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					      NEW MEXICO HEALTH INSURANCE
    EXCHANGE INFORMATION TECHNOLOGY
           (NMHIX) PROJECT

  P R OJ EC T CHA R TER FOR C ER T IFIC A TION




                       EXECUTIVE SPONSORS –
 DANIEL DERKSEN, MD, HSD OFFICE OF HEALTH CARE REFORM DIRECTOR
         CHARISSA SAAVEDRA, HSD DEPUTY CABINET SECRETARY
  EXECUTIVE BUSINESS OWNER – LISA REID, HSD OFFICE OF HEALTH CARE
                      REFORM DEPUTY DIRECTOR
EXECUTIVE TECHNOLOGY OWNER – REDDYKUTHURU, HSD/ITD ACTING CHIEF
                      INFORMATION OFFICER
              ITD PROJECT MANAGER –KATHY MARTINEZ
                    PROJECT MANAGER – MARY WHITE
ORIGINAL PLAN DATE: 1/10/2012
       REVISION DATE:
         REVISION:
                                                TABLE OF CONTENTS
TABLE OF CONTENTS............................................................................................................................................... I
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 .....................................1
    1.3 PROJECT CERTIFICATION REQUIREMENTS ...........................................................................................................3
2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS...................................................................................................... 3
    2.1 AGENCY JUSTIFICATION ......................................................................................................................................3
    2.2 BUSINESS OBJECTIVES .........................................................................................................................................4
    2.3 TECHNICAL OBJECTIVES ......................................................................................................................................4
    2.4 IMPACT ON ORGANIZATION .................................................................................................................................5
    2.5 TRANSITION TO OPERATIONS ...............................................................................................................................6
3.0 PROJECT SCOPE OF WORK................................................................................................................................ 8
    3.1 DELIVERABLES ....................................................................................................................................................8
       3.1.1 Project Deliverables .....................................................................................................................................8
       3.1.2 Product Deliverables .................................................................................................................................10
    3.2 SUCCESS AND QUALITY METRICS ......................................................................................................................11
4.0 SCHEDULE ESTIMATE ..................................................................................................................................... 12
5.0 BUDGET ESTIMATE ......................................................................................................................................... 12
    5.1 FUNDING SOURCE(S)..........................................................................................................................................13
6.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE ............................................................................ 14
    6.1 STAKEHOLDERS ...........................................................................................................................................15
    6.2 PROJECT GOVERNANCE PLAN ..................................................................................................................16
    6.3 PROJECT MANAGER .....................................................................................................................................18
       6.3.1 PROJECT MANAGER CONTACT INFORMATION .........................................................................................18
    6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES ...................................................................................19
    6.5 PROJECT MANAGEMENT METHODOLOGY ..........................................................................................................22
7.0 CONSTRAINTS ................................................................................................................................................ 22
8.0 DEPENDENCIES............................................................................................................................................... 23
9.0 ASSUMPTIONS ............................................................................................................................................... 24
10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY ......................................................................................... 25
11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING ................................................................................. 26
12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V ............................................................................... 26
13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES................................................................................... 27
14.0 PROJECT CHARTER CERTIFICATION APPROVAL SIGNATURE ......................................................................... 28




                                                                                                                              i
Revision History
 REVISION NUMBER   DATE               COMMENT
 1.0               January 10, 2011   Original DoIT PMO Document

 2.0

 3.0

 4.0




                                                          ii
  PROJECT CHARTER HIX PROJECT




1. PROJECT BACKGROUND

   1.1 EXECUTIVE SUMMARY -RATIONALE FOR THE PROJECT
   The Project Goal is to implement a Health Insurance Exchange System. HSD will procure a
   software solution that connects to the ISD2R (ASPEN) and MMIS systems for eligibility and
   enrollment, fiscal transactions, “No Wrong Door” and shop and compare functions.
   The Affordable Care Act (ACA) allows states to develop Health Insurance Exchanges to help
   individuals and small businesses purchase health insurance. New Mexico seeks to modernize the
   state’s health insurance market based on the fundamental principles of real consumer choice,
   competition, shared responsibility and value to create the New Mexico Health Insurance
   Exchange (NMHIX).
   Significant IT gaps were identified in the state’s current eligibility, enrollment and fiscal
   transactions systems. The current HSD Medicaid and assistance programs use an Integrated
   Serviced Delivery IT eligibility system (ISD2). The system is in the implementation phase of
   replacement with ISD2R (ASPEN). To prevent expensive duplication and reworking of the
   NMHIX eligibility system, it must be included in the ISD2R planning and implementation work
   plans. The Medicaid enrollment and fiscal transaction IT system, the Medicaid Management
   Information System (MMIS) used for enrollment and fiscal transactions, is undergoing
   competitive procurement for MMIS upgrade and operations. To ensure seamless interfaces,
   ISD2R and MMIS IT systems must be integrated with the NMHIX IT eligibility, enrollment and
   financial transactions systems.
   The NMHIX IT platform will provide functionality to: facilitate plan selection for an individual
   eligible to enroll in a Qualified Health Plan(QHP), provide consumers a single, streamlined on
   line application consistent with federal requirements (screening, enrollment forms, verifications,
   notices); report to the IRS and enrollees each year regarding the enrollee’s NMHIX coverage.
   The NMHIX will include a Small Business Health Options Program (SHOP) Exchange.
   NMHIX will develop a detailed plan for SHOP implementation and evaluate the small group
   market. The SHOP Exchange will create an efficient process to meet the needs of small
   employers.



