PL 002.pdf

Delivery of Automated Systems for Healthcare (DASH) Program

Document Management Process

PL 002

PGM.PROC.0002 – Document Management Process Ver.11.0

Table of Contents

1. INTRODUCTION

2. INBOX

2.1. INBOX FORM

3. INBOX PROCESS FOR PROJECT REQUESTS

3.1. NEW DOCUMENT NUMBER (NO TEMPLATE NEEDED)

3.2. NEW CONTROLLED DOCUMENT AND NUMBER

3.3. UPDATE EXISTING CONTROLLED DOCUMENT

3.4. UPDATE EXISTING CONTROLLED DOCUMENT DUE TO DOCUMENT DEFECT

3.5. DELIVERABLE APPROVAL SIGNOFF

3.6. ISSUE

3.7. RISK

3.8. DECISION

3.9. CHANGE REQUEST

1. Introduction This document is intended to provide detailed procedures for creating, updating, reviewing, and approving formal project documents utilizing the InBox list in the individual project’s SharePoint sites. Formal documents include, but are not limited to, plans, processes, charters, etc.

NOTE: The official day one counter for review of any Consolidated Deliverables Management List (CDML) artifact begins the following business day from the day the InBox was submitted This includes artifacts submitted through the InBox that requires SCDHHS review except for Document Defect updates defined as a bug in DevOps. The day one counter for that review would start after the document is updated by the Vendor and the Vendor has notified SCDHHS it is ready for review.

The standard review timeframes for documents and deliverables are 10-5-5 unless the project schedule or agreement with reviewers is different.

• SCDHHS reviews for 10 days (this 10 day includes any internal meetings and consolidation of the individual comment logs to a single document)

• Vendor has 5 days to complete any identified changes/additions

• SCDHHS then has 5 days for a 2nd review (the 2nd review should be comments on the revisions and any new content only)

• If comments remain after the 2nd review, a joint session with appropriate SCDHHS and

Vendor teams and reviewers with outstanding comments should be scheduled

The InBox process will also be used for the submission of Risks and Issues.

2. InBox

2.1. InBox Form

NOTE: The DASH Documentation Manager has an alert set on the InBox list so that email notifications are sent as soon as items are created or modified.

(InBox screenshot continued)

To access the InBox form, open the SharePoint site for that project and click on the InBox link. The InBox fields to be completed for the request are:

• Title: Type in a brief description of the request (ex: Need to update PGM.PLAN.0001 – Project Management Plan)

• Submitter: Type in your name so that the DASH Documentation Manager knows who to contact in case of questions or updates

• State: “Open” is the default value. This will be updated to “Closed” by the DASH Documentation Manager once the request is fulfilled

• Due Date: Enter the date the request needs to be completed by

• Description: Type in more detail if the title isn’t a sufficient description of the request

• Category: Select the category that best describes the request or select “Other” and type in a detailed description of your request in the Description field.

o New Document Number (No Template Needed) o New Controlled Document and Number o Update Existing Controlled Document o Update Existing Controlled Document due to a Bug Type of Document

Defect in DevOps o Deliverable Approval Signoff o Issue o Risk o Decision o Change Request o Other (the default value)

• Notes: This field is used to describe all actions taken on the InBox request (ex.

20220101 jcoles PGM.PLAN.0001 – Project Management Plan has been uploaded to workspaces with track changes and is ready for updates). When adding comments in this field add yyyymmdd and name in front of the comments and in order of newest to oldest

• Attachments: Attach any documents that are needed to fulfill the request

3. InBox Process for Project Requests

3.1. New Document Number (No Template Needed)

The following table identifies the owners and steps to process an InBox request for a new controlled document number or submission of a formal document deliverable. The requestor may use another document from the repository as a starting point instead of requesting a new blank template.

NOTE: For formal deliverables that require a Deliverable Comment Log to capture comments, the individual and consolidated excel files (logs) will be uploaded to the workspace in place of turning on track changes in the deliverable (document). The DASH Documentation Manager (or designee) will consolidate the comments from the individual logs to the consolidated logs and check for duplicates prior to notifying the Vendor that the review is complete.

NOTE: Unless a template is needed, an InBox should not be submitted for a document number until a draft document is ready to attach.

