ATTM 018.pdf

Document number: PGM.PLAN.0005 Version: 5.0

Delivery of Automated Systems for Healthcare (DASH) Program

Issue Management Plan

ATTM 018

PGM.PLAN.0005 – Issue Management Plan Ver.5.0

Table of Contents

1. INTRODUCTION

1.1. PURPOSE

1.2. SCOPE

1.3. ASSUMPTIONS AND CONSTRAINTS

1.3.1. Assumptions

1.3.2. Constraints

1.4. STAKEHOLDERS

1.5. REFERENCES

2. ISSUE MANAGEMENT ROLES AND RESPONSIBILITIES

3. ISSUE MANAGEMENT PROCESS AND APPROACH

3.1. ISSUE IDENTIFICATION AND DOCUMENTATION

3.2. ISSUE VALIDATION AND OWNERSHIP

3.3. ISSUE ANALYSIS

3.3.1. Issue Severity

3.3.2. Issue Priority

3.4. ISSUE RESOLUTION PLANNING

3.5. ISSUE MONITORING

3.6. ISSUE CLOSURE

4. ISSUE MANAGEMENT TOOL

5. ISSUE MANAGEMENT METRICS

6. ISSUE MANAGEMENT REPORTING

7. GOVERNANCE AND PLAN MAINTENANCE

APPENDIX A GLOSSARY OF TERMS

1. Introduction

1.1. Purpose

Issues are defined as “Any problem, question or decision that may have an impact on the project objectives”. An issue management process gives you a robust way of identifying and documenting issues that occur during a project. The process also makes it easier to evaluate these issues, assess their impact, and decide on a plan for resolution.

1.2. Scope

The scope of the Issue Management Plan covers the complete issue life cycle from identification through resolution.

1.3. Assumptions and Constraints

1.3.1. Assumptions

• SCDHHS and Vendor resources will be made available to participate in issue identification and resolution activities

• Project team members and assigned Issue Owners will have the appropriate skills to manage and implement resolution plans

• Project teams may engage resources external to the project to assist with issue resolution

• The SharePoint project Issue Logs will be maintained as the source of truth for project issues

1.3.2. Constraints

• Limited business resources are available to conduct issue management as it relates to policy decisions

1.4. Stakeholders

This document is intended to provide information and guidance to the following SCDHHS/Vendor groups or individuals:

• Program Management

• Project Managers

• Issue Owners

• Independent Verification and Validation (IV&V)

• Vendor Project Teams

1.5. References

[1] A Guide to the Project Management Body of Knowledge – PMI – Seventh Edition

[2] The Standard for Risk Management in Portfolios, Programs, and Projects – PMI

[3] PGM.PROC.0002 – Documentation Management Process

2. Issue Management Roles and Responsibilities The following are the specific roles and responsibilities of team members involved in the issue management process. Roles and responsibilities are captured in Table 1.

Table 1: Roles and Responsibilities

Role Responsibility

Vendor Project Manager • Validates and develops details of identified issues and reviews them with the DASH Program Manager and SCDHHS Project Manager

• Formulates issue resolution plans for assigned issues

• Monitors and reports on assigned issues in Risk and Issue Review Meeting

DASH Program Management Office (PMO) Manager

• Creates and updates the Issue Management Plan and issue processes

• Coordinates information as needed with project team members

• Reviews issues submitted to InBox process for acceptance into issue process

• Coordinates with the SCDHHS Project Manager for the assignment of an Issue Owner

• Facilitates Risk and Issue Review Meetings

• Produces issue information for status reports

• Provides coaching and guidance to Issue Owners

DASH Documentation Manager • Reviews issues submitted through the InBox process and coordinates acceptance or rejection with the DASH PMO Manager

DASH Program Manager • Assesses, reports, and escalates critical issues to DASH Program Director

• Participates in Risk and Issue Review Meetings

DASH Program Director • Participates in Risk and Issue Review Meetings

• Escalates to SCDHHS Chief Information Officer

(CIO) or their designee on critical issues that require executive awareness and assistance

SCDHHS Project Manager • Escalates critical issues to the DASH Program Manager

• Ensures project conformance to DASH Issue Management Plan and processes

• Reports to DASH Program Manager for awareness and assistance in responding to issues as appropriate

• Reviews and approves issue resolution plans

• Coordinates Change Request with business owner as appropriate in response to an issue

3. Issue Management Process and Approach Issue management is conducted throughout the project life cycle. The DASH PMO Manager monitors and facilitates the issue management process to ensure that issues are identified, assessed, resolved, and escalated as needed. The issue management process is supported by an Issue Log maintained in the Project Controls section of the project site; the Issue Log supports the tracking, communication, and reporting of project issues.

