# Presentation: 869443

## The Implementation Advance Planning Document

**Notes:**
Hi!  I’m Kathy!  Does anyone remember one of the things I really love from the opening presentation? Throw candy to first correct guess!

This session starts today and concludes tomorrow morning.  We’re going to go through part of the unit today and then we will wrap it up tomorrow a.m.  This is pretty intense stuff so please pay attention and ask questions as we go!

Welcome to my world...
Why is it called an Implementation APD you may ask.  Because the ultimate goal of this phase of the process is to be implement your new system or enhancements.  If you’re familiar with the System Development Life Cycle you know there are three major pieces to the cycle – Planning, Development and Implementation, and Maintenance/Operations.  The IAPD covers all the phases and activities that occur after planning and before M&O – design, development, testing, training, implementation.  So the major objective is to successfully implement a new system or enhancement, thus it is an Implementation APD.

## IAPD Learning Objectives

**IAPD Learning Objectives**

**Purpose**
**Stakeholder responsibilities, timeframes, and funding thresholds for submissions**
**Required components**
**Identify tools and how to create a budget**
**Feasibility Study/Alternatives Analysis**
**When APD Updates are needed**
**FNS review criteria and processing steps**

**Notes:**
Here are our learning objectives for this session.  (Read list of objectives.)

## Purpose 

**Purpose **

**Requests prior approval and use of Federal funds to carry out the proposed project**
**Specifies automation design, development and implementation activities, including acquisitions**

**Notes:**
IAPD is the formal process and set of documents State agencies use to obtain Federal approval and funding of IS projects in support of FNS programs.

State agencies must ensure that all required components of the IAPD are well written and meet all review criteria.

States must not underestimate the time it takes = up to 60 days – to receive FNS approval of the IAPD

Incomplete or poorly written IAPDs will not be approved and will result in funding delays while clarification or additional information is obtained – and may result in disapproval.

## An IAPD tells us:

**An IAPD tells us:**

**Who you are **
**What it is you want to automate and what benefit it is to FNS**
**Why you want to automate it**
**When you want to do this**
**How you want to accomplish it**
**How much it will cost**
**Who pays for it**

**Notes:**
DON’T READ SLIDE!!!

Who is/are the State agency(ies) requesting funding or involved in the new system effort?

What programs are involved and how will this benefit FNS programs?

What are the reasons for automating – old system, new Federal requirements, new technology?

What is your timeframe for accomplishing development and implementation?

Do you want to upgrade your current system, incorporate enhancements, transfer from another State, or develop from the ground up?

Budget estimate by FFY and quarter

Cost allocation, if applicable.

So you can remember this as WHO, WHAT, WHY, WHEN, HOW, HOW MUCH, and WHO PAYS

## As the Culmination of the Planning Process, the IAPD:

**As the Culmination of the Planning Process, the IAPD:**

**Provides results of the analysis and feasibility of various automation alternatives**
**Describes the proposed automation project**
**Provides the initial management plan for acquiring, developing, testing, and implementing the selected alternative**

**Notes:**
IAPD reflects the results of the planning process
        – the results of the feasibility study/alternatives analysis
        – focusing upon the selected alternative.
Reflects the initial design and description of the project the SA wants to undertake.

IAPD is a living document – it provides an initial plan for development, testing, and implementing the new system and gets updated as the project progresses through the APDU process.

IAPD includes request for FNS approval of the project and for FNS funding of the project.    Must address whether the effort will be conducted in-house or contracted,   major impacts on existing software and hardware, and 
  how the proposed upgrade or enhancement will be integrated into the existing operating environment (data conversion, testing, training).

After FNS approves, you (the State) will begin the implementation tasks necessary to produce and implement a successful system that meets your requirements and objectives

IAPD may also be submitted for major enhancements/upgrade to systems in the M&O phase.  Will discuss M&O requirements later in this session.

## IAPD Submission Thresholds

**IAPD Submission Thresholds**

| 
Stakeholder | Program/Funding Source |  |
| --- | --- | --- |
|  | FSP  | WIC |
| State agency prepares and submits IAPD 60 days before project initiation

FNS reviews and approves 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

**Notes:**
USE LASER POINTER

This slide is a good summary of when you need to submit documents for FNS review.  (Read the competitive thresholds.)

Sticky tab this table in your Handbook for future reference!  Chapter 2, Figure 2-8!

WIC needs to remember that they have prior approval thresholds for grant funding that are lower than the IAPD thresholds.  WIC may need to submit some of these items to FNS for prior approval depending upon the budget.

## REMEMBER:  

**REMEMBER:  **

- Costs that otherwise might be approvable, may be disallowed if you do not obtain prior approval of your IAPD from FNS.

## Slide 8

| IAPD Documentation Requirements by Program |  |  |  |
| --- | --- | --- | --- |
| Documents | FSP | WIC | WIC SAM |
| Transmittal Letter with Official Signature | X | X | X[1] |
| Executive Summary | X | X | X |
| Feasibility Study/Alternatives Analysis | X | X | N/A[2] |
| Cost-Benefit Analysis | X | X | N/A |
| Functional Requirements Documents | X | X | X |
| General Systems Design | X | X | N/A[3] |
| Capacity Planning or Study | X | X | X |
| Project Management Plan | X | X | X |
| Resource Requirements |  |  |  |
| Schedule of  Planning Activities, Milestones, and Deliverables | X | X | X |
| Proposed Budget | X | X | X |
| Cost Allocation Plan | X | X[4] | X[5] |
| Security Planning | X | X | X |
| Request for Waiver of Depreciation | X | X | X |
| Training Plan | X | X | X |

**Notes:**
Can anyone name the components of an IAPD??  - NO DON’T TRY TO READ THESE! There are 15 of them!

(Encourage participants to refer this Chart from Chapter 2 of the Handbook to ensure they include all applicable elements in the IAPD.
See Handout from APD Tour session!)

These components can be sections or paragraphs or attachments – whatever works best for you! 

We really are a “GREEN” team – reduce, reuse, and recycle – so...

Remember you can reuse materials already prepared for State approval as long as they provide the information required.

Remember we want electronic submission of all documents!  One to the State Systems Unit Chief (Lizbeth) and one to the Regional Administrator of their designee. Copy SSU rep!

