NMSIIS
NEW MEXICO STATEWIDE IMMUNIZATION INFORMATION SYSTEM
HOSTING, MAINTENANCE AND SUPPORT
P R OJ EC T CHA R TER FOR C ER T IFIC A TION
NEW MEXICO DEPARTMENT OF HEALTH
IMMUNIZATION PROGRAM SERVICES
EXECUTIVE SPONSOR – JANE PEACOCK
PROJECT DIRECTOR – DANIEL BURKE
PROJECT MANAGER – PAULA MORGAN
ORIGINAL PLAN DATE: JANUARY 22, 2014
REVISION DATE: N/A
REVISION: 1.0
ABOUT THIS PROJECT CHARTER DOCUMENT
PERMISSION TO PLAN THE PROJECT AND SETTING THE GOVERNANCE STRUCTURE
The Project Charter provides the project manager and project team with permission to proceed
with the work of the project, within the scope delineated in this document. The Project Charter
should be the outcome of a number of documents that went into the pre-planning for the project,
and in many cases the agency IT Plan, Business Case for appropriations, Federal funding
requests and the like.
Project sponsors sign the Project Charter signifying that they have agreed to the governance
structure for guiding the direction for the further planning of the project, discovery and defining
the requirements, acquiring necessary resources, and within that context the statement of work
for any related contracts including a contract for the Independent Validation and Verification.
The Project Charter is also the foundation for the creation of the project management plan, and
much of the thinking and writing for this charter will be immediately usable for that project
management plan.
PROJECT CERTIFICATION INITIAL PHASE DOCUMENTATION
The Project Charter is also used within the State of New Mexico IT Project Certification process
as evidence of the project’s worthiness for the Initial Phase certification. The Initial Phase
certification is especially critical to many state and agency projects because of its related release
of the initial funds required for the project.
Initiation Phase funding is requested by an agency for use in developing project phases,
developing Independent Verification and Validation (“IV&V”) plan and contract; address
project review issues and/or to develop an overall project management plan. Note: Waiver of the
IV&V requirement requires specific written approval by the Secretary of the DoIT.
DoIT “Project Certification” Memorandum July 2, 2007
The Project Charter and the Request for Certification Form are meant to provide a
comprehensive picture of the project’s intention and initial planning, that includes the project’s
place in the context of the State of New Mexico’s IT Strategic Plan, Enterprise Architecture, and
DoIT project oversight process. See “IT Project Oversight Process” Memorandum July 5th
2007 on the OCIO-DoIT web site.
I
1. PROJECT BACKGROUND | PUBLIC HEALTH DIVISION
TABLE OF CONTENTS
ABOUT THIS PROJECT CHARTER DOCUMENT .......................................................................................................... I
TABLE OF CONTENTS.............................................................................................................................................. II
1. PROJECT BACKGROUND ..................................................................................................................................... 1
1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT 1
1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT 2
1.3 PROJECT CERTIFICATION REQUIREMENTS 2
2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS...................................................................................................... 3
2.1 AGENCY JUSTIFICATION 3
2.2 BUSINESS OBJECTIVES 3
2.3 TECHNICAL OBJECTIVES 4
2.4 IMPACT ON ORGANIZATION 4
2.5 TRANSITION TO OPERATIONS
5
3.0 PROJECT/PRODUCT SCOPE OF WORK .............................................................................................................. 5
3.1 DELIVERABLES 6
3.1.1 Project Deliverables .....................................................................................................................................6
3.1.2 Product Deliverables ...................................................................................................................................8
3.2 SUCCESS AND QUALITY METRICS 8
4.0 SCHEDULE ESTIMATE ....................................................................................................................................... 8
5.0 BUDGET ESTIMATE ......................................................................................................................................... 10
5.1 FUNDING SOURCE(S) 10
5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE - 11
5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE 11
6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE ............................................................................ 12
6.1 STAKEHOLDERS
12
6.2 PROJECT GOVERNANCE PLAN 13
6.3 PROJECT MANAGER
13
6.3.1 PROJECT MANAGER CONTACT INFORMATION .........................................................................................13
6.3.2 PROJECT MANAGER BACKGROUND .........................................................................................................13
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES 13
6.5 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 ................................................................................. 18
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V ............................................................................... 19
13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES................................................................................... 19
14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE ......................................................................... 20
II
1. PROJECT BACKGROUND | PUBLIC HEALTH DIVISION
Revision History
REVISION NUMBER
DATE
1.0
January 22, 2014
III
COMMENT
1. PROJECT BACKGROUND | PUBLIC HEALTH DIVISION
PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
1
1. PROJECT BACKGROUND
EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT
The vision of the New Mexico Department of Health (DOH) is a healthier New Mexico.