   1.2 SUMMARY OF THE FOUNDATION PLANNING AND DOCUMENTATION FOR THE PROJECT
   In November 2011 New Mexico received Notice of Award for a Level I Health Insurance
   Exchange Establishment Grant to establish the New Mexico Health Insurance Exchange
   (NMHIX).
   The applicant organization is the New Mexico Human Services Department (HSD) - the cabinet
   agency responsible for Medicaid, Information Technology Division (ITD), Office of Health Care
   Reform (OHCR), Income Support, Child Support Enforcement, Behavioral Health,
   Supplemental Nutrition Assistance Program (SNAP), Low Income Energy Assistance Program
   (LIHEAP), the HSD’s Information Technology Division, and other health and social services
   programs.




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 PROJECT CHARTER HIX PROJECT



  Of New Mexico’s population of two million, Medicaid covers 550,000; Medicare covers
  300,000 and 430,000 are uninsured. Of the uninsured, an estimated 175,000 will become eligible
  for Medicaid and up to 250,000 for NMHIX between 2014 and 2020. It is estimated that as
  many as 135,000 of the uninsured will enroll in 2014 (80,000 through the expansion of
  Medicaid, and 55,000 through the NMHIX).
  Funding will allow the state to develop and establish the NMHIX over the next 12 months and
  meet the timelines for certification and operation by 2014. The objectives for the NMHIX Level
  I establishment grant are to:
       Refine the NMHIX vision and objectives to comply with laws and regulations.
       Amend state law as necessary to comply with federal law.
       Secure staff and consultant resources for NMHIX planning, development,
          implementation, operations, and stakeholder engagement.
       Develop and implement a multi-year NMHIX business and operational plan, including
          the activities, timelines, and benchmarks, including the IT infrastructure and functionality
          necessary to fully operate in 2014.
       Develop systems and program capacity in each core area to achieve NMHIX federal
          certification by January 2013.
       Submit a Level II Exchange grant application in March, 2012
       Begin NMHIX operations in 2014.
       Determine funding mechanisms to be self-sustaining by 2015.


  NMHIX is tailored to meet the diverse needs of New Mexicans, be high quality and cost-
  efficient, and self-sustaining without raising taxes. NMHIX complements and expands the
  commercial insurance market, streamlines government bureaucracy and regulation, and
  facilitates private sector solutions.




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  PROJECT CHARTER HIX PROJECT



   1.3 PROJECT CERTIFICATION REQUIREMENTS
   The project meets the Department of Information Technology (DoIT) certification requirements
   in dollar size and impact to multiple agencies. Included in this is the requirement to provide
   monthly project reporting to DoIT, Independent Verification and Validation (IV&V) risk
   assessment reporting, project management guidance and leadership to the project.


2.0 JUSTIFICATION, OBJECTIVES AND IMPACTS

   2.1 AGENCY JUSTIFICATION
          NUMBER                      DESCRIPTION
          JUSTIFICATION ONE           Developing the NMHIX IT system will insure more New
                                      Mexicans by fostering competiveness, encouraging
                                      efficiency, and creating individual and small employer
                                      private health insurance choices.

          JUSTIFICATION TWO           States can set up their own exchanges, or have the Federal
                                      government do it - to meet the Patient Protection and
                                      Affordable Care Act (ACA) Health Insurance Exchange
                                      requirement the State of New Mexico will establish HIX for
                                      individuals and small businesses to purchase insurance.




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 PROJECT CHARTER HIX PROJECT




  2.2 BUSINESS OBJECTIVES
   NUMBER                   DESCRIPTION
   Business Objective #1    Coordinate seamlessly between the New Mexico Health Insurance
                            Exchange (“Exchange” or “NMHIX”), the Integrated Services
                            Delivery Replacement (“ISD2R”), also known as the Automated
                            System Program Eligibility Network (“ASPEN”), eligibility system
                            for Medicaid and other state Human Services Department (“HSD”)
                            programs, and the Medicaid Management Information System
                            (“MMIS”)
                            To meet the deadlines associated with Health Care Reform requirements set
   Business Objective #2
                            forth in ACA.
   Business Objective #3    Allow individuals eligible for Medicaid to have brokers, navigators,
                            presumptive eligibility workers, providers and others as designated
                            by the individual to complete and submit an application on their
                            behalf
   Business Objective #4    To facilitate plan selection for an individual eligible to enroll in a Qualified
                            Health Plan (QHP), provide consumers a single, streamlined on line
                            application consistent with federal requirements.

   Business Objective #5    To allow citizens to access services through a common portal via the
                            internet, for online application completion, multiple program eligibility
                            determination, and ACA requirement verification.
   Business Objective #6    To automate Federal, State, and internal reporting.