I am going to go quickly through all of them and then come back later in the presentation on the components that tend to give people the most problems. 

## Components of an IAPD

- Transmittal Letter with Official Signature
- Executive Summary
- Functional Requirements Document

**Notes:**
(CLICK)
Scanned version of signed Transmittal Letter with an original signature.
(CLICK)		
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.	
(CLICK)
Functional Requirements Document – requirements of State and Federal agency(ies) and highly desirable functionality the system must contain.  

## Components of an IAPD

- Feasibility Study/Alternatives Analysis
- Cost-Benefit Analysis
- 6.   General Systems Design
- 7.   Capacity Planning or Study

**Notes:**
(CLICK)
Results of the Feasibility Study/Alternatives Analysis (Remember WIC wants the entire study submitted before the IAPD). Alternatives Analysis is mandated.
(CLICK)
Cost-Benefit Analysis is used to estimate the costs and benefits that might be incurred for each of the recommended system(s).
(CLICK)
GSD – what the system architecture and platform will be.
(CLICK)
Capacity Planning or Study – defines how current infrastructure will meet the needs of the new system or what upgrade may be required to support the new, improved system. 

## Components of an IAPD

- Project Management Plan
- 9.   Resource Requirements
- 10.  Schedule of Activities, Milestones, & Deliverables
- 11.  Proposed Budget

**Notes:**
(CLICK)
Project Management Plan – How you’re going to run the project
(CLICK)
Resource Requirements – includes people and items, State and contracted staff, their costs, facilities, use of existing hardware and software
(CLICK)
Schedule 
(CLICK)
Proposed Budget by FFY and Quarter

## Components of an IAPD

- 12.  Cost Allocation Plan
- 13.  Security Planning
- 14.  Request for Waiver of Depreciation
- 15.  Training Plan

**Notes:**
(CLICK)
Cost Allocation Plan – development plans have to be approved by FNS and other Federal funding partners
(CLICK)
Security Planning – new system security plan including how this will fit in with existing disaster recovery and business continuity plans.
(CLICK)
Request for Waiver of Depreciation 
(CLICK)
Training Plan or overview

## FNS Timeframes

- 60 DAYS

**Notes:**
REMEMBER!
For any procurement, you need to build 60 days into your timeline for the review of any FNS-required document.  
If you submit an implementation document that assumes shorter review times, that’s one of the first things that we’ll probably ask you to revise in your timeline.  
We try to beat our own deadline whenever possible, but... 

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

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

**Notes:**
If you do the math, we often need the 60 days.  Just plan on it.  We are held accountable for that.

## Components of the IAPD

**Notes:**
Now we’re going to focus on the components of the IAPD in a little more detail.

## Transmittal Letter

**Transmittal Letter**

**Letter signed by a State official with authority to commit State resources **
**Demonstrates you have executive involvement and backing**

**#1**

**Notes:**
Remember we really want to get electronic submissions!

You can scan in the letter with the original signature and submit it electronically also.

## Executive Summary

**Executive Summary**

**Describes business need at a high-level **
**Identifies the stakeholders**
**Summarizes advantages, challenges and shortcomings the proposed system will address**
**Identifies resources required**
**States the technical, financial, and program impacts of the project**

**#2**

**Notes:**
Remember this is a high-level overview – summarize and keep it fairly simple.  The detail will be in the other components!

This summarizes the other components of the IAPD – remember the business case comes from the Feasibility Study you completed during Planning.  The Executive Summary is a document that is easy for us to refer to – it is shareable with others, especially senior managers, who want a quick overview of the project.  

## Slide 18

**Notes:**
We’ve all probably seen this cartoon – 
How the Customer explained it! 
The different iterations and interpretations followed by
What the customer really needed! 

CLICK FLY
but it shows just how important your functional requirements are!

## Functional Requirements Document

**Functional Requirements Document**

**Comprehensive description of functions to be included in the system**
- Federal FSP requirements defined in ADP/CIS Model Plan (7 CFR 272.10)
- Federal WIC mandatory and optional requirements are available in WIC FReD

**#3**

**Notes:**
ADDRESS SLIDE FIRST

Remember you developed the FRD during the planning phase!

A comprehensive description of the functions that will be included in the system. 

It serves as the touchstone for conducting the alternatives analysis.  Once you’ve determined all the functions that a system must do for you, you compare all of your system options – your alternatives- to that list, to find out which alternative can best meet your needs.  MUCH MORE ON THAT LATER!

It appears again in the RFP and serves as guide to vendors on the scope and complexity of what you want.

Then it goes on to provide guidance to program and IT staff in the development of the system.  

It may be used many more times during the project but we had three defined points where the FRD is an important document that you will need to use to design and develop the best system for your needs.

## Requirements Definition

**Requirements Definition**

| Functional: The “Whats” | Technical: The “Hows” |
| --- | --- |
|  Non-technical |  Detailed components |
|  Plain English |  Particular technology |
|  What it is and does |  Performance specifications |
|  Features and capabilities |  Project team-oriented |
|  Customer-oriented |  |

**#3**

**Notes:**

Functional requirements specify what the customer, YOU, need the system to DO.

Don’t confuse it with Technical requirements.  That’s what the project development team has to come up with to meet the functional requirements.

You want your developer to be innovative and offer you the “how”!  They are the experts on “how”.

## Good Requirements are:

**Good Requirements are:**

- Complete
- Valid
- Clear
- Consistent
- Feasible
- Testable
- Traceable

**#3**

**Notes:**

ASK THE GROUP TO DEFINE THE CHARACTERISTICS OF GOOD REQUIREMENTS!!!
(CLICK)

Complete
Valid – based on legitimate business needs
Clear - Unambiguous and precisely written 
Consistent
Feasible – something that can be implemented,  EBT is feasible.  For WIC, the question still remains is it viable.
Testable –
Traceable – it can be linked to a source, such as a Federal requirement

TIP!!  A best practice is to development a requirements traceability matrix once you’ve finalized your requirements.  This will be helpful in design and development as you make decisions about the functional requirement.  You can trace the history of the requirement, why changes or design decisions were made, and how you arrive at your end product!  This can be as simple as creating a small database or spreadsheet or there are requirements management tools on the market. (DOORS, FeaturePlan, RTM Workshop, Tracer (free))

## Feasibility Study

- and
- Alternatives Analysis

**#4**

**Notes:**
The next two  components we’re going to talk about go hand in hand – you really can’t do one without the other.  These are #4 Feasibility Study that has to include an Alternatives Analysis and #5 the Cost Benefit Analysis.    

