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DEPARTMENT OF HEALTH

PUBLIC HEALTH DIVISION

WOMEN, INFANTS, AND CHILDREN (WIC)

SYSTEMS REPLACEMENT PROJECT

PROJECT CHARTER FOR CERTIFICATION

EXECUTIVE SPONSORS –

MARK S. R. WILLIAMS, PUBLIC HEALTH DIVISION DIRECTOR

TERRY REUSSER, CHIEF INFORMATION OFFICER

BUSINESS OWNER – SARAH FLORES-SIEVERS, NM WIC DIRECTOR

PROJECT MANAGER – LYNDI DITTMER-PERRY, PMP

ORIGINAL PLAN DATE: DECEMBER 18, 2013

REVISION DATE: APRIL 2, 2015

REVISION: 2.0

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 Initiation Phase certification. The Initial Phase certification is especially critical to many state and agency projects because of its related release of the initiation 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 June 30, 2010 on the OCIO-DoIT web site.

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http://www.doit.state.nm.us/docs/project_oversight/memo_project_oversight.pdf

http://www.doit.state.nm.us/docs/project_oversight/memo_project_oversight.pdf

TABLE OF CONTENTSABOUT THIS PROJECT CHARTER DOCUMENT........................................................................................................ I

TABLE OF CONTENTS........................................................................................................................................... II

1. PROJECT BACKGROUND.................................................................................................................................. 1

1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT....................................................................................................11.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT.........................................................21.3 PROJECT CERTIFICATION REQUIREMENTS....................................................................................................................3

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS....................................................................................................4

2.1 AGENCY JUSTIFICATION...........................................................................................................................................42.2 BUSINESS OBJECTIVES.............................................................................................................................................42.3 TECHNICAL OBJECTIVES...........................................................................................................................................52.4 IMPACT ON ORGANIZATION......................................................................................................................................52.5 TRANSITION TO OPERATIONS....................................................................................................................................6

3.0 PROJECT/PRODUCT SCOPE OF WORK............................................................................................................ 7

3.1 DELIVERABLES.......................................................................................................................................................73.1.1 Project Deliverables...................................................................................................................................73.1.2 Product Deliverables..................................................................................................................................9

3.2 SUCCESS AND QUALITY METRICS..........................................................................................................................9

4.0 SCHEDULE ESTIMATE................................................................................................................................... 10

5.0 BUDGET ESTIMATE...................................................................................................................................... 11

5.1 FUNDING SOURCE(S)............................................................................................................................................115.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE -............................................................................................115.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE................................................................................................11

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE...........................................................................12

6.1 STAKEHOLDERS...............................................................................................................................................126.2 PROJECT GOVERNANCE PLAN.........................................................................................................................136.3 PROJECT MANAGER.........................................................................................................................................13

6.3.1 PROJECT MANAGER CONTACT INFORMATION........................................................................................136.3.2 PROJECT MANAGER BACKGROUND ........................................................................................................14

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES................................................................................................146.5 PROJECT MANAGEMENT METHODOLOGY .................................................................................................................16

7.0 CONSTRAINTS............................................................................................................................................. 16

8.0 DEPENDENCIES............................................................................................................................................ 16

9.0 ASSUMPTIONS............................................................................................................................................ 17

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY........................................................................................17

11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING................................................................................19

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V..............................................................................20

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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES.................................................................................21

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE........................................................................21

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Revision History

REVISION NUMBER DATE COMMENT

0.0 August 14, 2007 Original DoIT PMO Document

1.0 December 18, 2013 Submitted for Project Initiation

2.0 April 2, 2015 Updated for Project Planning

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PROJECT CHARTER NM WIC 1

1. PROJECT BACKGROUND

1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT

The New Mexico Department of Health’s Women Infant and Children (WIC) Program recognizes that a modern and contemporary information system is necessary to improve program effectiveness for both the State of New Mexico WIC staff and local WIC Agency and Clinic staff. Importantly a new system as envisioned for WIC will also improve the State’s ability to engage, empower and serve its consumers of WIC services. The Scope of this project is to procure and implement a new WIC system that meets the stated business objectives. The State’s recommended approach for the new system will meet the United States Department of Agriculture Food and Nutrition Service (FNS) requirements for Management Information Systems (MIS) and Electronic Benefits Transfer (EBT) delivery of WIC client benefits.

