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Statement of Work

For

A Document Management System for the

University Medical Group (UMG)

Between: University Medical Group (UMG)

and: [Contractor name TBD]

Prepared by: University Medical Group, LLC

Effective Date: _________________________

Under Contract #: _________________________

Under Contract Name: ______________________

______________________

Table of Contents

1.0 Introduction.............................................................................................................................5

1.1 Project Title........................................................................................................................5

1.2 Background............................................................................................................................5

1.3 Objectives..............................................................................................................................7

1.4 Reference to other applicable documents..............................................................................8

2.0 Staffing Roles and Responsibilities.......................................................................................9

2.1 Staffing..................................................................................................................................9

2.2 Roles and Responsibilities Matrix.......................................................................................10

3.0 Key Assumptions..................................................................................................................16

4.0 Risks.......................................................................................................................................20

5.0 Scope of Work.......................................................................................................................21

5.1 Inclusions.............................................................................................................................22

5.2 Exclusions............................................................................................................................23

5.3 Deliverables.........................................................................................................................23

5.4 Milestones............................................................................................................................24

6.0 Work Approach....................................................................................................................24

7.0 Completion Criteria and Final Acceptance........................................................................26

7.1 Completion Criteria.............................................................................................................26

7.2 Final Acceptance.................................................................................................................27

8.0 Schedule.................................................................................................................................27

9.0 Project Management............................................................................................................27

9.1 Enterprise PMO...................................................................................................................27

9.2 Project Status Reports..........................................................................................................28

10.0 Relevant Organizational Policies, Standards, Supported Software & Environment...29

11.0 Timeline and Period of Performance................................................................................31

12.0 Compensation and Payment Schedule..............................................................................31

13.0 Miscellaneous......................................................................................................................33

14.0 Appendices............................................................................................................................34

Statement of Work

1.0 Introduction

1.1 Project Title

This work is being performed for the University Medical Group (UMG).

This Statement of Work (SOW) for the Document Management System (the “Project”) is made and

entered into by and between University Medical Group, LLC (“UMG”) and [Contractor]. This SOW

incorporates by reference the terms and conditions of Contract Number [XXX-XXX-XXX] in effect

between UMG and [Contractor]. In case of any conflict between this SOW and the Contract, the

Contract shall prevail. The UMG and Contractor agree as follows:

1.2 Background

The University Medical Group (UMG) is a physician’s practice comprised of 150 physicians across 20

specialties. UMG physicians are on the staff of University Medical Hospital, serving patients across the

greater Chicago area. Specifically, UMG maintains:

One main facility (located on the campus of University Hospital), housing 80 physicians,

including 68 specialists and 12 primary care physicians (PCPs).

Ten other office locations across the Chicago area, each of which houses between five and eight

physicians. There are 50 PCPs located across these clinics as well as 20 specialists.

An offsite paper records storage facility managed by a 3rd party, Iron Mountain, for all paper

records ≥ five years old. Iron Mountain provider shreds all records ≥ 10 years old.

Document Management Project for UMG of 36

At UMG our Mission is to deliver the highest quality of care to the communities in which we operate.

We seek to improve both patient outcomes and patient satisfaction in a cost effective manner, and

leverage our relationship with University Hospital to bring the latest advances in medical research to the

patients we serve.

In 2010, UMG implemented Epic, an electronic medical records (EMR) system, and has successfully

deployed computerized physician’s order entry (CPOE), clinical documentation, and clinical decision

support modules. Any system proposed to UMG must be compatible with and integrate into the

currently installed Epic environment.

While successful in the implementation of its EMR system, UMG is still challenged with the on-going

presence of paper documents in its workflow. Since the implementation of the Epic system in 2010,

standard practice has been to capture all patient information using the clinical documentation features of

the system. However, historical paper charts are still kept in each facility. Physicians perpetuate the

paper form factor when they request that information from the EMR be printed out; they then update

that information on paper to be included in the chart.

As a result of this dual workflow, UMG has not realized the full benefits from its investment in an EMR,

and must also maintain a large medical records department (both in terms of personnel and space) in

several locations. Added to this cost is the contract in place (expiring at end of 2012) with Iron

Mountain to store/shred records ≥ five years old in accordance with Illinois guidelines and UMG’s

policies. UMG staff is often required to travel back and forth to retrieve documents from Iron

Mountain’s facility, located one hour from downtown Chicago.


UMG is seeking to eliminate the paper chart and reduce related costs through the electronic capture,

storage, and viewing of longitudinal patient data in the EMR system. The ideal system will also integrate

and coordinate overall records retention schedules (both paper and electronic, onsite and offsite), and

provide document status (e.g. offsite, being scanned, in record). Timeframe for start of enterprise-wide

deployment of a document management system is July of 2012, with completion of roll-out and

transition to new workflows/systems complete by December 2012.