Now we’re going to spend a bit of time discussing the Feasibility Study and Alternatives Analysis.

#4 – Feasibility Study which includes an alternatives analysis!  

This is all about making the right choice for you!  Performing your due diligence and making a viable case for your alternative!

How many of you have every done this?

What is a Feasibility Study -  You may ask

## Feasibility Study

**Feasibility Study**

**Determines whether the project being considered is technically, financially, and operationally viable**** **
**Is directly linked to the Functional Requirements Document (FRD), the baseline against which various approaches are assessed**** **
**Must include an alternatives analysis**

**#4**

**Notes:**
(Read slide) (CLICK) (CLICK) (CLICK)
Rarely do you have to justify the feasibility of the technology being determined –
instead the focus of most Feasibility Studies is on the feasibility of the business case and selecting the most viable alternative for system improvement.

A complete feasibility study always should have an alternatives analysis. 
If the technology and platform are known, viable entities, the major focus of the alternatives analysis is determining the best approach for the State agency to achieve its goals. 

The outcome of the alternatives analysis tells you what alternative is the most feasible!

## Alternatives AnalysisWhat’s the Point?

**Alternatives Analysis****What’s the Point?**

**Demonstrates which alternative is the “best fit”**
*Technically*
*Financially*
*Operationally *

**#4**

**Notes:**
What’s the point?  Why do this?  (Read slide)
Choose your alternatives carefully! Look at logical alternatives for a new system –such as:  upgrade your existing system, transfer system A, transfer system B, transfer “best of breed” from existing systems, ground-up build

The analysis will demonstrate which system is the “best fit” for your particular circumstances.  Note that “best fit” doesn’t always mean “cheapest”!

States should be able to answer the question “Is it feasible to build THIS new system, in MY state, under MY circumstances, with MY budget, at THIS time?”

## Alternatives AnalysisWhat are “Alternatives?”

**Alternatives Analysis****What are “Alternatives?”**

- Alternatives may include:
- Upgrading or enhancing the existing State system
- Transferring a system or components from another State (SAM for WIC)
- Developing a new system from the ground up

**#4**

**Notes:**
State agency must perform an analysis of alternatives for hardware, software, and program functionality to determine the type of system that best meets its needs. 

FNS recommends you use three alternatives  which may be the ones listed on this slide.
WIC must consider a SAM system transfer with as little change in functionality as possible. 
FSP must consider a transfer of another state system.  
Though WIC hopes SAM will fit the needs of most States, we are aware there will be exceptions. 
FSP does not mandate a system transfer.

Transfer of another State system may be the entire system or components (best of breed).  

Gap analysis is very helpful to determine missing or weak functionality in any systems being considered. This also goes for technical requirements of the system.  We’ll talk about this in detail in a moment.

FNS may assist State agencies in determining which other States have systems that should be considered as possible transfers.

State agencies need to analyze obstacles to the transfer of modification of an existing system.

Compare the costs of overcoming the problem(s) in transferring an operational system to the costs of developing a new system.

Pay attention to what the cumulative cost of “tweaking” a transfer system may be.  States sometimes start with a transfer when they really want ground up build. We heard at this at the 2008 ISM Conference from industry experts that tranfers, in most cases, end up costing the same if not more than an original build or the original cost of the transfer!

## Alternatives Analysis 

**Alternatives Analysis**** **

-    **The number of alternatives is driven by the State agency as long as the same analysis and methodology are applied to each alternative**

**#4**

**Notes:**
KEY POINT!! (read slide)
Yes – FNS recommends three and WIC mandates that SAM be one of these, but a State agency may do as many as it wants as long as it applies the same methodology to all.

Now – we need to talk about how to do an alternatives analysis.  

First  we’re going to focus on how NOT to do it.  (NEXT SLIDE)

## Alternatives AnalysisHow not to do it!

**Alternatives Analysis****How **_**not**_** to do it!**

- Back into the alternatives analysis
- Provide a detailed justification of why you need a new system...again
- Provide beautiful marketing materials about the alternative you want

**#3**

**Notes:**
(CLICK)  READ SLIDE 
You see great new system at a conference and decided that’s what you want.  You then back into this being your best alternative by dismissing everything else!

(CLICK)  READ SLIDE
You’ve already provided a detailed justification, so don’t do it again! 
AND, don’t follow your detailed justification with a glowing detailed description of the alternative you want....ignoring or doing little analysis of others

(CLICK)  READ SLIDE
Don’t use the glossy marketing packages as your source of information for an alternative or send it to us as your source and please don’t send them to us!  Do your homework! 

## Alternatives AnalysisHow to do it?

**Alternatives Analysis****How to do it?**

- Perform a gap analysis of program functional and technical requirements
- Analyze how many changes would be needed for each alternative to meet your needs
- Define your goal to meet your needs for a more efficient process

**#3**

**Notes:**
Each alternative needs to have a gap analysis performed to compare its existing functionality with the State’s required functionality.  This will determine the extent of modifications or enhancements the alternative may need.
Also need to do this for technical – does it meet State standards, can you support it, can you convert it?

Alternatives must include the analysis of technical and programmatic merits of possible system transfers 

Will you be able to use existing equipment or will you need to purchase new PCs and/or servers?  What about your communications infrastructure?  Will it support the alternative?

ARE THERE TRADE-OFFS THAT CAN BE MADE BETWEEN TECHNOLOGY AND YOUR BUSINESS PROCESSES?  If you change your business process, will it minimize the potential changes to a system?

This is about (READ BULLET #3).  Sometimes technology isn’t the total solution.  You may need and want to change your business processes – gain efficiencies there as well as with new system.

## Gap Analysis

**Notes:**
Gap analysis is VERY important – need to perform this for both the technical and functional side.  Both are important. Make sure you know what lies under the surface!

