FNS APD Process“Executive” Overview

ISM Conference – August 30, 2009

Session ObjectivesOverview of the APD Process

Your Roles, and Why You Should Care

Planning Documents

Procurement Documents

The Hard Parts

FNS Handbook 901

FNS State Systems Office

SSO

Lizbeth Silbermann, Director

Lynn Jordan,

Management AnalystMARO

Karen Painter-Jaquess,

Management AnalystMPRO & MWRO SNAP

Gregg Saxton,

Management

AnalystSWRO &

WRO

Kathy Tankersley,

Management AnalystNERO & SERO

Catalina Luna,

Management Analyst MWRO

WIC

Jennifer Renegar,

Management Analyst

NERO

MARO

SERO

SWRO

WRO

MPROMWRO

Gregg Saxton

Karen Painter-Jaquess

Kathy Tankersley

Lynn Jordan

Catalina Luna Jennifer Renegar

Who at FNS??

Responsibility for oversight of State Automation and Modernization efforts is shared - between the Regional Office SNAP program and the State Systems Office -

SSO.

State Agency

Advance Planning & Acquisition Documents

State Systems Office FNS Regional Office

Approval or Additional Documentation Request

Coordination Within FNS

States should expect a coordinated response from FNS.

SSO – Lead on APD Process, Project Management and Technical Issues

Region – Lead on Program Functionality

Our Role…..

YOUR ROLESLeadership

Program

Technical

It’s not all about technology!

Stewardship

Ownership

Partnership

Stewardship

Partnership

Ownership

Why You Should Care!

Making policy and providing leadership

Creating the roadmap for the future of the program

Assuring access and benefits

Providing the tools to deliver!

Leadership

AccountabilityRegulatory Requirements

Program ManagementEmpowerment

Program

AccessibilityProgram Management

Payment AccuracyClient Services and BenefitsReconciliation and Reporting

TechnicalAccessibility

UsabilityData IntegrityData Sharing

SecurityInnovation

Advance Planning Document Process

Parallels standard project management methodology for a system lifecycle project (and real life too!)

◦ Planning

◦ Design

◦ Development

◦ Testing/pilot/implementation

◦ Operation

◦ Evaluation

◦ Planning

Advance Planning Documents Planning Advance Planning Document

(PAPD)Implementation Advance Planning

Document (IAPD)IAPD Update (IAPDU)IAPDU As-NeededEmergency Acquisition Request (EAR)

Procurement Documents

Request For Proposal (RFP)

Contract

Advance Planning Documents

Planning Advance Planning Document (PAPD)

Implementation Advance Planning Document (IAPD)

IAPD Update (IAPDU)IAPDU As-NeededEmergency Acquisition Request

(EAR)

PAPDPlanning Advance Planning

Document

“A Planning APD is required for review and approval for all projects > $5M total project costs”

FNS Handbook 901, Section 2.2.1, Planning APD

Purpose of a PAPDPAPD is a brief document that:

Requests prior approval and Federal funds to explore the feasibility of new system initiatives

Describes the planning activitiesEstimates the cost and timeline of planningIdentifies and prepares for acquisition

activities

Components of a PAPD

• Transmittal Letter with Official Signature

• Executive Summary

• Resource Requirements

• Schedule of Activities, Milestones, and Deliverables

• Proposed Budget

• Cost Allocation Plan (if applicable)

Key PAPD Elements

(What FNS is looking for!)

Explains objectives and needs of new systemScope of planning activities appropriate for

project Explains involvement of key stakeholders and

relationships with other programs and organizations

Demonstrates availability of funds, resources, and skills

Key PAPD ElementsPlanning activities justify costs

involvedItemized planning budget,

sources/amounts of funding included

Plan to allocate costs among sources, if applicable

PAPD Process StepsState agency:

Prepares and submits PAPD FNS

Sends electronic copies:

- 1 to FNS’ Regional Office

- 1 to FNS’ State Systems Chief

Simultaneously submits copy of PAPD to HHS and any other participating Federal agencies, if applicable

PAPD Process StepsState agency:

Receives FNS comments or approval

Obtains prior FNS written approval of PAPD before starting any planning phase procurments

42

FNS Timeframes

60 DAYS

50 States x 2 programs (WIC & FSP)

+ states with multiple systems

+ WIC ITOs & US territories

x ~3-6 docs/project

÷ 6 of us----------------

60 days

(But it’s also just in the regs)

OK, so your PAPD is approved…

THEN WHAT?