  2.3 TECHNICAL OBJECTIVES


   NUMBER                    DESCRIPTION
   Technical Objective #1    Coordinate seamlessly between the New Mexico Health Insurance
                             Exchange (“Exchange” or “NMHIX”), the Integrated Services
                             Delivery Replacement (“ISD2R”), also known as the Automated
                             System Program Eligibility Network (“ASPEN”), eligibility system
                             for Medicaid and other state Human Services Department (“HSD”)
                             programs, and the Medicaid Management Information System
                             (“MMIS”).To implement a modern technology that meets HSD business
                             needs, is flexible to changing requirements, and is easily maintainable.




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 PROJECT CHARTER HIX PROJECT




   NUMBER                     DESCRIPTION
   Technical Objective #2     To create a single solution built on an n-tier architecture that complies
                              with industry approved SOA standards.
                               The exchange designs must take into account the CMS/CCIIO
                              technical and architecture standards and principles.


   Technical Objective #3     To use HIPAA transaction standards.

   Technical Objective #4     To create a seamless eligibility and enrollment process with Medicaid and
                              other State Health Subsidy Programs.

   Technical Objective #5     To implement a modern technology that meets HSD business needs, is
                              flexible to changing requirements, and is easily maintainable

   Technical Objective #6     To Integrate components of the Enroll UX 2014 design.



  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                       Learning a completely new approach to the collection of data,
                                  eligibility determination and incorporation of navigators, brokers, and
                                  staff at provider locations.

   BUSINESS PROCESSES             Analyze federal statute, rules and requirements and recommend
                                  necessary state legislative changes for NMHIX activities,
                                  processes, and structures to conform; identify the operational
                                  systems and IT systems needed to successfully implement
                                  NMHIX in compliance with state and federal requirements.


   IT OPERATIONS AND              How this item is addressed will be dependent upon solution
   STAFFING                       selected through RFP process.
                                  1. Maintaining normal business operations while still supplying the
   BUSINESS
                                     HIX IT Project with the qualified staff necessary to ensure the
   OPERATIONS/EXCHANGE
                                     success of the project.
   FUNCTIONS
                                  2. Analyzing federal requirements and recommending necessary
                                     state legislative changes that may be required for NMHIX
                                     activities, processes, and structures; identify the operational
                                     systems and IT systems needed to successfully implement
                                     NMHIX in compliance with state and federal statute, rules and




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 PROJECT CHARTER HIX PROJECT




   AREA                        DESCRIPTION
                                  requirements.
                               3. Maintaining business continuity during development, UAT and
                                  the deployment of the HIX IT system.
   HEALTH PLAN                 Establish standards, processes, and criteria for qualifying,
   CERTIFICATION/RECERTI       certifying, recertifying and decertifying health plans. DOI,
   FICATION/DECERTIFICATI      NMHIX and OHCR will collaborate to develop QHP
   ON                          certification standards and market rules.




  2.5 TRANSITION TO OPERATIONS
   BUSINESS TRANSITION TO OPERATIONS

   AREA                  DESCRIPTION
   BUDGET                The New Mexico Health Insurance Alliance (NMHIA) will develop
   TRANSITION            detailed financial management and oversight procedures for strong
                         internal monitoring of all NMHIX operations and expenditures.
                         OHCR and NMHIX will obtain financial consulting expertise from
                         qualified accountants to develop oversight procedures and
                         monitoring policies.


   PRELIMINARY           Resolution of this item is dependent upon the solution selected through the
   OPERATIONS            RFP process.
   LOCATION AND
   STAFFING PLANS

   BUSINESS              Resolution of this item is dependent upon the solution selected through the
   CONTINUITY            RFP process.

   MAINTENANCE           Resolution of this item is dependent upon the solution selected through the
   STRATEGY              RFP process.

   RECORD RETENTION      The project will comply with state record retention requirements.




   TECHNICAL TRANSITION TO OPERATIONS
   AREA                  DESCRIPTION
   BUDGET                All renewals for maintenance and support of hardware and software will




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 PROJECT CHARTER HIX PROJECT



                         need to be included in the base budget, which will be submitted the year
                         prior to transition to maintenance & operations. The budget for these items
                         will be dependent upon the solution selected through RFP process.

   PRELIMINARY           The preliminary operations locations and staffing plans are dependent upon
   OPERATIONS            the solution selected through RFP process.
   LOCATION AND
   STAFFING PLANS

   DATA SECURITY,        HSD-ITD’s Security Officer will ensure that all current data security steps
   BUSINESS              are followed. The Security Officer will also assure all new security related
   CONTINUITY            policies or mandates are applied to the system in a timely manner.

   MAINTENANCE           Resolution of this item will be dependent upon the solution selected
   STRATEGY              through the RFP process.

   INTEROPERABILITY      Resolution of this item will be dependent upon the solution selected
                         through the RFP process, as well as standards set forth by Federal and State
                         oversight agencies.