 When analyzing several systems you want to make sure that what you see is what you are going to get – look behind the screens, under the hood, and don’t forget to check the frame and suspension!  Know what you are getting!

## Slide 30

**Notes:**
WE DO THIS EVERY DAY IN OUR OWN LIVES!  How about when you want to buy a TV – plasma or LCD? How big a screen?
Or a cell phone – do you want a flip phone, a slider with a full keyboard because you love to text, or do you need the MP3 player with lots of memory for your music. 

A really big ticket is shopping for a car.  I like the red one – yes, the convertible.  But it may be just a 4 cylinder that pokes along or be a big V-8 with twin carbs that sucks up premium gas!  So investigate, take it for a test drive and look at how it’s built and what makes it run!

Sometimes we do this unconsciously but we are always doing it.

Demonstrate GAP with hands!

How many of you use Consumer Reports or something similar?  Well that is a great example of an alternatives analysis and it includes a gap analysis!!

##    Alternatives must include the analysis of technical and programmatic merits of possible system transfers.

   Functional gap analysis is imperative in identifying changes to a potential system.

-    Alternatives must include the analysis of technical and programmatic merits of possible system transfers.
-    Functional gap analysis is imperative in identifying changes to a potential system.

**Functional Gap Analysis**

**#4**

**Notes:**
We really can’t stress the functional gap analysis enough – especially when we are looking to reduce costs of systems by minimizing the number changes or customization that has to occur to a transfer system!  This can dictate the best fit for your State, your budget, and your schedule!

In many cases, the most cost-effective alternative is a transfer with minimal changes. The software/code modifications is where the big costs are in development!  This is why we rarely see a complete ground-up build.  Under-estimating the amount of work and/or the number of changes needed to make a transfer system fit the State’s needs is one of the major reasons why system transfers have floundered in the past!

When you perform your gap analysis of functionality include your subject matter experts in the discussions and review.  Use your FRD! Make a list of mandatory – absolute – functionality that you can’t live without.  Does it exist in the alternative?  Are you willing to pay to have it developed?  Make sure you include Federal and State requirements on this list.  Don’t cut corners on this list but be realistic about what is mandatory!

Make a list of “nice to have” functionality that may be used as trade-offs when it comes to selecting a best fit alternative.  Or they become your enhancement list.

## Slide 32

**Notes:**
TALK ABOUT USING A MATRIX!  Having the visual chart showing the gaps and matches! Demonstrate the GAP with hands again!

The cost to make cosmetic changes to a system – changing the name of the State or data labels on a screen – is usually minimal.  The cost to add entire components or functions means big bucks to the developer – design sessions, writing new code, and integrating with the existing system.  

If you keep modifications to a minimal, the cost of the design and development should be less.

Will the alternative have a big impact upon current business processes?  If so, is this a good thing or is it a “bad fit”?

Will data conversion activities add cost to the project? Need to look at the time it may take to reformat the data, add missing elements, etc. 

Don’t forget to estimate operating costs!  Will these increase from your current costs?  If so, are they affordable?

## Alternatives AnalysisWhat are the Effects of Each Alternative on . . . 

**Alternatives Analysis****What are the Effects of Each Alternative on . . . **

- Existing systems and processes (interfaces, data exchanges)
- Personnel and skill requirements
- Existing procedures, user relationships, system support plans
- Resources during development and operations
- Ongoing operational costs

**#4**

**Notes:**
(CLICK)
What impact will the alternative have on any existing systems or interfaces that you need to conduct business.
  What data are you sharing?  What are the rules/requirements for data to cross programs and/or State agencies??  Don’t let this surprise you!

What effect will the alternative have on existing personnel and the skills required?  
Will there be an impact on the # of staff required?  
Will there be a big learning curve for staff?  
Do you need to hire staff with different skill sets?

READ LAST 3 BULLETS! – This is about maintaining and operating the system after implementation with the same staff and within the same budget you have now.  Can you do it? What adjustments may be needed?
WIC needs to really assess the M&O costs – need to be able to operate a new system within your existing NSA grant!

This can take a lot of staff time and requires careful planning.

## Cost-Benefit Analysis

**Cost-Benefit Analysis**

- Determines which alternative will provide the greatest benefits relative to its costs
- Identifies the tangible and intangible benefits
- Provides the estimated cost of developing and operating each alternative

**#5**

**Notes:**
Now that you’ve completed the alternatives analysis you are ready to perform a cost-benefit analysis based upon the results and the recommended system(s). As I mentioned this go hand-in-hand – the feasibility study/alternatives analysis feeds into your cost benefit analysis.

Cost-Benefit Analysis is used to estimate the costs and benefits that might be incurred for each of the recommended systems.  This decision-making tool helps to further narrow the possibilities and arrive at the best system for the State’s needs and circumstances.  

READ BULLETS
The CBA focuses specifically on the costs of each of those systems, relative to their benefits.  The feasibility study and the CBA are two different, yet complementary ways of defining needs and determining the best solution.  

## FNS Cost Benefit Analysis Requirements

**FNS Cost Benefit Analysis Requirements**

**IAPD must show a **_**meaningful**_** cost comparison was completed.**
**Requirement for demonstrating the number of years to break even is *****eliminated.***
**Tracking and reporting on the CBA beyond the initial approval is *****eliminated.***

**#5**

**Notes:**
After much thought, FNS has formally issued guidance changing its requirements for the CBA.  This was in our substantive changes to the APD process memo that went out in 2007.
We realize that many times it became impossible to track the cost-benefit especially after a system is operational and upgrades and tweaking comes into play.

The IAPD must show a meaningful cost comparison was done

The requirement for demonstrating the number of years to break even has been eliminated, and 

The tracking and reporting on the CBA beyond the initial approval has been eliminated as a requirement.

FSP players: Please note that HHS requirements remain unchanged.

## Alternatives Analysis

**Notes:**
Remember, unless you are dealing with new technology, the main focus of the Feasibility Study is on the alternatives analysis!

The FOCUS is about getting the system that meets your requirements within your budget and schedule.  Getting the best fit for you!

## Coming Attraction

**Breakout Session - WIC**

**Notes:**
.
SWITCH TO KAREN!!

PSA:  Dialectical Materialism

And now continuing on with our IAPD components...

