F050 - Project Initiation Document

CAF DEMONSTRATOR PROGRAMME

Project Initiation Document

Resource Directory and Information Gateway

Document Control and Authorisation

Document Information

Reference / Hub and Local Messaging PID
Owner / Rob Walker

History

Version / Date / Changes / Author
0.1 / 11/06/10 / First draft / Nigel Cradock

Distribution and Review Response Summary

Name / Role / Version / Status Code
Rob Walker / Workstream Lead / 0.1 / R
Adam Denney / ICT Technical Lead to Workstream Project Team / 0.1 / R
Damian Lally / Business Representative / 0.1 / R
Nathan Allcock / CAF Programme - Programme Office / 0.1 / R
Valda Williams / ICT Senior Supplier to CAF Programme / 0.1 / I
Lydia Rafferty / ICT Account Manager / 0.1 / I
Colin Talbot / Governance Consultant / 0.1 / I
Pauline Walsh / CAF Programme Director / 0.1 / I
Status Code / Reason For Issue:
- / Not issued.
I / For information only – no action required.
R / For review – comments to be directed to the CAF Programme Office.
S / For sign-off approval.
A / Approved for issue (electronic approval via email or meeting minutes)
Status Code / Review Response Summary:
(to be used in conjunction with “R” and “S” codes)
c / Comments received – see review record for details.
n / No comments, document OK.
t / (Timeout) No comments received within allowed review period.

NB: Timeout (“t”) not applicable for “S” sign-off review cycles.

Review Record

Version / Name / Summary of Comments Received
0.1
Approval Signatures
Business Owner / Name: / In connection with the work described herein, I shall manage the delivery of the solution in accordance with agreed timescales, costings and priorities unless otherwise directed. I shall ensure that project reporting takes place in accordance with the policies and procedures of the CAF Programme
Date: / Signature:
Senior Responsible Officer/Programme Director
/ Name: / I hereby authorise the above to undertake work as described herein, not to exceed the budgeted amounts indicated within the approved document.
Date: / Signature:

1.Introduction

This is the first draft of the Project Initiation Document (PID) for the Resource Directory and Information Gateway Workstream which is outlined in proposals 4 and 5 of the CAF Demonstrator Bid.

This draft has been produced using the standard PID template within the Cheshire Shared Services ICT Quality Management System, being the formset recommended for use within the CAF Programme by Cheshire East Council (CEC) ICT. The template has been amended by the addition of a CAF Programme title page and the Document Control and Authorisation pro forma proposed for all significant CAF Programme internal documentation products.

Once agreed by CAF Programme Board this paper, together with the other papers referenced within it, forms the baseline for the CAF demonstrator work packages to specify, develop, implement and evaluate the deployment of a resource directory and public self-service information gateway for identification and purchase of services. This PID then becomes subject to Change Control. All Change Requests will be reviewed by the CAF Programme Board and will not be applied unless they have been approved.

2.Processes

Approach
The Resource Directory and Information Gateway Workstream is a component within the CAF Demonstrator Programme, initially defined in proposals 4 and 5 within the CAF Bid.
The overall solution will be deployed in an iterative, agile methodology, deploying basic solutions and learning from them to produce more advanced versions, thus:

Project 1 - deployment of basic resource directory;
Project 2 - deployment of basic information gateway;
Project 3 - deployment of enhanced resource directory;
Project 4 - deployment of enhanced information gateway.

The remainder of this section identifies a number of work packages. In practice, several of these will be phased to fit the iterative approach. Specifically, feasibility discussions will be required between the Workstream and suppliers (IBM/Esprit and, where appropriate, Civica) to identify how development and implementation should be phased to ensure that effective deployment of a basic solution can be achieved in an early timescale, with more sophisticated facilities being added to enhanced versions.
Elements that may be subjected to this evolutionary approach include:

Development of an image driven graphical user interface based on the Stockport Quickheart templates;
Range of services available for enquiry and purchase;
Range of customers supported and a range of access levels supported from anonymous through to a secure line of communication with the client/carer for advice and support;
Information provider support processes, including options for direct editor status;
Reporting facilities;
Facilities for market stimulation;
Data interchange between resource directory and information gateway;
Data interchange with ShareCare and PARIS;
Use for CEC-funded and self-funded customers;
Use of Empower payment card.
Secure, long term communications channel for communication with the client/carer
Links to other national service directories will be explored

