# Presentation: 945817

## APD Training Round-Up

**10 Things to Remember **

**Notes:**
We’re hoping that at a minimum, you take away these 10 lessons from the training.  

## 1

## Know the Process

**Notes:**
It is important that you know how the Federal Approval Process works so that you don’t miss any key steps that could jeopardize approval of the project.  

## The Big Picture

**Notes:**
You should by now have a handle on the big picture of what this process is about.  Hopefully, you also have grasped some of the details or know where to find the details.  This is critical to ensuring that Federal Approval of your project is not jeopardized.

## Planning=PAPD

**Notes:**
Planning and submitting the Planning APD is the first step in the Federal process

## What’s in a PAPD

- What do you want to do?
- Why?
- How you’re going to do it?
- How much is it going to cost?

**Notes:**
The PAPD is a very straight-forward document.  10 – 12 pages.  So we’re looking for a short document, but not too short that at a minimum answers these questions:

What do you want to do?

Why?

How you’re going to do it?

How much is it going to cost?

## Design, Development

-  and Implementation =IAPD

**Notes:**
After planning activities are complete, the next step is for you to submit an Implementation APD, that covers Design, Development and Implementation activities.

## What’s in an IAPD?

- Transmittal Letter with Official Signature
- Executive Summary
- Feasibility Study/Alternatives Analysis

- Cost-Benefit Analysis
- Functional Requirements Document
- General Systems Design
- Capacity Planning or Study

**HINT: ****It’s in ****the 901!**

**Notes:**
Electronic submission of all documents!

Scanned version of signed Transmittal Letter
Executive Summary – KISS – high-level overview of the selected alternative, the reasons for the new system or upgrade, how this will be accomplished, by whom, estimated budget, timeline, and funding sources.
Results of the Feasibility Study/Alternatives Analysis (WIC wants the entire study submitted). Alternatives Analysis is mandated for WIC and highly recommended for FSP.

## What’s in an IAPD

- Resource Requirements
- Project Management Plan
- Schedule of Activities, Milestones, and Deliverables
- Proposed Budget

- Cost Allocation Plan
- Security Planning
- Request for Waiver of Depreciation
- Training Plan

**HINT: ****It’s in ****the 901!**

**Notes:**
Cost Allocation Plan – development plans have to be approved by FNS and other Federal funding partners
Security Planning – new system security plan including how this will fit in with existing disaster recovery and business continuity plans.
Request for Waiver of Depreciation - Provides a means for expensing capital expenditures, rather than depreciating them, to financially benefit the Federal Government.  A waiver of depreciation is a written request to change the method of accounting and claiming for the cost of equipment. 
Training Plan – support staff, end users, training methodology, scope, and timetable.

## Submit APDUs and EARs

- as Required

**Notes:**
Remember to submit APDUs and EARs as Required.  

This has been something that can fall through the cracks—particularly for the annual APDUs.  

## Remember the Thresholds 

- for FSP and WIC

**Notes:**
And that the project thresholds trigger the APD requirements.

## PAPD Document Submission Thresholds

|  |  |  |  |
| --- | --- | --- | --- |
| FSP
For All projects >$5 million total project costs | FSP EBT
For all projects requesting FFP for new technology
 | WIC
For all projects requesting Federal  funding
 | WIC EBT
For all projects requesting Federal funding |

**Notes:**
FSP—Remember that any project where total project costs are anticipated to be over $5 million trigger a need for a PAPD.  (Difference for EBT)

Non-competitive acquisitions under $1 million do not require justification for approval.  

WIC—PAPD required for all projects requesting FF and any sole request.

## IAPD Document Submission Thresholds

|  |  |  |  |
| --- | --- | --- | --- |
| FSP
For all projects >$5 million total project costs | FSP EBT
For all projects requesting Federal funding
 | WIC
For all projects requesting  funding
≥ $500,000
total costs | WIC EBT
For all projects requesting Federal funding |

**Notes:**
Emphasize total cost of the whole project, not each phase and not just the federal share.
Cost should include M&O costs until the system is fully operational and accepted by the SA.  For the sake of projecting costs, one year after system is to be fully rolled out.
IAPD’s are needed for development projects, not M&O (without substantial enhancements) or hardware replacement projects (except mainframe replacements). 