## General System Design

**General System Design**

-  A broad high-level description of how the system will look from the technical side
- Describes generic system architecture with possible components and processes

**#6**

**Notes:**
ADDRESS SLIDE FIRST

A GSD is a more technical document.
 Don’t worry – we don’t expect you to know a lot of detail before you’ve even designed the system!  
The detailed system design (DSD) comes later in the process and is NOT a deliverable to FNS.

## General System Design

**General System Design**

- Combination of narrative and technical diagrams
- Identifies overall logic flow and systems functions
- Identifies performance requirements
- Identifies operating environment

**#6**

**Notes:**

You are more likely to know more specifics to include in your GSD if you know in advance that you intend the system to be operated in-house after it’s built.  In that situation, your internal IT folks will probably have more technical requirements, such as the type of database, that you’ll specify up front.

## Capacity Planning

**Capacity Planning**

**Determines overall size, performance and resilience of an information system**

**#7**

**Notes:**
Capacity planning or a capacity study needs to occur as part of that GSD – general system design that we just talked about.

Like the GSD, you need to do at least a high level, best estimate as part of your planning, so you can better determine which system alternative fits your needs.

## Capacity Planning

**Capacity Planning**

**Helps to establish a computer installation that meets current and projected systems needs**

**#7**

**Notes:**
This is where size does matter!
Room for growth in data and in adding programs, components, users

Consider:
Expected storage capacity of the system and the amount of data expected to be involved
Number of on-line processes and the estimated likely contention
Required performance and response time required from both the system and the network
Level of resilience required and the planned cycle of usage (i.e., peaks, troughs, and average)
Impact of security measures (e.g., encryption and decryption of data)
Need for 24/7 operations or not

## Project Management Plan

- Project oversight
- Reporting requirements
- How professional project management will be achieved for this project
*The State’s own roles, responsibilities and expectations*

**#8**

**Notes:**
Even if you plan to hire a project management contractor – you have to start by describing the STATE’S roles, expectations and management practices that will govern the project.  
So what goes into your project management plan at the IAPD stage?
(CLICK)
Project oversight – Who’s in charge of what?  Who’s watching who?  Describe from the top down how your project management is organized.
(CLICK)
Describes the reporting requirements for the State and contractor –project reports, not the program reports.
(CLICK)
Describe how the State will achieve professional project management.  What tools, skills, and techniques will be applied.
(CLICK)
This is where you outline your own roles and responsibilities, and what the process will be for holding contractors or State IT staff accountable for their work
Who they will report to   
Any specific reporting tools or methods you require or recommend
How their work and deliverables will be evaluated and the basis on which they’ll be paid 
And by the way, (WRITE THIS DOWN)  I’d highly recommend that you have performance criteria besides just deliverables – such as staffing quality and consistency, communication quality and consistency, timeliness of responses, transparency of process, and so on.

## Coming Attraction

**Project Management**

**Notes:**
PROJECT MANAGEMENT IS THE KEY TO A SUCCESSFUL PROJECT!  We think it’s so important that we have planned a whole session on just this topic!
Tips and techniques for Project Management will be discussed in a later session.

## Resource Requirements

**Resource Requirements**

- Describes resources the State expects to use
- Staff
- Funding
- Facilities
- Requests funding from FNS
- Ties closely to Project Management Plan
- Describes all staff resources that will be used 10% or more throughout the project

**#9**

**Notes:**
Describes resources (in terms of staff, funding, facilities, etc.) the State expects to apply to the implementation phase and what the State requests from FNS 

## Schedule of Activities, Milestones and Deliverables

**Schedule of Activities, Milestones and Deliverables**

**   ****Schedule of key design, development, and implementation tasks, events, and deliverables for the life of the project**

*Be sure to include Federal review times!*

**#10**

**Notes:**
Outlines the key implementation activities, milestones and deliverables – notice we say all three here – not just contractor deliverables.  
Typically get the Gantt chart showing all the details – but you don’t have to use Gantt – it just has to be adequately detailed, clear and inclusive. 
PSA -  If you do use a Gantt chart, make sure that all the stakeholders know how to read it and use it.  Get someone to hold a mini-training for everyone involved.  It’s a great tool, but often dismissed as being too technical, and becomes one more way of separating project “insiders” from “outsiders”.  You want all your stakeholders to be insiders!  

## Completing the IAPD Budget

**Completing the IAPD Budget**

- Capture all anticipated expenditures of project implementation phase described in detail
- Provide narrative text as needed to support line items
- Reflect the duration of the development/ implementation phase broken out by FFY and quarter

**#11**

**Notes:**
Please highlight the following words:
 ALL
NARRATIVE TEXT
DURATION
BROKEN OUT BY QUARTER

## IAPD Budget Areas of Concern

**IAPD Budget Areas of Concern**

## IAPD Budget Areas of Concern

**IAPD Budget ****Areas of Concern**

- Failure to include indirect costs
- Program staff costs not included or charged inappropriately

**Notes:**
(CLICK)
Budget should capture all the anticipated expenditures for this project. 
(CLICK)
Staff that are working in the project for more than 10% of their time, must keep timesheets detailing the time worked on the project.
Staff that are devoted 100% to the project must be certified on an annual basis and identified in the budget as a line item.
BIG CAUTION:  You must capture staff time as a project cost, but you can’t account for it as both project cost and regular operating cost later!!!  

## IAPD Budget Areas of Concern

**IAPD Budget ****Areas of Concern**

** **Multi-year budget is not broken down by FFYs and quarters

**Notes:**
This is important for a number of reasons.  
If you are tracking costs at least by quarter, then not too much time can go by before you realize you are off budget and may need approval, from your state, the Feds, or both
It usually corresponds to state requirements
Your fiscal year usually doesn’t match ours, and it helps us stay on the same page.  

## IAPD Budget Areas of Concern

**IAPD Budget ****Areas of Concern**

- Budget includes primary contractor costs but fails to include other contracted services

**Notes:**
Make sure you include subcontractors and all contractors involved in the project!

## IAPD Budget Areas of Concern

**IAPD Budget ****Areas of Concern**

**State “body shop” contractor costs not included  **

**Notes:**
You may be using technical experts selected off of an existing “body shop” or master contract to supplement your own staff or that of a contractor.
Ensure that these costs are included in the budget!