The Workstream comprises the following major work packages:

Deployment of additional systems facilities within the Cheshire ShareCare system, hosted at IBM Warwick, to host a basic resource directory and information gateway, including interface to the local ShareCare Hub (cf. work package 1 within the Cheshire Hub and Local Messaging PID), interface to CEC corporate internet and deployment of the “raw” (vanilla) resource directory and information gateway.This work package is a technical enablement package to be delivered by IBM/Esprit, collaborating with CEC ICT for interface to CEC corporate internet.

Production of a high level requirements specification for the overall solution. An initial version of this is provided by the Information Gateway Directory - Specification provided by the Workstream team in November 2009 and the document CAF Demonstrator Programme: Initial Scoping - Resource Directory & Information Gateway.

Identification of the demonstrator user community who will be involved in the validation of requirements, testing of solution(s), implementation of demonstrator systems and provision of feedback for evaluation against the agreed criteria. The demonstrator user community will include customers, carers and service providers. An initial consultation group was set up by the Workstream Team in 2009.Task and finish group established to address this

Definition of business processes needed to support demonstrator systems, including supporting business processes for information provider partners, quality control processes, authorisation processes, internal information input and maintenance processes, processes for linking with national service directories and reporting processes and interface with service planning.

Identify and deploy resource required to operate business processes.

Refinement of business benefits, from the perspective of professional users and from the perspectives of customers, carers and the general public, the perspective of information/service providers and the perspective of service commissioners and business managers. This includes identification of quantitative and qualitative measures for evaluation of the impact of the deployment of the demonstrator system. Please involve me when defining the benefits.

Definition of requirements for information exchange (if any) via the local Cheshire hub between resource directory and information gateway and between each system and ShareCare and Paris.

Review of requirements with Civica and preparationby Civica of costed proposals for development of information exchange facilities within PARIS.

Validation of the acceptability of Civica proposals from technical, financial and business operational perspectives and agreement to way forward.

Validation of the acceptability of Esprit proposals for information exchange from technical and businessoperational perspectives and agreement to way forward.

Systems development to match requirement specifications for information exchange. This work package is a number of technical products to be delivered by IBM/Esprit and Civica.

Test strategy and test plans for overall resource directory and information gateway and for information exchange elements. Overall test strategy and plans to be agreed with Esprit. Specific test strategy and test plan for information exchange with PARIS to be agreed with Civica.

Execution of test strategy and test plans jointly with Esprit and Civica.

Implementation strategy and implementation plans relating to demonstrator user community and related business processes, including training strategy and plans and user and support documentation. To be developed jointly and agreed with Esprit and, for relevant information exchange elements, Civica.

Execution of implementation plan to achieve live demonstrator.

Evaluation of live demonstrator, including working with Department of Health national CAF evaluation team.

Production of evaluation report to Programme Board and presentation of evaluation report.

