GPSoC Assurance Approach_GP Systems Interface Mechanism Requirements_Pro

Common Assurance Process for GP Systems Interface Mechanism Requirements V1

(GPSoC Replacement – Procurement Pre-requisites)

Programme GPSoC Document Record ID Key

Sub-Prog/Project

GPSoC XXXX

Prog. Director Kemi Adenubi

Status Draft

Owner Claire Malone

Version 0.7

Author Claire Malone

Version Date 01/03/13

© Crown Copyright 2013

Common Assurance Process -

GP Systems Interface Mechanism Requirements V1

(GPSoC Replacement Framework – Procurement Prerequisites)



NPFIT-FNT-XX 01/03/13 Draft 0.7

© Crown Copyright 2013 Page 2 of 11

Amendment History:

Version Date Amendment History

0.1 04/02/13 First Draft

0.2 05/02/13 Second Draft after comment from MR (GPSoC) & DS (Tech Office)

0.3 11/02/13 Third Draft after feedback from SL (NICA)

0.4 14/02/13 Fourth Draft after feedback from SL (NICA)

0.5 25/02/13 CAP Ops Board Comments

0.6 28/02/13 Final version for approval

0.7 01/03/13 Minor editing changes

Forecast Changes:

Anticipated Change When

Reviewers:

This document must be reviewed by the following

Name email Title / Responsibility Date

Tech Architect [email protected]

Information Governance [email protected]

Functional Assurance [email protected]

Non Functional Test Team [email protected]

Clinical Safety [email protected]

Service Introduction and Deployment Assurance Team

[email protected]

CAP Operations Team

[email protected]

GPSoC Team [email protected]

Education, Training & Development [ETD]

[email protected]

Approvals:

This document must be approved by the following:

Name e-Signature Title / Responsibility Date

CAP Operations Board

Programme Owner

Distribution:

Public facing document

Document Status:

This is a controlled document.

Whilst this document may be printed, the electronic version maintained in FileCM is

mailto:[email protected]

mailto:igteam@












the controlled copy. Any printed copies of the document are not controlled.

Glossary of Terms:

List any new terms created in this document. Mail the NPO Quality Manager to have these included in the master glossary above [1].

Term Definition

CAP Common Assurance Process

HSCIC Health and Social Care Information Centre

RFO Ready for Operations

V&P Volume and Performance

Principal System means the collection of clinical system modules provided by a single supplier as an “integrated clinical system”.

Subsidiary System means the provision of subsidiary system modules either by a third party supplier or by a principal clinical system as part of their Principal System.





Contents

1. Overview ............................................................................................................. 5

1.1 Document Purpose ........................................................................................ 5

1.2 Background and Project Purpose .................................................................. 5

2. Delivery Approach ............................................................................................... 6

3. Relevant HSCIC Requirements ........................................................................... 7

4. Assurance Approach for GP Systems Interface Mechanism Requirements V1 .. 7

Preparation .............................................................................................................. 7

GPSoC Replacement Procurement and Interface Mechanism Assurance .............. 7

Design and System Test Information ....................................................................... 8

Witness Testing ....................................................................................................... 8

5. Development Milestone Achievement Certificate (DevMAC) ............................... 8

6. Notes ................................................................................................................... 9

7. Management ..................................................................................................... 10

Roles and Responsibilities ..................................................................................... 10

8. RACI Matrix ....................................................................................................... 10

9. Engagement ...................................................................................................... 10

10. Assurance Risks and Issues ............................................................................. 10





1. Overview

1.1 Document Purpose

The purpose of this document is to detail the assurance approach for GP Systems Interface Mechanism Requirements V1 for Principal and Subsidiary Systems under the GPSoC Replacement Framework Agreement.

The document is a public facing document that provides information as to how HSCIC will assure Supplier’s compliance with the GP Systems Interface Mechanism Requirements V1 in readiness for entry onto the GPSoC Replacement Framework Agreement.

This document will also enable key HSCIC stakeholders to gain a view of the specific assurance approach to be used to address this defined set of requirements.

This document will inform the GPSoC Replacement Programme’s detailed planning approach and needs to be sanctioned by the CAP Operations Board in conjunction with relevant Programme-specific governance arrangements.

This document will be the only document that will detail the assurance approach for GP Systems Interface Mechanism Requirements V1 only and does not cover specific integrations between Principle and Subsidiary Systems.