## Budget Examples

**Budget Examples**

## Slide 53

**Notes:**
Not enough detail in items like “transition” – needs explanatory text
Not enough line item detail
Why is travel under “Hardware/systems”?
Not broken down by quarter
Spread across multiple sheets of paper – hard to use
Whole cost categories might be missing – indirect costs?  Printing?  

## Slide 54

**Notes:**
Broken down by quarter, and subtotaled each FY
Pretty good line item detail, and subtotaled by category
I see indirect costs, I see state and local staff time and travel broken out separately
Oooooh – And I see funding sources!  Love that!  

## Cost Allocation PlanDo I Need One?

**Cost Allocation Plan****Do I Need One?**

- If it’s an integrated system:
- State agencies must develop and submit a methodology for allocating costs among benefiting programs
- Direct charging of project costs should be done to the maximum extent possible

**#12**

**Notes:**
This how we figure out who pays how much! All benefiting programs must be included!
FSP has been doing this for years! 

WIC may need to do cost allocation if more than WIC is included.  If your WIC program also includes FMNP and/CSFP,  or if you are part of integrated Public Health systems, you may need to cost allocate. 

Chapter 7, Section 7.3 provides more detail on cost allocation

## Cost Allocation Methodology (CAM) Toolkit

**Cost Allocation Methodology (CAM) Toolkit**

- Helps States determine how to allocate software development costs to Federal and State benefiting programs over the system development lifecycle
- Expedites the Federal approval process for State Cost Allocation Plans

**Notes:**
What is it??
It’s an electronic tool that states can use to walk through the allocation methodology.

## CAM Toolkit Contents

**Notes:**
Available on the APD Web Site. Most State agencies received a copy of CD from either FNS or HHS.
Consists of CAM Handbook – practical guidance on preparing CAPs throughout the system lifecycle in conjunction with the Federal APD process.

CAM-TOOL (shown here) – Excel spreadsheet based tool that provides a consistent, objective cost allocation process you can use to identify all Federal and State benefiting programs and to calculate an equitable distribution of costs.

CAM-TOOL User Guide – contains step-by-step procedures and illustrations.

Who’s it for?
State and local agency financial and information technology (IT) staff who help prepare Cost Allocation Plans based on system development needs.
Contractors who provide data to support State cost allocation methodologies

## Security Planning

**Security Planning**

- Provides the approach and requirements of the security plan
- Describes the physical, electronic, and operational security of the system
- Hardware
- Software
- Data
- Communications
- Facilities

**#13**

**Notes:**
The security plan is either briefly described in the IAPD or an overview is presented and the security plan is a deliverable during the design phase.
If a security plan has not been developed when the IAPD is submitted, an overview of the approach and requirements that must be reflected in the more detailed security plan, which will be delivered as part of the project to reflect the new system and operations is submitted. 
The security plan describes the approach for ensuring the physical, electronic, and operational security of the system, including hardware, software, data, communications, facilities, and so forth.  

## Waiver of Depreciation

**Waiver of Depreciation**

**   ****FNS requires State agencies to depreciate the cost of equipment purchases over the expected life of the equipment**
**	****	****	****	****UNLESS**
**A formal waiver is requested**

**#14**

**Notes:**
Federal cost circulars require that individual items of equipment that cost more than $25,000 per item must be charged over the useful life of the equipment.
 (Useful life is as proscribed by the IRS.  Workstations have a useful life of 3 years, while mainframes are normally charged over a period of 7 years.)  

The written request asks for agency permission to charge the entire cost of the equipment acquisition at the time of acquisition (more commonly known as “expensing”). 

it is very common for WIC State agencies to request a waiver of depreciation for equipment purchases.

If the State does not request a waiver of depreciation, they are saying that the State will pay for all the hardware up-front and only charge the cost to FNS over the number of years that the value of the hardware depreciates.  

## Training Plan

**Training Plan**

- Describes how all users will be trained
- Describes the methodologies to be used
- Defines materials to be developed
- Includes travel in the training budget
- Provides a timetable for training
- Addresses on-going training needs

**#15**

**Notes:**
The training plan may be just an overview in the IAPD with the actual plan as a deliverable later in the project.

GO THROUGH BULLETS

WRAP UP FOR DAY

## Slide 61

**Notes:**
First part of SESSION ENDS HERE!

Questions??? 

Second part Starts HERE!

Before moving on...  Questions???

## The Implementation Advance Planning Document

**Notes:**
IAPD – Part 2 - Just to show everyone what session we are continuing with!

## Slide 63

**Notes:**

Second part Starts HERE!

Before moving on...  Questions???

## So Far We Know

**So Far We Know**

**The purpose of the IAPD**
**Stakeholder responsibilities, timeframes, and funding thresholds for IAPD submissions**
**The required components of an IAPD**
**Budget tools and how to create an approvable budget**

**Notes:**
Let’s review Part 1.

What is an IAPD – it requests Federal approval and funding to design, develop, and implement a new system or major enhancement.  
It reflects the work accomplished during the planning process.  Remember you developed your FRD, developed your Feasibility Study (and conducted its alternatives analysis), as well as the Cost Benefit Analysis during the planning phase.  This has set the stage for where you are heading – the path you are taking for the new system or enhancement that is the best “fit” for you!

We learned when to submit an IAPD - $5M for FSP, $500,000 or ore for WIC

We went through the 15 possible components of the IAPD:  Transmittal Letter, Exec Summary, Resource Requirements, FRD, Project Management Plan, Schedule, Budget, GSD, FS/AA, CBA, Capacity Planning, Security Plan, Training Plan, Waiver of Depreciation, and CAP.

REMEMBER – IAPD is a living document!  APDUs provide the means to keep it alive and make changes!  Also remember that you can reuse internal documents if they provide the information we require!

We’re more than halfway through so let’s move on to...

## Feasibility Study

- and
- Alternatives Analysis

**Notes:**
Remember yesterday we spent quite a bit of time talking about the purpose of the feasibility study and that it must include an alternatives analysis.

We discussed the importance of performing an unbiased alternatives analysis and how we analyze the technical, functional, and operational pieces of each alternative – applying the same methodology to each alternative.  