Some of the key features desired for the future WIC Systems for New Mexico include but are not limited to:

Comprehensive Clinic and Participant case management system

Robust Participant scheduling system

Automated infant and child growth chart plotting and pregnancy weight gain grids and for the calculation of body mass index (BMI)

Supporting the ability to tailor Participant food packages to meet specific Participant nutritional risk needs

Availability of a Participant history to support improvements in measures of outcome and accountability

Enhanced ability to conduct nutrition or health surveillance and support for referrals

Enhanced reporting and ad hoc query capability

Strengthened audit trails, quality assurance and fraud and abuse prevention and detection

Streamlined processes for Food Redemption, Settlement and Reconciliation

Enhancements at the State Office level for more effective and efficient grocer compliance, financial and EBT management, and operations management

Improved Financial Management

Deployment as an enterprise Web-based system

New Mexico WIC’s existing application portfolio (referred to here as the “current system”) is comprised of State and Clinic applications that have been developed on multiple technology

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platforms over a number of years. While the current WIC system has served most of New Mexico WIC’s basic requirements, especially with respect to Electronic Benefits Transfer (EBT), limitations of the system inhibit New Mexico WIC’s ability to deliver optimal services. In particular, minimal and cumbersome reporting functionality make it difficult for program staff to monitor program activities across Clinics, Contract Agencies, Vendors, and Participants. The current system also prevents New Mexico WIC from evolving its model of practice, e.g. by offering self-serve functionality to participating participants through a web-based portal.

The New Mexico WIC program realizes that the current system’s technology of PowerBuilder-based systems is becoming obsolete, which will make maintaining and modifying the current system increasingly challenging and costly for the State. As operating systems and development environments evolve further, the current system puts New Mexico WIC at increasing risk of incompatibility with supported hardware and software, lack of WIC vendor support, and lack of qualified resources to maintain the system.

1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT

On April 15th, 2012, the NM WIC program received USDA FNS approval for its submitted planning advance planning document (PAPD), pursuant with the USDA FNS Handbook 901. This PAPD established five major deliverables: 1) Gap Analysis between current WIC system application and the established requirements for a WIC application set forth within the USDA FReD document; 2) complete business process analysis for all service areas within the NM WIC program; 3) complete functional requirements list; 4) complete non-functional requirements list; 5) proposed General System Design (GSD); and, 6) RFP to select a vendor for design, development, and implementation (DDI). The total budget for the PAPD was $1.6M.

As a result of the PAPD process, the NM WIC program proposed a new model of practice supported by a service-oriented architecture for the functional and non-functional requirements. This undertaking was named NM Empowering Logic through Innovation, Technology, & Education (ELITE). Also in accordance with USDA FNS rules and regulations, NM WIC submitted the Implementation Advance Planning Document (IAPD) that establishes the budget and legal authority to proceed with issuing and awarding an RFP for a DDI vendor and to also proceed with design, development and implementation of NM ELITE.

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The NM WIC Program submitted to FNS the NM WIC IAPD for approval on January 9, 2014. The IAPD contained a detailed implementation plan for the best value alternative selected for the project as well as a request for funding for NM ELITE ($13,891,957). The selected best value alternative included Transfer, Leverage Components and Build/Enhance. The New Mexico WIC Program did not receive FNS approval for the IAPD due to the need of additional detail on the project approach and budget. The project budget exceeded available federal funds. As the New Mexico WIC Program moves forward it must work within its existing constraints including the existing system continuing to operate well beyond projected lifespan, and limited federal funds. These factors create pressures on both time and budget. Any alternative selected must be evaluated with these constraints in mind. As a result, the NM WIC Program received FNS approval to join a Regional Solution led by Texas WIC Program procurement of a MIS/EBT system. FNS encourages multi-state partnerships and procurements. This reduces both cost and time frames of WIC project. Therefore, the NM WIC Program entered into a partnership with the Texas WIC program, through a Memorandum of Agreement (MOA), to join the Regional Solution and its efforts to procure a WIC system. The Texas WIC Program issued a Request For Proposal (RFP) with a Supplemental that included New Mexico. The NM WIC Program will award vendors based on the RFP.