   DOIT                  Resolution of this item will be dependent upon the solution selected
   CONSOLIDATION         through RFP process.
   STRATEGY




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  PROJECT CHARTER HIX PROJECT




3.0 PROJECT SCOPE OF WORK
          The HSD is implementing a New Mexico Health Insurance Exchange Information Technology
          System that connects to ISD2R (ASPEN), MMIS systems for eligibility and enrollment, fiscal
          transactions, “NO Wrong Door” and shop and compare functions.
          The project’s scope of work includes meeting Health Care Reform requirements as set forth by the
          Federal government. The NMHIX IT system shall meet the ACA implementation requirement date
          for full operation of January 1, 2014.
          The NMHIX Project is in the process of a Request for Proposal for procuring professional services to
          implement a NMHIX IT system. This procurement will result in a single source award to a
          Contractor who shall be wholly responsible for performance of the Contract whether or not
          Subcontractors are used.
          The system shall satisfy HIX requirements. The Federal timelines for states to establish their own
          Exchanges are ambitious. The current timelines are unlikely to be met by the majority of states. The
          system shall pass the Federal mandated review by the Center for Medicare & Medicaid Services
          (CMS) to assess readiness by January 1, 2013, and be fully operational by January 1, 2014. The
          system shall be prepared to begin enrolling qualified individuals into the Exchange by October 1,
          2013. While these are the current timelines, it is likely that they will be delayed so that states can
          have adequate time to do their Exchanges.

   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 planning
                                             to certify the initiation phase of the project.
    Certification Form                       The Request for Certification and Release of Funds form for the
                                             Planning Phase is being requested 1/18/2012.




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 PROJECT CHARTER HIX PROJECT




   Project Management Plan             The Project Management Plan (PMP) 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 other
                                       plans for issue escalation, change control, communications,
                                       deliverable review and acceptance, staff acquisition, and risk
                                       management.
                                       Independent Verification and Validation (IV&V) means the
   IV&V Contract & Reports
                                       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.

    RFP                                Request for Proposal (RFP) is the mechanism to obtain
                                       competitive proposals from qualified organizations for the
                                       design, development, and implementation of a HIX/IT System.
                                       The DoIT Initial PROJECT RISK ASSESSMENT template
   Risk Assessment and Management
                                       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 default standard is Microsoft Project.

   Monthly Project Status Reports to   Project status reports. For all projects that require Department
   DoIT                                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 HIX PROJECT



  3.1.2 PRODUCT DELIVERABLES

  DELIVERABLE              DESCRIPTION

  Requirements Documents   A detailed business function requirements document will be developed by
                           the Integration Vendor during the planning phase, and will include input
                           from all levels of stakeholders.

  Design Documents         Among the design-level activities are:
                            Design of the Solution Architecture for the project
                            Development of the Logical model (e.g. Entity Relation Diagram or
                             Object Model) for the project
                            Development of the Physical Data Model for the project
                            Data Dictionary
                            Systems Architecture Requirements
                            The design deliverables include a High-Level Design document as well as
                             a Detailed-Level Design document.
                                       o A Preliminary Design Review (PDR) will be conducted
                                           after the High-Level Design Document is delivered.
                                       o A Critical Design Review (CDR) will be conducted after
                                           the Detailed Design Review is completed.
  Systems Specifications   Software Requirements Specification (SRS) will address the following high
                           level list of requirements and questions:
                            Define the functions of the system
                            Define the Hardware and Software Functional Partitioning
                            Define the Performance Specification
                            Define the Hardware and Software Performance Partitioning
                            Define the User Interface
                            Functionality - What is the software supposed to do?
                            External interfaces - How does the software interact with people, the
                             system’s hardware, other hardware, and other software?
                            Performance - What is the speed, availability, response time, recovery
                             time of various software functions, etc.?
                            Attributes - What are the portability, correctness, maintainability,
                             security, etc. considerations?
                            Design constraints imposed on an implementation - Are there any
                             required standards in effect, implementation language, policies for
                             database integrity, resource limits, operating environment(s) etc?




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 PROJECT CHARTER HIX PROJECT




  DELIVERABLE                 DESCRIPTION
                                 The System Architecture will be SOA, which will be services that are
  Systems Architecture
                                  loosely coupled.
                                 SOA services also run in "safe" wrappers such as Java or .NET, which
                                  manage memory allocation and reclamation, allow ad-hoc and late
                                  binding, and provide some degree of indeterminate data typing and will
                                  provide optimal degree of fault-tolerance, backward compatibility,
                                  forward compatibility, extensibility, reliability, maintainability,
                                  availability, serviceability, and usability.
                                 The Systems Architecture document will be produced in the design
                                  phase.
                                 System and Acceptance Testing includes the infrastructure needed for the
  System and Acceptance
                                  testing, how the testing will be carried out, number of end users from
  Testing
                                  each agency, format for the testing and defining acceptable test results.
                                 The System and Acceptance Testing Plan will identify the method for
                                  defining the necessary Use Cases, the method for development of the test
                                  scripts, and the coordination of test execution with the users.
                                 Both the Systems and User Acceptance Planning documents will be
                                  produced during the design phase.
  Operations Requirements     Operations Requirements include capacity planning for the systems
                              networking and hardware needs, the number of staff and types of skill sets
                              needed to maintain the system.




  3.2 SUCCESS AND QUALITY METRICS
  Metrics are key to understanding the ability of the project to meet the end goals of the Executive
  Sponsor and the Business Owner, as well as the ability of the project team to stay within
  schedule and budget.
   NUMBER                   DESCRIPTION
   QUALITY METRIC 1         Meet ACA requirements deadlines.