We also talked about how important it is to perform a gap analysis for each of these and focused on the functional aspect of this analysis.

Then we talked about how all this information feeds into the cost benefit analysis and these combined will provide you with the alternative that is your “best fit”!

How many of you have done this before??  Good – you may be able to help some of those who haven’t.  Because...NEXT SLIDE

## Feasibility Study/Alternatives Analysis Activity

**Feasibility Study/Alternatives Analysis Activity**

**Notes:**
Now it’s time for an activity!  NO -THIS IS NOT A TEST!

We have an exercise on alternatives analysis to perform.  Lynn is going to provide you with instructions on how to conduct the exercise!

TURNOVER TO LYNN!!!

(Pass out Current System Description – make sure attendee gets the appropriate program sheet.)

I’d like everyone to read the Current System Description you have just been handed.  Let’s take a minute to do so.
(Wait 2 minutes)

Ask  - Does this sound familiar to anyone?

This activity will focus on what is involved in performing an alternatives analysis
But first we need to establish some objectives and requirements for what we want in a new system.
Remember an objective is your goal, not a function you want the system to perform.
Let’s name some objectives! (Write down responses on the flip chart)
Let’s name a requirements! (write down responses on the flip chart)

(Pass out the system alternatives sheets and the worksheets – make sure attendee gets the appropriate program sheet.)
What you are being given now is a list of system alternatives that includes your own system and three other alternatives.
You are also being given a worksheet where you are going to be asked to turn to your nearest program partner and perform a quick analysis of the alternatives.
Record your answer on the worksheet using either a Yes/No or +/- method.
Remember your objectives and requirements listed here and there are some listed on the worksheet to help you also.
You have 15 minutes to complete this activity!
WIC find your closest WIC counterpart – FSP find your closest FSP counterpart.
(START COUNTDOWN CLOCK @ 15 MINUTES)

## Activity Debriefing

**Activity Debriefing**

**Discuss the Activity and results**
**What was most difficult?**
**What was most useful?**
**What did we learn?**** **
*Alternatives Analysis is essential in determining the best direction for a State to take in developing a new system.*

**Notes:**
Brief (5 minute discussion of activity)

May not  have all the information needed – don’t accept just what information you know or are given – try your best to get additional information.  You probably won’t start out with the same amount of information on each system.  This shows the importance of gathering as much information as possible and having that level playing field!

The purpose of the activity was to demonstrate the benefits of performing the Alternatives Analysis and also how this is not an easy task.
This is not a step that should be taken lightly.  We’ve seen many States get this far with a preconceived idea of what system they actually want and the results may not support it.  Some States actually make their decision and then back into the alternatives analysis.  This is really doing yourselves a disservice.
Remember you want the system that best fits your State requirements!

(CLICK)   Read bottom of slide

Here’s a quote from one of our Philadelphia participants that we think really sums of this process well:  “Patience and tenacity coupled with the integrity of the process will demonstrates that it will work!”

Remember - It’s all about getting the system you want, within your budget and schedule!

Thank you for participating!

## Slide 68

**Notes:**
Maintenance and Operations!   NOT!  
If it were only this easy!

Maintenance and Operations (M&O) are on-going, day-to-day, operations and maintenance of the system. M&O is, in itself, not a project.  It usually has no “end” date – it is “on-going”.

But, there are discrete pieces of work that constitute changes, major modifications, or enhancements to a system that may be considered projects.  These are what may also trigger the need to submit an IAPD for M&O.

This bring us to the question...

## IAPDs for Maintenance & Operations 

- IAPDs for Maintenance & Operations

**When do I need one**

**Notes:**
Read Slide

This is one of those areas of the process where we’ve incorporated the “reduce” portion of our Green strategy.  In our substantive changes memo of 2007 we changed some of the requirements for IAPDs for M&O – we hope this is bringing you some relief.

## IAPD for M&O 

**IAPD for M&O**

- 	Prior approval is required when it includes significant hardware upgrades, platform changes, and/or software enhancements.

**Notes:**
States do not need to submit an IAPD for M&O so long as the new contract does not include substantial enhancements or changes to the system.  
Routine maintenance comes out of your SAE or NSA funding.
Do NOT need an IAPD for software maintenance for routine support activities that normally include corrective, adaptive, and perfective changes, without introducing additional functional capabilities.

WIC needs to remember that they have prior approval thresholds for grant funding that are lower than the IAPD thresholds.  WIC may need to submit some of these items to FNS for prior approval depending upon the budget.

## M&O Examples

**M&O Examples**

| Maintenance and Operations Decision Table
Examples |  |  |
| --- | --- | --- |
| Hardware | IAPD Required | IAPD Not Required |
|  | Replacement of mainframe and associated peripheral devices | Routine hardware replacement of routers, hubs, storage devices that does not affect type of platform |
|  | Architecture change from client/server or distributed system to web-based | Routine PC replacement (usually planned in advance on a cycle replacing a percentage of PCs on an annual basis) |
|  | Increased storage and/or processor capacity to meet increased caseload requirements | Upgrade of peripheral devices such as printers or scanners |
|  |  | Procurement for leased hardware and peripherals needs to be rebid |

- Source: FNS Handbook 901, Figure 2-8

**Notes:**
May want to sticky tab this table in your Handbook,  Chapter 2, Figure 2-8

USER LASER POINTER

Mainframe replacement – may seem routine – but it is a big ticket item and presents a medium to high risk in the undertaking.

