ATTM 019.pdf

Document number: PGM.PLAN.0006 Version: 5.0

Delivery of Automated Systems for Healthcare (DASH) Program

Change Management Plan

ATTM 019

PGM.PLAN.0006 – Change 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. CHANGE MANAGEMENT ROLES AND RESPONSIBILITIES

3. CHANGE MANAGEMENT PROCESS AND APPROACH

3.1. CHANGE REQUEST IDENTIFICATION AND DOCUMENTATION

3.2. CHANGE REQUEST ANALYSIS

3.3. CHANGE REQUEST REVIEW AND APPROVAL

3.4. CHANGE ORDER PROCESS

4. CHANGE MANAGEMENT SYSTEMS AND TOOLS

5. CHANGE MANAGEMENT METRICS

6. CHANGE MANAGEMENT REPORTING

7. GOVERNANCE AND PLAN MAINTENANCE

APPENDIX A GLOSSARY OF TERMS

APPENDIX B CHANGE REQUEST FORMS

PGM.PLAN.0006 - Change Management Plan Ver.5.0

1. Introduction

1.1. Purpose

A “change” is an addition, deletion, or modification to anything that has previously been agreed to, such as any previously approved document, a schedule rebaseline, or generally accepted practice or process.

Some changes may affect project scope, contract deliverables, and contract obligations, all of which will be managed through the change management process resulting in Change Requests or Change Orders.

During the life of the project, things that were previously agreed to will need to be changed.

Identifying, evaluating, and managing these changes will ensure that any requested rework is necessary and communicated to those impacted, and that any unnecessary rework is avoided. This Change Management Plan defines the process we have agreed to follow as we identify, document, evaluate, approve, reject or defer, and implement changes to the project.

The purpose of the Change Management Plan is to:

• Provide a framework to manage and control changes throughout the life of the project

• Define the roles and responsibilities of project team members regarding change management and change control

• Define the Change Request (CR) process, including identification of potential changes, documentation, ownership, validation, escalation, reporting, implementation, and closure of Change Requests

• Define the parameters by which a Change Request results in a formal Change Order (CO)

The DASH Program is responsible for managing the change process. The DASH PMO Manager has responsibility for the recurring and iterative process of ensuring that all project Change Requests are documented, tracked, and brought to closure throughout the project life cycle. All DASH project stakeholders must follow the Change Management Plan.

1.2. Scope

The scope of the Change Management Plan covers the complete change management life cycle from identification to closure, whether through a Change Request or Change Order. This includes changes to:

• Contract deliverables

• Contract obligations

• Schedule rebaseline

• Approved documentation

• Approved processes or practices

The following are excluded from scope:

• Revisions to draft documents prior to approval

• Resolution of defects (these are addressed in the DASH Master Test Plan)

• Business process changes that result from implementing changes to systems (these are addressed by Organizational Change Management (OCM))

1.3. Assumptions and Constraints

The assumptions and constraints that affect the Change Management Plan are listed in this section.

Assumptions are those things believed to be true that the Change Management Plan depends on for success. Constraints are those things believed to be true that limit or set boundaries for the Change Management Plan.

1.3.1. Assumptions

• SCDHHS and Vendor resources will be made available to participate in Change Management activities

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

• The project team may engage resources external to the project to assist with Change

Management

• The SharePoint project Change Request Log and Change Request Documents will be maintained as the source of truth for project changes

1.3.2. Constraints

• Change Requests that are elevated to the level of a Change Order may introduce delays to the project due to SCDHHS, South Carolina State Fiscal Accountability Authority (SFAA), and Centers for Medicare and Medicaid Services (CMS) approvals

1.4. Stakeholders

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

• Program Management

• Project Managers

• Change Request Owners

• Independent Verification and Validation (IV&V)

• Vendor Project Teams

1.5. References

The following documents are referenced in PGM.PLAN.0006 - Change Management Plan:

[1] PGM.PROC.0002 – Documentation Management Process [2] PGM.PLAN.0007 – Schedule Management Plan

2. Change Management Roles and Responsibilities The following are the specific roles and responsibilities of team members involved in the change management process. Roles and responsibilities are captured in the following table.

