Health Information Grant Program
Project Charter For Certification
Executive Sponsor – Dr. Alfredo Vigil, Secretary designate, NM Department of Health
Business Owner - Dr. Alfredo Vigil, Secretary designate, NM Department of Health
Project Manager – Robert Mayer, CIO, NM Department of Health
Original Plan Date: August 15, 2007
Revision Date: August 15, 2007
Revision: 1.1
About This Project Charter DOCUMENT
Permission to plan the projec t 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 / August 14, 2007 / Original DoIT PMO Document
1.1 / August 15, 2007 / Health Information Grant Program
1
Project Charter health information grant program1
1. project background
The project background section is meant to provide the reviewer with a picture of the development of the project from inception to its being submitted for certification.
1.1 Executive Summary -rationale for the project
This grant program is being set up in response to specific legislation passed by the 2007 Legislature (Laws 2007, Chapter 28, Section 7, Subsection 24). The intent of the legislation is not only to accelerate and facilitate the adoption of electronic medical records in rural areas, but also to ensure those records can be shared across systems.
Each grantee will be responsible for one of the three objectives: a) implementation of electronic medical records at rural private practices, b) implementation of electronic medical records at clinics funded by the Rural Primary Health Care Act, and c) for the expansion of the health information exchange collaborative. In order to accomplish these goals, the grantees will work with sub-grantees who will need to commit matching funds.
At the conclusion of this project, more healthcare professionals in New Mexico will be using electronic medical records, and those records will be able to be shared among providers through the New Mexico Health Information Collaborative.
1.2 Summary of the foundation planning and documentation for the project
This program was created in response to numerous legislative requests in the area of health information. During deliberations, a budget and scope were defined. The special appropriation was inserted into the Fiscal Year 2008 budget by Representative Heaton and endorsed by the subcommittee on technology.
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 / No / Proposed projects will have an impact on healthcare delivery in the private sector.
Project cost is equal to or in excess of $100,000.00 / Yes / Budget is $500,000.
Project impacts customer on-line access / No / No customer access is envisioned for these programs.
Project is one deemed appropriate by the Secretary of the DoIT / Yes / The State CIO participated in legislative deliberations during the drafting process.
Will an IT Architecture Review be required? / No / The IT architecture will be selected by the non-governmental participants.
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
agency / DescriptionNM DOH / The program is part of the Department’s initiatives that relate to its 2008 Strategic Plan to prevent, protect, provide, promote and partner to improve health services systems and assure that critical public health functions and safety net services are available. Further, a specific measure identified is: Task 6.3 Expand healthcare access through telehealth, health information technology and electronic medical records.
2.2 Business Objectives
Use the following table to list measurable business objectives
Number / DescriptionBusiness Objective 1 / Implement electronic medical records at rural healthcare practices.
Measure: number of clinics with electronic medical records implemented by June 30, 2008.
Business Objective 2 / Implement electronic medical records at clinics funded by the rural primary health care act.
Measure: number of clinics with electronic medical records implemented by June 30, 2008.
Business Objective 3 / Expand the participation and functionality of the new mexico health information collaborative.
measure: number of health care organizations enrolled in the nm health information collaborative by june 30, 2008.
measure: number of transactions (messaging, data exchange) handled by the nm health information collaborative by june 30, 2008.
measure: error rate or successful match rate when linking medical records with individuals.
2.3 Technical Objectives
Number / DescriptionTechnical Objective 1 / automate the paper medical record, including charts, lab results, and diagnostics at specific private practices.
Technical Objective 2 / automate ordering of lab tests and prescription writing at specifiC private practices.
Technical Objective 3 / successfully share and exchange electronic health information, including medical records, lab results and prescriptions from specific private practices.
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.
private practice Area / DescriptionEnd user / private healthcare providers, including doctors, nurses, nurse practioners, and clerical staff.
Business Processes / recording of health information as a result of a clinic visit. ordering of medical procedures and prescriptions. review of medical records.