1.3 Objectives

The key objective of the Project is to establish a common digital repository comprised of all patient data

that will be shared, accessed, and updated across all UMG locations. This requires not only that

historical paper-based documents be digitized, tagged, and included in individual patient records, but

that a system and set of processes be put into place to enable on-going, real time capture of information

during patient visits. Other objectives of the Project include:

Improving patient care through enabling clinicians’ real time access to a patient’s longitudinal

record during the patient visit. The EMR will contain adequate historical data for the clinicians to

provide safe care for their patients, and patients will be satisfied that their physician has

appropriate information in the EMR for their care.

Leveraging the investment already made in our existing EMR to include the full patient record,

including paper input provided from third party providers (e.g. lab results, physicians outside the

UMG practice). Any proposed system or process must be fully compatible and integrated with

the current Epic EMR system.


Facilitating physician acceptance of a fully electronic environment through improvement of

physician workflows/schedules. This should in turn increase the practice capacity for seeing

additional patients.

Decreasing patient wait times and increasing patient satisfaction due to elimination of patient

interview forms each time a visit is made.

Complying with Meaningful Use guidelines in order to be eligible for Federal and State subsidies

for EMR implementation, as well as to continue to be eligible for full reimbursement rates for

Medicare/Medicaid patients post-2014 (deadline for implementing an EMR system).

Reducing the amount of space being consumed by paper chart storage in each facility, which in

turn should enable consolidation of physician practice offices.

Reducing the number of clerical staff currently focused on managing paper charts.

Reducing and ultimately eliminating the cost for Iron Mountain, as well as eliminate time/delays

spent/incurred by UMG staff retrieving records from that facility.

Better compliance with the State of Illinois record retention policies.

1.4 Reference to other applicable documents

The following can be found in the Appendix:

Project Charter

Project Plan

Formal Request for Proposal sent to potential vendors

Standard UMG Contract Language, Terms and Conditions

EpicCare System documentation

Map of UMG current network infrastructure


List of supported hardware, software

UMG security standards

2.0 Staffing Roles and Responsibilities

2.1 Staffing

The Contractor’s Project Manager is:

Name:

Address:

City:

Organization & Zip:

Phone:

Cell:

Fax:

UMG’s Project Manager is:

Name: Charlie Kesinger

Address: 2020 Enforcer Way

City: Pluto

Organization & Zip: PMO Consultants, 75309

Phone: (111) 222- 3434

Cell: (111) 246- 9876

Fax: (111) 222-5000

Email:[email protected]


2.2 Roles and Responsibilities Matrix

Contractor Staff, Roles and Responsibilities:

The Contractor will provide the following support to the UMG Document Management Project Team:

Contractor Role Function ResponsibilitiesExecutive Sponsor This individual will be a high level

member of the Contractor’s Senior Leadership Team—not a Sales resource. He/she will represent the Contractor at all read-outs to the Project Steering Committee.

Overall relationship management between Contractor and UMG

Project Leader This individual will be dedicated 100% to the Project, and will interface directly with the UMG Document Management Project Leader. The Contractor Project Leader will be tasked with reporting out to the Steering Committee on an agreed upon schedule.

Primary responsibility will be to ensure contractor delivers against plan on time and on budget. The contractor Project Leader will function in close association with the UMG’s Project Manager to ensure successful implementation of the project.

Technical Leaders, both Application and Infrastructure

These resources will interface with their respective counterparts on the UMG team, and will ensure solution meets UMG’s application and infrastructure standards.

The contractor will provide technical support for the analysis, build, and implementation of the project. The technical team leaders will work closely with the CIO to ensure installation of the software and optimal technical performance of the system.

Legal/Procurement resource

Represent the Contractor in all contract discussions.

Will act as the primary contact for all contract discussions and negotiations, with input from the Contractor’s and UMG’s broader team.

Training Transfer knowledge for the new system and processes to UMG users, including physicians, nurses, clerical staff, and others in the organization.

The trainer is responsible for ensuring transfer of knowledge in use and minor troubleshooting of the system to the HIM director and the clerical/EDM analysts. The training sessions are expected to occur one-one and last two hours to ensure individualized attention to the steps in the process and using


the system.

Testing Ensure the system meets the acceptance criteria as outlined in Section 7.

The testing support person will work with the trainer, CIO, PMs and technical lead regarding testing of the interface, scenarios testing to ensure all functionality is assessed and optimized.

Project Analyst Ensure communications both with the contractor team as well as between contractor and UMG.

The analyst will assist in scheduling meetings for the project team, ensure meeting rooms are selected, send meeting reminders, provide communications with the corporate office and provide minutes of meetings as well as documentation of testing logs. The analyst will also assist EDM team members in other duties as required.