Roles and Responsibilities

Role Responsibility DASH Program Director

• Responsible for all projects within the DASH Program

• Evaluates change requests for approval based on recommendations from DASH

Program Manager

• Works with the Vendor management to resolve any outstanding issues related to a Change Request

• Escalates to SCDHHS Chief Information Officer (CIO) or their designee for any change requests that require executive awareness and assistance

DASH Program Management Team

• Group consisting of: DASH Program Director, DASH Program Manager, and the DASH PMO Manager

DASH Program Manager

• Responsible for all change management activities for the DASH Program

• Ensures that effective project control, change control, and risk management are maintained

• Evaluates Change Requests for approval

• Provides program approvals of Change Requests

SCDHHS Project Manager

• Coordinates analysis of the Change Request with the Vendor Project Manager for completeness

• Supports the development of impact analysis for Change Requests submitted by other project teams on behalf of the DASH Program

• Evaluates Change Requests submitted for approval

• Submits approved Change Request to Vendor for implementation

• Leads implementation of the Change Request with the Vendor

• Manages risks and issues related to Change Requests that have been rejected or deferred

Vendor Project Manager

• Identifies a change that is out of scope, and performs Vendor-specific Change Request processes

• Supports the development of impact analysis for Change Requests submitted by SCDHHS or other project contractors

• Ensures Vendor change requests submitted to SCDHHS include required detail

• Provides Vendor impacts and Level of Effort (LOE) for the Change Request

• Implements the Change Request

DASH Program Management Office (PMO) Manager

• Reviews Change Request documents for potential impact on project schedule and resources

• Monitors the project schedule for completion of Change Requests

• Develops and maintains the Change Management Plan

Roles and Responsibilities

Role Responsibility

• Ensures a submitted Change Request is not a duplicate of a change request in process

• Tracks Change Requests that have been deferred to a later date

Change Request Owner

• Initiates and completes a Change Request Form

• Provides impact analysis and gathers supporting information

• Monitors progress and provides updates

• Ensures the Change Request is coordinated and completed

3. Change Management Process and Approach The Change Management Process establishes an orderly and effective procedure for tracking the submission, coordination, review, and approval for changes to the project’s baselines.

General practices of change management include:

• PDF copies of all approved DASH project management plans and processes referenced will be available in the project SharePoint site under Home Page > Documents > Controlled Documents

• The InBox list is used to submit change requests

• The Originator discusses a proposed Change Request with the Vendor or SCDHHS Project Manager.

If the project manager agrees that a Change Request should be submitted, then an InBox is created

• Change requests must be limited to a single change. Prior approval from the DASH Program Manager is required to combine multiple changes into a single change request. If approval is given to combine multiple changes into a single change request, each individual change must have its own impact analysis including estimated work, cost, and schedule impact

The major activities of the change management process are illustrated in the following figure:

START

3.1

Initiate / Confirm Change Request

3.2 Analyze Change

Request

END

Close Change Request

3.3 Review / Approval Change Request

Change Request

Approved?

More information needed?

NO

NO

YES

YES

Change Request rejected?

NO

YES

Defer Change Request

Schedule Management

Process

Modify Project Schedule with Change

Request

NO

Change Order

Required?

YES

3.4 Change Order

Process

Change Order approved?

YESNO

3.1. Change Request Identification and Documentation

All project team members and managers are encouraged to identify a potential change request and submit them through the InBox process. Early identification and tracking of change requests enable the project team to address the source of the needed change proactively. Some change requests are addressed by actions that fall within the scope of the project, while others threaten schedule delays, reduce quality, or increase cost.

Initiation of the change request includes the following:

• The Originator discusses the potential change request with the Vendor or SCDHHS Project Manager

• The SCDHHS Project Manager or Vendor Project Manager (Requestor) adds a new item to the InBox list which provides a summary, or description, of the information related to the change, and indicates the Category as a Change Request. Refer to PGM.PROC.0002 - Document Management Process for the complete InBox process

• As part of the InBox process for a Change Request, a new folder is created in the project SharePoint site at Project Management/Documents/Change Requests and a copy of the Change Request Form is moved to the new folder containing the Change Request summary information from the InBox request

• The DASH PMO Manager will confirm that the Change Request is:

o Valid and timely o Clearly stated o Correctly documented o Not a duplicate of an existing Change Request o Not a previously resolved Change Request o Classified with a status of ‘Draft’

• If the DASH PMO Manager accepts the InBox change request, they work with the SCDHHS Project Manager to identify the Change Request Owner and update the Change Request Form and the Change Request Log

3.2. Change Request Analysis

The Vendor Project Manager in collaboration with the SCDHHS Project Manager will work with the appropriate team members to define any functional, technical, training, testing, conversion, and implementation impacts. This includes:

• Collaborating with the Originator if additional clarification is needed to ensure the impact analysis is clear and understood

• Identifying the teams and components affected by the Change Request, Including, but not limited to, detailed system design, requirements, test management, use cases, test cases, training materials, other system changes, etc.

