Vaccine Tracking System Integration

VTrckS-Exis

Vaccine Tracking System Integration

Project Charter For Certification

New Mexico Department of Health

Immunization Program Services

Co-Executive Sponsors –Jane Peacock

Project Director–Daniel Burke

Project Manager –Paula Morgan

Original Plan Date:September 25, 2013

Revision Date:N/A

Revision:1.0

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 / Comment
1.0 / September 25, 2013
1 / 1. project background | Public Health Division

Project Charter VTrckS - Vaccine Tracking System1

1. project background

Executive Summary -rationale for the project

The vision of the New Mexico Department of Health (DOH) is that New Mexico is a healthy community in which to live and grow.

The mission of DOH is to promote health and sound health policy, prevent disease and disability, improve health services systems and assure that essential public health functions and safety net services are available to New Mexicans.

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 Vaccine Tracking System (VTrckS) introduced by the Center for Disease Control and Prevention (CDC)for all grantees.
• VTrckS-Exis is designed to integrate the VTrckS publicly-funded vaccine inventory and ordering system with the State’s vaccine registry system, called NMSIIS
• The new integrated system will enable New Mexico to allow providers across the state to have visibility of order, shipment and provider inventory status, thereby improving the efficiency and accountability of public dollars used to purchase vaccines.
• Essential to the success of the VTrckS rollout is also ensuring that the provider community is well-trained.

TheVTrckS/ExIS – Vaccine Tracking System Integration project with have a direct impact on helping the NM DOH achieve its Goal 1 and Goal 6 of its FY14 Strategic Plan. By helping to improve the tracking and administering of the Adult Immunizations, the NMDOH will improve Health Outcomes for the People of New Mexico. The integration with NMSIIS will provide better information to all stakeholders with regard to the health of the citizens of New Mexico and allow for better financial tracking of Vaccines distributed within New Mexico through both private and public entities.

Summary of the foundation planning and documentation for the project

To help secure new advancements in immunization, New Mexico was recentlyawarded a new Federal grant by the Center for Disease Control and Prevention (CDC). An RFP was released at the end of March, 2013 and a vendor selected. Project scope has been outlined and advanced stages of requirements gathering have occurred.

Through thisgrant,the development of a more integrated system coupled with improved processes will enable the State to reach greater levels of efficiency, effectiveness and economy positively impacting critical areas. Supporting tools and processes will also improve provider compliance and DOH visibility into performance.

1.3 Project Certification Requirements

Does the project fit into the criteria for certification? Which and how?

CRITERIA / YES/NO / EXPLANATION
Project is mission critical to the agency / Yes / This project is critical to comply with CDC andit supports Health System Objectives outlined in DOH Strategic Plan FY14 and detailed in Business Objectives 2.2.
Project cost is equal to or in excess of $100,000.00 / Yes / $629,400
Project impacts customer on-line access / Yes / Health care providers who currently place orders by fax will be able to track inventory and place orders online.
Project is one deemed appropriate by the Secretary of the DoIT / No / ?????
Will an IT Architecture Review be required? / Yes / Automating a manual process through software integration assisted by implementing an additional software application.

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 / Description
Department of Health
DOH / As detailed in Business Objectives 2.2, this project supports four key goals of the Department of Health that work to improve quality, accessibility and utilization of health care services through improved business operations that ultimately bring improved health outcomes.
VTrckS implementation is a key initiative that stands as a cornerstone of process improvement including provider education.

2.2 Business Objectives

Use the following table to list measurable business objectives

Number / Description
Business Objective 1 / Improved health outcomes for the people of New Mexico
Business Objective 2 / Improved quality, accessibility and utilization of health care services
Business Objective 3 / Improved fiscal accountability
Business Objective 4 / Technology supports timely, data-driven decisions; improved business operations; and improved public information and education

2.3 Technical Objectives

Number / Description
Technical Objective 1 / Integrate the publicly-funded vaccine supply chain from purchasing and ordering to the distribution of the vaccine
Technical Objective 2 / VTrckS data management and immunization registry integrationincluding: data assessment, if necessary, data cleansing.
Technical Objective 3 / Developing and providing technical training for the provider community.
Technical Objective 4 / Transition to VTrckS-ExIS to ensure integration with NMSIIS
Technical Objective 5 / Ensure that systems highlighted in Technical Objectives 1-4 are tightly integrated not only for securely storing and exchanging information but also for coordinating the full life-cycle of provider support of the health care recipient.

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 / Description
End user - Provider / There will be changes in how providers perform ordering and providing. 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 / Better inventory control, and ability to share and transfer inventory between providers will enhance availability of vaccines to patients.
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 / Description
Preliminary Operations location and staffing plans / The intent of VTrckS Exis is to have a vendor hosted system, and this will be reflected in the 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 VTrckS-Exis and NMSIIS is key 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 RFP was published in March 2013, and a preferred solution was 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 project
Certification 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 & Design Documents / The requirements and design documents will be complete during the Planning phases.
Systems Specifications / The VTrckS-Exis solutionis expected to be a SaaS solution. System specifications may impact software need on the desktop for connectivity. 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 test of the applications 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.

Number / Description
Quality Metrics 1 / Increase the number of providers who order their own vaccines online instead of by fax through the Immunization Program.
Quality Metrics 2 / Increase the number of providers who demonstrate the ability to track inventories accurately using VTrckS-Exis.
Quality Metrics 3 / Decreased number of orders rejected due to erroneous inventory calculations attached.
quality metrics 4 / Implementation vendor and end user testing is successful by developing a test plan and test scripts.
QUALITY METRICS 5 / Independent verification and validation review will be conducted on all project deliverables.
QUALITY METRICS 6 / Requirements captured, documented and tracked throughout the project are met.

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.

Phase / Start Date / Activities complete by certification date
INITIATION / September 2013 /

• Prepare and present project certification documentation – initiation phase
• Initiate project structure
• Develop planning groups for all sub projects and initiate planning activities

PLANNING / September 2013 /

• Prepare and present Project Management Plan for certification
• Prepare high-level schedule
• Finalize project structure
• Negotiate and execute IV&V contract
• Procure necessary contract resources and systems.

IMPLEMENTATION / August 2014 /

• Prepare and present updated Project Management Plan– implementation phase
• Technical Architecture approved
• Manage implementation vendor contracting preparation
• Execute implementation vendor contract amendment
• Implementation of upgrade
• Vendor contract administration
• IV&V Reports Submitted

CLOSEOUT / November 2014 /

• Prepare and present project certification documentation – closeout phase
• Lessons learned
• Closeout activities
• Final IV & V Report
• Project Closeout Presentation

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.