The mission of DOH is to promote health and wellness, improve health outcomes, and assure
safety net services for all people in New Mexico.
The mission of the Public Health Division of DOH is to work with individuals, families, and
communities in New Mexico to achieve optimal health. We provide public health leadership by
assessing health status of the population, developing health policy, sharing expertise with the
community, assuring access to coordinated systems of care and delivering services to promote
health and to prevent disease, injury, disability and premature death.
This project focuses on the mission of the Immunization Program. This is to protect New
Mexico’s children and adults from vaccine-preventable diseases. It is also the goal of the New
Mexico Department of Health to reduce health disparities, addressing different racial/ethnic
groups in a conscious effort to reduce health disparities.
A key component of the success of this effort is The New Mexico Department of Health’s
(NMDOH) Immunization Registry (New Mexico Statewide Immunization Information System
NMSIIS). The NMSIIS application provides the ability for health and medical practices to enter
immunization data and analyze and track immunization activity for individuals from birth to
death throughout New Mexico. In addition, its data are used to evaluate the effectiveness of the
statewide Immunization Program, determine the need for new programs, and identify
underserved populations.
Currently, the NMDOH operates a customized version of the Wisconsin Immunization Registry
(WIR) system. New Mexico adopted the New York State version of the WIR system for its
implementation of NMSIIS (2009). Significant modifications have been made to the NMSIIS
since it was implemented. In 2012, a major upgrade was implemented to enable automated data
exchange through HL7 processing.
NMDOH is seeking qualified entities to host, maintain and support its existing Immunization
Registry (New Mexico Statewide Immunization Information System NMSIIS) or a replacement
Immunization Registry. New Mexico’s current version of NMSIIS has functionality and
maintenance issues. Therefore, the Department will consider proposals that replace the existing
NMSIIS if the change results in improved functionality, maintenance and support operations.
The NMDOH will consider proposals that demonstrate improved functionality, lower support
and maintenance costs and reduced time that NMDOH staff would devote to maintenance and
support issues.
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
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The New Mexico Statewide Immunization Information System (NMSIIS) project will have a
direct impact on helping the NM DOH achieve Goal 1, Goal 5 and Goal 6 of its FY14 Strategic
Plan. By tracking all Immunizations administered in New Mexico, the NMDOH will improve
Health Outcomes for the People of New Mexico by allowing for better decision making. An
improved and integrated NMSIIS application will provide better information to all stakeholders
with regard to the health of the citizens of New Mexico and provide a technology that supports
timely, data-driven decisions and improves business operations for better financial tracking of
Vaccines.
SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT
The Mexico Statewide Immunization Information System (NMSIIS) registry is based off of the
Wisconsin Immunization Registry (WIR) software system and is currently maintained and
supported under a contract that was awarded to HP Enterprise Services, LLC. The current
contract will expire on March 31, 2014. HP Enterprise Services, LLC has been supporting the
New Mexico enhanced version of the WIR application since 2009.
The Department of Health is in the process of publishing a competitive Request for Proposal
(RFP). New Mexico’s current version of NMSIIS is both old and costly to maintain. Therefore,
the NMDOH is willing to entertain proposals that in addition to hosting, maintenance and
support services include replacing the current version of NMSIIS with a modern immunization
information system employing a service-oriented architecture. The NMDOH is open to a
proposal that justifies a more recently developed IIS through evidence demonstrating improved
functionality, lower support and maintenance costs and reduced time NMDOH staff would
devote to maintenance and support issues.