• Holding discussions to formulate impact and sizing assessments with each manager for each component affected by the change

• Compiling the total impact of the change, including but not limited to, costs (skill sets and rates), resources, and schedule

• Working with the project teams to identify the tasks and estimated durations required to implement the change should it be approved

Once the research is completed, the Vendor Project Manager updates the Analysis Section of the Change Request Form. Impact Analysis information shall be concise, complete, and organized so it directly addresses the Change Request, including costs and/or schedule impacts. The SCDHHS Project Manager updates any further impacts, such as hours/duration for any SCDHHS specific activities needed.

The Estimate Details section of the Change Request Form shall, at a minimum, include the following:

• For development estimates, describe what screens, interfaces, stored procedures, interfaces etc. must be changed or developed and explain how the estimates were determined

• For testing estimates, outline the number of test cases/test scenarios/test scripts that are estimated to be created/updated and executed. These estimates should also include an expected required retest rate

• For requirement, design, or business analysis estimates, summarize the number of design documents, use cases, or user stories that need to be updated or created

• For each skill set/resource group estimated, describe the work that resource groups will be doing, the rates used to calculate the cost estimate, and the source of the rate

• For schedule impact, at a minimum, include the duration to complete the change, any assumptions made in the schedule estimation, and any impact to key milestone or contractual milestone dates

• Any additional information needed to describe or clarify the approach for addressing the change shall be included if appropriate

The status of the Change Request is now classified as ‘In Progress’.

The SCDHHS Project Manager schedules a review of the Change Request with the DASH Program Management Team.

3.3. Change Request Review and Approval

The Change Request Form is reviewed with the DASH Program Management Team for cost, schedule, and resource impacts, as well as risks and opportunities.

If the DASH Program Management Team determines that the Change Request requires a contract amendment, a change to a critical path schedule item that negatively impacts the go-live date, or changes the value of the existing contract, then it is escalated to SCDHHS Executive Management for creation of a Change Order (see section 3.4 Change Order Approval). Otherwise, the Change Request can be either approved, rejected, or deferred by the DASH Program Management Team.

If the DASH Program Management Team rejects the Change Request, the Change Request will be updated with a status of ‘Closed’, along with the Closure Date, and Closure Reason of ‘CR Rejected’.

If the DASH Program Management Team defers the Change Request, the Change Request Form will be updated with a status of ‘Deferred’ in the Decision section, along with the Deferral Date; and the Change Request will be updated with a status of ‘Deferred’, along with the Deferred Until Date.

If the DASH Program Management Team determines a Change Order is not needed, then the Change Request is approved, signed, and will initiate the Schedule Management Process, which may include Requirements Management. The Change Request remains classified with a status of ‘In Progress’.

After the Scheduled Management process has concluded, the SCDHHS Project Manager will work with the DASH PMO Manager and Vendor Project Manager to update the project schedule consistent with the Impact Analysis and will assign the work to the appropriate project resources based on the nature of the change.

The Change Request Form will be updated accordingly in the Authorization section; and the Change Request will be updated with a status of ‘Closed’, along with the Closure date, and Closure Reason of ‘CR Approved’.

3.4. Change Order Process

SCDHHS Executive Management creates the Change Order which will follow the guidelines for possible approval with State Fiscal Accountability Authority (SFAA), Centers for Medicare and Medicaid Services (CMS), and the Implementation Advanced Planning Document Update (IAPDU) process.

The Change Request Log status is updated to ‘Change Order in Process’.

Some considerations that factor into the Change Order Process are:

• The Change Order must contain the impact to any contractual schedule dates

• If there is a cost impact, the Change Order must contain the payment points and Consolidated Deliverables Management List (CDML) numbers that will need to be adjusted or created as well as a statement that the cost will be paid to the Vendor upon approval by SCDHHS of that CDML or completion of the scheduled event

• The signed Change Order will indicate SCDHHS commits to the availability of requisite funding to complete the Change Order. Change Orders with cost impacts may also require a contract amendment

• Change Orders may also require submittal to the State Fiscal Accountability Authority (SFAA) and CMS for approval prior to the execution of any amendment. When approval is received from CMS and SFAA, the appropriate SCDHHS contract designee will sign the Change Order.

Work cannot begin on the Change Order until these approvals and signatures are received.

Approval with CMS is handled by the SCDHHS APD Writing Team. Upon completion of the Change Order Process, a decision has been made to approve (Change Order has been signed) or reject the Change Order. The DASH Program Management Team is notified of the decision, and the Change Order is added to the Change Request Document Folder.

If the Change Order is approved, then the Change Request Form is updated with the Change Order Number. The Change Request Log will be updated with the status of ‘In Progress’, along with Total Change Order Cost, Approval Date, and the Change Order Number within the Title. The Schedule Management Process will be initiated, which may include Requirements Management.