Define the scope

Review business processes

Conduct requirements analysis

Conduct feasibility study/alternatives analysis

Prepare cost benefit analysis

Prepare IAPD

Planning Activities

What is your role?

What’s your role?Be a champion for the project!

Ensure funding and support is obtained at all levels

Make sure all stakeholders are included

What’s your role?Ensure system objectives and needs are reasonable

Ensure required resources are reasonable and available (or obtainable)Develop the functional requirements

What’s your role? Perform business process

analysis – defining “as is” and “to be” environments

Conduct the alternatives analysis (gap analysis)

What’s your role?Select system alternatives carefully

Ensure the same metrics are applied to each alternative in the analysis

Ensure the chosen alternative is the best fit technically, operationally, and financially

What’s your role? Develop cost benefit analysis

Set reasonable expectations

Write the IAPD

IAPDImplementation Advance

Planning Document

IAPD Submission Thresholds

Stakeholder

Program/Funding Source

SNAP WICState agency prepares and submits IAPD

FNS reviews IAPD within 60 days.

For all projects >$5 million total project costs

For all projects requesting funding ≥$500,000 total costs

Source: FNS Handbook 901, Figure 2-8

HINT: HINT:

I tI t’’s in s in the 901!

the 901!

Purpose of an IAPDCulmination of the planning process

Reflects the results of the analysis and feasibility of various automation alternatives

Reflects the design and description of the automation project

Purpose of an IAPD

Provides an initial management plan for acquiring, developing, testing, and implementing the selected alternative(s)

Requests prior approval and Federal funding from FNS

Components of an IAPDTransmittal Letter with Official Signature

Executive Summary

Feasibility Study/Alternatives Analysis

Cost-Benefit Analysis

Components of an IAPDFunctional Requirements Document

General Systems Design

Capacity Plan or Study

Management Plan

Components of an IAPDResource Requirements

Schedule of Activities, Milestones, and Deliverables

Proposed Budget

Cost Allocation Plan

I D WBS Name Lead Start

1 State & DataSource Team Training Tue 1/20/04

6 Phase I - Analyze, Design and plan migrati on Mon 2/2/047 1.1 1,1 Project Management Plan TC Mon 2/2/048 Develop Project management Plan Mon 2/2/049 Project Plan TC Mon 2/2/ 04

10 Communications Strategy TC Mon 2/2/ 04

11 Contingency Communication Plan TC Mon 2/16/04

12 Change Management Plan Chris M Mon 3/1/ 04

13 Security Milestones Joe B Mon 3/15/04

14 Conf igurat ion Management Plan Chris M Mon 3/15/04

15 Rev iew Wed 4/7/04

16 Final Wed 4/14/04

17 Project Management Plan Deliv erable Tue 4/ 20/04

18 1.2 1,2 System Desi gn Document Tony Mon 2/16/0419 Develop System Design Document Mon 2/16/0420 System Design Document Tony Mon 3/22/04

21 Architecture Diagrams Tony Mon 3/22/04

22 System Security Plan Joe B Mon 4/5/ 04

23 Data Flow Diagrams Team Mon 2/16/04

24 User I nterf ace Specif ications Tony Mon 3/1/ 04

25 Rev iew Mon 4/19/04

26 Final Tony Mon 4/26/04

27 System Design Document Deliverable Fri 4/ 30/04

28 1.3 1,3 Functional Requirements Document Kelly Mon 2/2/0429 Dev elop Functional Requirements Document Mon 2/2/ 04

30 Rev iew Mon 4/19/04

31 Final Mon 4/26/04

32 Functional Requirement s Document Deliverable Fri 4/ 30/04

33 1.4 1,4 System Integri ty Documen t Mon 3/15/0434 Develop System Integrity Document Mon 3/15/04

35 Draf t SID KM Mon 3/22/04

36 Quality Assurance Plan CM Mon 3/15/04

37 Contingency Plan KM Mon 3/29/04

39 Conversion Plan SB,BK Mon 4/5/ 04

38 Security Risk Assessment Joe B Mon 4/12/04

40 Rev iew Mon 4/19/04

41 Final KM Mon 4/26/04

42 System Int egrity Document Deliv erable Fri 4/ 30/04

43 Phase II - Develop and i mplement the Clinic and Admini stration mod ulesMon 2/2/0444 2.1 2,1 Development Plan Mon 2/9/04

