign the Project Charter signifying that they have agreed to the governance structure for guiding the direction for the further planning of the project, discovery and defining the requirements, acquiring necessary resources, and within that context the statement of work for any related contracts including a contract for the Independent Validation and Verification.
The Project Charter is also the foundation for the creation of the project management plan, and much of the thinking and writing for this charter will be immediately usable for that project management plan.
Project certification Initial phase documentation
The Project Charter is also used within the State of New Mexico IT Project Certification process as evidence of the project’s worthiness for the Initial Phase certification. The Initial Phase certification is especially critical to many state and agency projects because of its related release of the initial funds required for the project.
Initiation Phase funding is requested by an agency for use in developing project phases, developing Independent Verification and Validation (“IV&V”) plan and contract; address project review issues and/or to develop an overall project management plan. Note: Waiver of the IV&V requirement requires specific written approval by the Secretary of the DoIT.
DoIT “Project Certification” Memorandum July 2, 2007
The Project Charter and the Request for Certification Form are meant to provide a comprehensive picture of the project’s intention and initial planning, that includes the project’s place in the context of the State of New Mexico’s IT Strategic Plan, Enterprise Architecture, and DoIT project oversight process. See “IT Project Oversight Process” Memorandum July 5th 2007 on the OCIO-DoIT web site.
table of contents
About This Project Charter DOCUMENT
table of contents
1. project background
1.1 Executive Summary -rationale for the project
1.2 Summary of the foundation planning and documentation for the project
1.3 Project Certification Requirements
2.0 Justification, Objectives and impacts
2.1 Agency Justification
2.2 Business Objectives
2.3 Technical Objectives
2.4 Impact on Organization
2.5 Transition to Operations
3.0 Project/Product Scope of Work
3.1 Deliverables
3.1.1 Project Deliverables
3.1.2 Product Deliverables
3.2 Success and QUALITY METRICS
4.0 Schedule Estimate
5.0 Budget Estimate
5.1 Funding Source(s)
5.2. Budget By Major Deliverable or Type of expense -
5.3 Budget By Project Phase or Certification Phase
6.0 Project Authority and Organizational Structure
6.1 STAKEHOLDERS
6.2 PROJECT GOVERNANCE PLAN
6.3 PROJECT MANAGER
6.3.1 PROJECT MANAGER CONTACT INFORMATION
6.3.2 PROJECT MANAGER BACKGROUND
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES
6.5 Project management Methodology
7.0 Constraints
8.0 Dependencies
9.0 Assumptions
10.0 Significant Risks and Mitigation Strategy
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
13.0 Project Charter Agency Approval Signatures
14.0 Project Charter Certification Approval Signature
Revision History
Revision Number / Date / Comment1.0 / January 22, 2014
1 / 1. project background | Public Health Division
Project Charter NMSIIS-NM Statewide Immunization Information System1
1. project background
Executive Summary -rationale for the project
The vision of the New Mexico Department of Health (DOH) is a healthier New Mexico.
The mission of DOH is to promote health and wellness, improve health outcomes, and assure safety net services for all people in New Mexico.
The mission of the Public Health Division of DOH is to work with individuals, families, and communities in New Mexico to achieve optimal health. We provide public health leadership by assessing health status of the population, developing health policy, sharing expertise with the community, assuring access to coordinated systems of care and delivering services to promote health and to prevent disease, injury, disability and premature death.
This project focuses on the mission of the Immunization Program. This is to protect New Mexico’s children and adults from vaccine-preventable diseases. It is also the goal of the New Mexico Department of Health to reduce health disparities, addressing different racial/ethnic groups in a conscious effort to reduce health disparities.
A key component of the success of this effort is The New Mexico Department of Health’s (NMDOH) Immunization Registry (New Mexico Statewide Immunization Information System NMSIIS). The NMSIIS application provides the ability for health and medical practices to enter immunization data and analyze and track immunization activity for individuals from birth to death throughout New Mexico. In addition, its data are used to evaluate the effectiveness of the statewide Immunization Program, determine the need for new programs, and identify underserved populations.
Currently, the NMDOH operates a customized version of the Wisconsin Immunization Registry (WIR) system. New Mexico adopted the New York State version of the WIR system for its implementation of NMSIIS (2009). Significant modifications have been made to the NMSIIS since it was implemented. In 2012, a major upgrade was implemented to enable automated data exchange through HL7 processing.