After the Scheduled Management Process has concluded, the SCDHHS Project Manager will work with the DASH PMO Manager and Vendor Project Manager to update the project schedule consistent with the Impact Analysis and will assign the work to the appropriate project resources based on the nature of the change.

The Change Request Log will be updated with a status of ‘Closed’, along with the Closure Date, and Closure Reason of ‘CO Approved’.

If the Change Order has been rejected, the Change Request Log will be updated with a status of ‘Closed’, along with the Closure Date, and Closure Reason of ‘CO Rejected’.

4. Change Management Systems and Tools

Change Requests will be tracked and monitored in the Change Request Log within the project SharePoint site. Details are entered in the Change Request Form incrementally as the change request is identified, analyzed, and processed (located in the Project Management/Documents/Change Requests folder).

Updates to the Change Request Log is controlled by the SCDHHS Project Manager. The Change Request Log field definitions are listed in following table.

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

Change Request Log Field Definitions

Field Values

Title A short and descriptive name for the change request

Change Description

Detailed description of the change that is needed

InBox# The InBox # of the initial request

Requestor The individual that requested the change

5. Change Management Metrics The following metrics will be used to assess the Change Management Process.

In-Process Change Requests

In-Process Change Requests Report*

[Insert Data Only from “Status Report In-Process Change Request” View] ID Title Change

Request Owner

Status Approval Date

Deferred Until Date

Closure Date

* Includes Closed with Closure Date since last report

• Use the view “Status Report In-Process Change Requests”

Change Request Owner

Individual responsible for ensuring the change request is coordinated and completed.

Monitors progress and provides updates

Status • Draft: The change has been submitted for review

• In Progress: The change owner is in the process of impact analysis and gathering supporting information

• Change Order In Process: The change request has been referred to SCDHHS for a change order

• Deferred: The change request has been deferred to a later date

• Closed: The change request process is complete (a Closure Reason is entered)

Current Status Long text description of the history of status of the item. New entries should include the name and date at the beginning of the status update and new entries should be entered at the top

Approval Date The date when the change request was approved

Deferred Until Date

The date when the deferred change request will be reevaluated for approval

Change Order # The Change Order number assigned to the change request, if applicable

Total Change Order Cost

The estimated cost for the change, if applicable

Closure Date The date the Change Request (and possible change order) was Closed

Closure Reason • CR Approved: The Change Request is Approved and no Change Order is required

• CR Rejected: The Change Request is Rejected

• CO Approved: The Change Order associated with the Change Request is Approved

• CO Rejected: The Change Order associated with the Change Request is Rejected

• Export the data in the view to Excel

• Remove any rows with a status of ‘Closed’ included in previous status reports (the query will include any Closure Dates in the past 14 days from the query execution date)

• 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. Change Management Reporting Change request metrics will be created weekly and monthly 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 Baseline The approved version of a work product that can be changed with formal change management procedures. This includes scope, schedule, and budget.

Change Order (CO) A written instrument signed by the SCDHHS and the Vendor indicating agreement upon all of the following matters: the change(s), addition(s), or deletion(s) to the work; the amount of the adjustment in the Vendor contract amount, if any; and the extent of the adjustment in the deadlines set forth in the Vendor contract, if any. No change of Vendor contract amount, Vendor project schedule or any other change to the Vendor project contract shall be binding until the Vendor contract is modified by a fully executed Change Order.

Change Request (CR) A request that defines any addition, deletion, or modification to anything that has previously been agreed to, such as any previously approved document, a schedule rebaseline, or generally accepted practice or process

Change Request Form A complete proposal for a change, deletion or addition to the work that includes a reason for the change and description of the change. The Change Request must include a detailed analysis and estimation of all impacted areas of the project.

Impact Analysis A level of effort estimate required to assess the impact of changes that may affect project deliverables, resources, schedule, scope, and cost. Details may include contractual obligations or milestones, and any SDLC activities.

Appendix B Change Request Forms DASH Change Request Form

The DASH Program uses an approved form for the completion of Change Requests. The form is completed by the Change Request Owner. As part of the InBox process for a Change Request, a new folder is created in the project SharePoint site at Project Management/Documents/Change Requests and a copy of the form is moved to the new folder containing the Change Request information from the InBox.

Change Order Form Example

Change Orders are managed by SCDHHS with input from DASH as needed. Change Orders are executed through approvals from SCDHHS, SFAA, and CMS. An example of a blank Change Order Form, provided by SCDHHS Procurement, is shown below: