Advance Planning Document Process Overview Class

1
Advance Planning Document Process Overview Class

• presented by DHS/OIS/PMO
• http//egov.oregon.gov/DHS/admin/pmo/

2
Overview Class

• This presentation describes basic components of
  the Advanced Planning Document (APD) process.
• High level look at process
• Introduction to process
• Other detailed classes
• Using APD Templates
• Agency specific

3
Purpose of an APD

• Federal funding for development and
  implementation of information systems.
• Systems that support programs under Departments
  of Health and Human Services and Agriculture.
• APD process jointly created by three Federal
  agencies.

4
APD Funded Systems

• Department of Health and Human Services (DHHS)
• Administration for Children and Families (ACF)
• Centers for Medicare Medicaid Services (CMS)
• Department of Agriculture (DOA)
• Food and Nutrition Services (FNS)

5
APD Primary Objectives

• Describe and seek approval of the DHS plan.
• Establish system and program performance goals.
• Secure approval for Federal Financial
  Participation (FFP).
• Ask for approval.

6
Advance Planning Document Process Components

• Preconditions to APD
• APD Types
• Planning APD
• Implementation APD
• APD Updates (APDU)
• Process Controls
• APD Close

7
APD Preconditions

• Events and activities that typically take place
  prior to development of an APD.

8
APD Preconditions

• DHS determines there is a need.
• New system
• Change to existing system
• Where does the request come from?
• Business request
• Legislative mandate
• Federal mandate

9
APD Preconditions

• Determine possibility of Federal funding.
• Designated Contact Managers
• Hussain Razzaki CMS
• Julie Mallord ACF FNS
• Decision to establish a project and develop an
  APD.

10
APD Preconditions

• Project is initiated using standard PMO
  Initiation Process.
• Project Document Library is created.
• Historical record of correspondence.
• Provides an audit trail.
• Includes an APD Revision Log containing updates
  and amendments.

11
Project Document Library
12
APD Preconditions

• Project Planning Process
• Project Plan
• Supports development of APD
• Guides project execution
• Communication Plan
• Establish communication links
• Keep stakeholders informed

13
APD Preconditions

• Pre-APD review of the Plan
• Draft presentation
• Internal stakeholders
• Federal representative
• Formal presentation
• Federal representative
• Feedback used in preparing APD

14
APD Preconditions

15
APD Types

• There are 3 types of APDs
• Planning APD (PAPD)
• Implementation APD (IAPD)
• APD Update (APDU)
• Similar requirements, but used for different
  purposes.

16
Planning APD (PAPD)

• Approval for planning costs
• Written plan of action
• Need
• Feasibility
• Costs and Benefits
• High-level management statement

17
Planning APD (PAPD)

• Brief document normally 6-10 pages.
• Focus is describing how planning will be done.
• Its a plan to plan.
• Project Plan used to develop APD

18
Planning APD (PAPD)

• Statement of Need Section
• Describe vision (scope objectives)
• Define problems and needs
• Project Management Plan Section
• Describe project organization
• Describe activities/milestones

19
Planning APD (PAPD)

• There are 4 key deliverables
• Requirements Analysis
• Feasibility Study
• Alternatives Analysis
• Cost Benefits Analysis (CBA)

20
Planning APD PAPD)

• Budget Section
• Describe Budget and Cost Allocation for Planning.
• PMO Estimating Tools.
• Describe resource needs for Personal Services and
  Services Supplies.
• Contracting, Staff costs, Hardware software,
  Space, Supplies, Other
• Project Cost Section
• Provide gross estimate of total project costs.
• Explain formulas used.

21
PAPD Summary

• Brief document
• 4 Major Deliverables
• Requirements Analysis
• Feasibility Study
• Alternatives Analysis
• Cost/Benefits Analysis
• Show the Feds a clear plan to plan.

22
Implementation APD (IAPD)

• Used to get approval and Federal share of
  implementation costs.
• Provide Feds our written plan of action
• Design, development and implement a system.
• Implementation of a Transfer system.

23
Implementation APD (IAPD)

• IAPD is comprehensive and thorough.
• Level of detail is commensurate with complexity.
• Project Manager is responsible for discussing
  with Feds the level of detail needed.