1.2 Background and Project Purpose

The GPSoC Replacement Programme have informed the market that entry onto the GPSoC Replacement Framework Agreement is only permitted if a number of criteria are met, one being that the supplier system is compliant with the GP Systems Interface Mechanism Requirements V1. This compliance requirement applies to:

1. Principal System Suppliers who have been successfully shortlisted following the completion of the Pre Qualification Questionnaire (PQQ) phase and Invited to Participate in Dialogue (ITPD), where their Principal System exists at the time of the GPSoC Replacement Procurement Process

2. Subsidiary System Suppliers who have been successfully shortlisted following the completion of the Pre Qualification Questionnaire (PQQ) phase and Invited to Participate in Dialogue (ITPD) where there is a functional requirement to provide an Interface Mechanism as part of the provision of a subsidiary module AND where their Subsidiary System exists at the time of the GPSoC Replacement Procurement Process

See Section 2, delivery approach for more detail.

The OJEU notice will be published in Q4 FY12/13 formally commencing the procurement phase of the GPSoC Replacement Project with the aspiration to award





contracts to successful suppliers by the end of 2013, allowing them to offer services under the GPSoC Replacement Framework Agreement.

This document has been published to allow suppliers and the HSCIC the opportunity to familiarise themselves with the new assurance processes and prepare to undertake this piece of work.

HSCIC have a defined and approved assurance approach tailored for use when assuring Suppliers against the GP Systems Interface Mechanism Requirements V1 as part of the GPSoC Replacement Procurement Process

Suppliers wanting to gain compliance with the GP Systems Interface Mechanism Requirements v1.0 prior to the GPSoC Replacement Framework understand the assurance process as set out by HSCIC

HSCIC can appropriately resource the assurance process and conduct pre-assurance activities to ensure that the process is met

Suppliers can plan how they will achieve compliance and successfully meet the minimum eligibility criteria required during the Procurement Process to permit entry onto the GPSoC Replacement Framework Agreement.

2. Delivery Approach

The scope of this assurance approach is limited to Suppliers who are bidding for entry onto the GPSoC Replacement Framework and are required to comply with the GP Systems Interface Mechanism Requirements v1.0

This assurance approach sets out the process to be conducted during the GPSoC Replacement Procurement Process ONLY.

GPSoC Supplier Systems have existing Interface Mechanisms in place which have not been assured by HSCIC as the provision of such was not a requirement under the current GPSoC Framework Agreement.

HSCIC have a defined and approved set of Interface Mechanism Requirements. Compliance with these requirements form part of the minimum eligibility criteria for the GPSoC Replacement Framework Agreement.

Should current GPSoC Suppliers wish to enter onto the GPSoC Replacement Framework Agreement and provide a Principal Clinical System they must successfully complete the assurance process defined within this document (and achieve compliance as awarded by HSCIC. In order to meet the GP Systems Interface Mechanism Requirements v1.0 it is recognised that the Supplier may need to further develop their existing Interface Mechanism.

Existing 3rd party suppliers who interface with GP Clinical Systems which also have an Interface Mechanism in place must also meet HSCIC requirements and





demonstrate that they do so by following this assurance approach allowing HSCIC to award compliance.

As per the providers of Principal Suppliers, the Suppliers who wish to provide Subsidiary module functionality to interface with Principal Systems under the GPSoC Replacement Framework Agreement must also meet the GP Systems Interface Mechanism Requirements v1.0 and demonstrate that they do so by following this assurance approach allowing HSCIC to award compliance.

3. Relevant HSCIC Requirements

Relevant HSCIC Requirements are embedded below:

XXX

This assurance approach DOES NOT COVER integration between specific Principal Systems and Subsidiary Module Systems. That assurance piece is out of scope and will be conducted separately. This assurance approach ends at Development Milestone Achievement Certificate (DevMAC) and intentionally de-scopes a live pilot and a Full Rollout Certificate.

The assurance approach also excludes any assurance of the Principal Clinical System or of the Subsidiary System Module.

4. Assurance Approach for GP Systems Interface Mechanism Requirements V1

Preparation

HSCIC will engage with the market to discuss the GP Systems Interface Mechanism Requirements V1 so that Suppliers delivering to the requirements are clear on what is required from a technical and assurance perspective. This assurance approach will also be discussed.

GPSoC Replacement Procurement and Interface Mechanism Assurance

Suppliers who are successful at the PQQ stage of the GPSoC Replacement Procurement Process will be Invited to Participate in Dialogue (ITPD) which is the next stage of the Procurement Process.

, Suppliers will be asked to provide specific evidence to support their bid for the GPSoC Replacement Framework as part of the Dialogue phase of the Procurement Process. Suppliers will need to provide evidence of how they will satisfy assurance processes by submitting the relevant and requested information to HSCIC via their submissions. The evidence submitted will be formally included in the GPSoC





Replacement Framework Agreement between the HSCIC and the Supplier.