The contractor will provide a project manager (PM), training team, and project analysts. Support for the

technical build will be provided by the contractor, in close collaboration with the organization’s CIO,

with respect to infrastructure, hardware and interfaces. For the planning and go-live phases of the

project, the CIO is expected to be committed full time to the project with subsequent involvement on an

as-needed basis.

The contractor will provide for additional support services on an ongoing basis, with a plan for

decrementing the support hours beyond the first six months. After the first six months, the support

contract will change to the maintenance agreement as outlined in separate documentation. Support will

be charged to the physician organization on an hourly basis dependent.

UMG Organization Staff, Roles and Responsibilities


The Project Sponsor is the CEO. She will be joined on the project Governance Board by the CIO/CTO,

CMIO, the CFO/Practice Administrator, the General Council, the COO. The overall UMG

organizational structure is as follows:

Relative to the Project, the Senior Leadership Team has the following roles/responsibilities, and will

form the Steering Committee for the overall Project Team:

Management Role Function ResponsibilitiesChief Executive Officer (CEO)

The CEO of UMG has overall responsibility for ensuring that the practice consistently delivers on our Mission of delivering the highest quality of care to the communities in which we operate in a cost effective manner. The CEO also has responsibility for ensuring that UMG complies with all state and federal laws regarding healthcare delivery. The CEO also ensures that investments made in facilities and systems are on track with and contribute to the success of UMG’s strategy.

The CEO must sign off an all investments >$15,000.

Chief Medical Informatics Officer (CMIO)

The CMIO translates the needs of the Practice into the requirements for clinical support systems, and has overall responsibility for ensuring that

The CMIO must sign off on all user requirements, as well as


Chief Executive Officer

Chief Medical Informatics Officer,

Jeana O'Brien

Document Management Project Leader, Charlie

Kesinger

Chief Financial Officer/Practice Administrator,

Mary Lee Schneider

Procurement

Chief Information Officer, Matt Reid

IT Application Leader

IT Infrastructure

Leader

General Counsel

Chief Operating

Officer

Practice Owners

Physicians

Nurses

Clerical

UMG’s clinical support systems (including the EMR and the document management systems) meet the needs of UMG’s various constituencies.The CMIO will also work to develop physician buy-in of the project and enhance communications regarding project goals. This will include project kick-off meetings with physicians at each clinical site and prior to the implementation, as well as meeting with leadership at each clinic weekly during the implementation phase. The CMIO will be present for the first day of implementation at each clinic including the end of the day team huddles.

any new clinical system or clinical system upgrades prior to moving to implementation, regardless of level of investment.

Chief Financial Officer/Practice Administrator (CFO)

The CFO has a fiduciary responsibility to ensure that the UMG remains a profitable entity, able to meet both its current obligations as well as positioned to invest in its future. The CFO is also responsible for ensuring proper controls are in place to manage, monitor, and forecast both UMG’s revenues and costs.

The CFO must sign off on all investments greater than $10,000.

Chief Information Officer (CIO)

The (CIO) has overall responsibility for both IT infrastructure and IT applications. The CIO must sign off on all new clinical or business system or system upgrades prior to moving to implementation.

The CIO must sign off on all investments greater than $10,000.

General Counsel (GC) The GC is responsible for ensuring that UMG is in compliance with all state and federal mandates related to healthcare delivery (including HIPAA Compliance), as well as represents UMG in all matters of litigation.

The GC must approve all contracts requiring investments greater than $5,000, and/or any contract with a multi-year investment horizon.

Chief Operating Officer (COO)

The COO has day-to-day responsibility for the UMG practices (150 physicians across 20 specialties), including all facilities (real estate).

The COO must approve all contracts requiring investments greater than $5,000.

The Steering Committee will meet with the Project Team for two hours weekly during the planning

phase of the project, and will meet with the Project Team and the Contractor’s Executive Sponsor and

Project Leader on a monthly basis. After implementation, the Project Team will meet with the contractor

regarding verification of contract deliverables.


The UMG Document Management Project Team organizational structure is as follows:

Project Role Function ResponsibilitiesDocument Management Project Leader

Has overall responsibility for the Document Management Team and the RFP process.

RFP construction, process Communication with

Steering Committee Recommendation of solution Vendor negotiation Delivery of solution on time

and on budgetBusiness Owner “Super User”

Represents the needs of the UMG constituents, including but not limited to physicians, clerical workers, and nurses.

RFP construction, process Communication with

Steering Committee Recommendation of solution Vendor negotiation Implementation

IT Application Lead Is the key technical resource for UMG for any application being introduced into the environment.

Ensure all business requirements are translated to technical requirements.

