regulatory lifecycle management system (rlms) project on ... · 2.1.2 define resource requirements...

D3B-C-E-F On-Boarding Plan

Regulatory Lifecycle Management System

(RLMS) Project On-Boarding

Regulatory Lifecycle Management System PROJECT ON-BOARDING

D3B-C-E-F On-Boarding Plan Page ii

Florida Department of Agriculture and Consumer Services

March 2016

Table of Contents

1 Project Overview ........................................................................................................................................ 1

1.1 Project Description .............................................................................................................................. 1

1.2 RLMS On-Boarding: Project Staffing Plan Overview ............................................................................ 1

2 On-Boarding Process Phases ...................................................................................................................... 1

2.1 Resource Planning ............................................................................................................................... 3

2.1.1 Define Resource Pool ................................................................................................................... 4

2.1.2 Define Resource Requirements .................................................................................................... 4

2.1.3 Resource Assignment Matrix ........................................................................................................ 5

2.1.4 Perform Staffing Gap And Surplus Analysis .................................................................................. 6

2.1.5 Project Organization ..................................................................................................................... 6

2.2 Staff Acquisition................................................................................................................................... 7

2.2.1 Obtain Commitment from the Executive and Oversight Groups .................................................. 7

2.2.2 Temporary Internal Resource Acquisition .................................................................................... 8

2.2.3 External Resource Acquisition ...................................................................................................... 8

2.2.4 Project Resource On-boarding ..................................................................................................... 8

2.2.4.1 On-boarding Checklist ................................................................................................................ 8

2.2.4.2 Background Investigations ......................................................................................................... 9

2.3 Department Training Certifications ................................................................................................... 10

2.3.1 Training and Certification ........................................................................................................... 10

2.3.2 Project Team Training Roles ....................................................................................................... 10

2.3.3 Succession Planning .................................................................................................................... 10

2.4 Resource Transition and Off-Boarding .............................................................................................. 11

2.4.1 Transition Department Staff to Operations (and Maintenance)................................................. 12

2.4.2 Off-Boarding ............................................................................................................................... 12

3 References ................................................................................................................................................ 13


D3B-C-E-F On-Boarding Plan Page iii

Revision History

Date Author Version Change Reference

01/21/2016 North Highland 001 Initial draft

02/17/2016 North Highland 002 Internal review

02/23/2016 North Highland 003 Internal Draft




03/3/2016 North Highland 007 Remediation from NH QA Review

3/10/2016 FDACS 008 FDACS Review

3/14/2016 North Highland 009 North Highland Remediation

Quality Review

Name Role Date

Jennifer Pang SME 02/29/16


D3B-C-E-F On-Boarding Plan Page 1

1 Project Overview

The department has evaluated the utilization of an RLMS to standardize regulation and licensing across all of the department’s divisions and offices directly managing regulatory programs. The regulatory application portfolio currently contains more than 60 applications, making standardization problematic. An implementation strategy has been developed to achieve the goals of enterprise regulatory management while minimizing risks and costs.

The initial implementation will involve two (2) Divisions where the RLMS will yield the greatest benefits. In the first year, the Division of Licensing (DoL) implementation will subsume the Concealed Weapons Intake System, Licensing Reflections System, Imaging Business and Process Management, Web-based Fast Track System, and Concealed Weapons Renewal Express (CWREX) into an enterprise solution. The implementation for the Division of Administration (DoA) will supplement the Agency Clerk, Revenue Online Collection, EGov and Enterprise E – Commerce System applications, as well as additional components of the Revenue Receipt Accounting System (REV). The Division of Licensing Call Center support will also be modernized as part of the implementation.

1.1 Project Description

The Project will include activities to design, develop and plan the implementation of the enterprise RLMS including inventorying and organizing the data and procedures associated with the department’s enterprise regulatory responsibilities. Initially implementation will begin with the transformational changes with DoL and DoA.

Migrating to a new enterprise RLMS system will require significant changes to business processes within the department. An industry standard modeling language shall be used to model all processes, information and systems.