1.3 PROJECT CERTIFICATION REQUIREMENTS
Does the project fit into the criteria for certification? Which and how?
CRITERIA
YES/NO
EXPLANATION
Project is mission critical to the agency
Yes
Current support and maintenance
contract ends on March 31, 2014.
NMDOH is seeking qualified
entities to host, maintain and
support the existing NMSIIS or
provide a replacement
Immunization Registry.
Project cost is equal to or in excess of
$100,000.00
Yes
Project Management and IV&V
estimate $300,000. Total cost of
project is unknown.
Project impacts customer on-line access
Yes
Health care providers and other
entities that provide
immunizations within New
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
Mexico.
Project is one deemed appropriate by the
Secretary of the DoIT
TBD
Will an IT Architecture Review be required?
Yes
Will entail continued
maintenance of a current SaaS
implementation or potential for
new system architecture.
2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS
The justification and objectives section relates the project to the purpose of the lead agency and
describes the high-level business and technical objectives for the project. The section also
includes a high-level review of the impact to the organization, and of the concerns for transition
to operations.
2.1 AGENCY JUSTIFICATION
IDENTIFY AGENCY MISSION, PERFORMANCE MEASURE OR STRATEGIC GOALS TO BE
ADDRESSED THROUGH THIS PROJECT
NUMBER
DESCRIPTION
Goal 1: Improve Health Outcomes for the people of New Mexico
Dept of Health
Goal 5: Ensure that Technology Supports Timely, Data-Driven
FY14 Strategic Plan Decisions; Public Information; and, Improves Business Operations
Goal 6: Improve Fiscal Accountability
2.2 BUSINESS OBJECTIVES
USE THE FOLLOWING TABLE TO LIST MEASURABLE BUSINESS OBJECTIVES
NUMBER
DESCRIPTION
Business Objective 1
Improve Adult Immunizations administration and tracking.
 Expanded access in health care settings
 Standing orders, provider reminder systems, assessment
and feedback in provider settings.
 Patient reminder systems and education.
Business Objective 2
Provide education to VFC providers about the benefits of submitting
immunizations electronically to NMSIIS
Business Objective 3
Provide technical assistance to VFC providers that want to begin to
submit immunizations electronically to NMSIIS.
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
NUMBER
Business Objective 4
DESCRIPTION
Provide training to Public Health Division staff on correct entry of
client and immunization information so that data can be successfully
incorporated into NMSIIS.
Business Objective 5
Incorporate immunization information from the Billing and
Electronic Health Record into NMSIIS.
Business Objective 6
Improved tracking and reporting of vaccine inventory.
2.3 TECHNICAL OBJECTIVES
NUMBER
DESCRIPTION
Technical Objective 1
An improved and integrated NMSIIS application will provide better
information to all stakeholders with regard to the health of the
citizens of New Mexico.
Technical Objective 2
Implement a more recently developed IIS with improved
functionality, lower support and maintenance costs and reduced time
devoted to maintenance and support issues.
Technical Objective 3
Develop and provide technical training for the provider community.
Technical Objective 4
Complete Requirements and Configuration documentation and Time
Line for NMSIIS application.
Technical Objective 5
Implement NMSIIS in test environment.
Technical Objective 6
Develop test plan and scripts for NMSIIS. Execute test scripts in test
environment. Track and fix defects.
Technical Objective 7
Implement NMSIIS in production.
Technical Objective 8
Ensure secure integration not only for storing and exchanging
information but also for coordinating the full life-cycle of provider
support of the health care recipient and vendor(s).
2.4 IMPACT ON ORGANIZATION
The impacts on the organization are areas that need to be addressed by the project through its
planning process. They may not be internal project risks, but they can impact the success of the
project’s implementation.