Ensure application use of database consistent with best practices and standards.

Ensure application is consistent with UMG standards, including HIPAA standards for personal health


Project Steering

Committee

Project Leader, Charlie

Kesinger

Legal/Procurement

Financial Analyst

IT Infrastructure

Lead

IT Application Lead

QC/Systems Testing

Business Owner "SuperUser,' David

Lee

ClericalNursesPhysicians

Project Management Office (PMO)

information (PHI). Manage and complete unit

testing.IT Infrastructure Lead Is the key technology resource for UMG

relative to network hardware, systems hardware, network connectivity and network security.

Ensure systems, hardware, and network infrastructure are consistent with UMG standards, including HIPAA standards for personal health information (PHI).

Working with Application Leader, manage and complete unit testing.

Financial Analyst Responsible for financial analysis of vendor responses, as well as modeling competing responses.

Develop business case for investment/ROI, including upside/downside sensitivities.

Perform analysis of vendor responses.

Work with team to recommend solution that meets both technical and business requirements.

QC Acceptance Testing and Functional Performance

Quality and performance assessment workgroup

Plan and develop the SOW and project plans for the testing workgroup

Provide input to the high-level business requirements

Plan, develop, and perform the functional performance and acceptance tests

Define and create the service broker testing environment

Select, install and evaluate the acceptance testing and functional performance test tools

Develop and maintain test drivers and test cases

Develop and maintain a test log and bug lists

Prepare workgroup progress reports for the project manager

Review performance of other workgroups.

Attend scheduled project team meetings


Legal/Procurement Responsible for overall negotiations and execution of contract.

Ensure the RFP process is done fairly and ethically

Once a final vendor is chosen, negotiate final contract.

Ensure any contracts are include UMG’s standard terms and conditions.

Support from the physician practice group will include subject matter experts (SME) from each specialty

clinic and several of the primary care clinics. These SMEs will be clinicians who are expected to

dedicate time for two meetings for planning/build phase of the project to ensure the processes are

reasonable and to provide additional comment/feedback regarding the plan. This time commitment is

expected to be approximately four hours for each SME. The SMEs must have experience with use of

the EMR. They are not expected to be EMR super-users but should have a good understanding of the

goals for their organization and willingness to help lead colleagues in the direction of those goals.

The role of the Project Management Office (PMO) is described in Section 9.

3.0 Key Assumptions

UMG has an overall patient population of 332,800. Of that number, 280,000 are served by the

primary care practices, and the balance of 52,800 patients are served by UMG’s specialty

practices. Within the total patient population:

50% of are “current,” meaning they have visited a UMG clinic > 1x in each of the past

two years.

30% are “active” patients, meaning they have visited a UHG practice 1x/year over the

past two years.


20% are “inactive,” meaning that they have not been to a UMG clinic in >2 years.

UMG requires that the paper records be digitized and tagged with specific metadata in a phased

approach. Resultant image files must be attached to and travel along with the electronic patient

record enabling a clinician to open and view those files at anytime within the existing Epic EMR

interface. OCR scanning and population of all fields of the record within the EMR is not

required. Prioritization for record digitization is as follows:

“Current” patients who have visited a UMG clinic > 1x in each of the past two years.

“Active” patients who visit a UMG clinic at least 1x/year over the past two years.

New patients providing documents from other providers. Physician to approve and initial

which documents within the supplied paper chart needs to be digitized.

On an as-needed basis (one week turnaround time) for “inactive” patients who have not

been to a UMG clinic in the past 2 years, but have an upcoming appointment. Inactive

patient records will otherwise not be digitized.

Each paper chart is comprised of an average of 10 pages/document. Documents include

patient medication/allergy records and problem lists, immunization records, last available

radiology reports, laboratory, and cardiac diagnostic test reports, hospital discharge

summaries, annual physical exam progress notes and consultation reports. The paper charts

all have a patient summary sheet. Based on all above, the following chart provides an

estimate of required volume of paper to be scanned:

Current Patient Documents

Active Patient Documents

Inactive Patient Documents

1,664,000 998,400 665,600


UMG will maintain a small scanning operation in a centralized location to accommodate any on-

going digitization requirements for new information. Physicians will be required to initial any

paper documents provided to them by new patients prior to being scanned at the central location.

With respect to document scanning:

If providing document scanning services, either on- or offsite, contractor (as a covered

entity) certifies that processes and procedures are in place to protect personal health

information (PHI) based on HIPAA requirements. Contractor indemnifies UMG from

any liability that results from a breach related to PHI.

All document handling/scanning work will be done in the United States.

Some document scanning capabilities will be required in all clinics initially, with

volumes decreasing until only new patient-supplied documents will need to be scanned at

individual sites.