1.2 RLMS On-Boarding: Project Staffing Plan Overview

The On-boarding Process defines processes to be followed during the Project to plan for and control project staffing changes for the duration of the Project. It primarily focuses on the activities required to on-board and off-board project resources – including Project and Portfolio Management Office (PPMO) personnel, business personnel (e.g., part-time Subject Matter Experts) and Contractor personnel. As the Project progresses, updates are made to the process as needed based on changes to project-specific requirements.

2 On-Boarding Process Phases

The On-Boarding Process describes the activities from resource identification to on-boarding through off-boarding. The following sections provide RLMS Project Managers with key information to make informed decisions about the makeup of the team. It also describes the department and Contractor personnel needed to effectively administer the Project through planning, development, implementation and ongoing operations and maintenance.



Covered in this section is the process flow to ensure proper on-boarding, development and off-boarding for project staff over the course of the Project including:

Resource Planning Staff Acquisition Team Development Resource Transition

The various processes for staffing the Project are outlined in the exhibit below.

Exhibit 1: On-Boarding Processes

A high-level description of each of these processes is detailed in the table below.

PROCESS BRIEF DESCRIPTION

Resource Planning

Define the resource pool currently available to the Project. Determine the resource requirements needed to complete the Project and track in an

evolving document looking 6-12 months ahead. Develop a Resource Assignment Matrix, matching resources to specific Work Breakdown

Structure (WBS) elements. Produce a Project Organization Chart depicting authority and reporting relationships of

the Project Team.



PROCESS BRIEF DESCRIPTION

Staff Acquisition

Obtain the right staff at the right time with the appropriate skills and certifications to contribute to the Project.

Complete the Project Team Directory. On-board department and Contractor staff.

Team Development

Manage team development, training and certifications as required by project needs. Promote forming, storming, norming, performing and adjourning of project teams. Give recognition and rewards as appropriate. Perform succession planning.

Resource Transition

Capture lessons learned. Complete Turnover documentation. Transition knowledge to department staff. Transition all deliverables to department staff. Transition department staff to Operations and Maintenance. Work with each staff member to prepare for new project or operations role as

appropriate. On-board/Off-board department and Contractor staff.

Exhibit 2: Staffing Plan Processes

2.1 Resource Planning

Resource planning activities include current resource pool definition, defining project resource requirements, developing resource assignments in the WBS, and developing a Project Organization chart depicting authority and reporting relationships of the Project Team.

Resource Planning involves all the steps taken in preparation for a project. This includes defining and managing the existing workforce, defining positions necessary to complete the tasks during the Project, and planning for staffing gaps and surpluses. Each of the tasks that make up the Resource Planning stage of the Project have outputs which, when compiled into one document, make up the Resource Plan. Upon completion of these steps, the Resource Plan is the tool for managing the staffing needs of the RLMS Project. Project staffing is based on a rolling wave planning methodology described in the RLMS Project Management Plan (PMP) and will consist of three groups of resources: PPMO staff, internal department business staff and external Contractor staff. The resource planning process is a natural and appropriate "partner" to the Project’s staffing plan.

FDACS management must first identify critical project needs and identify the resources and other considerations that may need to be addressed. This information is obtained by reviewing the Project Management Plan, the project schedule and any contractual obligations, keeping in mind basic parameters. These following parameters should be considered:

The makeup of RLMS staffing now and in the future. The timeframe in terms of how often and how long the Project is in development. The needs of each project management process to ensure success of the Project Management

Team. A structure and framework to provide ongoing RLMS operations and maintenance (O&M).

The exhibit below shows the primary activities involved in Resource Planning.



Exhibit 3: Resource Planning Activities

2.1.1 Define Resource Pool FDACS performed an assessment of the current resource pool and its availability. Consideration was given to other projects and non-project work that will be performed in parallel with the RLMS Project. This is an aspect of multi-project management and will be coordinated with a master schedule and cost estimating.