AREA
DESCRIPTION
END USER - Provider
There will be potential changes for providers in utilizing and
reporting immunization information. As part of the project and on-
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
AREA
DESCRIPTION
going management, it will be important to provide provider training
to minimize the operational impact.
END USER – Health
Care recipient
Improved access, timeliness and accuracy of client immunization
information.
BUSINESS
PROCESSES
New technologies require new business process for Providers as well
as DOH staff. This will require the development of new business
processes to ensure information is collected and disseminated
securely and at appropriate levels.
IT OPERATIONS
AND STAFFING
Operations and staffing will be determined as part of the Planning
phase. The project intention is to have the overall system(s) hosted
by the vendor(s).
2.5 TRANSITION TO OPERATIONS
The transition to operations areas include items that are asked in the certification form to assure
that the project has accounted or will account for these matters in its planning and requirements
specifications.
AREA
DESCRIPTION
PRELIMINARY
OPERATIONS
LOCATION AND
STAFFING PLANS
The current NMSIIS application is a vendor hosted system. Staffing
changes will be evaluated with the award to the pending RFP.
DATA SECURITY,
BUSINESS
CONTINUITY
DOIT and DOH security standards will be adhered to, and system
backup plans and business continuity plans will be developed.
INTEROPERABILITY
The interoperability of NMSIIS is a key component to the
functionality of this effort.
RECORD RETENTION
Must follow all State record retention requirements for DOH
employees.
CONSOLIDATION
STRATEGY
It is believed that technology exists in the market that addresses the
core needs of this environment. An RFP is scheduled to be published
within the first 2 months of 2014, and a preferred vendor will be
selected by the review committee.
3.0 PROJECT/PRODUCT SCOPE OF WORK
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
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.”
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
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.
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
3.1.2 PRODUCT DELIVERABLES
The product deliverable documents listed here are only used for illustration purposes
Requirements Document
The requirements document will be complete during the
Implementation phase. This will include the configuration
changes that will be included in this project.
Design Document
The design document will be complete during the
implementation phase. This will include the configuration
changes that will be included in this project.
Systems Specifications
The current NMSIIS application is a SaaS solution. System
specifications of the awarded RFP vendor may impact
software/hardware needs. This will be determined during
the planning phase.
Systems Architecture
Any changes required will be documented in the Planning
phase.
System and Acceptance
Testing
Implementation vendor and DOH staff will be involved in
the testing of the application’s functionality. Test plans will
be created and followed during testing. This includes
verifying data integrity.
Operations requirements
The transition to operations and application support plan
will be updated.
3.2 SUCCESS 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
Data integrity is maintained throughout the project and verified once
the implementation is complete.
QUALITY METRICS 2
Data is converted properly from existing NMSIIS application if
necessary.
QUALITY METRICS 3
Immunizations and other system interfaces are working properly and
electronic data exchange is functioning properly.
QUALITY METRICS 4
Implementation vendor and end user testing are successful by
developing a test plan and test scripts.
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
NUMBER
DESCRIPTION
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.
9
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.
Start Date
Phase
INITIATION
January 2014
PLANNING
April 2014
IMPLEMENTATION
July 2014
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Activities complete by certification date
 Prepare and present project certification
documentation – initiation phase
 Initiate project structure
 Prepare and present project certification
documentation – planning phase
 Prepare and present Project Management
Plan for certification
 Prepare high-level schedule
 Finalize project structure
 Negotiate and execute IV&V contract
 Implementation vendor contract
amendment negotiated
 Procure necessary contract resources and
systems.
 Prepare and present project certification
documentation – implementation phase
 Prepare and present updated Project
Management Plan – implementation phase
 Technical Architecture approved
 Manage implementation vendor contracting
preparation
 Execute implementation vendor contract
amendment
PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
CLOSEOUT




August 2015




Implementation application
Vendor contract administration
IV&V Reports Submitted
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.
Please remember to include agency staff time including project managers as costs.
5.1 FUNDING SOURCE(S)
This project is funded by the Immunization Program of the Public Health Division. Funding
will be provided from federal grant and operational monies.
SOURCE
AMOUNT
PPHF Grant # IH23IP000577-01
Project ID: DOHIZSIIS1201
DOHIM1401
TBD
$300,000
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ASSOCIATED
RESTRICTIONS
Expires August 2014
Expires Dec. 2014
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
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5.2. BUDGET BY MAJOR DELIVERABLE OR TYPE OF EXPENSE –
BUDGET
Cost Estimate
DESCRIPTION
STAFF INTERNAL
Consulting
Services
Software/Har
dware
FY14
FY15
Project Manager
Project Manager
$200,000
IV&V
$100,000
Implementation Vendor(s)
TBD
NMSIIS
Software/Hardware
TBD
TOTAL
5.3 BUDGET BY PROJECT PHASE OR CERTIFICATION PHASE
PLANNED CERTIFICATION DATE
AMOUNT TO BE
REQUESTED**
INITIATION
January 2014
$300,000
PLANNING
April 2014
TBD
IMPLEMENTATION
July 2014
TBD
August 2015
0
PHASES
CLOSEOUT
** Amounts listed at certification phases are likely to be modified at Planning Phase certification
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
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6.0 PROJECT AUTHORITY AND ORGANIZATIONAL
STRUCTURE
6.1 STAKEHOLDERS
Stakeholders should be a mix of agency management and end users who are impacted positively
or negatively by the project.
NAM E
STAKE IN PROJECT
DOH
Immunization
Program
System Users
Health Care
Providers
System Users
Health Care
consumer
Recipients of immunizations in
New Mexico.
Terry Reusser
NMDOH Chief Information Officer
ITSD, NMDOH
CIO
Jane Peacock
Executive Sponsor
PHD, NMDOH
PHD Director
Dan Burke
Project Director
PHD, NMDOH
Immunization
Program Manager
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ORGANIZATION
TITLE
NMDOH
PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
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6.2 PROJECT GOVERNANCE PLAN
A diagram of the organization structure including steering committee members, project manager
and technical/business teams would be helpful.
Jane Peacock,
PHD Division
Director
Terry Reusser,
CIO
Steering
Committee
IV&V
Consultant
Business
Process Team
Daniel Burke
Project Director
Paula Morgan
Project Manager
DOH Technical
Staff
Implementation
Contractor
6.3 PROJECT MANAGER
6.3.1 PROJECT MANAGER CONTACT INFORMATION
NAME
ORGANIZATION PHONE #(S)
NMDOH
Information
Technology
Services Division
Paula Morgan
505-827-2556
EMAIL
Paula.morgan@state.nm.us
6.3.2 PROJECT MANAGER BACKGROUND
Paula Morgan is an IT Staff Manager for the Application Support Bureau of the Information
Technology Services Division within the Department of Health. Paula brings over 20 years in
project management, Information Technology and related experience. Paula has successfully
implemented IT projects of varying sizes in both the public and private sectors. She is an
effective team leader with strength in communications, leadership and building relationships and
team effort.
6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES
ROLE
RESPONSIBILITY
Executive Sponsor
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
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
ROLE
RESPONSIBILITY
management
 Review and accept the initial risk assessment, management
plan, project plan and budget
 Appoint Business Manager
 Provide management review and accept changes to project
plan, contract or deliverables
 Attend executive requirements reviews and resolve
requirements problems.
 Empower the Business Manager
 Communicate with the Department of Health
 Champion the Project
 Contribute to lessons learned
Project Director
The Project Director is the person who makes the business case for
the project. The responsibilities of the Project Director 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
 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 Sponsor 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
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
ROLE
RESPONSIBILITY















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
Value teamwork, cooperation and planning
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 Project
Director. 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.
 Champion the project
 Contribute to lessons learned
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6.5 PROJECT MANAGEMENT METHODOLOGY
The Department of Information Technology certification process is built around a series of
certification gates: Initiation, Planning, Implementation and Closeout. Each of these
phases/gates has a set of expected documents associated with it. The gates and the associated
documents make up the certification methodology.