45 Develop Development Plan Mon 2/9/0448 Coding Standards Micheal Mon 2/9/ 04

47 Telecom Plan Micheal TC Mon 2/16/04

46 Draf t Development Plan MD Mon 3/1/ 04

49 Rev iew Wed 3/24/04

50 Final MD Mon 3/29/04

51 Dev elopment Plan Deliv erable Wed 3/31/04

52 2.2 2,2 Test Plan Mon 2/16/0453 Dev elop Test Plan TC, KN, PP Mon 2/16/04

54 Rev iew Mon 3/22/04

55 Final KN Wed 3/24/04

56 Test Plan Deliverable Thu 3/ 25/04

57 2.3 Develop Implementation Plan Mon 2/16/0458 Dev elopment TC,KN Mon 2/16/04

59 Rev iew Mon 3/22/04

60 Final Fri 3/ 26/04

61 Implementation Plan Deliv erable Wed 3/31/04

4/62/13

2/273/12

3/26

3/264/13

4/204/20

4/164/164/16

4/164/9

4/234/304/30

4/164/23

4/304/30

4/164/9

4/164/16

4/124/23

4/264/30

3/193/23

3/19

3/263/29

3/31

3/193/233/253/25

3/193/24

3/293/31

Nov Dec Jan Feb Mar Apr May Jun2003 2004

Components of an IAPDRequest for Waiver of Depreciation

Security Plan

Training Plan

68

FNS Timeframes

60 DAYS

69

OK, so your IAPD is approved…

THEN WHAT?

What about those “procurement

documents” you mentioned?

Procurement Documents

Request For Proposal (RFP)

Contract

RFP

IFBRFB IFP

RFQ

Planning

Development

Project Management

Quality Assurance

IV&V

Implementation Specialties

A World of Contractors

During the planning phase

(while carrying out the activities in the approved PAPD)….

Consultants Planning contractor QA contractor ???

Planning & Procurement documents project flow

PAPDSubmit to FNS

FNS approves

Do planning tasks

SubmitAPDUs(annual or “as needed”)

Closure

Submit planning phase RFP(s)

FNS approves

Release RFP & choose

contractor

Submit contract to FNS

FNS approves

During the Implementation Phase (while carrying out the activities in the approved IAPD)…

Project managementDevelopment contractorQA contractorIV&VCommunicationsTraining???

IAPD & procurement documents project flow

IAPDSubmit to FNS

FNS approves

Do DDI tasks

SubmitAPDUs(annual or “as needed”)

Closure

Submit DDI

phase RFP(s)

FNS approves

Release RFP & choose

contractor

Submit contract to FNS

FNS approves

FNS Thresholds for RFP Approval

SNAP > $5M total acquisition costWIC > $100K total acquisition

cost

SNAP > $1M total acquisition costWIC > $100K total acquisition

cost

Competitive {

Non-competitive {

Components of an RFP Introduction & Overview

Current processing environment

Workload data

New system environment (including projected growth)

Hint: This stuff is

in 901’s

procurement

chapter!

Components of an RFP

Solicitation Instructions and Conditions“Boilerplate” language – legal and purchasing

requirements

Proposal structure and content

Procurement schedule

Q&A process

Submission process

Components of an RFP

Statement of Work (SOW) – the MEAT!

Desired project schedule

Deliverables

Installation, Conversion, Maintenance requirements

Personnel requirements

Functional requirements

Components of an RFPManagement Plan Identify who the contractor will report to

Describe the project management structure

Define the type and frequency of status reports required

Specify who will review and approval of work performed

Clarify roles of state staff and other contractors

Components of an RFP

Evaluation and Award Process Identify evaluation criteria

Specify weight or points for each one

Describe the scoring process

Specify the minimum technical score

Explain how bidders will be notified

FNS Timeframes

60 DAYS

The Exception to the Rule:

State blanket purchase agreements or master contracts

If the original contract or master agreement:Was competitive Included THIS type of workHad scope or $$ parameters

Often used for hardware purchases or small consulting tasks, such as assistance with writing a small scope RFP

If the original contract or agreement:

Wasn’t competitive, but just a process of signing up on a list or meeting minor qualifications

Was for unrelated services

Not meant for major procurements!