The Texas WIC Program reviewed the functionality of two currently operating WIC systems, Successful Partners In Reaching Innovative Technology (SPIRIT) and the Mountain Plains States Consortium (MPSC). These systems have robust WIC functionality; however, the MPSC system also includes EBT smart card functionality, which has been proven in a production environment. As a result, the Texas WIC program concluded that the MPSC system functionality is the best alternative. To validate this conclusion, Texas WIC staff performed site visits to Colorado and Wyoming. During these visits existing functionality was observed in production areas were identified which would require enhancements to meet Texas specifications. Although New Mexico’s specifications were not included in this evaluation, they are similar to Texas’ in that both states follow 7 CFR Part 246 (Federal Regulations - SPECIAL SUPPLEMENTAL NUTRITION PROGRAM FOR WOMEN, INFANTS AND CHILDREN)

The New Mexico WIC Program accepts the evaluation performed by the Texas WIC Program. The recommended outcome included transferring the functionality modernizing and implementing the Mountain Plains States Consortium (MPSC) State Agency Model (SAM) system for use in Texas to include a Reporting Services Solution, as well as outsourcing EBT services. The partnering states of Texas, New Mexico, and Louisiana collectively determined that transferring and modernizing the MPSC functionality would meet Federal requirements and for New Mexico, would include many “to be” requirements of NM WIC original assessment and evaluation. In addition, the partnering WIC programs have identified functionality used to evaluate an EBT vendor and service contractor that would provide the critical enhanced reporting that is lacking in the current NM WIC system. In the partnership with the Texas,

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Louisiana, Cherokee Nation, and Pueblo of Isleta WIC Programs, New Mexico will participation in the development a WIC MIS/EBT Southwest Regional Solution that will include a collaboration of best practices, as well as efficient and cost effective procurement of services.

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 NM WIC Replacement Systems are necessary, as the current system does not meet all of the USDA FNS-mandated requirements for a WIC application.

Project cost is equal to or in excess of $100,000.00

Yes The proposed budget for this effort is pending final IAPD approval for the cost portion for NM.

Project impacts customer on-line access Yes While the current systems applications do not allow participants on-line access, the requirements established through the PAPD do require on-line self-service.

Project is one deemed appropriate by the Secretary of the DoIT

Yes

Will an IT Architecture Review be required? Yes

2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS

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2.1 AGENCY JUSTIFICATION

NUMBER DESCRIPTION

DEPARTMENT OF HEALTH FISCAL YEAR 2014 - 2016 STRATEGIC PLAN

Public Health Objectives

Improve Health Outcomes for the people of New Mexico Provide information and support on health practices for

infants

Accountability

Technology supports timely, data-driven decisions, improved business operations, and improved public information and education

2.2 BUSINESS OBJECTIVES

NUMBER DESCRIPTION

BUSINESS OBJECTIVE 1 Implement enhanced clinic and participant management system.

BUSINESS OBJECTIVE 2

Implement enhanced reporting, audit, quality assurance and compliance capabilities.

BUSINESS OBJECTIVE 3

Train all staff on the new models of practice and technologies that support the new model.

BUSINESS OBJECTIVE 4 Allow super-user autonomy for rules and food package changes

2.3 TECHNICAL OBJECTIVES

NUMBER DESCRIPTION

TECHNICAL OBJECTIVE 1

Align solution with Agency technology standards. Complete Requirements, Configuration, Design, and Technical Architecture documentation. Establish Schedule for NM WIC with EBT and MIS

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NUMBER DESCRIPTION

vendors.


Develop test plan and scripts for NM WIC. Implement NM WIC in test environment. Execute test scripts in test environment. Track and fix defects.


Prepare sites for deployment. Verify data conversion of limited data set.


Implement NM WIC into production and deploy to NM WIC Staff.

2.4 IMPACT ON ORGANIZATION

AREA DESCRIPTION

END USER All end users will be required to attend trainings on the new NM WIC system and the supporting technologies. End users may need to work in parallel environments (both legacy and new regional solution) until user acceptance has been met.

BUSINESS PROCESSES

NM WIC will update or create supporting workflow, business processes, and department policies and train staff train on the new model business processes.