24
Implementation APD (IAPD)

• Statement of Needs and Objectives Section
• Summarize needs, objectives, and anticipated
  benefits.
• Summary of Planning Section
• Summarize results of requirements analysis,
  feasibility study, and alternatives analysis.
• Do not include copies of documents.

25
Implementation APD (IAPD)

• Cost/Benefits analysis (CBA) Section
• Summarize results of CBA.
• Do include a dated copy of CBA.
• Project Management Plan Section
• Summary of PMO Project Plan
• Describe project activities, deliverables,
  products, project organization, and resource
  needs.
• Proposed Budget Cost Allocation Sections

26
IAPD Summary

• Comprehensive detailed plan for designing,
  developing, and implementing the system.
• Results from the Planning deliverables are used
  to create the Implementation Plan.

27
APD Update (APDU)

• The Feds require APD Updates but vary on
  requirements.
• Two types of APD Updates
• Annual APDU provides project status updates,
  requests continued project funding, and reports
  post-implementation costs and benefits.
• As-Needed APDU is used to report significant
  changes to the project approach, procurement,
  methodology, schedule, or costs.

28
Annual APDU

• Submitted 60 days prior to APD anniversary.
• Project status report on major tasks and
  milestones.
• Activity schedule with estimated completion
  dates.
• Expenditure status of costs incurred.
• Updated cost/benefit analysis report.
• Updated budget
• Anticipated changes including requests for
  additional Federal funding.

29
As-Needed APDU

• Required to report significant changes to
  schedule or costs.
• Revised schedule and/or budget to show the change
  in schedule or cost.
• Supporting documentation to justify the need for
  changing a previously approved project schedule
  or cost.
• Follows format of original APD.
• Requirements vary per project.

30
APD Approval Process

• Draft Approval
• Receives verbal approval.
• Formal Approval
• Receives signature approval.

31
Draft Approval

• Internal Review Feedback
• Steering Committee
• OIS Executive Team
• Key Stakeholders
• Federal Review Feedback
• Document any revisions.
• Submit Revised draft APD to Regional
  representative.

32
Formal Approval Package

• Enhanced Federal Participation Request package
  (APD Package)
• Cover letter
• Written by program authority or project manager.
• APD
• Signature sheets
• Other dated attachments
• ACF requires an Executive Summary.

33
Formal Approval Package

• DHS Approval of APD Package
• CMS requires Program Administrator and Director
  signatures.
• ACF only requires Program Administrator
  signatures.
• Federal Approval of APD Package
• FedEx package with signed documents and CD with
  documents.
• Also email documents.

34
Federal Approval

• Feds have 60 days to review
• Approve
• Disapprove
• Grant conditional approval
• Ask for more information
• 60 days starts over with requests for more
  information.
• Provisional Approval occurs after 60 days with no
  response from Feds.
• DHS could proceed at its own risk.

35
Contracting

• Written prior approval is required before
  releasing RFP, before executing contracts and
  contract amendments that exceed threshholds for
  dollar value and time.
• Federal agency approval
• Department of Justice (DOJ) and Department of
  Administrative Services (DAS) approval

36
Contracting

• Office of Contracts and Procurement (OCP)
• Contract Process information on web site
• http//www.dhs.state.or.us/admin/contracts/

37
Detailed Implementation Schedule (DIS)

• Feds require a DIS at same time as APD and it
  requires prior approval.
• Identifies allocated costs for design and
  development.
• Schedule and Deliverables
• Resource Requirements
• Reporting Requirements
• Estimated costs

38
Reporting

• Degree of reporting is at the discretion of the
  Federal approving authority.
• Annual APDU
• Monthly status report
• Project Manager is also responsible for internal
  reporting.
• Reports are augmented by onsite visits.

39
Summary

• Purpose of an APD is to get Federal funding for
  the development and implementation of information
  systems.
• APD process components
• Preconditions
• APD types (Planning, Implementation, APDU)
• Approval Process
• Contracting
• DIS
• Reports

40
Conclusion

• PMO consulting support
• Documents on PMO web site
• www.dhs.state.or.us/admin/ois/pmo
• Upcoming Classes
• APD Overview
• Planning APD
• Implementation APD
• APDU
• www.dhs.state.or.us/training/index.html