FSP=$5million
WIC=greater than $500,000 (APD) but don’t forget that there are regional program requirements for projects under this threshold.

## Slide 14

## Slide 15

**Notes:**
This is a tool you can use to help you navigate through the process.  

## Slide 16

**Notes:**
The On-line Handbook that’s available on our web site has search capabilities that can help answer specific questions you have regarding procedures quickly, so be sure to try that out.  There are also other tools available on the web site that can help you throughout the process so I urge you to check it out.

## 2

## This is a Partnership

**Notes:**
Remember that this is a partnership between the States and the Federal Agencies.  

**Notes:**
We are not Rivals!

## Slide 20

**Notes:**
Partners working hand in hand. 

## Partnerships

- Work closely with FNS on your plans, even before you submit documents.
**Clarify FNS requirements**
**Point out other resources**
**Link you to other States**
- Coordinate within FNS
- Coordinate across Agencies (HHS)

**Notes:**
Key partnerships—

YOU need to Work closely with FNS early.  We may be able to clarify our requirements and point you to available resources and States that have completed projects similar to your own.
WE need to make sure that we coordinate within FNS and across Agencies as necessary so that you hear a consistent message and so that the process works for you – we don’t want it to be a one way process.

The more we communicate on an ongoing basis with the State, the easier document review and approval tends to be.  We usually have less issues for clarification if we are familiar with the project.  

## 3

## Good Planning is Essential

**Notes:**
GOOD PLANNING IS ESSENTIAL--There are countless examples of what results from POOR PLANNING.   

## Slide 24

## Slide 25

## Slide 26

## Slide 27

## Slide 28

**Notes:**
SO—don’t fall into these traps.  Plan, Plan, Plan.  Work you do on the front end will be instrumental to your success in the design and development phase.  

## Retroactive

**Retroactive**

**Approvals**

**Notes:**
Remember to Plan for everything, including what Approvals you need from us.  Poor Planning at any Stage in the process is NOT an excuse for receiving retroactive approval.

## 4

## Have a Realistic Schedule

**Notes:**
SET A REALISTIC SCHEDULE.  Every State thinks they’re different and can accelerate the process—especially in planning.  However, there are often unanticipated hurdles that can slow down the process as well.  The more that is built into the schedule, the better.  

## Planning Phase

- Complete PAPD
- Release Planning RFP (If necessary)
- Getting Contractor on Board

**            ****Year 1:  Initiate Planning**

**Notes:**
Year one focus is to get contractors on board for the effort.

## Planning Phase (Months 12-24)

- Plan the project
- Determine system needs
- Conduct the alternatives analysis
- Choose the best solution for your state
- Write the IAPD

**Year 2:  Carry Out Planning Activities**

- (Year 2)

**Notes:**
And year two is to carry out the planning activities described in your PAPD:

Planning the project
Determining your system needs
Conducting the alternatives analysis
And selecting the best solution for your State
Followed by the writing of the IAPD

## IAPD to Beginning of DDI Activities

- Complete IAPD
- Release Implementation RFP
- Evaluate proposals and select contractor
- Contractor approved by FNS/contract signed by State
- SA begins implementation activities

**Year 3:  Culmination of Planning Activities**

**Notes:**
Then, you’re ready to begin the DDI activities.  Here your talking about 24 – 36 months, depending in large part on the acquisition requirements in your State.  So, consider that in total you are looking at 4 – 5 years from the onset of the project before you will be ready to go to pilot.  

Are there ways to compress some of these timelines—YES. 

Especially for States with procurement options and strategies that expedite contractor selection.  