Convert functional requirements into the system requirements

Integrate and test

Train

Implement statewide

Design, Development and Implementation Activities

Project Management

Deliverable review

Managing requirements

Reporting

Design, Development and Implementation Activities

What is your role?

What’s your role? Communicate vision

Eliminate impediments

Empower project team

What’s your role? Participate in design sessions

Test, test, test

Train

What’s your role?

Screen design

Requirements validation

Business rules transformed to code

What’s your role?

Data Cleansing and Conversion

Reports

Response time

TESTING

User Acceptance Testing (UAT)

User Acceptance Testing (UAT)

Testing done by end users to ensure that the application is functioning in accordance with the specifications and defined requirements and is acceptable to users.

What are the Goals of UAT?

Validate that the system:

Includes all functional requirements

Makes correct eligibility decisions

Issues benefits correctly

UAT Goals (cont)

Test performance of the system

Identify defects/bugs, and test fixes

Evaluate efficiency of system

Identify training needs

Test the new business processes

UAT

Test Plan – test all functions and processes of system

Test Team – include the “right” people

Pilot Test

What a Pilot Should Not Be:Simply the first phase of rolloutA formality to proceed

What a Pilot Should Be:The extension of system testing into the

real worldA real test of the system

Pilot Test GoalsOperate a fully functional system in a “live”

environment

Answer the questions:Did you get what you asked for?

What is missing or doesn’t meet requirements?

Is the system ready to roll-out?

Pilot Test Goals Business rules applied correctly

Data validation

Reporting accuracy

Reconciliation correctness

TrainingWhat Makes Training Effective?Incorporates what is learned in UATIs scheduled “just in time”Is “hands on”Does not end at rollout

What’s your role?Design the right mix of program and

technical content

Use training to build ownership - Help staff understand both WHAT and WHY

Deliver training in ways that are accessible and “safe”

Hold contractors accountable for results

Innovation!

Communicate!

Is that it? Are we done?No, of course not.

This is a three-hour session.

(Besides, we’re the feds, remember?)

Advance Planning Documents

Planning Advance Planning Document (PAPD)

Implementation Advance Planning Document (IAPD)

IAPD Update (IAPDU) – AnnualIAPDU As-NeededEmergency Acquisition Request (EAR)

Annual APDU

States are required to provide an annual update on all approved multi-year PAPD/IAPD projects

Allows FNS to fulfill its oversight responsibility

Purpose of Annual APDU

Keep a State’s PAPD/IAPD current by periodically updating FNS on project status:

Progress, accomplishments, and issues

Changes or adjustments in plans or approaches

Changes in budget or expenditures

Changes to schedule

Mechanism to request approval for successive phases of project (if limited approvals were initially provided)

Documentation Requirements Transmittal letter with Official Signature

Project Status (major accomplishments, challenges and

resolutions, outstanding issues)

Changes to approved PAPD/IAPD

Documentation Requirements (cont)

Revised Schedule of Activities, Milestones, Deliverables

Revised Budget

Actual Expenditures To Date

Contractor Performance (optional)

State Submission Requirements Submit APDU within 90 days of

anniversary of initial PAPD/IAPD

approval date

Submit electronically

(with scanned signature)

118

FNS Timeframes

60 DAYS

Threshold Triggers for APDU As Needed

A significant increase in total project costs

SNAP >$1m or 10% of the total project cost,whichever is higher

A significant change/delay to major milestones in project schedule

SNAP >120 days

Other Triggers for an APDU As Needed

Examples:• Procurement methodology• Cost allocation methodology• Project scope/concept• System architecture

Timely SubmissionAPDU As Needed is required ASAP, but no later than

60 days from the time when major changes are anticipated or occur.

States are at risk for the costsof project changes that donot comply with the approvedAPD, until approval is granted.

Documentation Requirements for APDU As Needed

APDU Requirements - Plus Additional Info

◦Executive Summary

If length of document warrants summary

◦Revised Technical Approach

Changes to specifications and requirements

◦Revised Functional Requirements

Changes to last approved version

Documentation Requirements for APDU As Needed (Cont)

◦Revised Project Management PlanChanges to last approved version

◦Revised Resource Requirements

Changes in personnel, staffing, duties

◦Revised Cost Allocation PlanChanges in budget or participating programs

What is your role?

What’s your role?Know the APDU requirements – when do you need an As Needed vs. an Annual?