NMDOH is seeking qualified entities to host, maintain and support its existing Immunization Registry (New Mexico Statewide Immunization Information System NMSIIS) or a replacement Immunization Registry. New Mexico’s current version of NMSIIS has functionality and maintenance issues. Therefore, the Department will consider proposals that replace the existing NMSIIS if the change results in improved functionality, maintenance and support operations. The NMDOH will consider proposals that demonstrate improved functionality, lower support and maintenance costs and reduced time that NMDOH staff would devote to maintenance and support issues.
The New Mexico Statewide Immunization Information System (NMSIIS) project will have a direct impact on helping the NM DOH achieve Goal 1, Goal 5and Goal 6 of its FY14 Strategic Plan. By tracking all Immunizations administered in New Mexico, the NMDOH will improve Health Outcomes for the People of New Mexicoby allowing for better decision making. An improved and integrated NMSIIS application will provide better information to all stakeholders with regard to the health of the citizens of New Mexico and provide a technology that supports timely, data-driven decisions and improves business operations for better financial tracking of Vaccines.
Summary of the foundation planning and documentation for the project
The Mexico Statewide Immunization Information System (NMSIIS) registry is based off of the Wisconsin Immunization Registry (WIR) software system and is currently maintained and supported under a contract that was awarded to HP Enterprise Services, LLC. The current contract will expire on March 31, 2014. HP Enterprise Services, LLC has been supporting the New Mexico enhanced version of the WIR application since 2009.
The Department of Health is in the process of publishing a competitive Request for Proposal (RFP). New Mexico’s current version of NMSIIS is both old and costly to maintain. Therefore, the NMDOH is willing to entertain proposals that in addition to hosting, maintenance and support services include replacing the current version of NMSIIS with a modern immunization information system employing a service-oriented architecture. The NMDOH is open to a proposal that justifies a more recently developed IIS through evidence demonstrating improved functionality, lower support and maintenance costs and reduced time NMDOH staff would devote to maintenance and support issues.
1.3 Project Certification Requirements
Does the project fit into the criteria for certification? Which and how?
CRITERIA / YES/NO / EXPLANATIONProject is mission critical to the agency / Yes / Current support and maintenance contract ends on March 31, 2014. NMDOH is seeking qualified entities to host, maintain and support the existing NMSIIS or provide a replacement Immunization Registry.
Project cost is equal to or in excess of $100,000.00 / Yes / Project Management and IV&V estimate $300,000.Total cost of project is unknown.
Project impacts customer on-line access / Yes / Health care providers and other entities that provide immunizations within New Mexico.
Project is one deemed appropriate by the Secretary of the DoIT / TBD
Will an IT Architecture Review be required? / Yes / Will entail continued maintenance of a current SaaS implementation or potential for new system architecture.
2.0 Justification, Objectives and impacts
The justification and objectives section relates the project to the purpose of the lead agency and describes the high-level business and technical objectives for the project. The section also includes a high-level review of the impact to the organization, and of the concerns for transition to operations.
2.1 Agency Justification
IDENTIFY AGENCY MISSION, PERFORMANCE MEASURE OR STRATEGIC GOALS TO BE ADDRESSED THROUGH THIS PROJECT
Number / DescriptionDept of Health
FY14 Strategic Plan / Goal 1: Improve Health Outcomes for the people of New Mexico
Goal 5: Ensure that Technology Supports Timely, Data-Driven Decisions; Public Information; and, Improves Business Operations
Goal 6: Improve Fiscal Accountability
2.2 Business Objectives
Use the following table to list measurable business objectives
Number / DescriptionBusiness Objective 1 / Improve Adult Immunizations administration and tracking.
- Expanded access in health care settings
- Standing orders, provider reminder systems, assessment and feedbackin provider settings.
- Patient reminder systems and education.
Business Objective 2 / Provide education to VFC providers about the benefits of submitting immunizations electronically to NMSIIS
Business Objective 3 / Provide technical assistance to VFC providers that want to begin to submit immunizations electronically toNMSIIS.
Business Objective 4 / Provide training to Public Health Division staff on correct entry of client and immunization information so thatdata can be successfully incorporated into NMSIIS.