Owner Steps Originator/Requestor 1. Create an InBox item with a category of “New Document Number

(No Template Needed)”

2. Type the request and the name of the document in the Title field (ex.

Need new document number for a Risk Management Plan)

3. Complete all other necessary fields in the InBox form

4. Attach the draft or deliverable document and save

DASH Documentation Manager (or designee)

5. Update the Document Inventory list with the next available number and document name (ex. PGM.PLAN.0003 – Risk Management Plan)

6. Download the attached document, add the new document number, and turn on track changes (or upload Deliverable Comment Logs, if applicable; see NOTE above)

7. Upload the draft document to the Workspaces document library

8. Update the Document Inventory list Current Location and Current

Location Notes fields

9. Update the Notes field in the InBox item with the actions taken (ex.

20220101 jcoles new document number PGM.PLAN.0003 assigned and document has been placed in the workspace with track changes)

10. Change State field to “Closed” in the InBox item and save

11. Notify the Originator/Requestor via email that the document has been uploaded with track changes and is ready for updates. Or for a deliverable document, that the Deliverable Comment Log has been updated and is ready for review. Add a link to the workspace in the email

Originator/Requestor 12. Update document (or Deliverable Comment Logs) and collaborate with appropriate reviewers until the document is ready for approval

Owner Steps NOTE: This process hands off to the Deliverable Approval Signoff process section of this document

3.2. New Controlled Document and Number

The following table identifies the owners and steps to process an InBox request for a new controlled document template and number.

Owner Steps Originator/Requestor 1. Create an InBox item with a category of “New Controlled Document and Number”

2. Type the request and the name of the document in the Title field (ex.

Need new document number and a template for a Risk Management Plan)

3. Complete all other necessary fields in the InBox form and save

DASH Documentation Manager (or designee)

4. Update the Document Inventory list with the next available number and document name (ex. PGM.PLAN.0003 – Risk Management Plan)

5. Download the appropriate template (e.g., plan, process, etc.) from Documents > Controlled Documents > Templates (TMPL), add the new document number, and turn on track changes

6. Upload the draft document to the Workspaces document library

7. Update the Document Inventory list Current Location and Current

Location Notes fields

8. Update the Notes field in the InBox item with the actions taken (ex.

20220101 jcoles new document number PGM.PLAN.0003 assigned.

The document template has been placed in the workspace with track changes)

9. Change State field to “Closed” in the InBox item and save

10. Notify the Originator/Requestor via email that the document has been uploaded with track changes and is ready for updates. Add a link to the workspace in the email

Originator/Requestor 11. Update document and collaborate with appropriate reviewers until the document is ready for approval

NOTE: This process hands off to the Deliverable Approval Signoff process section of this document

3.3. Update Existing Controlled Document

The following table identifies the owners and steps to process an InBox request to update and existing controlled document.

Owner Steps Originator/Requestor 1. Create an InBox item with a category of “Update Existing Controlled

Document”

Owner Steps

2. Type request and the name of the document to update in the Title field (ex. Need to update PGM.PLAN.0003 – Risk Management Plan)

3. Complete all other necessary fields in the InBox form and save

DASH Documentation Manager (or designee)

4. Download the requested document from Documents > Controlled Documents, turn on track changes and update the version number in the document to the next minor version

5. Upload the document to the Workspaces document library

6. Update the Document Inventory list Current Location and Current

Location Notes fields

7. Update the Notes field in the InBox item with the actions taken (ex.

20220101 jcoles PGM.PLAN.0003 – Risk Management Plan has been uploaded to the workspace with track changes)

8. Change State field to “Closed” in the InBox item and save

9. Notify the Originator/Requestor via email that the document has been uploaded to the workspace with track changes and is ready for updates. Add a link to the workspace in the email

Originator/Requestor 10. Update document and collaborate with appropriate reviewers until the document is ready for approval

NOTE: This process hands off to the Deliverable Approval Signoff process section of this document

3.4. Update Existing Controlled Document due to Document Defect Owner Steps Originator/Requestor (Vendor)

1. Create an InBox item with a category of “Update Existing Controlled Document due to a Bug Type of Document Defect in DevOps”

2. Type the request and the name of the document to update in the Title field

3. Complete all other necessary fields in the InBox form and save

DASH Documentation Manager (or designee)

4. Download the requested document from Documents > Controlled Documents and turn on track changes

5. Upload the document to the Workspaces document library

6. Update the Document Inventory list Current Location and Current

Location Notes fields

7. Update the Notes field in the InBox item with the actions taken

8. Change State field to “Closed” in the InBox item and save

9. Notify the Originator/Requestor (Vendor) via email that the document has been uploaded to the workspace with track changes and is ready for updates. Add a link to the workspace in the email