The project team will provide contractor samples of documents that are representative of

the quality of the input. Contractor will provide scans at various resolutions, and project

team and CMIO will approve standard resolution requirement.

As the largest provider of physician services to University Hospital, UMG has arranged

with University administration to have a scanner in the hospital HIM department set up

for scanning of hospital discharge summaries and other appropriate documents for upload

into the UMG EMR.

Once scanned, documents will be stored at UMG’s 3rd party storage facility, and shredded

in accordance with mandated guidelines.

UMG IT infrastructure requirements are:

All locations will have 10/100/1000 network capabilities.


There will be a minimum 100 MB of free bandwidth on the LAN

There will be a minimum of 1.5 MB of free bandwidth on the WAN

Each of the 10 satellite clinics are connected back to the data center, housed in the main

office, via a 10Mb/s metroE connection.

Documents will be stored locally in the UMG Data Center. Servers will be maintained in a

virtual environment.

The virtual environment will be run on VMware Websphere.

The virtual environment will be maintained by UMG’s IT department.

The virtual environment will run on agreed upon Dell servers and SAN.

Billing and coding departments may be required to deploy the new document management

system if needed.

EMR vendor (Epic) has provided assurances regarding interface functionality between their

system and that of contractor. The vendor will provide a clear understanding regarding:

Responsibility for user certification and access to patient records.

Document encryption/decryption.

HIPAA regulated storage of patient records when taken off site via phone/portable

computer.

Responsibility for application uptime.

Responsibility for beta-tested product updates.

Contractor will be responsible for training all staff members at UMG in the processes for

scanning, storing, and retrieving documents from the Document Management System.


The contractor has deep experience in successfully implementing document management

systems in a healthcare delivery environment similar to or larger than UMG’s, and can provide at

least 5 references willing to discuss in detail their work processes/product.

Contractor will provide details on its financials for current and prior year, including income

statements, statements of cash flow, and balance sheet data. This information will be kept strictly

confidential, and used only to assess the financial viability of the provider.


Contractor will be paid based on acceptance criteria for each project deliverable. UMG reserves

the right to stop/start/discontinue the project based on contractor performance against

deliverables/schedule.

Project financial hurdles are met in terms of level of CapEx required, NPV, IRR, and payback

period for the investment.

4.0 Risks

There are several risks to the Project’s success. These include:

Risk Risk MitigationPhysician group fails to agree on what data should be moved to the electronic record.

CMIO and business owner/super user will work to gain consensus on requirements prior to engaging contractor. CMIO will have final decision rights on what is/is not scanned into the record

Scanner resolution of the handwritten records does not permit adequate legibility of the information.

The project team will provide contractor samples of documents that are representative of the quality of the input. Contractor will provide scans at various resolutions, and project team and CMIO will approve standard resolution requirement.

Physicians resist/refuse to migrate to the new electronic system/workflow, and the perpetuation of the paper record.

Today overall cost of maintaining records held at UMG corporate level. Post-implementation, cost of paper chart support staff, space will be allocated directly to those physicians who continue to require paper chart support, and not subsidized by all physicians.

Internal competition for resources—either capital or human—delays the project. UMG continues to incur additional costs

Ensure resource and capital requirements are fully and accurately scoped/prioritized. Confirm with lenders that adequate credit facilities are in place if project financing is required. Put contingency plan together for contract resources to be added during the implementation phase.

Contractor delays Publish weekly status updates indicating tasks that are red/yellow/green v. project plan. Steering Committee meets with UMG Project Team weekly during implementation phase, and monthly with contractor.

Contractor insolvency Beyond detailed review of contractors’ financials


as detailed in section 3.0, require that contractor place source code in escrow in the event of bankruptcy/business closure.

5.0 Scope of Work

The contractor will deliver a document management system that will act as a shared repository for

patient information across the UMG enterprise. The system must be compatible and integrated into

the current Epic EMR system. In addition to the system, the contractor should propose a process for

digitizing the existing paper chart archive being held at each location, as well as a process for on-

going ingestion of paper-based documents.

5.1 Inclusions

Tasks ResourcesProcess map of the current “as is” workflow for paper documents in each location, including number of FTEs required to maintain paper charts.

ContractorUMG

Estimate of cost (both staff and space) for existing workflow ContractorUMG

Confirm volume of paper to be digitized, by # of pages. ContractorEstimate of space available after elimination of paper chart storage ContractorOptions for digitizing current records either on-site or off-site, including recommendations for prioritization.

Contractor

Options for ingestion of documents on an on-going basis, either on-site or off-site.

Contractor

Recommended new workflow, including an estimate of potential staff reductions in each location.

ContractorUMG

Cost to digitize paper charts, per page, in on-site or off-site scenario.

Contractor

Timing for digitizing records based on prioritization levels in Section 3.