   QUALITY METRIC 2

   QUALITY METRIC 3

   QUALITY METRIC 4

   QUALITY METRIC 5




PAGE 11                                                                                            1/5/2011
  PROJECT CHARTER HIX PROJECT




4.0 SCHEDULE ESTIMATE
    HIX RFP Schedule 12.27.11.pptx




                                                          HIX
                                                    Project Schedule



               Procurement                             Develop / Test               Pilot       Statewide
                                                                                   4th Qtr


                                         5/1/2012
    2/01/2012                                                                                1/1/2014
   Release RFP                                                                          HIX Open
                                                                                        Enrollment
                Procurement
           •   30 Days on Street
           •   15 Days to Review
           •   15 Days Demo          •   Release RFP                    2/1/2012
           •   30 Days               •   Vendor Start                   6/1/2012
               Contracting           •   Develop and Test (12 mths)     9/1/2012 – 10/1/2013
                                     •   Pilot HIX Application          4th Qtr 2013
                                     •   Roll Out HIX                   4th Qtr 2013
                                     •   Enroll into HIX                10/1/13
                                     •   HIX Statewide                  1/1/2014




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.
   The budget presented below is an estimated project budget and will be revised after responses
   have been received from the Request for Proposal.




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 PROJECT CHARTER HIX PROJECT



                                  NMHIX Project Budget Details
   Expense Summary                      SFY12            SFY13           SFY14         Total
   State Staff                             92,132          131,132          131,132       354,396
   Travel, Misc                           136,000                -                        136,000
   Contracts:
     PMO                                  270,785          649,884          379,331      1,300,000
     IV&V Services                        250,000          600,000          350,000      1,200,000
     Contract Staff                        83,335          200,004          116,661       400,000
     Integrator Contract                                 11,975,000       8,584,604     20,559,604
   Sub Total Contracts                    604,120        13,424,888       9,430,596     23,459,604
   Total Budget                           832,252        13,556,020       9,561,728     23,950,000




  5.1 FUNDING SOURCE(S)

                           Expiration
   Grant                                  Appropriated:      Extension Status:
                           Date:

   Level I Establishment
                           11/28/2012       11/29/2011        Will Revert 11/28/2012
   Grant




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  PROJECT CHARTER HIX PROJECT




6.0 PROJECT AUTHORITY AND ORGANIZATIONAL
STRUCTURE


                                        HIX Project Management Office


                                                                                                                      Executive
                                                   Executive Sponsors
                                           ISD2R/ASPEN Charissa Saavedra, Dep. Dir. HSD                                Steering
                                                NM HIX Dan Derksen MD, Dir. OHCR                                      Committee
                                                        Executive                                                           TBD
                                                                                 Executive
                                                         Owner
                                                                                  Owner
                                                        ITD / CIO           Lisa Reid, Dep. Dir. OHCR
                                                        Reddy Kuthuru


                     Strategic
                     Tactical                                                          PMO Leadership Team


                                                                    Project
                                                                                     HSD
                                                                    Manager
                                                      ITD                           Senior
                                                     Owner                          Project
                                                                   TBD
                                                                                   Executive
                                                  TBD                              TBD
               PMO Core Team



           Network        Application     OCHR                                                          Business
                                                                MAD              Project                                             Budget &
            Lead            Lead          PGM &                                                         Technical   Vendor
                                                               Policy          Management                                            Contracts
                                          Policy                                                         Support



                                                                                                                    - State Staff

                                                                                                                    - PMO Contract Staff

                                                                                                                    - Integration Vendor   1.2011




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 PROJECT CHARTER HIX PROJECT




  6.1 STAKEHOLDERS
  Stakeholders should be a mix of agency management and end users who are impacted positively
  or negatively by the project.


    Executive Sponsors:

    ISD2R - Charissa Saavedra, HSD Cabinet Deputy Secretary; NMHIX Dan Derksen MD, Dir. OHCR

    Executive Steering Committee:

    Name                       Title                                    Stake in Project

    Charissa Saavedra          Deputy Cabinet Secretary, HSD            Executive Sponsor

    Dan Derksen                OCHR                                     Executive Sponsor

                                                                        Executive Owner
    Prabhakar Reddy            ITD Acting Chief Information Officer
                                                                        Technology

                                                                        Executive Owner
    Lisa Reid                  OHCR Deputy Director
                                                                        Business

     Ted Roth                  Director, Income Support Division, HSD   HSD

    Sidonie Squier             HSD Cabinet Secretary                    HSD

    Julie Weinberg             Director, Medical Assistance Division    HSD




    PMO Leadership Team:       Title/Role                               Stake in Project

    Kathy Martinez             IT Project Manager, HSD                  Project Manager

    Mary White                 Project Manager, DewPoint                PMO

    Subject Matter Advisors:   Title/Role                               Stake in Project

                                                                        SME, Native
    Priscilla Caverly          OHCR
                                                                        Americans

    Lisa Reid                  Deputy Director, OHCR




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 PROJECT CHARTER HIX PROJECT




    Jonni Lu Pool              Management Analyst, OHCR

    Mike Nunez                 Director, NM Health Insurance Alliance      Designated HIX

                                                                           SME, Insurance
    John Franchini             Superintendent of Insurance
                                                                           Regulation
                               Deputy Director, Medical Assistance         SME, Medicaid
    Mark Pitcock
                               Division