Originator/Requestor (Vendor)

10. Update the document in the workspace (avoid adding multiple copies of the same document in the workspace) to address the document defect as defined in the bug in DevOps; track changes are on, and a comment should be made in the document with the bug ID

Owner Steps the change represents. Any other changes made to the document should have a comment explanation

11. Once the document has been updated, create a pdf version with track changes and put in the workspace (this will be used to send to external reviewers)

12. Notify the DASH Documentation Manager the document is ready for SCDHHS review

DASH Documentation Manager (or designee)

(NOTE: THIS IS THE START OF THE 10 DAY CYCLE FOR REVIEW and this closes the window for additional document defect bugs to be addressed in this update of the document)

13. Create the needed Comment Logs for the reviewers, upload to the workspace, and notify them the document is ready for review with instructions to make all comments in the comment log (Email copies of the comment log and the pdf with track changes showing to the external reviewers)

14. Once all comment logs have been updated, consolidate the individual comments logs into the consolidated comment log and notify the Vendor it is ready for them to respond

Originator/Requestor (Vendor)

(NOTE: THIS IS THE START OF THE FIRST 5 DAY CYCLE FOR UPDATES)

15. Update the document and the comment log in the workspace based on SCDHHS comments

16. Once the document has been updated, create a pdf version with track changes and put in the workspace (this will be used to send to external reviewers)

17. Notify the DASH Documentation Manager the document is ready for SCDHHS review

DASH Documentation Manager (or designee)

(NOTE: THIS IS THE START OF THE SECOND 5 DAY CYCLE FOR REVIEW)

18. Review the document updates and comment log

19. If comments remain after this cycle, a joint session with appropriate

SCDHHS and Vendor teams and reviewers with outstanding comments should be scheduled to resolve outstanding issues

NOTE: This process hands off to the Deliverable Approval Signoff process section of this document

3.5. Deliverable Approval Signoff

The following table identifies the owners and steps to process an InBox request to create a signoff for an approved document.

NOTE: It is the responsibility of the Requestor to ensure the document has been reviewed by the appropriate team members and has informal approval from the reviewers prior to requesting the signoff.

NOTE: The DASH Program Director and the DASH Program Manager (or designees) must sign the Deliverable Approval Signoff for all version 1.0 controlled documents. For versions

2.0 and greater, only the DASH Program Manager (or designee) must sign the form. In this case, “Not needed for this version” verbiage is entered on the signature line for the DASH Program Director.

REMINDER: The official day one counter for review of any Consolidated Deliverables Management List (CDML) artifacts begins the following business day from the day the InBox was submitted. This includes any artifacts submitted through the InBox that require SCDHHS review.

Owner Steps Originator/Requestor 1. Create an InBox item with a category of “Deliverable Approval

Signoff”

2. Type the request in the Title field (ex. Need a signoff for

PGM.PLAN.0003 – Risk Management Plan – document is in workspaces and has informal approval from reviewers)

3. Complete all other necessary fields in the InBox form and save

DASH Documentation Manager (or designee)

4. Update the Document Inventory list with the next available number for Approval Artifacts (ADMN) and the document name for the signoff (ex. PGM.ADMN.0005 - PGM.PLAN.0003 – Risk Management Plan v.2)

5. Download a Deliverable Approval Signoff form from Documents > Controlled Documents > Templates (TMPL), update the form with the approved document number and name

6. Print and have the DASH Program Manager (and DASH Program Director if v.1.0 or designees) sign and date the form

7. Scan and email the signed form to the DASH Documentation Manager

8. Download the pdf from the email and upload to Documents > Controlled Documents > Approval Artifacts (ADMN)

9. Cleanup the approved document in the workspace, accept all changes and stop tracking. Update to the latest whole version and update the version table

10. Upload (Copy to) the approved document to Documents > Controlled Documents > (appropriate folder – e.g., Plans (PLAN)

11. Update the Document Inventory list Current Location and Current Location Notes fields

12. Move the approved document in the workspace to the Reviews Complete (Archived) folder

13. Update the Notes field in the InBox item with the actions taken (ex.

20220101 jcoles PGM.ADMN.0005 - PGM.PLAN.0003 – Risk Management Plan v.2 signoff form has been signed, scanned, and uploaded to SharePoint and the approved document has been cleaned up and uploaded to controlled documents)

14. Change State field to “Closed” in the InBox item and save

15. Notify the Originator/Requestor via email that the document and the signoff have been approved and published

Owner Steps

16. Post an announcement on the homepage of the SharePoint site that the document and the signoff have been approved and published

3.6. Issue

The following table identifies the owners and steps to process an “Issue” InBox request.