Report Progress and Change

Budget

Schedule

Project Scope

Procurement

Functional Requirements

What’s your role?Report Progress and Change (cont’d)

Project Management Plan

Resource Requirements

Cost Allocation

Training Plan

Technical Approach

Discuss Contractor Performance

APD Closure

WHEN? Once the work envisioned (and

approved) in the PAPD or IAPD has been completed, the document is formally closed by FNS

APD ClosureWHAT? Official closure of the APD must

occur to document: end of the approved activities actual costs incurred termination of FNS funding

activities

What’s your role?Summarize project results – did you meet your goals? Are there any remaining issues to be resolved?

Budget - what was the final cost, and cost allocation?

Has the state done a post-implementation review? What were the key successes? Outcomes? Lessons learned?

So Far So Good?

It seems complicated, but…

Same process of homework most would use for any purchase

Same information that your legislature or purchasing office or CIO’s office expects

You can even submit the same paperwork

What seem to be the hard parts?

Functional Requirements

Alternatives Analysis

Feasibility Study

Management Plan

Functional Requirements Document

What – Not How The FRD is where you provide the

detailed, clear, specific requirements for what you want your new system to DO

YOUR FRD

Should reflect YOUR needsNot the FNS guidanceNot another state’s FRD

FReD

Feasibility Study

And

Alternatives Analysis

Overview of the Feasibility Study A preliminary study that determines whether

the project being considered is technically, financially, and operationally viable

Is directly linked to the Functional Requirements Document (FRD) in that the FRD is the baseline against which various approaches are assessed

Must include an alternatives analysis

Feasibility Study – Alternatives Analysis

Alternatives Analysis should include at least the following three alternatives:

Upgrading or enhancing the existing State system

Transferring a system or components from another State

Developing a new system from the ground up

Alternatives Analysis

Analysis of alternatives for hardware, software, and functionality

Demonstrates if a system is feasible – technically, financially, operational, and programmatically

Demonstrates which alternative is the “best fit”

Alternatives Analysis

How will changes to existing systems and processes be met (interfaces, data exchanges)?

Organizational effect upon personnel and skill requirements

Data conversion activities required

Alternatives Analysis

Operational impacts on existing procedures, user relationships, system support plans

Resource effects during development and operations

Cost to operate the new system once implemented

Then you have the material to write your Feasibility Study to show which alternative is the most technically, financially and

operationally feasible!

When you’ve compared each of your alternatives to your requirements….

And considered the gap between each alternative and your desired future…

And then done the cost/benefit analysis on any options that appear feasible….

And chosen the BEST option for you

When you’ve compared each of your alternatives to your requirements….

And considered the gap between each alternative and your desired future…

And then done the cost/benefit analysis on any options that appear feasible….

And chosen the BEST option for you

Management PlanProject oversight

Roles and responsibilities

Staffing Plan

Management PlanReporting requirements

How professional project management will be achieved for this project

Professional and conscientious project management is critical to a successful outcome!

Project Management Triple Constraints

Time

Cost

Scope Manage these or they will manage you!

OwnershipYou own the project!

No matter who

- designs it

- builds it

- writes the documentation

- runs the system

You own the system!

The APD Web Site!

The APD Web Site!

www.fns.usda.gov/apd

What is your role?

Stakeholder Responsibilities Identify program needs & requirements best addressed through IT

Determine planning & implementation steps

Prepare necessary documentation for Federal agencies to secure approval & funding

Stakeholder Responsibilities Implement IT plans

Conduct the overall project & integration of system solutions

Manage all aspects of the systems project throughout its life cycle

Stakeholder Responsibilities

Ensure active involvement and communication with State’s oversight/executive committee

Respond to FNS requests and update APD documentation when needed

Ensure fair and open competition

Stakeholder Responsibilities

Manage contractors/enforce contract provisions

Adhere to Federal requirements for status reports, State plans, funding process requirements, and policy implementation

Stakeholder Responsibilities FNS

Review and render decisions on all documentation submitted in accordance with established guidelines and time frames

Ensure consistency nationallyApprove specific program waiversProvide technical assistanceCoordinate with other Federal

partners

FNS may:

Conduct on-site reviews during project life cycle

Participate in project calls and meetings

Conduct post-implementation reviews Provide training Participate in acceptance testing

An engraved invitation from Handbook 901

Are we DONE yet?

YES!Any Questions?