Contractor

Recommended scanning resolution for document digitization. ContractorEstimates on productivity in terms of increasing number of patients seen, decreasing patient wait time with fully digitized records.

ContractorUMG

Cost of system, both one-time and recurring charges, including reps/warranties, maintenance charges.

Contractor

Training plan for staff. Contractor


Transition plan for document management/shredding activities currently being provided by Iron Mountain.

ContractorUMGIron Mountain

Coordination of workflow/best practices with University Hospital for document scanning and upload.

ContractorUMGUniversity Hospital

Project Status Updates UMGContractor

Project Management ContractorUMG

5.2 Exclusions

This project is strictly limited to document management, and does not include replacement of

any of the functionality that currently exists in the Epic EMR system (ex: CPOE, ePrescribe,

etc). Document storage, either prior to or post- scanning, is not a contractor responsibility.


5.3 Deliverables

Key Deliverable Responsibility Acceptance Criteria Approval RequiredStatement of Work Project Team Use UMG SOW

templateSteering Committee

Business Requirements Document

IT Application LeaderIT Infrastructure Leader

Use UMG BRD template

CMIO, Business Owner, Project Team

Design Specifications IT Application LeaderIT Infrastructure Leader

Use UMG DS template

Project Team

Document Imaging Plan

Contractor Project Team Samples provided from UMG; contractor to scan at several resolutions. UMG to choose best output.

Project Team

Install System in One UMG Location as Pilot

IT Application LeaderIT Infrastructure Leader

System functional for at least 10 users for 30 days.

Steering Committee

Review Pilot Results, Refine System

Project Team Measured against stated project deliverables

Steering CommitteeProject Team

Large Scale System Implementation

Contractor Project TeamIT Application LeaderIT Infrastructure Leader

Measured against stated project deliverables


Track Success Metrics Project Team Measured against stated project deliverables, user and patient satisfaction, and business goals.



5.4 Milestones

Key Deliverable Responsibility Timeframe ApprovalStatement of Work complete Project Team 10/15/11 Steering Committee

Project TeamRFP approved for distribution Project Team 10/31/11 Steering Committee

RFP distributed Project Team 11/1/11 Steering CommitteeConference call to answer questions on RFP (all contractors to participate).

Project TeamContractors

11/15/11 General Counsel

RFP response deadline ContractorsProject Team

12/1/11 n/a

Contractor presentations, including system demonstrations

ContractorsProject Team

1/6/12 thru 2/1/12

ContractorsProject Team

Vendor selection, contracting Project Team 2/1/12 thru 3/1/12

Steering CommitteeProject TeamContractor

Scanning and system development underway

Contractor 3/1/12 thru 5/1/12

Contractor

System testing and acceptance ContractorProject Team

5/1/12 thru6/1/12

Pilot implementation Contractor Project TeamProject Team

6/1/12 thru 7/1/12

Project TeamContractor

Phased enterprise-wide implementation, including training

Contractor Project Team

7/1/12 thru 12/1/12

Project TeamContractor

6.0 Work Approach

To achieve the objectives, this project will:

Bring together organizational representatives to analyze our current document management

processes, identify how the process can be improved utilizing an electronic document

management system, and identify the data exchange requirements necessary to support the new

process. This process will require interaction between our organization, the document

management vendor and technical contacts with our EHR provider.

Request onsite vendor proof of concept presentations, including system demonstrations, utilizing

comparable network and server technology.


Design and develop the document management system, utilizing standards defined in the above

sections. These standards include:

Improving patient care

Leveraging our EHR

Facilitating physician acceptance

Improving workflow; allowing for increased patient visits

Improving patient satisfaction

Complying with Meaningful Use

Providing access to government stimulus funding

Reducing non-revenue generating office space

Reducing staff overhead

Reducing third-party paper-based records management

Tighter adherence with record retention compliance

Implement document scanning approach, including the following:

Pre-selected documents from each active patient record to be scanned into the EMR

system by clerical support staff

This will follow a three-tired priority level discussed above

Clerical support staff will continually manage and scan subsequent paper records.

Physicians will be engaged in the process of providing future paper (from their patients

and which is desirable to have in the EMR) to a designated secure area where it will be

scanned to the EMR in a timely manner. This method will require the physicians to initial

the pages that are to be scanned.


Utilize system testing and acceptance requiring a joint operating between the contractor and

UMG’s project team. This testing will include:

An adjusted spiral-testing model.

Pilot the use of the newly developed document management system with at least 10 users

for 30 days.

Measures derived from the stated project requirements will be tested.

Scoring of these measures will come from steering committee, management committee,

and users groups.

Reassessment of system functionality vs. project requirements based on scored measures.

Adjust system operability if necessary, progress to next stage if possible.