Owner Steps Originator/Requestor 1. Create an InBox item with a category of “Issue”

2. Type a short description of the request in the Title field

3. Type a detailed description of the Issue in the Description field

4. Complete all other necessary fields in the InBox form and save

DASH Documentation Manager (or designee)

5. Verify with the DASH PMO Manager (or designee) on the validity of the Issue

6. Contact the Originator/Requestor to discuss the request if clarifications are needed

7. If valid, add the Issue to the Issues Log and assign to the DASH PMO Manager (or designee) for updates

8. Update the Notes field in the InBox item with the actions taken (ex.

20220101 jcoles Issue #5 was created and assigned to DASH PMO Manager (or designee) for updates)

9. Change State field to “Closed” in the InBox item and save

10. Notify the Originator/Requestor via email that the solution was implemented and how (add links if applicable)

NOTE: This process hands off to PGM.PLAN.0005 – Issue Management Plan

3.7. Risk

The following table identifies the owners and steps to process a “Risk” InBox request.

Owner Steps Originator/Requestor 1. Create an InBox item with a category of “Risk”

2. Type a short description of the request in the Title field

3. Type a detailed description of the Risk in the Description field

4. Complete all other necessary fields in the InBox form and save

DASH Documentation Manager (or designee)

5. Contact the Originator/Requestor to discuss the request if clarifications are needed

6. Add the Risk to the Risks Log and assign to the DASH PMO Manager [or designee] for updates

7. Update the Notes field in the InBox item with the actions taken (ex.

20220101 jcoles Risk #1 was created and assigned to DASH PMO Manager (or designee) for updates)

8. Change State field to “Closed” in the InBox item and save

Owner Steps

9. Notify the Originator/Requestor via email that the solution was implemented and how (add links if applicable)

NOTE: This process hands off to PGM.PLAN.0003 – Risk Management Plan

3.8. Decision

The following table identifies the owners and steps to process a “Decision” InBox request.

Owner Steps Originator/Requestor 1. Create an InBox item with a category of “Decision”

2. Type a short description of the request in the Title field

3. Type a detailed description of the decision in the Description field

(Provide date of decision, where was the decision derived (e.g., meeting with details of meeting purpose/time/place), and a list of people involved in the decision)

4. Complete all other necessary fields in the InBox form and save

DASH Documentation Manager (or designee)

5. Verify with DASH PMO Manager [or designee] on the validity of the Decision

6. Contact the Originator/Requestor to discuss the request if clarifications are needed

7. If valid, add the decision to the Decision Log

8. Update the Notes field in the InBox item with the actions taken (ex.

20220101 jcoles Decision #3 was entered into the Decision List)

9. Change State field to “Closed” in the InBox item and save

10. Notify the Originator/Requestor via email that the solution was implemented and how (add links if applicable)

11. Post an announcement of the Decision on the homepage of

SharePoint site

NOTE: This process hands off to PGM.PLAN.0001 – Project Management Plan

3.9. Change Request

The following table identifies the owners and steps to process a “Change Request (CR)” InBox request.

Owner Steps Originator/Requestor 1. Create an InBox item with a category of “Change Request”

2. Type a short description of the CR in the Title field

3. Type a detailed description of the CR in the Description field

4. Complete all other necessary fields in the InBox form and save

DASH Documentation Manager (or designee)

5. Verify with DASH Program Manager [or designee] on the validity of the CR

Owner Steps

6. Contact the Originator/Requestor to discuss the request if clarifications are needed

7. If valid, add the CR information to the Change Request Log

8. Create CR Form from PGM.TMPL.0017 – Change Request Form adding all known information including new CR number and upload to the project SharePoint site Project Management > Documents > Change Requests library

9. Update the Notes field in the InBox item with the actions taken (ex.

20220101 jcoles CR #2 was entered into the Change Requests log)

10. Change State field to “Closed” in the InBox item and save

11. Notify the Originator/Requestor via email that the solution was implemented and how (add links if applicable)

NOTE: This process hands off to PGM.PLAN.0006 – Change Management Plan