The issue resolution process flow chart is shown in Figure 1.

Role Responsibility

Risk and Issue Review Team • Membership includes: DASH Program Director, DASH Program Manager, DASH PMO Manager, Vendor Project Manager, SCDHHS Project Manager, DASH Requirements Manager, DASH Test Manager, DASH Technical Manager, Risk and Issue Owners, and other internal and external stakeholders as required

• Confirms or updates issue severity assessments

• Confirms or reassigns Issue Owners

• Approves issue resolution plans

• Monitors status updates for issue resolution plans

• Identifies or confirms issues that require a

Change Request to resolve

• Communicates issue resolution and next steps to project stakeholders

Issue Owner • Formulates issue resolution plans based on functional and technical analysis

• Oversees the implementation of approved issue resolution plans

• Monitors the execution and effectiveness of resolution plans that are executed

• Recommends the closure of issues

Figure 1: Issue Management Process

3.1. Issue Identification and Documentation

All project team members and managers are encouraged to identify potential issues and submit them through the InBox process. Early identification and tracking of issues enable the project team to address the source of the issue proactively. Some issues are addressed by actions that fall within the scope of the project, while others threaten schedule delays, reduced quality, or increased cost. The individual who reports the issue specifies the project area primarily affected and provides additional information to fully explain the issue. Issues would include any problem, question, or decision which:

• Has happened and will impact the project budget, schedule, communication, organizational readiness, quality, and/or resources

• Requires a group of resources to solve and may take considerable time

• Affects the ability of the project to accomplish the agreed upon deliverables on schedule and within budget

• Represents a project risk that has been triggered or occurred

• Negatively affects the function or implementation of the product

3.2. Issue Validation and Ownership

Submitted issues to the InBox process are reviewed by the DASH PMO Manager for acceptance into the issue management process. Approved issues from the InBox process in SharePoint are recorded in the Issue Log and a preliminary Issue Owner is assigned. The information required for initial entry of a potential issue includes a title and description and indicates the concern, and any possible consequences. Clear articulation of the issue description is important to allow consistent communication about issues. If more

END

START

3.1

Identify Issue and Document

3.2 Validate Issue

and Assign Ownership Assign Issue OwnerCreate Issue Log

YES

YES

NO

NO

3.5 Monitor Issue

Change Request required?

Issue confirmed by PMO Manager?

Issue Resolution Plan approved?

END

3.3 Analyze Issue for

Severity and Priority

3.4 Develop

Issue Resolution Plan

Review Issue Resolution Plan with Leadership

Initiates the Change Management Process

Close IssueIssue Resolution Plan complete?

YES

NO

Change Management

Process

Close Issue

Update Issue Resolution Plan

3.6 Initiate Issue Closure

YESContinue to execute Issue Resolution Plan

NO

Notify Issue Owner information is needed or the issue statement is not clear, the DASH PMO Manager works with the originator for clarification. To the extent possible, the InBox request should include preliminary assessments of priority, severity, scope, and schedule impact.

The DASH PMO Manager validates new issues to confirm that they are not duplicates of existing issues and that the documentation is sufficient to proceed with assessment and resolution planning. If the DASH PMO Manager determines that a proposed issue is not valid, it is communicated to the Documentation Manager for notification and the process ends.

3.3. Issue Analysis

Once assigned, the Issue Owner performs analysis, research, and evaluation activities:

• Analyzes the issue including, as appropriate, researching best practices, and meeting with technical experts and subject matter experts (SME’s) to identify possible approaches to address the issue. The objective of the analysis is to assess the impact to the project scope, schedule, budget, and resources, develop issue resolution options, determine a target resolution date, and make a clear recommendation for a course of action

• Consults with appropriate technical staff when the issue has a technical component, functional staff when the issue is functional in nature, and internal and external stakeholders as needed

• Identifies the project teams and aspects of the project affected by the issue and leads discussions to summarize the total impact assessment. The DASH PMO Manager may assist the Issue Owner in facilitating assessment activities if required, and collaborates with the Issue Owner to determine a target resolution date

3.3.1. Issue Severity

After conducting research, the Issue Owner determines the severity and impact of the issue and drafts a plan to resolve the issue, including identification of resources needed to execute the resolution plan. During this activity, the DASH PMO Manager and Issue Owner collaborate to update attributes in the Issue Log such as severity, priority, overall ranking, and the due date.