Large-scale system implementation.

Utilize the previous testing procedures however, with limited reassessment and adjustment due to scale of deployment.

7.0 Completion Criteria and Final Acceptance Criteria …N/A

(For Assignments 1 and 2, MMI 408 Students are to think about this Section 7, but we will not cover the

concept of Acceptance Testing until later in the course, so do not include this section in your

Assignments 1 or 2 deliverables.)

7.1 Completion Criteria

The focus of this section is to define the process for submitting, approving and rejecting tasks

and deliverables


7.2 Final Acceptance

Describe in detail the precise definition of the conditions and criteria that will be applied to

determine that the contract has been successfully completed

8.0 Schedule

Contractor will be held accountable to the following schedule. Tasks that are shaded represent project gates. The Steering Committee reserves the right to stop or cancel the project if key deliverables, dates, or assumptions change.

Key Tasks DateAnalysis of current workflow, and proposal for future workflow. Includes validation of UMG assumptions regarding:

document volume current space requirements staffing potential productivity (capacity) or cost benefits

3/15/12

Review by Steering Committee for go/no go decision 3/16/12Document conversion complete for 50% of “Current” patients 5/1/12System development, integration complete. 5/1/12Document conversion complete for 50% of “Current” patients, and 100% of “Active” patients

6/1/12

Pilot implementation in one site 6/1/12Review of pilot site results by Steering Committee; go/no go decision based on results.

7/1/12

Phased enterprise-wide roll-out of system complete 12/31/12System testing and acceptance complete. 12/31/12Review of key project metrics, including but not limited to:

cost savings productivity (capacity) gains user satisfaction/acceptance patient satisfaction

1/30/13

9.0 Project Management

9.1 Enterprise PMO

Project staffing will be coordinated by the Project Management Office Team (PMOT), including the

right to determine which of its personal to be assigned to a particular portion of the project or team.


The subject matter experts (SME) will be scheduled and utilized with approval of their direct

management. The subject matter experts must be experienced users with the current EMR. During the

project the SME will follow the communications of PMOT office when it pertains to the defined project.

No one shall enter into a third party contract pertaining to this project without notifying the (PMOT) and

the Steering Committee.

Training will be provided by the contractor. Training will follow a trend approach. First will be PMOT,

then super-users, followed by users. If space is available, and with permission from department

managers and the PMOT, others may sit in during the training.

9.2 Project Status Reports

Reports Due Reports created by Report given to Report containsEvery Friday by 5 PM Department heads to

be assignedPMOT Lead Project status report.

-Deliverables on time-Deliverables signed off-Deliverables function as need at current phase-Staffs operating as needed- Staffs attitude is appropriate

Every Monday by 12 PM

PMOT Lead Steering committee Project status report.-Deliverables on time-Deliverables signed off-Deliverables function as need at current phase-Staffs operating as needed


- Staffs attitude is appropriate- Budget- Timelines- Issues- Concerns

Weekly PMOT Project TeamSteering Committee

Project status report.-Deliverables on time-Deliverables signed off-Deliverables function as need at current phase-Staffs operating as needed- Staffs attitude is appropriate- Budget- Timelines- Issues- Concerns

Upon completion of a delivery stage

Assigned staff PMOT Lead Evaluations

10.0 Relevant Organizational Policies Standards, Supported Software and Computing

Environment

Contactor must comply with UMG's most current and up to date Policies, Standards, and Computing

Environment. All enterprise information systems must comply with the policies of the UMG. UMG

publishes policies, standards, and guidelines documents. UMG maintains and implements policies in

Administration and Planning, Finance, Acquisition/Procurement, Staff Management, Research and

Development, Networking and Communications, Risk Management, and Public Relations. The

organizational document policies are available online at UMG.org/policies/default or may send a copy

request to: PMO Consultants, Matt Reid, 2020 Enforcer Way, Pluto, 75309, Phone: (111) 222- 3434,

Email:[email protected].


UMG's computing environment is operated and managed from an enterprise perspective. The following

provides an overview of the technical architectures environment specific to the DMS project. UMG uses

a mainframe that is connected to the LAN and TCP/IP.

The operating systems use Microsoft Windows NT.

UMG currently uses 500 computers, Windows servers, backup storage system, connected by

switches.

The standard and supporting operating systems are Windows 2000 and Windows XP.

UMG IT staff provides technical support for the hardware and software in these standards.

The desktop software standard is Microsoft Office 2000, 2003, and Office XP.

The protocol for the LAN is TCP/IP.

The network connects all UMG clinics by routers.

The LAN will use the Ethernet networking topology, with speeds of 4Mb or 16 Mb.

The clinic sites maintain servers for is the standard the file and print operating systems.