                               Director, New Mexico Medical Insurance      SME, Insurance
    Deborah Armstrong
                               Pool                                        Providers
                                                                           SME, Insurance
                                                                           Providers, Health
    TBD                        Stakeholder Group Representatives
                                                                           Providers,
                                                                           Consumers



  6.2 PROJECT GOVERNANCE PLAN
  Office of Health Care Reform (OHCR) oversees planning and establishment project activities,
  measures progress and success, provides leadership, coordinates public and private partnerships,
  and implements work plans. OHCR will meet monthly to review draft project deliverables and
  approve final deliverables. The New Mexico Health Insurance Alliance (NMHIA) board,
  through a contractual agreement, will be responsible for carrying out NMHIX action plans.
  NMHIA will meet regularly and formally report on its progress to meet project objectives. HSD
  will provide project oversight, especially related to the development of the IT infrastructure,
  coordinating Medicaid and other state program integration with NMHIX. The Project Director
  will provide executive leadership for the project.
  This will be initiated with the formalization of the Issue Resolution, Change Management and
  Work Approval Processes along with the HIX PMO governance structure and reporting. In
  addition to Project Control Processes, key business and technical activities will commence.
  Communication plans and approach will be finalized involving all stakeholders both within and
  outside of state government.
  The PMO team will utilize standard industry project methodologies, approach and governance
  from the project inception. Clear goals and deliverables will be communicated. A master project
  plan and schedule will be created for all tasks and deliverables. Every task will have a single
  owner and be tracked against effort and completion. Schedules will be reviewed on a weekly
  basis to facilitate timely delivery.




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 PROJECT CHARTER HIX PROJECT




                                HIX Project Governance Model

                                               Executive Sponsors
                                            ISD2R/ASPEN and NM HIX

                                                                     Executive Steering
                                                                        Committee

           State Purchasing
               Division
                                            PMO Leadership
                                                                                  Federal Partners
                                                Team
                 DoIT
           Project Oversight

           IV & V Contractor                                 Project Mgt


                                                                 PMO Core Team

          Business             Technology         Vendor                   Contracts           Budget




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    PROJECT CHARTER HIX PROJECT



     6.3 PROJECT MANAGER
     6.3.1 PROJECT MANAGER CONTACT INFORMATION
NAME             ORGANIZATION                   PHONE #(S)     EMAIL
Dan Derksen      OHCR                           505-827-7750   Dan.Derksen@state.nm.us

Reddy Kuthuru    ITD Acting CIO                 505-476-3964   Prabhakar.Reddy@state.nm.us

Kathy Martinez   ITD Project Management Staff   505-476-3978   Kathy.Martinez1@state.nm.us

Mary White       TEKSystems                     505-980-7329   Mary.White1@state.nm.us




  PAGE 18                                                                                1/5/2011
 PROJECT CHARTER HIX PROJECT




  6.4 PROJECT TEAM ROLES AND RESPONSIBILITIES
  Roles and Responsibilities are subject to change based on on-going project needs.

          Role                 Responsibilities
          Executive Sponsor       Document approval (sign-off).
                                  Ensure the success of the project.
                                  Ultimate decision maker.
          Federal Partners        Review & approve APD Documents.
                                  Review & approve contracts & RFPs >$5 million.
          NM Department of        IT Project Oversite.
          Information             Chair PCC meetings.
          Technology              Review & approve all contracts associated with the HIX Project.
          Executive Steering      Responsible for the project's feasibility, strategy, business plan and
          Committee (ESC)          achievement of outcomes.
          Executive Owner –       Direct involvement and oversight of all technical aspects of the
          Technical                project.
                                  Notify ESC when serious risks arise.
                                  Responsible for all technical activities and resources involved in the
                                   HIX project.
                                  Responsible to the PMO for working within the agency to coordinate
                                   any technical strategies / requirements, setting priorities, identifying
                                   resources and agency communications.
          Executive Owner -       Direct involvement and oversight of all business aspects of the project
          Business                Notify ESC when serious risks arise.
                                  Responsible for all business activities and resources involved in the
                                   HIX project.
                                  Responsible to the PMO for working within HSD to coordinate any
                                   business strategies / requirements, setting priorities, identifying
                                   resources and agency communications.
          HSD Senior Project      Involvement and oversight of all business aspects of the project.
          Executive               Focal point for all HSD activities and resources involved in the HIX
                                   project.
                                  Identify, analyze, mitigate and control risks of the business
                                   development of the replacement system.
                                  Responsible to the PMO for working within the agency to coordinate
                                   any business strategies, requirements, setting priorities, identifying
                                   resources and agency stakeholder communication.