For each issue, the Issue Owner and DASH PMO Manager determine the severity of the issue referencing common definitions of severity. Issue severity definitions are shown in Table 2.

Table 2: Issue Severity Definitions

Severity Description

Low Minor impact to the project The consequences threaten the efficiency or effectiveness of some aspects of the project. DASH Program Manager coordination may be required

Medium Moderate impact to the project

The consequences threaten specific aspects of project implementation. DASH Program Director and DASH Program Manager intervention is likely to be required

High Major impact to the project The consequences threaten multiple aspects of project implementation. Intervention by the SCDHHS Executive Management is likely required

3.3.2. Issue Priority

For each issue, the Issue Owner and DASH PMO Manager determine the priority of the issue utilizing common definitions of priority. Definitions for the Low, Medium, and High priority for issues are shown in Table 3.

Table 3: Issue Priority Definitions

Priority Description

Low Issue does not need to be resolved immediately and execution of the resolution plan can be scheduled at a convenient time

Medium Issue needs to be addressed within the next month to avoid significant impact to the project. The resolution plan will include a resolution date within the next 30 days

High Immediate action needs to be taken to implement the issue resolution plan

3.4. Issue Resolution Planning

• Issue Owner drafts an issue resolution plan. The plan may contain a combination of management decisions and action items for the project. The issue resolution plan may also give details about needed project resources, cost, schedule, contingencies, and fallback plans

• The DASH PMO Manager reviews the draft issue resolution plan, and collaborates with the Issue Owner to make any necessary updates

• Issue Owner reviews the plan with the project leadership in the Risk and Issue Review Meeting to gather and incorporate feedback. The DASH Program Manager or designee authorizes any resource allocations or other decisions required to implement the issue resolution plan

• If project leadership does not approve the issue resolution plan, the DASH PMO Manager restarts the issue analysis process to identify alternative resolution plans

3.5. Issue Monitoring

• The Issue Owner makes updates to the resolution plan or other information fields included in the Issue Log. Updates to the Issue Log fields are documented with dated comments to maintain a chronological record of related activities and decisions. These status updates may include:

• Recording a decision

• Recording the resolution plan

• Scheduling actions to resolve the issue with due dates and action item owners

• Implementing scheduled actions

• Reviewing the progress of the issue

• Communicating the resolution

• The DASH PMO Manager monitors the Issue Log to maintain an understanding of open issues, and follows up with Issue Owners to ensure that issue resolution plans are being implemented and that status updates are provided as required

• During regular Risk and Issue Review Meetings, the Risk and Issue Review Team reviews all open issues with a priority of Medium and High, and all issues with an Issue Resolution Date or Next Review Date past due or due in the next two weeks.

• If a Change Request is required, the DASH PMO Manager initiates the Change Management Process and updates the issue resolution plan accordingly

• If an issue resolution plan is not implemented as planned or has not been effective, or where additional leadership decisions may be needed, the DASH PMO Manager will escalate the issue to the DASH Program Director and DASH Program Manager for review and possible escalation to the Project Sponsor

3.6. Issue Closure

• When the issue is resolved, the Issue Owner notifies the DASH PMO Manager for closure

4. Issue Management Tool Issues will be tracked and monitored in the Issue Log within the project SharePoint site. The Issue Log form field definitions are listed in Table 4.

NOTE: Some column values are subject to change depending on the project.

Table 4: Issue Log Field Descriptions

Field Values Issue Title Statement of the issue that is occurring

Issue Description Detailed description of the issue

Category • Schedule

• Scope

• Budget

• Resources

• Quality

• Communication

• Fed Cert (Federal Certification)

• OCM (Organizational Change Management)

Functional Area • Claims

• Member

Field Values

• Provider

• Program Integrity

• Reference

• PA/QIO

• Finance

• Legacy MMIS

• Reporting

• Non-Functional

Originator The individual who initiated and raised the issue

Issue Status • Draft: Issue has been created and is awaiting review and assignment by Risk and Issue Review Team

• Assigned: Issue Owner has been assigned by Risk and Issue Review Team

• In Progress: Issue is open and issue resolution plan is being executed by the Issue Manager

• Escalated: Issue Owner cannot resolve the issue and the Risk and Issue Review Team has determined it needs to be escalated to SCDHHS CIO or designee for assistance

• Rejected: Issue was rejected by Risk and Issue Review Team

• Closed: Issue has been resolved and the Risk and Issue Review Team has approved for closure

Issue Owner Individual responsible for ensuring the item is resolved.