For some projects such a framework might be sufficient, where for some projects the solution
development life cycle (SDLC) with plan, define, design, build, close might be more
appropriate.
Put most simply how is the project to be structured into a methodology or framework and where
do the project and product deliverables fit into this roadmap?
7.0 CONSTRAINTS
NUMBER
DESCRIPTION
1
An RFP for the continued support and/or replacement of the current
NMSIIS application is due for release in first quarter of 2014.
2
Funding for continued support of NMSIIS application will be costly until
the improved version of NMSIIS is implemented into Production.
8.0 DEPENDENCIES
Types include the following and should be associated with each dependency listed.


M - 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 nonproject activities such as purchasing/procurement

NUMBER DESCRIPTION
TYPE M,D,E
1
The success of this project is dependent on the release of the
NMSIIS support and maintenance RFP.
M
2
All associated vendors of the NMSIIS application will need to
cooperate to assure success of the project.
E
3
Pending Sole Source contract to continue maintenance and
support of current NMSIIS application.
E
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
9.0 ASSUMPTIONS
NUMBER
DESCRIPTION
1
The planning activities of DOH project manager must be closely integrated to
the coordination of the NMSIIS application and all other efforts associated with
the PPHF grant.
2
Systems coming from different vendors are able to communicate with each other
as defined in the requirements.
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
Probability
Impact
LOW
HIGH
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
Probability
Impact
LOW
HIGH
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 Maintenance
and support of current
NMSIIS application
expires prior to
implementation of new
NMSIIS version.
Probability
Impact
Low
HIGH
Mitigation Strategy: Sole Source contract currently being
pursued.
Contingency Plan: Minimal to no enhancements will be made
to current application during transition period.
Risk 4
Description - Project will
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Probability
MEDIUM
Impact
HIGH
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
be at risk if the
contract/procurement
process takes an excessive
amount of time
RISK 5
Description – It is possible
that key stakeholders in
DOH will retire or vacate
current positions during the
life of this project.
18
Mitigation Strategy: Emphasize the lengthy and convoluted
contract and procurement 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.
Probability
Impact
MEDIUM
MEDIUM
Mitigation Strategy: Cross training will assure continued
services.
Contingency Plan: Attempt to double fill positions prior to
current stakeholder retiring so knowledge transfer can occur.
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 scribe will be assigned by the
Project Manager. The project team meetings will be posted in the electronic document
libraries by the Project Manager.
Special Session Meetings may be called at the request of the Project Director 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 will be used to track progress and issues. Project Team members will provide
status reports as requested by the Project Manager. These reports will be in addition to such
reports prepared upon request and by other contractors. Monthly DoIT status reports will be
submitted by the Project Manager.
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
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
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or risk. The Project Manager will keep an issue and risk tracking log and will work with the
Project Team for corrective action.
The Project Manager will maintain an action item list. This action item list identifies the action
item, the reference item, the responsible party, solution, and the due and completion dates.
Updates may also be reflected in meeting minutes.
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V
IV&V focus depends upon the type of project, with various emphases on project and product
deliverables.
The following check list is based on Exhibit A of the OCIO IV&V Contract Template, and the
Information technology template. . It is included here to provide a high level of the type of
IV&V accountability the project envisions:
Project/Product Area
Include
Yes/No
Project Management
Y
Quality Management
Y
Training
Y
Requirements Management
Y
Operating Environment
Y
Development Environment
N
Software Development
N
System and Acceptance Testing
Y
Data Management
Y
Operations Oversight
Y
Business Process Impact
N
13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES
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PROJECT CHARTER NMSIIS-NM STATEWIDE IMMUNIZATION INFORMATION SYSTEM
SIGNATURE
DATE
EXECUTIVE
SPONSOR(S)
PROJECT DIRECTOR
PROJECT MANAGER
14.0 PROJECT CHARTER CERTIFICATION APPROVAL
SIGNATURE
SIGNATURE
DOIT / PCC APPROVAL
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DATE
20