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 PROJECT CHARTER HIX PROJECT




          Role               Responsibilities
          Project Manager       Work closely with the PMO project manager to coordinate all project
                                 activities required by the State staff for business or technical related
                                 activities.
                                Create detailed project plans and schedules with clear milestones and
                                 deliverables.
                                Integrate all project plans and schedules (vendor and HSD) to create
                                 the overall master schedule.
                                Responsible to work with all leads to accurately status and report on
                                 their progress.
          Senior Project        Single point of contact coordinating all activities and personnel
          Manager                within the PMO, reporting to the Executive Sponsor and ESC.
                                Manage the overall executive relationship and facilitate all HIX
                                 strategies, issues and decisions at the executive level while
                                 simultaneously driving operational focus and accountability within
                                 the PMO and delivery organizations.
                                Oversee all aspects of the delivery of the project and ensure all
                                 activities are performed according to plans and scope.
          Program and Policy    Responsible for all program and policy decisions, documentation and
          Advisors               clarification.
                                Identifies resources required to define program and policy
                                 requirements and participate in application design sessions.
                                Create test scenarios to validate policy functionality in the new
                                 system.
                                Provide final approval to ensure system adherence with policy.
          Budget Advisor        Contribute to efforts for defining key project terms.
                                Contribute to the creation of all budget documents and tracking.

          System/Network        Responsible to the PMO for all aspects of the technical infrastructure.
          Lead                  Focal point to identify resources for technical requirements and
                                 design sessions (infrastructure), technical assessments, and technical
                                 documentation.
                                Work closely with the system integrator for development and
                                 implementation of the new infrastructure.
          Technical             Responsible to the PMO for all aspects of the legacy applications.
          Application Lead      Focal point to identify resources for technical requirements and
                                 design sessions (application), technical assessments, technical
                                 documentation, interfaces, data conversion and legacy system
                                 changes.
                                Work closely with the system integrator for development and
                                 implementation of the new application.




PAGE 20                                                                                               1/5/2011
 PROJECT CHARTER HIX PROJECT




          Role                Responsibilities
          System Integrator      Have overall responsibility, authority and control of all aspects of the
          Project Manager         system integrator team.
                                 Responsible to the PMO and Senior Project Manager throughout the
                                  duration of the contract.
                                 Provide system integrator leads for key project functional areas, such
                                  as: design, development, testing, training, conversion and site support
                                 Work closely with PMO sub teams and business leads.
          System Integrator      Works closely with the PMO Project Manager/Schedulers.
          Project                Responsible to create and maintain a project plan for all activities
          Manager/Scheduler       associated with the design, development, testing, training, conversion
                                  and deployment of the HIX system.
                                 Provide detailed schedules for the system integrator’s activities and
                                  weekly reporting, to include metrics and status.
          Technical Analyst      Work with the Technical Leads to facilitate the development and
                                  review of technical requirements for the HIX RFP.
                                 Coordinate activities with the system integrator’s technical lead.
                                 Develop, facilitate and maintain key processes required by the PMO
                                  for managing scope and schedule.
                                 Support the creation of all PMO technical reporting and work with
                                  the ITD legacy staff to assess legacy data integrity and plans for data
                                  cleanup.
          Business Analyst       Support the Senior Business Architect in defining requirements and
                                  provide leadership to the business sub-teams during the business
                                  design sessions.
                                 Provide focus and support related to understanding and rationalizing
                                  field office processes.
          Communication          Responsible to work with the PMO Senior Project Manager and Field
          Lead                    Lead in creating the overall communication approach and plan for all
                                  stakeholders.
                                 Help define the media, format and schedule for each stakeholder
                                  identified
                                 Facilitates the execution of communication protocols within the
                                  agency and field.
          User Acceptance        Instrumental in supporting the validation of policy and business
          Testing Lead            functionality in the new application.
                                 Facilitates the creation of test scenarios and the defect tracking
                                  process.
                                 Works closely with the ISD Business Lead, Policy and Field Leads to
                                  identify, coordinate and manage the State UAT staff under direction
                                  of the Senior Business Architect.




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  PROJECT CHARTER HIX PROJECT




           Role                Responsibilities
           Correspondence         Responsible to identify and rationalize all the existing correspondence
           Lead                    currently generated from the legacy systems.
                                  Works with the system integrator to define the correspondence
                                   requirements and business processes of the new system.
                                  Facilitates any legal approvals required.
                                  Coordinates testing and review during UAT.
                                  Works with the Communication Lead to communicate changes to
                                   clients and other stakeholders.
           Contract Manager       Focal point for managing any contract issues, changes or approvals
                                   and steering them through the state’s procurement processes.
                                  Facilitate the approvals of PMO / System Integrator contract
                                   deliverables with the appropriate State staff.
                                  Responsible for maintaining a database or spreadsheet with contract
                                   due dates, submission dates, revisions and approvals.
                                  Facilitate the collection of budget data from ISD, ITD and the
                                   vendors to create a complete financial perspective and forecast for the
                                   HIX project.




   6.5 PROJECT MANAGEMENT METHODOLOGY
   The HIX Project Team will follow the DoIT certification gates of: Initiation, Planning,
   Implementation, and Closeout as the overarching framework. The HIX Project will follow the
   Project Management Institutes, Project Management Body of Knowledge (PMBOK). The
   PMBOK’s knowledge areas of Scope, Time, Cost, and Resources will be heavily utilized for
   guidance.
   For all software and systems implementations the Software/System Development Life Cycle
   (SDLC) of Planning, Requirements, Design, Development, Test, UAT, Training,
   Implementation, Migration (Go Live), and Transition to Maintenance and Operations will be
   used. The Integrator will be allowed to choose the method that they feel works best for the
   project.