The resource assessment, which is part of the Staffing Plan Worksheet, includes the following:

A detailed organization chart of the resources currently available to the RLMS Project depicting authority and reporting relationships.

A List of experience, skills, knowledge and training for existing staff. A List of additional experience, skills, knowledge and training needed for each role. Identification of additional resources with skills and knowledge which may be useful during the

RLMS Project. Determination of the availability of each resource during the RLMS Project

The resource assessment is completed by interviewing each of the Team Leads within the RLMS Project team. During the interview, a Resource Pool Table, which is part of the Staffing Plan Worksheet, is completed with a line for each resource. The following exhibit is an example of the Resource Pool Table.

NAME FDACS / Contractor POSITION RESPONSIBIITIES BACKGROUND /

SKILLS

Exhibit 4: Resource Pool Table

2.1.2 Define Resource Requirements

The Schedule Management Plan defines the process for creating and updating the schedule for the RLMS Project. In order to create the schedule, the Project Management Team started by creating a detailed Work Breakdown Structure. The Staffing Plan uses the WBS and schedule as a foundation to determine the types and parameters of resources needed to complete the Project. Resource requirements were determined from an analysis of project activities and the assumptions made when estimating activity definitions, duration and cost. The resource requirements include department staff, consulting services,



Contractors and any other personnel. Additionally, the activities described above fall under the following areas or project categories based on the following RLMS domains or project teams:

Project Management – Responsible for the planning and execution of project management activities.

Process – Responsible for identifying gaps in current processes, requirements for the new solution, developing new processes and improvements within the framework of the new solution, use cases, and implementation of the new processes.

People – Responsible for communications, organization change management, and workforce transition.

Technology – Responsible for the implementation for the new software solution. Information – Responsible for data management, data cleansing and data migration.

Resource requirements are finalized by the PPMO and Contractor Project Management during negotiations. Contractor resources are determined based on the ITN contract. The Schedule IV-B is used to determine the required PPMO staff; refer to the RLMS Project Cost Model for additional details on PPMO staffing. The RLMS Master Project Schedule (RMPS) is used to determine the business support required from subject matter experts (SMEs).

Each task contained in the RMPS must have resources defined. Each task can have multiple resources assigned, depending on the requirements needed to complete the task. Task resource needs are defined by the workstream leads through the rolling wave process (see the PMP: RLMS Schedule Management Plan for details) and recorded in the RMPS. Additionally, as new tasks are identified, they require resource assignments before being recorded into the RMPS.

Exhibit 5: Resource Requirement Matrix

2.1.3 Resource Assignment Matrix

The RLMS Resource Assignment Matrix shows a list of each resource on the Project along with the project team or domain categories. The resource assignment matrix lists the specific resources required to fulfill the roles needed to deliver the project work and shows which resources are involved in each project category as signified with a checkmark at the intersection of the appropriate project category column and the resource name.

Project

Managem

ent

Process PeopleTechnolo

gy

Informati

on

Project Category

ROLE RESPONSIBIITIES BACKGROUND / SK ILLS

Project

Managem

ent


gy

Informati

on

Project Category

NAME FDACS / Vendor RESPONSIBIITIES BACKGROUND / SK ILLS ROLE



Exhibit 6: Resource Assignment Matrix

2.1.4 Perform Staffing Gap And Surplus Analysis

After all resource assignments are made, the RLMS Project Team can begin reviewing gaps and surpluses within the current RMPS. Workstream leads can gather this information from the Resource Utilization Report which is generated by the RLMS PPMO once a month. The information provided in this report assists the project team leads in analyzing the allocations of each team resource. By analyzing this information, the workstream lead determines whether a team resource is over- or under-allocated for a specific period of time. Updates can be submitted through the status reporting process found in the Status Reporting Plan to correct any discrepancies within the master project schedule.

Exhibit 7: Resource Assignment Matrix

2.1.5 Project Organization

Defining the Project Organization is essential to establishing the structure that will be used to manage and execute staffing for the RLMS Project.