It Operations and staffing / staff for private healthcare providers will participate in the implementation process, acquire hardware and software, and monitor and maintain connectivity.
reference laboratories / accept electronic submission of lab requests and return results electronically.
pharmacies / accept and fill electronic prescriptions.
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.
private practice Area / DescriptionPreliminary Operations location and staffing plans / implementation will occur state-wide, at private clinics with a focus on rural areas. assistance with implementation will be provided by the private grantees and vendors.
Data Security, Business Continuity / participants are responsible for privacy, security and business continuity. federal guidelines (hipaa) govern the privacy and security practices of all healthcare organizations.
Maintenance Strategy / Participants are responsible for ongoing maintenance.
Interoperability / a major component of this grant program is the health information exchange, allowing the sharing of information across disparate systems.
Record retention / Participants are responsible for records retention according to their internal policies.
Consolidation strategy / particpation in the health information exchange will provide virtual consolidation of health records.
3.0 Project/Product Scope 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 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
Matching fund commitment / Description – Each participant must provide a dollar-for-match in order to receive grant funds.Sub-grantee project plans / Description – Each sub-grantee will submit an individualized project plan reflecting their unique issues. The grantees must collect these for presentation to the NM DOH Oversight Committee.
Status reports / Description – Monthly status reports, reflecting progress of each sub-grantee, must be submitted to the NM DOH Oversight Committee.
System operational review / Description – Each grantee will monitor the implementation process of its sub-grantees. At its discretion, the NM DOH Oversight Committee may request a site visit to confirm the operational characteristics of the system.
Implementation completion report / Description – As sub-grantees successfully move to operations, the grantee will collect and submit to the NM DOH Oversight Committee a written implementation completion report. This report will include, at a minimum, a comparison of the proposed schedule and budget with the actual, a summary of lessons learned and a user assessment of the functionality of the system.
Grant completion report / Description – At the conclusion of the grant period, each grantee will submit a grant completion report to the NM DOH Oversight Committee. This report will summarize the individual sub-grantees’ implementation completion reports, as well as adding commentary from the grantees on the overall project, including an assessment of the project management process, the budgeting process and the implementation challenges faced by sub-grantees. The report will also include recommendations from each grantee on improvements to facilitate the success of future projects.
HIE operational report / Description – For the component of the program related to health information exchange, the grantee will submit a report to the NM DOH Oversight Committee comparing the project schedule and budget, actual to planned, assessing the effectiveness of outreach and marketing in the enrollment process, delineating the numbers and types of transactions passed through the system, and the error rate or successful match rate for searches against medical record systems.
3.2 Success and QUALITY METRICS
Metrics 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.
Number / DescriptionQuality Metrics 1 / user satisfaction. in a transition to an automated system, users must be able to continue to work effectively and efficiently. this measure will be part of the implementation completion report.
Quality Metrics 2 / cost containment. automated systems are notorious for containing hidden costs. budgets must be well-planned and managed. this measure will be part of the implementation completion report.
Quality Metrics 3 / information sharing. a key component of this program is information sharing. the ability to share electronic health information requires a high degree of certainity when retrieving information across systems. this measure will be part of the HIE operational report.
4.0 Schedule Estimate
The schedule estimate is requested to provide the reviewers with a sense of the magnitude of the project and an order of magnitude of the time required to complete the project. In developing the schedule estimate, certification timelines and state purchasing contracts and procurement lead times are as critical as vendor lead times for staffing and equipment delivery. Project metrics include comparisons of actual vs. target date. At the Project Charter initial phase, these times can only be estimated.
The availability of grant funds expires June 30, 2008.
All sub-grantees will submit schedules for their specific projects. These will be reported to the NM DOH Oversight Committee, and monthly status reports will reflect actual progress as compared to planned milestones.
5.0 Budget Estimate
Within the Project Charter budgets for the project can only be estimated. Original budgets requested in appropriations or within agency budgets are probably not the numbers being worked with at project time. Funding sources are asked for to help evaluate the realism of project objectives against funding, and the allocation of budget estimates against project deliverables.