The Implementation Advance Planning Document

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• The Implementation Advance Planning Document

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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

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Purpose

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

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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

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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

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IAPD Submission Thresholds
Source FNS Handbook 901, Figure 2-8
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REMEMBER
Costs that otherwise might be approvable, may be
disallowed if you do not obtain prior approval of
your IAPD from FNS.
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Components of an IAPD

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

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Components of an IAPD

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

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Components of an IAPD

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

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Components of an IAPD

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

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FNS Timeframes

• 60 DAYS

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• 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

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Components of the IAPD
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Transmittal Letter

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

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Executive Summary
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• 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

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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

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Requirements Definition
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Good Requirements are

• Complete
• Valid
• Clear
• Consistent
• Feasible
• Testable
• Traceable

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Feasibility Study and Alternatives Analysis
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Feasibility Study
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• 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

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Alternatives AnalysisWhats the Point?
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• Demonstrates which alternative is the best fit
• Technically
• Financially
• Operationally

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Alternatives AnalysisWhat are Alternatives?
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• 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

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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

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Alternatives AnalysisHow not to do it!
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• Back into the alternatives analysis
• Provide a detailed justification of why you need
  a new systemagain
• Provide beautiful marketing materials about the
  alternative you want

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Alternatives AnalysisHow to do it?
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• 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

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Gap Analysis
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Its all about making an Informed Choice
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Functional 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.

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Alternatives AnalysisWhat 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

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Cost-Benefit Analysis
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• 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

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FNS Cost Benefit Analysis Requirements
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• 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.

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Alternatives Analysis
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Coming Attraction

• Breakout Session - WIC

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

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General System Design
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• Combination of narrative and technical diagrams
• Identifies overall logic flow and systems
  functions
• Identifies performance requirements
• Identifies operating environment

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Capacity Planning
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• Determines overall size, performance and
  resilience of an information system

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Capacity Planning
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• Helps to establish a computer installation that
  meets current and projected systems needs

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Project Management Plan
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• Project oversight
• Reporting requirements
• How professional project management will be
  achieved for this project
• The States own roles, responsibilities and
  expectations

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Coming Attraction

• Project Management

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Resource Requirements
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• 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

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Schedule of Activities, Milestones and
Deliverables
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• Schedule of key design, development, and
  implementation tasks, events, and deliverables
  for the life of the project

Be sure to include Federal review times!
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Completing the IAPD Budget
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• 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

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IAPD Budget Areas of Concern
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IAPD Budget Areas of Concern

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

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IAPD Budget Areas of Concern

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

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IAPD Budget Areas of Concern

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

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IAPD Budget Areas of Concern

• State body shop contractor costs not included

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Budget Examples
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Cost Allocation PlanDo I Need One?
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• If its 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

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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

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CAM Toolkit Contents
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Security Planning
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• Provides the approach and requirements of the
  security plan
• Describes the physical, electronic, and
  operational security of the system
• Hardware
• Software
• Data
• Communications
• Facilities

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

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Training Plan
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• 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

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• The Implementation Advance Planning Document

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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

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Feasibility Study and Alternatives Analysis
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Feasibility Study/Alternatives Analysis Activity
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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.

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IAPDs for Maintenance Operations

• When do I need one

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IAPD for MO

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

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MO Examples
Source FNS Handbook 901, Figure 2-8
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MO Examples
Source FNS Handbook 901, Figure 2-8
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MO Examples
Source FNS Handbook 901, Figure 2-8
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The chart indicates I dont need an IAPD. . .

• What do I do?

• Submit
• RFP to FNS for prior approval
• Contract
• Signed transmittal letter

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FNS IAPD Review Criteria
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FNS Review Criteria

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

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FNS Review Criteria

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

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FNS Review Criteria

• Detailed project plan of all activities

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

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FNS Review Criteria

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

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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?)

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FNS Review Criteria

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

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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?)

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FNS Review Criteria

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

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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

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Retroactive Approval
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.
Retroactive Approvals
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IAPD Summary

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

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• An engraved invitation from FNS Handbook 901