Apd Overview Training

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Apd Overview Training

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Apd Overview Training

  1. 1. Advance Planning Document Process Overview Class presented by DHS/OIS/PMO http://egov.oregon.gov/DHS/admin/pmo/
  2. 2. Overview Class <ul><li>This presentation describes basic components of the Advanced Planning Document (APD) process. </li></ul><ul><ul><li>High level look at process </li></ul></ul><ul><ul><li>Introduction to process </li></ul></ul><ul><li>Other detailed classes </li></ul><ul><ul><li>Using APD Templates </li></ul></ul><ul><ul><li>Agency specific </li></ul></ul>
  3. 3. Purpose of an APD <ul><li>Federal funding for development and implementation of information systems. </li></ul><ul><li>Systems that support programs under Departments of Health and Human Services and Agriculture. </li></ul><ul><li>APD process jointly created by three Federal agencies. </li></ul>
  4. 4. APD Funded Systems <ul><li>Department of Health and Human Services (DHHS) </li></ul><ul><ul><li>Administration for Children and Families (ACF) </li></ul></ul><ul><ul><li>Centers for Medicare & Medicaid Services (CMS) </li></ul></ul><ul><li>Department of Agriculture (DOA) </li></ul><ul><ul><li>Food and Nutrition Services (FNS) </li></ul></ul>
  5. 5. APD Primary Objectives <ul><li>Describe and seek approval of the DHS plan. </li></ul><ul><li>Establish system and program performance goals. </li></ul><ul><li>Secure approval for Federal Financial Participation (FFP). </li></ul><ul><li>Ask for approval. </li></ul>
  6. 6. Advance Planning Document Process Components <ul><li>Preconditions to APD </li></ul><ul><li>APD Types </li></ul><ul><ul><li>Planning APD </li></ul></ul><ul><ul><li>Implementation APD </li></ul></ul><ul><ul><li>APD Updates (APDU) </li></ul></ul><ul><li>Process Controls </li></ul><ul><li>APD Close </li></ul>
  7. 7. APD Preconditions <ul><li>Events and activities that typically take place prior to development of an APD. </li></ul>
  8. 8. APD Preconditions <ul><li>DHS determines there is a need. </li></ul><ul><ul><li>New system </li></ul></ul><ul><ul><li>Change to existing system </li></ul></ul><ul><li>Where does the request come from? </li></ul><ul><ul><li>Business request </li></ul></ul><ul><ul><li>Legislative mandate </li></ul></ul><ul><ul><li>Federal mandate </li></ul></ul>
  9. 9. APD Preconditions <ul><li>Determine possibility of Federal funding. </li></ul><ul><li>Designated Contact Managers </li></ul><ul><ul><li>Hussain Razzaki – CMS </li></ul></ul><ul><ul><li>Julie Mallord – ACF & FNS </li></ul></ul><ul><li>Decision to establish a project and develop an APD. </li></ul>
  10. 10. APD Preconditions <ul><li>Project is initiated using standard PMO Initiation Process. </li></ul><ul><li>Project Document Library is created. </li></ul><ul><ul><li>Historical record of correspondence. </li></ul></ul><ul><ul><li>Provides an audit trail. </li></ul></ul><ul><ul><li>Includes an APD Revision Log containing updates and amendments. </li></ul></ul>
  11. 11. Project Document Library
  12. 12. APD Preconditions <ul><li>Project Planning Process </li></ul><ul><li>Project Plan </li></ul><ul><ul><li>Supports development of APD </li></ul></ul><ul><ul><li>Guides project execution </li></ul></ul><ul><li>Communication Plan </li></ul><ul><ul><li>Establish communication links </li></ul></ul><ul><ul><li>Keep stakeholders informed </li></ul></ul>
  13. 13. APD Preconditions <ul><li>Pre-APD review of the Plan </li></ul><ul><li>Draft presentation </li></ul><ul><ul><ul><li>Internal stakeholders </li></ul></ul></ul><ul><ul><ul><li>Federal representative </li></ul></ul></ul><ul><li>Formal presentation </li></ul><ul><ul><li>Federal representative </li></ul></ul><ul><li>Feedback used in preparing APD </li></ul>
  14. 14. APD Preconditions
  15. 15. APD Types <ul><li>There are 3 types of APDs </li></ul><ul><ul><li>Planning APD (PAPD) </li></ul></ul><ul><ul><li>Implementation APD (IAPD) </li></ul></ul><ul><ul><li>APD Update (APDU) </li></ul></ul><ul><li>Similar requirements, but used for different purposes. </li></ul>
  16. 16. Planning APD (PAPD) <ul><li>Approval for planning costs </li></ul><ul><li>Written plan of action </li></ul><ul><ul><li>Need </li></ul></ul><ul><ul><li>Feasibility </li></ul></ul><ul><ul><li>Costs and Benefits </li></ul></ul><ul><li>High-level management statement </li></ul>