Scope
The scope of this project is defined in the document CAF Demonstrator Programme: Initial Scoping - Resource DirectoryInformation Gateway. This paper comprises the definitions of proposals 4 and5 from Cheshire East Council CAF Phase 2 Demonstrator Site Bid. Full Project Plan Submitted 25.11.09, together with a summary of the statements made by IBM/Esprit about how they will deliver the system facilities needed to fulfil these proposals, taken from their response to CEC’s formal Invitation to Quote for CAF systems development work and subsequent clarification questions to the IBM/Esprit proposal. This is supplemented by the paper Information Gateway Directory - Specification provided by the Workstream team in November 2009.
Constraints
Budget
The overall CAF Programme Budget is defined within the Memorandum of Understanding (MoU) between CEC and Department of Health (DH), dated 16 March 2010. The MoU also identifies a regular review process between CEC and DH that will review progress and identify whether the next instalment of DH funding will be provided. However, the latest correspondence from DH indicates that some of the constraints are being eased and that all Programme funding should be released to CEC by March 2011.
Budget specifically allocated to this project for IBM/Esprit work packages is identified in their response to CEC’s formal Invitation to Quote for CAF systems development work and subsequent clarification questions to the IBM/Esprit proposal. Whilst this is a fixed price, commissioning of all the work is subject to Programme Board approval and continued funding by DH.
Budget specifically allocated to the Programme for Civica work packages is identified in the CAF Bid. However, this is an internal estimate rather than a firm quotation obtained from Civica in response to a statement of requirements or invitation to quote.
Timing
The project is subject to the identifying milestones within the MoU for CAF work that are to be achieved against a deadline of 31 March 2012. These milestones are no longer valid, in view of the requirements imposed by the Programme procurement strategy, and subject to renegotiation between CEC and DH. Suggested new milestones have been provided in the draft Order Form provided to IBM by CEC and in the Programme Highlight Report for May provided to DH. However, the process of agreeing the order with IBM means that a further set of milestones will need to be agreed.
Procurement Strategy
The procurement of the major additions to ShareCare functionality within the CAF Programmehas been carried out using the OGC Buying Solutions framework for Applications Software. Whilst the supplier (IBM working with Esprit) has been selected and the quoted price for the work is consistent with the CAF Bid, the contract is yet to be agreed.
Commissioning of the Civica elements of the project is subject to separate quotation following production of the requirements specification.
Technology Platform
The ShareCare system is managed by ICT Shared Services on behalf of CEC as a common system. The way in which the amended platform may be managed to incorporate the systems developments needed to provide data to and receive information from the Resource Directory and Information Gateway.
New Business Processes and Resourcing of these Processes
The introduction of the Resource Directory and Information Gateway necessitates new business functions and processes including:

Provide support to external information providers;
Authorise and incorporate external information on an initial and on-going basis;
Establish linkages to external (e.g. national) directories;
Provide support to customers in using the systems;
Add new CEC information and review and revise the content of existing information regularly to ensure that it is still relevant;
Extract and analyse market intelligence;
Extract and act upon self-assessments carried out by customers within the systems.

Resource must be assigned to undertake all these tasks.
Technical Strategy
The Programme builds upon existing ICT components, in particular the ShareCare assessments system together with Esprit’s experience of deployment of hub, resource directory and information gateway technology for other customers, e.g. SouthWestPeninsula and London Borough of Haringey.
Resource Availability
Delivery is dependent upon a range of people within and outside partner organisations being prepared to make themselves available to lead or engage with the project. This applies to all areas of the project, but especially to the following aspects:

Validation of requirements specification;
Acceptance testing;
Training - both training resource and those to be trained;
Live use;
Operation of supporting business processes (outlined above);
Feedback and evaluation.

Quality Standards
Production of Programme control documentation will, wherever appropriate, make use of standard templates within the Cheshire Shared Services ICT Quality Management System. Delivery will therefore conform in general to Prince 2 and Managing Successful Programmes principles. The documentation set that will be created and maintained by Programme Office is defined in the Programme Governance version 1.0, approved by CAF Programme Board on 22 March 2010.
It is anticipated that technical documentation and systems development for Civica work packages will be consistent with the standards used in other work commissioned from Civica and will therefore comply with their project management methodology and established quality strategy.
Additional Controls
The Workstream is subject to the additional controls that apply to the overall CAF Programme:

It is required to contribute to the national evaluation of the CAF Demonstrator Programmes commissioned by DH;
It is subject to the formal six-monthly review of progress between DH and CEC- this will include a review of milestones and funding for the following six months;
A Programme Assurance function is defined within the Programme Governance. Audit and ICT have been invited to form part of the assurance team;
An Equalities Framework is being prepared to provide guidance on how the impact of all parts of the Programme upon equality and diversity can be monitored and an EIA will be prepared for the Workstream.

Reviews
A quality checking and review schedule will be agreed between the Project Team and each of the external suppliers.
A Workstream Project Team is being formed comprising representatives of all the functions who are involved in the project. This is a working-level group that will meet to review progress on a frequent basis, as appropriate to the rate of progress in each work package.
Monthly workstream highlight reports will be provided to CAF Programme Board. The Workstream lead will attend Programme Board to review progress on an ad hoc basis (currently at least once every three months).
Filing
Projectdocumentation is located within CEC in the folder O:\East\JC&S\CAF Programme\03 Project Control\Work Packages\Resource DirectoryInformation Gateway. Access to this folder for CEC Programme members may be arranged via CAF Programme Office.
Circulation of documents to other partners will be the responsibility of Programme Office together with the Workstream Lead.