But keep in mind that for every time you cut some time off of some milestone, there’s probably going to be an unexpected hurdle that delays something else.  Don’t make the schedule so tight that there is no room for error.  

## FNS Timeframes

- 60 DAYS

**Notes:**
Remember your schedule has to build the FNS 60 day turnaround into the calendar.

## 50 States 
x 2 programs (WIC & FSP)
+ states with multiple systems 
+ WIC ITOs & US territories
x ~3-6 docs/project
÷ 4 of us
----------------
60 days

- x 2 programs (WIC & FSP)
- + states with multiple systems
- + WIC ITOs & US territories
- x ~3-6 docs/project
- ÷ 4 of us
- ----------------
- 60 days

## 5

## Project Management is Critical

**Notes:**
PROJECT MANAGEMENT IS CRITICAL

## Project Management Triple Constraints

**Time**
**Cost**
**Scope**

- Manage these or they will manage you!

**Notes:**
three key factors or constraints!

## PLAN

**LEAD**

**COMMUNICATE**

**MANAGE**

**Notes:**
PLAN early and plan well all aspects of the project!

PLAN
LEADCOMMUNCATEMANAGE

You need someone with these trained project management skills at the helm of your project.

## 6

## Power of the RFP

**Notes:**

The RFP (especially the IRFP) is a critical component in the process.  This is your opportunity to get the system you want and the enforcement mechanisms you need to implement a successful project.    

## Garbage In--

**Garbage In--**
**Garbage Out**

**Notes:**
Avoid this Scenario when it comes to your RFP of GIGO.  If you don’t give enough detail, there’s no controlling the result.  If you don’t have performance standards in the RFP, you can’t control the result.  

## Development RFP

- It’s the foundation for your system and relationship with the contractor
**Functional Requirements**
**System Performance Standards AND the Contractor with Associated Penalties**
**Terms and Conditions**

## RFP =

- Getting What YOU Want

**Notes:**
If you don’t do it right – you likely won’t get what you want.  

## DO

Ensure that RFPs contain enough detail to clearly define requirements 

Describe requirements and timeline expectations in specific terms so that contractor has adequate information to develop a responsive bid

- Ensure that RFPs contain enough detail to clearly define requirements
- Describe requirements and timeline expectations in specific terms so that contractor has adequate information to develop a responsive bid

**Notes:**
So, here are a few guidelines ...

#1 Best Practice—BE SPECIFIC in defining the requirements and expectations of the contractor

## 
DO

√ Describe acceptable levels and measures of performance for products and/or deliverables 

- DO
- √ Describe acceptable levels and measures of performance for products and/or deliverables

**Notes:**
#2 BEST PRACTICE—Be specific in describing acceptable levels of performance for products and deliverables and also what the specific penalties will be for unsatisfactory performance.

## 
DO

√ Assign people with enough technical expertise to the evaluation panel 

√ Allow them enough time to really read and score all the proposals

√ Provide them training on how the process works and what the selection criteria mean

- DO
**√ **Assign people with enough technical expertise to the evaluation panel
- √ Allow them enough time to really read and score all the proposals
- √ Provide them training on how the process works and what the selection criteria mean

**Notes:**
FOCUS ON THE EVALUATION—have a sound process in place for evaluating these proposals.  Read Bullets.

## Ownership

**Notes:**
the most important ship in your fleet, your FLAGSHIP, is OWNERSHIP.  You own this project.  You can hire one contractor to help you plan it, another to be your project manager, another to build it for you, another to monitor the quality of the results, and so on. But YOU HAVE TO OWN IT.  Yes, you hire contractors because you don’t have the time, the skills, the staff, the resources, to do all these things yourself. But you can’t turn over the helm of the ship to them.  The State must retain ownership and ultimate control of the project regardless of how many contractors you have at your disposal.  

## 7

## Don't Skimp on Testing

**Notes:**
DON’T SKIMP ON TESTING—

You’re getting near the end, you’re a little behind schedule, if you just cut out that regression testing, you’ll be back on track!