HSCIC will request that, as part of the first submission following the commencement of the Dialogue Phase, the Supplier submits the information as set out below.

Design and System Test Information

Deliverable Description

Requirements Traceability Matrix

Required – Supplier to complete the Requirements Traceability Matrix provided by HSCIC as part of the requirements document

Technical Architecture Required – 1 document covering the Interface Mechanism Design deliverables is acceptable

Functional Specification Required – 1 document covering the Interface Mechanism Design deliverables is acceptable

Non-Functional Specification

Required – 1 document covering the Interface Mechanism Design deliverables is acceptable

Test Report Required – This document should provide HSCIC with test evidence demonstrating that the Design meets the Interface Mechanism requirements

Volume and Performance Test Report

Required - Document to provide HSCIC with a statement and evidence, from testing or assessment processes, that identifies that the Interface Mechanism does not impact on the performance of the GPSoC Clinical System.

Clinical Safety Closure Report

Required – Document to detail identified hazards and their mitigations

HSCIC will notify the Supplier via email when the above deliverables have been approved. This email will be embedded in the DevMAC when issued to the Supplier. See Section 4.5 for information relating to the DevMAC.

Witness Testing

After reviewing the information above, HSCIC may choose to witness test in the Supplier Test Environment or in the live environment by visiting a GP practice.

The scope of the testing will be agreed between the two parties

5. Development Milestone Achievement Certificate (DevMAC)

A Development Milestone Achievement Certificate (DevMAC) shall be issued by HSCIC once all the assurance deliverables and activities have been approved for GP





System Interface Mechanism Requirements V1.

The scope of the assurance ends at award of the DevMAC as stated in Section 3.

For those Suppliers who have an existing DevMAC, HSCIC will update it to reflect compliance with the GP System Interface Mechanism Requirements V1.

HSCIC will create a DevMAC for Suppliers who do not have an existing DevMAC to update.

The DevMAC will detail whether the Supplier meets the GP System Interface Mechanism Requirements V1 as a Principal or Subsidiary Supplier.

HSCIC will issue the DevMAC to the Supplier via email. This certificate will state that the Supplier meets the GP System Interface Mechanism Requirements V1.

For the avoidance of doubt, there will be no Milestone Payment attached to this DevMAC. However, ongoing Support & Maintenance Charges (to be agreed as part of the dialogue in commercial meetings) in respect of the Interface Mechanism may be charged from the Effective Date of the GPSoC Replacement Framework Agreement.

Award of the DevMAC demonstrates that the Supplier meets the GP Systems Interface Mechanism Requirements V1 in readiness for the GPSoC Replacement Contract and permits End to End Integration Assurance to commence with other suppliers. .

Integrations between a specific Principle Supplier and a specific Subsidiary Supplier will be assured separately.

6. Notes

There is no scope phase for this release because:

1. This assurance piece will be conducted alongside the GPSoC Replacement Procurement

2. GPSoC Replacement do not require any other Scope deliverables that normally come under the scope phase in the Common Assurance Process

3. Assurance is constrained to the Interface Mechanism ONLY 4. Invitation to Participate in Dialogue constitutes scope stage which permits the

Supplier to submit the required deliverables.

A scope ATP will not be awarded





7. Management

The following governance model has been designed to fit this assurance approach and the scope of the GP System Interface Mechanism Requirements V1

Roles and Responsibilities

Title Name

SRO Tim Kelsey

Programme Director Kemi Adenubi

Programme Head Martin Warden

Project Manager TBC

Technical Architect Danny Solomon

NICA Assurance Lead – Functional Simon Lee

NICA Assurance Lead – Non Functional David Pool

Clinical Safety Frazer Brindley/Mike Anderson

8. RACI Matrix

The embedded RACI matrix names the stakeholders within HSCIC who will review deliverables and approve certificates throughout the process.

RACI_GPSoC Assurance Approach_GP Systems Interface Mechanism Requirements.xlsx

9. Engagement

Suppliers are encouraged to contact the GPSoC mailbox if they require further information about this process: [email protected]

10. Assurance Risks and Issues

Risk/Issue ID

Description Mitigation/Proposed Solution

CAP1 Number of suppliers who will want to comply with these requirements is currently unknown

Supplier Engagement days to be held to draw out this information

CAP2 Number of HSCIC assurance resource unknown as the number of suppliers is unknown (CAP1)

See CAP1





Documents

GPSoC Assurance Approach_GP Systems Interface Mechanism Requirements_Pro