  17. 17. Planning APD (PAPD) <ul><li>Brief document – normally 6-10 pages. </li></ul><ul><li>Focus is describing how planning will be done. </li></ul><ul><li>It’s a plan to plan. </li></ul><ul><li>Project Plan used to develop APD </li></ul>
  18. 18. Planning APD (PAPD) <ul><li>Statement of Need Section </li></ul><ul><ul><li>Describe vision (scope & objectives) </li></ul></ul><ul><ul><li>Define problems and needs </li></ul></ul><ul><li>Project Management Plan Section </li></ul><ul><ul><li>Describe project organization </li></ul></ul><ul><ul><li>Describe activities/milestones </li></ul></ul>
  19. 19. Planning APD (PAPD) <ul><li>There are 4 key deliverables </li></ul><ul><ul><li>Requirements Analysis </li></ul></ul><ul><ul><li>Feasibility Study </li></ul></ul><ul><ul><li>Alternatives Analysis </li></ul></ul><ul><ul><li>Cost Benefits Analysis (CBA) </li></ul></ul>
  20. 20. Planning APD PAPD) <ul><li>Budget Section </li></ul><ul><ul><li>Describe Budget and Cost Allocation for Planning. </li></ul></ul><ul><ul><li>PMO Estimating Tools. </li></ul></ul><ul><ul><li>Describe resource needs for Personal Services and Services & Supplies. </li></ul></ul><ul><ul><ul><li>Contracting, Staff costs, Hardware & software, Space, Supplies, Other … </li></ul></ul></ul><ul><li>Project Cost Section </li></ul><ul><ul><li>Provide gross estimate of total project costs. </li></ul></ul><ul><ul><li>Explain formulas used. </li></ul></ul>
  21. 21. PAPD Summary <ul><li>Brief document </li></ul><ul><li>4 Major Deliverables </li></ul><ul><ul><li>Requirements Analysis </li></ul></ul><ul><ul><li>Feasibility Study </li></ul></ul><ul><ul><li>Alternatives Analysis </li></ul></ul><ul><ul><li>Cost/Benefits Analysis </li></ul></ul><ul><li>Show the Feds a clear plan to plan. </li></ul>
  22. 22. Implementation APD (IAPD) <ul><li>Used to get approval and Federal share of implementation costs. </li></ul><ul><li>Provide Feds our written plan of action </li></ul><ul><ul><li>Design, development and implement a system. </li></ul></ul><ul><ul><li>Implementation of a Transfer system. </li></ul></ul>
  23. 23. Implementation APD (IAPD) <ul><li>IAPD is comprehensive and thorough. </li></ul><ul><li>Level of detail is commensurate with complexity. </li></ul><ul><li>Project Manager is responsible for discussing with Feds the level of detail needed. </li></ul>
  24. 24. Implementation APD (IAPD) <ul><li>Statement of Needs and Objectives Section </li></ul><ul><ul><li>Summarize needs, objectives, and anticipated benefits. </li></ul></ul><ul><li>Summary of Planning Section </li></ul><ul><ul><li>Summarize results of requirements analysis, feasibility study, and alternatives analysis. </li></ul></ul><ul><ul><li>Do not include copies of documents. </li></ul></ul>
  25. 25. Implementation APD (IAPD) <ul><li>Cost/Benefits analysis (CBA) Section </li></ul><ul><ul><li>Summarize results of CBA. </li></ul></ul><ul><ul><li>Do include a dated copy of CBA. </li></ul></ul><ul><li>Project Management Plan Section </li></ul><ul><ul><li>Summary of PMO Project Plan </li></ul></ul><ul><ul><li>Describe project activities, deliverables, products, project organization, and resource needs. </li></ul></ul><ul><li>Proposed Budget & Cost Allocation Sections </li></ul>
  26. 26. IAPD Summary <ul><li>Comprehensive detailed plan for designing, developing, and implementing the system. </li></ul><ul><li>Results from the Planning deliverables are used to create the Implementation Plan. </li></ul>
  27. 27. APD Update (APDU) <ul><li>The Feds require APD Updates but vary on requirements. </li></ul><ul><li>Two types of APD Updates </li></ul><ul><ul><li>Annual APDU provides project status updates, requests continued project funding, and reports post-implementation costs and benefits. </li></ul></ul><ul><ul><li>As-Needed APDU is used to report significant changes to the project approach, procurement, methodology, schedule, or costs. </li></ul></ul>
  28. 28. Annual APDU <ul><li>Submitted 60 days prior to APD anniversary. </li></ul><ul><li>Project status report on major tasks and milestones. </li></ul><ul><ul><li>Activity schedule with estimated completion dates. </li></ul></ul><ul><ul><li>Expenditure status of costs incurred. </li></ul></ul><ul><ul><li>Updated cost/benefit analysis report. </li></ul></ul><ul><ul><li>Updated budget </li></ul></ul><ul><ul><li>Anticipated changes including requests for additional Federal funding. </li></ul></ul>