Business Objective 5 / Incorporate immunization information from the Billing and Electronic Health Record into NMSIIS.
Business Objective 6 / Improved tracking and reporting of vaccine inventory.
2.3 Technical Objectives
Number / DescriptionTechnical Objective 1 / An improved and integrated NMSIIS application will provide better information to all stakeholders with regard to the health of the citizens of New Mexico.
Technical Objective 2 / Implement a more recently developed IIS with improved functionality, lower support and maintenance costs and reduced time devoted to maintenance and support issues.
Technical Objective 3 / Develop and provide technical training for the provider community.
Technical Objective 4 / Complete Requirements and Configuration documentation and Time Line for NMSIIS application.
Technical Objective 5 / Implement NMSIIS in test environment.
Technical Objective 6 / Develop test plan and scripts for NMSIIS. Execute test scripts in test environment. Track and fix defects.
Technical Objective 7 / Implement NMSIIS in production.
Technical Objective 8 / Ensure secure integration not only for storing and exchanging information but also for coordinating the full life-cycle of provider support of the health care recipient and vendor(s).
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 / DescriptionEnd user - Provider / There will be potential changes for providers in utilizing and reporting immunization information. As part of the project and on-going management, it will be important to provide provider training to minimize the operational impact.
End user – Health Care recipient / Improved access, timeliness and accuracy of client immunization information.
Business Processes / New technologies require new business process for Providers as well as DOH staff. This will require the development of new business processes to ensure information is collected and disseminated securely and at appropriate levels.
It Operations and staffing / Operations and staffing will be determined as part of the Planning phase. The project intention is to have the overall system(s) hosted by the vendor(s).
2.5 Transition to Operations
The transition to operations areas include items that are asked in the certification form to assure that the project has accounted or will account for these matters in its planning and requirements specifications.
Area / DescriptionPreliminary Operations location and staffing plans / The current NMSIIS application is a vendor hosted system. Staffing changes will be evaluated with the award to the pending RFP.
Data Security, Business Continuity / DOIT and DOH security standards will be adhered to, and system backup plans and business continuity plans will be developed.
Interoperability / The interoperability of NMSIIS is a key component to the functionality of this effort.
Record retention / Must follow all State record retention requirements for DOH employees.
Consolidation strategy / It is believed that technology exists in the market that addresses the core needs of this environment. An RFPis scheduled to be published within the first 2 months of 2014, and a preferred vendor will be selected by the review committee.
3.0 Project/ProductScope of Work
In its efforts to move from the high level business objectives to the desired end product/service the project team will need to deliver specific documents or work products. The State of New Mexico Project Management Methodology distinguishes between the project and the product.
Project Deliverables relate to how we conduct the business of the project. Product Deliverables relate to how we define what the end result or product will be, and trace our stakeholder requirements through to product acceptance, and trace our end product features and attributes back to our initial requirements
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 its planning to certify the initiation phase of the projectCertification Form / The Request for Certification and Release of Funds form is submitted when a project goes for any of the certification phases. It deals with the financial aspects of the project, as well as other topics that indicate the level of planning that has gone into the project. Many of the questions have been incorporated into the preparation of the project charter
Project Management Plan / “Project management plan” 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 at least other plans for issue escalation, change control, communications, deliverable review and acceptance, staff acquisition, and risk management plan.”
IV&V Contract & Reports / “Independent verification and validation (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.
IT Service Contracts / The Department of Information Technology and the State Purchasing Division of General Services have established a template for all IT related contracts.
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 defacto 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.
3.1.2 Product Deliverables
The product deliverable documents listed here are only used for illustration purposes
Requirements Document / The requirements document will be complete during the Implementation phase. This will include the configuration changes that will be included in this project.Design Document / The design document will be complete during the implementation phase. This will include the configuration changes that will be included in this project.
Systems Specifications / The current NMSIIS application isa SaaS solution. System specifications of the awarded RFP vendor may impact software/hardware needs. This will be determined during the planning phase.
Systems Architecture / Any changes required will be documented in the Planning phase.
System and Acceptance Testing / Implementation vendor and DOH staff will be involved in the testing of the application’s functionality. Test plans will be created and followed during testing. This includes verifying data integrity.
Operations requirements / The transition to operations and application support plan will be updated.
3.2Success and QUALITY METRICS
Metric 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.