YIKES—DON”T DO IT.  

## Testing

- An extensive system test plan is a _key component_ in planning a successful project.

**Notes:**
An extensive system test plan is a key component in planning a successful project.

## Testing Includes:

- Test the individual pieces
- Test how they fit together
- Conduct End-to-End Testing
- Retest as things change (Regression Testing)
- Make sure Users are involved

**Notes:**
So remember what was reviewed in the “getting to go live session”:

Test the individual pieces
Test how they fit together
Conduct End-to-End Testing
Retest as things change (Regression Testing)
Make sure Users are involved

## IV & V

- Strongly Recommended

**Notes:**
IV & V = Independent Verification and validation NOT roman numeral 4 & 5!

## 8

**Notes:**
#8—We’re in the home stretch now!

## Do a REAL Pilot

**Notes:**
DO A REAL PILOT—Just like in #7 with testing, don’t let the schedule override all other considerations.

## Pilot Test

**   **
**   **The pilot is not just the first phase of rollout; it is the extension of system testing into the real world.

**Notes:**
A pilot should be viewed as a “live” component of the testing process.  

## Pilot Characteristics

- The environment should include as many variables as possible.
- Parallel data processing should run to mitigate risk.
- Pilot schedule should allow _**sufficient**_ time to fully test the system and evaluate pilot prior to a decision to rollout further.

**Notes:**
If you schedule a short pilot (only a couple of months) with no time after words for evaluation, then its not a pilot, it is just the first stage of rollout.  

## 9

## Don't Forget Security 

**Notes:**
Don’t Forget Security—I know we only touched on this, but that doesn’t mean that its not a critical part of your system, especially in today’s environment.

**Notes:**
When it comes to security—No news is good news.  You need to protect against breaches upfront:
State agencies must have an Information Systems Security Program to implement and maintain safeguards to protect against deliberate or inadvertent acts.

## State’s Security Plans Must Address:

**Data integrity**
**Systems reliability**
**Regulatory compliance**
**Continuity of operations**
**Security incident reporting procedures**
**Ongoing monitoring of security effectiveness**

**Notes:**
The goals that FNS expects State system security plans to meet are likely to be the same as those which States would want to have in place:
Maintain the integrity of your data
Ensure the reliability of your system
Comply with regulatory requirements
Maintain continuity of operations
Establish procedures for reporting security incidents, and 
Monitor the effectiveness of the system’s security on an ongoing basis.

## Security Reviews and Reporting 

- 	**Review **_**no less**_** frequently than biennially **
**	****	****	****	****(every 2 years)**

**HINT: ****It’s in ****the 901!**

**Notes:**
States must conduct an Information System Security Review at least biennially and provide a written summary of their findings to FNS and other Federal partners upon request.

√ Risks identified?
			√ Sufficient controls & security 					measures in place?
			   √ Is operation cost-effective?
			  √ Is Information managed properly?
	 √ System complies with standards?
	 √ Corrective Action Plan (as needed)	

You’ll need an Independent Audit of System Security—need high level of expertise to be up to date on the potential breaches and fixes that need to be in place.

## FNS may review plans, but we don’t certify the security of the system. 

- FNS may review plans, but we _**don’t certify **_the security of the system.

**Notes:**
FNS may review plans, but we don’t certify the security of the system.  We’re not equipped to do that.

## 10

## Have Contingencies in Place

**Notes:**
HAVE CONTINGENCIES IN PLACE.  Hope for the best, plan for the worst.  This applies throughout the system development lifecycle AND in ongoing operations.  You must have specific contingency plans in the event that something un-forseen occurs.  Scenarios include--   

## Slide 67

**Notes:**
System testing failures
System Failure in an ongoing environment
Back up plans for natural disasters or in the event of a terrorist attack.

## Slide 68

**Notes:**
Turn to us for Help on all of these topics.  If we don’t know the answer, we can point you in the right direction.

## Questions?

*Questions?*