IT OPERATIONS AND STAFFING

NM WIC application developers will develop interim files for the conversion and for the staged implementation. The Information Technology Services Division (ITSD) helpdesk will continue to be the first line of support. The selected vendors will train all DOH IT staff on the NM WIC platform and technologies. Additional help desk services will be provided by the vendor. The ITSD staff will support both legacy and regional platforms for an interim period until user acceptance and the implementation of the regional solution. This could have impact on IT Staff as the number of staff necessary to continue support and maintenance at this point in unknown.

VENDORS Existing vendors, grocers, and other suppliers’ systems and interfaces

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AREA DESCRIPTION

will need to be reviewed for impact.

2.5 TRANSITION TO OPERATIONS

AREA DESCRIPTION

PRELIMINARY OPERATIONS LOCATION AND STAFFING PLANS

The NM WIC replacement project will have not an immediate impact on the existing operation location and staffing plans already in place for NM WIC. The project could have impact on IT Staff as the number of staff necessary to continue support and maintenance at this point in unknown.

DATA SECURITY, BUSINESS CONTINUITY

The NM WIC replacement project will not have impact on the existing data security and business continuity plans already in place for NM WIC to support the legacy system. Data Security and Business Continuity will be required and reviewed throughout the project and adjusted accordingly for the new regional solution.

MAINTENANCE STRATEGY

The NM WIC replacement project will have no impact on the existing maintenance plan already in place for the current NM WIC. The EBT and MIS Contractors will provide maintenance and Operations and the policies and procedures will be updated by the Project Team and the EBT and MIS vendors.

INTEROPERABILITY Interoperability will be a result of the FNS requirements and the use of industry standard technology. Specific interoperability with other systems will be researched during the Planning Phase.

RECORD RETENTION The NM WIC replacement system project will not have an impact on the policies of the existing record retention plan. It is unknown if the replacement systems will contain components or rules related to the automation or support of record retention.

CONSOLIDATION STRATEGY

The NM WIC replacement systems project will not have an impact on the existing consolidation strategies already in place NM WIC.

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3.0 PROJECT/PRODUCT SCOPE OF WORK

3.1 DELIVERABLES

The Scope of this project is to procure and implement a new WIC system that meets the stated business objectives. The development of a new WIC Information System and procurement of an out-sourced solution for EBT services is to benefit the NM Supplemental Nutrition Program for Women, Infants and Children (WIC). The NM WIC Program recognizes that a modern and contemporary information system is required to strengthen access to our services and the efficiency, effectiveness, quality and outcomes of the NM WIC Program. This new WIC system will ensure the State’s fulfillment of the expectations and requirements of USDA FNS for a WIC Management Information System (MIS) and Electronic Benefits Transfer (EBT) for the delivery of client benefits.

3.1.1 PROJECT DELIVERABLES

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.

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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.

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.

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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

Requirements Documents The requirements documents will be completed during the implementation phase. This will include the configuration changes that will be included in this project.

Design Documents The design documents will be completed during the implementation phase. This will include the configuration changes that will be included in this project.

Systems Architecture The replacement system vendor will assist the project with the system architecture. This will be confirmed during the planning phase.

System and Acceptance Testing

The replacement system vendors and WIC program and clinic staff will be involved in the testing of the NM WIC system and application functionality. Test plans will be created and followed during testing. This includes verifying data integrity and conversion.

Implementation and Deployment Approach

The NM WIC team will work with the replacement system vendors to develop the approach for site preparation, training, and deployment across the State.

Operations Requirements The transition to operations and application support plan for maintenance and operations will be developed with the vendors during the planning phase.

3.2 SUCCESS AND QUALITY METRICS

The requirements and design of the new WIC System are derived from and fully responsive to the WIC Model Functional Requirements Document (FReD v2.0) and will provide the information required for the WIC Participant Characteristics Minimum Data Set. EBT Services will meet all Business Rules and Implementation Guidelines, including 2008 V.4 x .93 specifications and the configuration and modernization of the USDA FNS State Agency Model

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(SAM) functionality. Success is defined by meeting the Federal Requirements and State Objectives.

NUMBER DESCRIPTION

QUALITY METRICS 1 Data integrity is maintained throughout the project and verified once the conversion is complete.

QUALITY METRICS 2 Issuance, Claims, and other system interfaces are working properly and services to participants and payment to vendors are not interrupted.

QUALITY METRICS 3 Implementation vendor and end user testing are successful by developing a test plan, test scripts, and errors and other findings are resolved.

QUALITY METRICS 4 Independent verification and validation review will be conducted on all project deliverables.

4.0 SCHEDULE ESTIMATE

INITIATION DECEMBER 2013 Prepare and present project certification documentation – initiation phase

Initiate project structure

PLANNING APRIL 2015 Prepare and present project certification documentation – planning phase

Highlight change to Project direction since Initiation.

Finalize project structure IV&V Vendor contract in place

IMPLEMENTATION AUGUST 2015 Prepare and present project certification documentation –

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implementation phase Vendor contract negotiated Performance of Contract Statement of

Work Implementation of replacement system Vendor contract administration

CLOSEOUT DECEMEBER 2017

Prepare and present project certification documentation – closeout phase

Lessons learned Closeout activities

5.0 BUDGET ESTIMATE

5.1 FUNDING SOURCE(S)

SOURCE AMOUNT ASSOCIATED RESTRICTIONS

USDA FNS MIS and NSA FFY2014 Carryover

$400,000.00 NONE

5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE -

ITEM COST ESTIMATE

FY14 FY15 FY16 FY17

EBT & MIS Vendors TBD 0 TBD TBD TBD

Staff Augmentation – Project Manager, Project Business Analyst

TBD 0 $300,000 $100,000*ESTIMATE FOR PLANNING PHASE ONLY

TBD

Staff & Management TBD 0 TBD TBD TBD

Travel TBD 0 TBD TBD TBD

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5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE

PHASES PLANNED CERTIFICATION DATE

AMOUNT TO BE REQUESTED

INITIATION: DECEMBER 2013 $200,000.00

PLANNING: APRIL 2015 $200,000.00

IMPLEMENTATION: AUGUST 2015 TBD

CLOSEOUT: DECEMBER 2017 TBD

6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE

6.1 STAKEHOLDERS

NAME STAKE IN PROJECT ORGANIZATION TITLE

Mark S. R. Williams Executive Sponsor Department of HealthPublic Health Division Director

Terry Reusser Executive Sponsor Department of HealthChief Information Officer

Sarah Flores-SieversBusiness Owner

Department of Health, Office of Facility Management

NM WIC Program Director

WIC Staff System Users WIC Program Office Varied

WIC Participants Recipients of WIC benefits and education throughout New Mexico

n/a n/a

WIC Vendors Providers of products and services

n/a n/a

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6.2 PROJECT GOVERNANCE PLAN

6.3 PROJECT MANAGER

6.3.1 PROJECT MANAGER CONTACT INFORMATION

NAME ORGANIZATION PHONE #

EMAIL

Lyndi Dittmer-Perry DOH Information Technology Services Division

505.228.4455

[email protected]

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NAME ORGANIZATION PHONE #

EMAIL

(ITSD) Project Management Office

6.3.2 PROJECT MANAGER BACKGROUND

Lyndi Dittmer-Perry has more than 15 years of project management, program management, and leadership roles in healthcare information technology. Ms. Dittmer-Perry has successfully completed a variety of IT projects in varying sizes and complexity, including most recently a complex project involving the federal and state government, New Mexico healthcare providers and patients with grant funding over $8M.

6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES

ROLE RESPONSIBILITY

Executive Project Sponsors

Executive Sponsor is the point person for the project within the highest level of the Department of Health. The responsibilities of the Executive Sponsor include:

Participate in planning sessions Ensure project staff availability, funding and contract

management Review and accept the initial risk assessment, management

plan, project plan and budget Provide management review and accept changes to project

plan, contract or deliverables Attend executive requirements reviews and resolve

requirements problems. Empower the Project Manager Communicate with the Department of Health Champion the Project Contribute to lessons learned

Business Owner The Business Owner is the person who makes the business case for the project. The responsibilities of the Business Owner include:

Participate in planning sessions Ensure project staff availability, funding and contract

management Review and accept the initial risk assessment, management

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ROLE RESPONSIBILITY

plan, project plan and budget Appoint Committee and Team members Provide management review and accept changes to project

plan, contracts or deliverables Ensure user and sponsor acceptance Attend executive requirements reviews and resolve

requirements problems Adjudicate any appeals relative to Steering Committee

decisions Cast the deciding vote where a consensus cannot be reached

by the Steering Committee Empower the Project Manager Communicate with the Executive Sponsors and Department

of Health Champion on the Project Contribute to lessons learned

Project Manager The Project Manager’s primary responsibility is to manage the project. This role must not get too involved in the business or technical details of the project. The Project Manager responsibilities include:

Develop initial management plan and project plan Provide leadership for a coordinated project effort Document project assumptions, constraints and critical

success factors Conduct initial risk assessment Facilitate meetings Assign tasks Track schedules Develop detailed plans with project team for risk, change and

quality Ensure project consensus Manage expectations Report on project status Maintain issues log Maintain action items log Promote and practice change management Close-out action items

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ROLE RESPONSIBILITY

Communicate with the Business Owner and the Executive Sponsors

Champion the project Facilitate lessons learned process

Steering Committee Member

The Steering Committee is chartered to provide governance over the direction and support of the project and is chaired by the Business Owner. The Steering Committee member responsibilities include:

Attend and participate in meetings Review and accept deliverables Review presented documentation Balance larger picture versus detail of project Review project funding and expenditures Champion the project Contribute to lessons learned

Project Team Member The Project Team member is an important role in that it is the link between the vision and the reality of the project. The Project Team members’ responsibilities include:

Attend and participate in meetings Participate in the planning process Accomplish and provide deliverables Represent specific area(s) (e.g., technical, clinical, process,

etc.) for the overall project as assigned Report progress, issues, etc. Communicate with the Project Manager Champion the project Contribute to lessons learned

6.5 PROJECT MANAGEMENT METHODOLOGY

At this time the NM WIC Project is still defining its requirements and in discussion with EBT and MIS vendors regarding Project Management Methodology and System Development Methodology.

7.0 CONSTRAINTS

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NUMBER DESCRIPTION

1 IAPDs must be approved and funded by May 2015.

8.0 DEPENDENCIES

Types include the following and should be associated with each dependency listed. Mandatory dependencies are dependencies that are inherent to the work being done. D- Discretionary dependencies are dependencies defined by the project management team. This may also

encompass particular approaches because a specific sequence of activities is preferred, but not mandatory in the project life cycle.

E-External dependencies are dependencies that involve a relationship between project activities and non-project activities such as purchasing/procurement

NUMBER

DESCRIPTION TYPE M,D,E

1 IAPD must be funded prior to final vendor contract approvals for the lead state (TX) for the Regional Solution.

M, E

2 NM IAPD must be funded prior to final NM vendor contract approvals.

M, E

3 Regional procurement of the core systems is approved and executed by the lead state (TX).

M, E

9.0 ASSUMPTIONS

NUMBER DESCRIPTION

1 Assumption that each state participating in the Regional Solution will have fully executed contracts with EBT and MIS vendors.

2 New Mexico will have executed contracts with EBT and MIS vendors.

3 New Mexico will receive New Mexico specific Federal Funding for the project via the IAPD mechanism.

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NUMBER DESCRIPTION

4 Resources from EBT and MIS vendors, DOH ITSD, and NM WIC will be available for the duration of the project.

5 IV&V services will be funded at the Regional Enterprise level.

10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY

Risk 1

Description - Project will be at risk if all stakeholders are not engaged at the beginning of the project

ProbabilityLOW

ImpactHIGH

Mitigation Strategy: Emphasize communication to all stakeholders to be sure they understand the benefits of a successful project.Contingency Plan: This risk will be addressed during the planning phase so that necessary communication takes place throughout the project.

Risk 2

Description - Project will be at risk if the implementation vendor resources are not available

ProbabilityLOW

ImpactHIGH

Mitigation Strategy: In the beginning of the project, work with vendor and agree upon a schedule.Contingency Plan: Review the schedule monthly with the vendor to address any scheduling issues.

Risk 3

Description - Project will be at risk if the contract/procurement process takes an excessive amount of time

ProbabilityMEDIUM

ImpactHIGH

Mitigation Strategy: Emphasize the contract process to the vendor and project participants. Emphasize the need for quick responses to requests for contract and scope of work reviews and signoffs.Contingency Plan: The contingency plan will be developed during the planning phase as part of the project management plan.