3.People

Project Roles and Project Organisation
The Workstream Lead is Rob Walker.
An initial Project Team has been established comprising the following:
Rob Walker - Workstream Lead;
Damian Lally - Business Operational Lead;
Lyn Carnall – CAF Project Manager
Adam Denney - ICT technical and validation lead;
Nathan Allcock - CAF Programme Office.
The Workstream Lead and Business Operational Lead are identifying others who should be invited to join the Project Team to ensure that there is adequate representation for all functions and opinions that will be involved in design, development and delivery of the system.
The Workstream reports to CAF Programme Board via the reporting mechanisms defined within the Programme Governance.
Communication Strategy
The project forms part of the overall CAF Programme Communications Strategy, but may require specific communications to address particular items or parts of its user community. The need for specific communications will be identified by the members of the Project Team and agreed by the Workstream Lead working with the CAF Programme Manager to ensure co-ordination across the overall Programme.

4.Technology

Technology Standards
Technology standards and architectures are defined within Cheshire East Council CAF Phase 2 Demonstrator Site Bid. Full Project Plan Submitted 25.11.09, the subsequent Cheshire East Council CAF Phase 2 Demonstrator Invitation to Quote (ITQ) of8 April 2010 and the IBM responses to that document.
ImplementationStrategy
The implementation of the project, in the spirit of the CAF Programme as a whole, will focus on an initial demonstrator user community, chosen with consideration to business impact, demographics and service requirements, and will work intensively with that community in an iterative approach to requirements validation and prototype solutions development, implementation, feedback and refinement.
One of the early work packages in the project is to identify this demonstrator user community.
As outlined within the Approach section above, a phased approach will be taken to the deployment of basic and enhanced systems over the life of the Programme.
The decision to proceed to wider implementation will only be made by the Project Team once acceptance criteria have been successfully met.
Any decision to implement in the wider community, beyond the initial demonstrator, is dependent upon development of a business case, reflecting experience within the demonstrator, and acceptance of the business case by CAF Programme Board.
Training Strategy
A training strategy and training plan will be developed by the Project Team in conjunction with the system suppliers.
The training strategy must address the requirements forthe introduction of new business processes, which must be mirrored in changes to business process documentation, training and support as well as systems documentation, training and support for data interfaces with both ShareCare and PARIS. The business processes are outlined in New Business Processes and Resourcing of these Processes within the Constraints section above.
This training strategy and training plan must also address:

Changes to ShareCare data entryand data use - training either through normal ShareCare user training process or via Programme team staff, e.g. Business Analyst involved in project;
Changes to PARIS data entryand data use - training either through normal PARIS user training process or via Programme team staff, e.g. Business Analyst involved in project;
Management reporting functions - training via Programme team staff, e.g. Business Analyst involved in project, potentially supplemented by supplier resource, e.g. for training in generation of new reports.

Because ShareCare is provided as an outsourced service, there is no requirement at this stage for training of ICT staff in development and systems maintenance. However, there may be requirements to train staff in specific aspects of the solution, e.g. in building links between the web sites.
Contingency Plans
The nature of the CAF Programme as a series of demonstrators means that the failure of any particular project to deliver an acceptable solution can result in cancellation of that project with minimal impact on service. The fall-back position is to continue service as it is currently provided.
It is part of the role of Programme Board to ensure that each component is fit for purpose prior to implementation and to review experience following deployment of the demonstrator. Programme Board therefore has the authority to decide whether to discontinue particular parts of the Programme or to commission additional work to address problems that have been encountered at any stage.
The Invitation to Quote for ICT facilities to support the demonstrator makes it clear that any part of the demonstrator may be cancelled at any stage.
However, in the case of the Resource Directory and Information Gateway Workstream, the CAF Programme is also facilitating the implementation of facilities required by CQC to be provided for CEC’s customers initially by the end of March 2011. The alternative to continuing to use the systems and services provided within the CAF Programme would be to apply the learning from the Programme to procure an alternative solution from another vendor.

PID - Resource Directory and Information Gateway