The enterprise directory service uses Directory and Oracle Internet Directory for Oracle

applications.

The UMG IT staff provides help desks from 8am - 5pm, Monday - Friday. On-call service is

available 24hrs/day.

The internet portal passes through a firewall in the LAN.

Oracle will be used as the enterprise database standard.

The CEO and CFO will be responsible for managing and overseeing the accounting and budgets.


A complete list of software products and standards used by UMG is available at

UMG.org/policy/software/default or may send a copy request to: PMO Consultants, Matt Reid, 2020

Enforcer Way, Pluto, 75309, Phone: (111) 222- 3434, Email:[email protected].

UMG uses cryptographic keys for security measures, and requires all users to authenticate and

receive authorization for use.

UMG audits, monitors, and tracks system usage.

UMG supports intrusion detection and containment controls.

Support security awareness and provide technical training for users to be aware of the rules,

behavior, and their responsibilities.

Support and require physical security (automatic logout, access keys).

11.0 Timeline and Period of Performance

The period of performance for this project will start on March. 1, 2012 and all work tasks are to be

completed by Dec. 31, 2012. Detail on specific Deliverables and Milestones can be found in sections

Sections 5.3 and 5.4. On-going support beyond the system implementation date will be addressed in a

separate agreement by the Contractor and UMG, and covered in a separate contract. The Organization

has the right to extend or terminate this SOW at its sole discretion.

12.0 Compensation and Payment Schedule

Contractor invoices must include detailed breakdown of hours worked, by whom, including role

and tasks performed associated to specific deliverables. The organization will pay upon receipt

in accordance with standard practice after review and signed authorization by the organization

project manager. UMG will hold back 20% of payment for each phase of the implementation,


and upon final acceptance, the project manager will authorize the payouts be made to the

contractor.

Hours worked beyond contracted estimates must be approved in advance by the organization

project manager.

Contractor will provide pricing for the following:

Initial planning and analysis stage

Scanning and upload of documents, by page.

Software licenses, as well as any maintenance agreements

System development costs

Training costs

On-going system support costs

Phase Upon Completion PaymentInitiation Phase:Analysis of current workflow, and proposal for future workflow.

Includes validation of UMG assumptions regarding:

document volume current space requirements staffing potential productivity

(capacity) or cost benefits

10%

Document conversion Complete for 50% of “Current” patients

10%

System development complete UMG document management system meets business and technical requirements, and is ready for pilot implementation.

20%

Document conversion complete 50% of “Current” patients, and 100% of “Active” patients

10%

Pilot implementation in one site 30 day pilot for at least 10 users 20%Training Targeted training delivered to:

Physicians Nurses Support/clerical staff

10%

Phased enterprise-wide roll-out of system complete

All current and active patient documents are digitized and

20%


linked to the EMR. All documents are tagged for

access through the Epic EMR. All UMG practice locations are

linked to document management system.

System testing and acceptance complete. Final system acceptance for all UMG sites.

Release of all holdbacks.

Payment terms are net 60 days.

Penalties will be assessed for work not completed per the approved Schedule. If a delay is

anticipated due to failure to meet obligations on the part of the organization, contractor must be

able to provide proof the issue was escalated to UMG Project Leader in a timely manner, as well

as raised the UMG Monthly Steering Committee.

Organization shall reimburse Contractor for travel and other expenses as identified in this SOW,

or as authorized in writing, in advance by Organization. No payment of travel expenses will be

made to Contractor for routine travel to and from Organization’s location. Contractor shall

provide a detailed itemization of expenses as requested by Organization. The amount reimbursed

to Contractor is included in calculating the “not to exceed” amount per final negotiated contract.

13.0 Miscellaneous

Contractor agrees to resolve any contractual issues through a mediation process, and in accordance with

the laws of the State of Illinois.

Service Level Agreements (SLAs), Acceptance Testing, and Performance Standards are addressed in

section 7.0


14.0 Appendices

Appendix A: Project Charter

Appendix B: Project Plan

Appendix C: Formal Request for Proposal sent to potential vendors

Appendix D: Standard UMG Contract Language, Terms and Conditions

Appendix E: Epic documentation

Appendix F: Map of UMG current network infrastructure

Appendix G: List of supported hardware, software

Appendix H: Epic documentation

Appendix I: Map of UMG current network infrastructure

Appendix J: List of supported hardware, software

Appendix K: UMG security standards

Execution/Signature Blocks

In Witness Whereof, the parties hereto, having read this SOW for a Document Management System for

UMG LLC in its entirety, do agree thereto in each and every particular.

SO AGREED. SO AGREED.

UMG LLC [Contractor]

Signature Signature


Print or Type Name Print or Type Name

Title: Title:

Date: Date:

[Use this space for other applicable Organization signatures]