Manages issue status and provides updates

InBox # The system assigned InBox number from the issue initiation process

Issue Severity • Low: Minor impact that threatens the efficiency or effectiveness of some aspects of the project. Risk and Issue Review Team coordination may be required

• Medium: Moderate impact that threatens specific aspects of project implementation. Intervention is likely to be required by the DASH Program Manager

• High: Major impact to the project that threatens multiple aspects of project implementation.

Intervention by the SCDHHS CIO or SCDHHS Executive Management is likely to be required

Issue Priority • Low: Issue does not need to be resolved immediately and execution of the resolution plan can be scheduled at a convenient time

• Medium: Issue needs to be addressed within the next month to avoid significant impact to the

Field Values project. The resolution plan will include a resolution date within the next 30 days

• High: Immediate action needs to be taken to implement the issue resolution plan

Issue Resolution Date • The date the issue needs to be resolved, allowing it to be closed

• Should only be updated by DASH PMO Manager as part of Risk and Issue Review Meeting

Current Status Long text description of the history of status of the item. New entries should be at the top, and preceded with Date and Initials

Issue Resolution Plan • A summary of the action to take for resolution

• Assigned action item owners

• The resources needed, activities involved, and impact of the actions

• The supporting documents that are attached

• Any additional information that needs to be included for context or reference

Next Review Date The date of the next issue review at the Risk and Issue Review Meeting

Vendor Tracking ID Number assigned from Vendor project tracking system, if applicable

Issue Closure Date • Date the issue was closed

• Should only be updated by DASH PMO Manager as part of Risk and Issue Review Meeting

Project Phase If used, this field will have a project-specific list of values

Attachments Separate document(s) or file(s) related to the issue

5. Issue Management Metrics The following metrics will be used to assess the issue management process.

Counts of open issues by Severity/Priority (status values of Closed/Rejected excluded)

Issues by Severity and Priority

[Insert Data Only from Pivot Table]

Open Issues Open Issues*

[Insert Data Only from “Status Report Open Issues” View]

ID Issue Title Issue Severity

Issue Priority

Issue Owner Issue Status

Issue Resolutio n Date

* Excludes Closed and Rejected Status

• Use the view “Status Report Open Issues”

• Export the data in the view to Excel

• Verify the table in the Status Report has the correct number of data rows

• Copy the data only into the status report table (the tables are formatted differently than an entire table from Excel)

• Verify the count of data rows

Open Issues Severity

High Medium Low Grand Total

Pr io rit y High 4 4

Medium 1 1 2

Low

Grand Total 5 1 6

Issues Closed Since Last Report

Issues Closed Since Last Report*

[Insert Data Only from “Status Report Closed Issues” View]

ID Issue Title Issue Severity

Issue Priority

Issue Owner Issue Status

Issue Closure

Date

* Includes Closed and Rejected Status with Issue Closure Date since last report

• Use the view “Status Report Closed Issues”

• Export the data in the view to Excel

• Remove all rows included in previous status reports

• Verify the table in the status report has the correct number of data rows

• Copy the data only into the status report table (the tables are formatted differently than an entire table from Excel)

• Verify the count of data rows

6. Issue Management Reporting Metrics will be created bi-weekly and monthly or a frequency by the DASH PMO Manager at the direction of the DASH Program Director and DASH Program Manager based on the metrics listed in Section 5.

7. Governance and Plan Maintenance The DASH Program Director is the owner of this plan and has the ultimate decision-making authority to update and approve the plan. As a part of process improvement (e.g., assessments, lessons learned), this plan and the overall approach will continue to evolve. At a minimum, this plan will be reviewed annually and updated as needed.

Appendix A Glossary of Terms

Term Definition Impact A measure of the effect of an issue on one or more objectives if it occurs Issue Any problem, question or decision that may have an impact on the project objectives Issue Resolution Plan A combination of management decisions and action items outlined to resolve a project issue Priority A measure of importance of an issue and the timeframe in which must be resolved Severity A measure of impact an issue has on the project scope, schedule, or cost