  29. 29. As-Needed APDU <ul><li>Required to report significant changes to schedule or costs. </li></ul><ul><ul><li>Revised schedule and/or budget to show the change in schedule or cost. </li></ul></ul><ul><ul><li>Supporting documentation to justify the need for changing a previously approved project schedule or cost. </li></ul></ul><ul><ul><li>Follows format of original APD. </li></ul></ul><ul><ul><li>Requirements vary per project. </li></ul></ul>
  30. 30. APD Approval Process <ul><li>Draft Approval </li></ul><ul><ul><li>Receives verbal approval. </li></ul></ul><ul><li>Formal Approval </li></ul><ul><ul><li>Receives signature approval. </li></ul></ul>
  31. 31. Draft Approval <ul><li>Internal Review & Feedback </li></ul><ul><ul><li>Steering Committee </li></ul></ul><ul><ul><li>OIS Executive Team </li></ul></ul><ul><ul><li>Key Stakeholders </li></ul></ul><ul><li>Federal Review & Feedback </li></ul><ul><ul><li>Document any revisions. </li></ul></ul><ul><ul><li>Submit Revised draft APD to Regional representative. </li></ul></ul>
  32. 32. Formal Approval Package <ul><li>Enhanced Federal Participation Request package (APD Package) </li></ul><ul><ul><li>Cover letter </li></ul></ul><ul><ul><ul><li>Written by program authority or project manager. </li></ul></ul></ul><ul><ul><li>APD </li></ul></ul><ul><ul><li>Signature sheets </li></ul></ul><ul><ul><li>Other dated attachments </li></ul></ul><ul><ul><li>ACF requires an Executive Summary. </li></ul></ul>
  33. 33. Formal Approval Package <ul><li>DHS Approval of APD Package </li></ul><ul><ul><li>CMS requires Program Administrator and Director signatures. </li></ul></ul><ul><ul><li>ACF only requires Program Administrator signatures. </li></ul></ul><ul><li>Federal Approval of APD Package </li></ul><ul><ul><li>FedEx package with signed documents and CD with documents. </li></ul></ul><ul><ul><li>Also email documents. </li></ul></ul>
  34. 34. Federal Approval <ul><li>Feds have 60 days to review </li></ul><ul><ul><li>Approve </li></ul></ul><ul><ul><li>Disapprove </li></ul></ul><ul><ul><li>Grant conditional approval </li></ul></ul><ul><ul><li>Ask for more information </li></ul></ul><ul><ul><ul><li>60 days starts over with requests for more information. </li></ul></ul></ul><ul><li>Provisional Approval occurs after 60 days with no response from Feds. </li></ul><ul><ul><li>DHS could proceed at its own risk. </li></ul></ul>
  35. 35. Contracting <ul><li>Written prior approval is required before releasing RFP, before executing contracts and contract amendments that exceed threshholds for dollar value and time. </li></ul><ul><ul><li>Federal agency approval </li></ul></ul><ul><ul><li>Department of Justice (DOJ) and Department of Administrative Services (DAS) approval </li></ul></ul>
  36. 36. Contracting <ul><li>Office of Contracts and Procurement (OCP) </li></ul><ul><ul><li>Contract Process information on web site </li></ul></ul><ul><ul><li>http://www.dhs.state.or.us/admin/contracts/ </li></ul></ul>
  37. 37. Detailed Implementation Schedule (DIS) <ul><li>Feds require a DIS at same time as APD and it requires prior approval. </li></ul><ul><li>Identifies allocated costs for design and development. </li></ul><ul><ul><li>Schedule and Deliverables </li></ul></ul><ul><ul><li>Resource Requirements </li></ul></ul><ul><ul><li>Reporting Requirements </li></ul></ul><ul><ul><li>Estimated costs </li></ul></ul>
  38. 38. Reporting <ul><li>Degree of reporting is at the discretion of the Federal approving authority. </li></ul><ul><ul><li>Annual APDU </li></ul></ul><ul><ul><li>Monthly status report </li></ul></ul><ul><li>Project Manager is also responsible for internal reporting. </li></ul><ul><li>Reports are augmented by onsite visits. </li></ul>
  39. 39. Summary <ul><li>Purpose of an APD is to get Federal funding for the development and implementation of information systems. </li></ul><ul><li>APD process components </li></ul><ul><ul><li>Preconditions </li></ul></ul><ul><ul><li>APD types (Planning, Implementation, APDU) </li></ul></ul><ul><ul><li>Approval Process </li></ul></ul><ul><ul><li>Contracting </li></ul></ul><ul><ul><li>DIS </li></ul></ul><ul><ul><li>Reports </li></ul></ul>
  40. 40. Conclusion <ul><li>PMO consulting support </li></ul><ul><li>Documents on PMO web site: </li></ul><ul><li>www.dhs.state.or.us/admin/ois/pmo </li></ul><ul><li>Upcoming Classes </li></ul><ul><ul><li>APD Overview </li></ul></ul><ul><ul><li>Planning APD </li></ul></ul><ul><ul><li>Implementation APD </li></ul></ul><ul><ul><li>APDU </li></ul></ul><ul><ul><li> www.dhs.state.or.us/training/index.html </li></ul></ul>

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