Risk 4

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Description - Project will be at risk if USDA/FNS withdraws the funding for cost containment purposes, or other

ProbabilityLOW

ImpactHIGH

Mitigation Strategy: Show how services will become more cost effective and the ability to generate revenue recovery if this project is completed. Apply for an exemption period.Contingency Plan: The contingency plan will be developed during the planning phase as part of the project management plan.

Risk 5

Description - EBT Light Plus Staged Deployment, (potential for manual processes for an interim time and the need to establish business continuity during the staged deployment)

ProbabilityMEDIUM

ImpactHIGH

Mitigation Strategy: Develop contingency plan to include reverting to current system and examine other possible solutions.Contingency Plan: The contingency plan will be developed during the planning phase as part of the project management plan.

Risk 6

Description – Funding timeframe requires lead state in the Regional solution to encumber funds by Dec. 2016

ProbabilityMEDIUM

ImpactHIGH

Mitigation Strategy: Assist Regional team by communicating with vendors about the urgency, communicating status with FNS representatives, and monitoring procurement at Regional and State of NM level.Contingency Plan: The contingency plan will be developed during the planning phase as part of the project management plan.

Risk 7

Description – Project Governance for the Regional Solution

ProbabilityMEDIUM

ImpactHIGH

Mitigation Strategy: Clarifying roles and governance and consistent participation from NM representatives. Establish working relationship with Regional Project Director and NM Project Manager to offset any early indications of issues.Contingency Plan: The contingency plan includes escalation to the Executive Sponsors and at the severest level potentially contacting FNS representatives.

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11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING

Meeting agendas, minutes, and supporting documentation will be provided using the following software packages: Microsoft Word, Excel, PowerPoint, Outlook and Project. Every attempt will be made to publish the meeting minutes in a timely fashion and no later than 2 days prior to the next regularly scheduled meeting. Any meeting called should have an agenda, attempt to start and finish on time. The time allocated to each agenda topic will vary depending on the depth of issues to be covered. Items not able to be covered within the meeting time and accepted to be postponed may be added to the next standing meeting’s agenda or may require a special meeting.

The meeting times and distributions of the meeting minutes for the project are as follows:

Project Team Meetings will be on a regular schedule. The Project Manager will assign the scribe. The Project Manager will post the project team meetings in the electronic document libraries.

Steering Committee Meetings will be held monthly. The Business Owner will assign the scribe. The Monthly Steering Committee meeting minutes will be posted to the electronic document library in the project folder and e-mailed to attendees.

Special Session Meetings may be called at the request of the Business Owner or Project Manager. A range of issues may require a special meeting of a team, committee or subset. These meetings will be scheduled to accommodate the majority of attendees. The minutes from these meetings will be posted in the document library and e-mailed to all attendees.

Status reports and meeting agendas will be used to track progress and issues. Project Team members will provide status as requested by the Project Manager. These reports will be in addition to such reports prepared upon request and by other contractors. The project manager will submit monthly DoIT status reports.

Special reports will be provided at the request of the Project Management Contract Administrator or the Executive Sponsors.

Steering Committee will approve deliverables acceptance with sign-off documents being archived in the physical project library in the Project Management office.

Issues and risk management and resolution help to resolve those issues or risks not anticipated during planning process. Issues or risks should be reported at the earliest possible time so that corrective action and risk mitigation can be developed to address with the issue or risk. The corrective action should address both the immediate need and the underlying cause of the issue or risk. The Project Manager will keep an issue and risk tracking log and will work with the Project Team for corrective action.

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The Project Manager will maintain an action item list. This action item list identifies the action item, the reference item, the responsible party, and the solution, and the due and completion dates. Updates may also be reflected in meeting minutes.

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V

Project/Product Area Include –Yes/No

Project Management Yes

Quality Management Yes

Training Yes

Requirements Management Yes

Operating Environment Yes

Development Environment Yes

Software Development Yes

System and Acceptance Testing Yes

Data Management Yes

Operations Oversight Yes

Business Process Impact Yes

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13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES

SIGNATURE DATE

EXECUTIVE SPONSOR

EXECUTIVE SPONSOR

BUSINESS OWNER

PROJECT MANAGER

14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE

SIGNATURE DATE

DOIT / PCC APPROVAL

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