7.0 CONSTRAINTS

    NUMBER            DESCRIPTION
           1.         Project success depends on adequate funding.

           2.         Project success depends upon Executive Leadership involvement and timely decision
                      making.




 PAGE 22                                                                                              1/5/2011
  PROJECT CHARTER HIX PROJECT




    NUMBER                DESCRIPTION

           3.             Inconsistent or inadequate state project staffing could lead to increased project costs,
                          schedule delays or project failure.

           4.             Unknown, yet to be proposed and finalized ACA rules and requirements could lead to
                          increased project costs and/or schedule delays.

           5.             Project success depends on communication. Failure to communicate can lead to poor
                          decision making, increased project costs, schedule delays or project failure.




8.0 DEPENDENCIES

   Types include the following and should be associated with each dependency listed.
               M -Mandatory dependencies are inherent to the work being done.
               D- Discretionary dependencies are 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 involve a relationship between project activities and non-project activities such
                as purchasing/procurement




   NUMBER DESCRIPTION                                                                                                TYPE
                                                                                                                     M,D,E

       1.              Dependent on the ability to recruit business personnel positions to ensure
                                                                                                                     M
                       continuity of service during the life of the project.

       2.              Dependent on development of a full business team.                                             M

       3.              Dependent on the Executive Steering Committee (ESC) for timely decisions on
                                                                                                                     M,E
                       issues escalated to these groups.

       4.              Dependent on continued funding to project completion.                                         M,E

       5.              Dependent on clarification of HCR requirements from CMS and State HCR
                                                                                                                     M,E
                       panel.




 PAGE 23                                                                                                             1/5/2011
  PROJECT CHARTER HIX PROJECT




9.0 ASSUMPTIONS

    NUMBER          DESCRIPTION
           1.       DoIT will approve state expenditures.
           2.       Subject matter experts will be ready and available on schedule.

           3.       Departments and State oversight agencies recognize the importance of the HIX
                    project.

           4.       The selected contractors have experience designing and implementing enterprise
                    eligibility requirements and SHOP.
           5.       Requirement changes during the project may incur additional costs.




 PAGE 24                                                                                     1/5/2011
  PROJECT CHARTER HIX PROJECT




10.0 SIGNIFICANT RISKS AND MITIGATION STRATEGY

   Early identification and management of risk is critical in maintaining project schedules and
   budget. Risks identified as early as possible in the project lifecycle will be more effectively
   avoided or minimized. Project risks will be identified, assigned owners and due dates for
   mitigation, assessed for impact and mitigation contingencies, and tracked until satisfactorily
   mitigated. Risks will be reviewed and assessed at major project phases. Any risks that are
   beyond the decision-making authority of the PMO will be escalated to the Executive Steering
   Committee for appropriate action. The PMO will compile and maintain risk documentation
   according to DoIT standard templates. All mitigation resolution will be documented for audit and
   historical purposes.




 PAGE 25                                                                                   1/5/2011
  PROJECT CHARTER HIX PROJECT




11.0 COMMUNICATION PLAN FOR EXECUTIVE REPORTING

   Communication between project stakeholders is key to the success of the project. The purpose
   of this communication is to provide:
        Awareness:
               o Communication is shared in a timely matter.
               o Provide a structured way the project stakeholders receive information.
        Content:
               o Advocate a transparent, honest, and multi-faceted approach to communication.
               o Create a venue where all stakeholders can constructively debate ideas.
        Communication Flow:
               o Coordinate communication with milestones, activities, and events.
               o Keep all stakeholders informed while continuing to move the project forward.
        Effectiveness:
               o Allow for the continuous oversight of all processes.
               o Allow for effective change in management.
   To streamline the project, the following matrix outlines the communication expectations of
   project stakeholders:
   To be developed.

12.0 INDEPENDENT VERIFICATION AND VALIDATION - IV&V

   New Mexico will utilize the services of an independent verification and validation (IV&V)
   contractor as a third party quality assurance consultant. The IV&V contractor will monitor the
   project’s progress towards achieving stated objectives and required deliverables. The IV&V
   contractor will report to the Office of Health Care Reform Leadership Team and the Executive
   Director of the Office of Health Care Reform. The IV&V contractor will provide progress
   reports to the Executive Director and the Leadership Team. The State plans to procure IV&V
   services after the RFP has been issued.




 PAGE 26                                                                                  1/5/2011
  PROJECT CHARTER HIX PROJECT




13.0 PROJECT CHARTER AGENCY APPROVAL SIGNATURES


                                SIGNATURE   DATE


    EXECUTIVE SPONSOR

    ISD2R - CHARISSA
    SAAVEDRA

    EXECUTIVE SPONSOR

    NMHIX - DAN DERKSEN

    EXECUTIVE OWNER
    ITD/CIO


    REDDY KUTHURU

    HSD/ITD PROJECT
    MANAGER

    KATHY MARTINEZ


    PROJECT MANAGER

    MARY WHITE




 PAGE 27                                           1/5/2011
  PROJECT CHARTER HIX PROJECT




14.0 PROJECT CHARTER CERTIFICATION APPROVAL
SIGNATURE


                                SIGNATURE   DATE




 PAGE 28                                           1/5/2011

				
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