## M&O Examples

**M&O Examples**

| Maintenance and Operations Decision Table
Examples |  |  |
| --- | --- | --- |
| Software | IAPD Required | IAPD Not Required |
|  | Software enhancement adds new functionality to the existing certification/eligibility or issuance system | Routine software maintenance, including fixes, patches, and upgrades that do not introduce additional functional capabilities to the system |
|  | Implementation of Enterprise Architecture | Routine software license renewals |
|  |  | Routine support activities that normally include corrective, adaptive, and perfective changes, without introducing additional functional capabilities |

- Source: FNS Handbook 901, Figure 2-8

**Notes:**

USE LASER POINTER

## M&O Examples

**M&O Examples**

| Maintenance and Operations Decision Table
Examples |  |  |
| --- | --- | --- |
| Services | IAPD Required | IAPD Not Required |
|  | Consultant services are required to develop and implement software upgrades to an existing system that adds new functionality to the system | Contract for routine maintenance and operations services is due to expire, needs to be rebid; SOW does not include any enhancements or upgrades to software that will add functionality to the system |

- Source: FNS Handbook 901, Figure 2-8

**Notes:**
USE LASER POINTER

## The chart indicates I don’t need an IAPD. . . 

**The chart indicates I don’t need an IAPD. . .**** **

**Submit:**
**RFP to FNS for prior approval**
**Contract **
**Signed transmittal letter **

**What do I do?**

**Notes:**
READ FIRST!
Once it appears that software maintenance will substantially increase risk, cost, or functionality, it may trigger an IAPD or IAPDU.  Otherwise, the following information requirements are necessary during the M&O phase.
READ SLIDE!

If you are using in-house resources submit the task order or equivalent in lieu of RFP!

Please note that the transmittal letter should include the total budget – this represents the budget request for this effort!

## FNS IAPD Review Criteria

**Notes:**
Review criteria is for all IAPDs – not just M&O that we just finished discussing!

## FNS Review Criteria

**FNS Review Criteria**

**Adequately identifies objectives and needs of the system**
*(Did you make your business case?)*

**Notes:**
Identify the objectives and needs of the system

## FNS Review Criteria

**FNS Review Criteria**

**Provides an acceptable plan for proceeding**
**   ****(***Are your goals and objectives feasible and reasonable?)*
* **(Are your goals achievable?)*

**Notes:**
Provide an acceptable plan for proceeding

Are your goals achievable within your budget, schedule, and scope?

## FNS Review Criteria

**FNS Review Criteria**

**Detailed project plan of all activities**

*(Did you fully describe the scope of the design, development, and implementation activities?)*

**Notes:**
Make sure the plan includes State and Federal activities – not just the contractor activities!

## FNS Review Criteria

**FNS Review Criteria**

**Acceptable Alternatives and Cost-benefit Analyses**
*(Do the improvements or benefits justify the cost of the chosen alternative?) *

**Notes:**
Develop and implement improvements or benefits that justify the cost involved or are otherwise consistent with FNS objectives
Acknowledge an alternative analysis was conducted that included the consideration of the transfer of an existing system (SAM for WIC) compared to new development projects whenever the transfer is cost-effective and practical

## FNS Review Criteria

**FNS Review Criteria**

**Adequacy of funds, resources, and skills**
*(Are committed funds, skilled staff and other resources adequate to succeed?) *
*  **(**Does the proposed system duplicate or conflict with other systems or efforts using the same resources?)*

**Notes:**
Are there other State projects or systems that provide the same services or functionality that you may be able to share or transfer?

## FNS Review Criteria

**FNS Review Criteria**

**Project management plan**** **
**   ***(Does the state demonstrate the ability to manage the project professionally?)*

## FNS Review Criteria

**FNS Review Criteria**

**Includes Line Item Budget by FFY and Quarters and the sources and amounts of Federal and non‐Federal funding**
*(Is the budget in a clear format, broken down by phase, FFY, and quarters with narrative explanations of costs as needed?)*
**   **

## FNS Review Criteria

**FNS Review Criteria**

**Approvable Cost Allocation Plan**
*(Are costs allocated to all benefiting programs, using a reasonable method?)*

## Slide 84

**Notes:**
SHOW ME THE MONEY!

## IAPD Approval Conditions

**IAPD Approval Conditions**

**General **– Related to availability of Federal funds and compliance to FNS regulations
**Specific** – Funding may be approved for only a specific time period or incrementally based upon specific conditions

**Notes:**
General approval expectations may include availability of Federal funds for WIC in particular due to the grant process.  General approval expectations always include submitting APDUs as required by 7 CFR277.18 and FNS Handbook 901.

Examples of specific conditions are tailored to the specific project.  Some examples are:
Bid responses must come in at or below the estimate given in the IAPD
Quarterly progress reports are required
Some or all procurement documents must be submitted for prior approval
Additional project documents such as the detailed design or risk management plan must be submitted for review
Specific Go/No Go points are established by FNS beyond which the SA may not proceed or received funding with FNS prior approval.

DO WE DISAPPROVE?  Yes – rarely, but it does happen.  Our goal is to work with you toward an approval.  We may disapprove if a project isn’t viable – if State doesn’t provide information requested (no communications) – or if the project becomes dormant after a time.  We do our best to work with you to achieve approval!  But, we do and will disapprove depending upon the circumstances.

## Retroactive Approval

**Retroactive Approval**

- Retroactive
- Approvals

- State agencies are urged to communicate with FNS early and often.
- Retroactive approvals are granted only in the most extreme circumstances.
- Poor planning or communication is not considered a valid reason for retroactive approval of funding.

**Notes:**
Don’t do it!  Don’t climb out on that limb and put yourself at risk!!! Just say NO!
Communication with your Federal partners throughout the process is key!  
We are taking retroactive approvals very seriously and have denied several States funding in the past few years.  We do not see this changing!

Retroactive approvals are granted only in the most extreme circumstances – which for most of you this means never!  This happens about as often as the Cubs winning a World Series!  
By extreme circumstances, we are talking about events such as Katrina and other natural disasters!
Should you make the mistake of incurring costs prior to our approval, then you are solely responsible for those costs – putting yourself at risk – no 50/50 match for FSP, no 100% for WIC. We may eventually approve the APD but the approval will only be for cost going forward, not for any incurred prior to approval.
Stay on top of your contracts and get your internal process moving in time to have new resources in place.  Include FNS in this process.
Ignorance is not bliss...stay informed and know the rules!
Non-approval of retroactive approval requests may apply to APDUs as much as it does to PAPDs and IAPDs.
KNOW THAT WE have withheld funds and will do so again!

## IAPD Summary

**IAPD Summary**

- Purpose
- Responsibilities, timeframes, and funding thresholds
- Required components
- Alternatives Analysis
- Tools to complete an IAPD budget
- FNS review criteria

**Notes:**
Did We Do This??

Questions???

## 

An engraved invitation from FNS Handbook 901

**An engraved invitation from FNS Handbook 901**