The exhibit below illustrates the Project Organization as similarly represented in the RLMS Governance Structure. The structure may be updated as the project progresses. Refer to the Project Management Plan for the most up to date organization chart (see link in References).

Project

Managem

ent


gy

Informati

on

ROLE RESPONSIBIITIES BACKGROUND / SK ILLS

Project Category



Exhibit 8: RLMS Project Organization Structure

2.2 Staff Acquisition

Staff Acquisition activities included the timely assignment and commitment of human resources specified in the Staffing Plan to support project objectives The exhibit below shows the primary activities involved in the Staff Acquisition process.

Exhibit 9: Staff Acquisition Activities

Staff Acquisition began with gaining the commitment of the Executive Staff (IT Governance Team and Executive Sponsor) at the appropriate time to support project staffing objectives. The FDACS PPMO Manager and FDACS Project Manager works with the Business Units, IT Department, Contractor Project Manager and the Project and Portfolio Management Office to get the correct resources with the appropriate skills at the appropriate time to contribute to the Project.

2.2.1 Obtain Commitment from the Executive and Oversight Groups

The FDACS Project Manager presents resource assignments within the department to the PPMO Manager for approval. Upon approval from the RLMS PPMO, the resource assignments will be presented to each of

Get Commitment from IT Governance Team

Acquire Internal Staff Acquire External StaffProject Resource On-

Boarding



the Business Advisors Group (BAG) and the IT Governance Team for review.

2.2.2 Temporary Internal Resource Acquisition

When requesting an FDACS resource for a temporary role, formal notice will be given to the resource and his/her supervisor in advance of a scheduled task. When possible, a two-week notice will be given to ensure the requested resource is able to manage his/her current workload and transition any responsibilities the resource may not be able to complete while participating on the RLMS Project.

2.2.3 External Resource Acquisition

When internal resources are not available to meet the project staffing requirements, FDACS will hire external Contractors. The RLMS Project Management Team will review resumes and interview approved candidates as part of the vetting process for Contractor personnel. FDACS Purchasing will be involved to ensure contracts are managed appropriately. The RLMS Project Management Team will work with FDACS Purchasing to ensure all Contractor resources are acquired through the proper Department procurement policies and procedures.

2.2.4 Project Resource On-boarding

To promote consistent, effective and efficient transition onto and off of the RLMS Project, the FDACS PPMO requires on-boarding and off-boarding procedures for each project resource.

2.2.4.1 On-boarding Checklist

When joining the RLMS Project, each project resource will complete the project on-boarding process. This process will consist of straightforward steps to ensure that prior to beginning work on the RLMS Project. All project staff must receive the following:

Project Orientation Review key project documentation as required by role but at a minimum the Project Charter,

PMP, SOW and Project schedule. Project Role and Responsibilities Description Required Equipment (e.g., FDACS laptop) Receive network credentials to project resources. Required Access to Project Software and Applications (e.g., SharePoint) Building Access/Security Access and ID badge (as appropriate) Signed formal conflict of interest and/or confidentiality agreements (as applicable) Project Workspace Completed Background Check Completed Department Annual Training requirements per Agency Policies and Procedures (e.g.,

Security, Ethics, etc.). Completed On-boarding Checklist

The exhibit below is an example of the RLMS on-boarding checklist.

FLORIDA DEPARTMENT OF AGRICULTURE AND CONSUMER SERVICES

RLMS PROJECT ON-BOARDING CHECKLIST



Staff Type

On-boarding Activity PPMO

Internal / Business

External / Contractor

□ □ □ Completed Project Orientation

□ □ □ Received Project Orientation Materials

□ □

Returned FDACS Equipment (e.g., FDACS Laptop)

Equipment Received:

□ □ □ Received Project Role and Responsibilities Description

□ □ □ Completed Skills Assessment/Resume Review

□ □ Security/ID Badge Received

□ □ □ Building Access/Security Access Activated

□ □ □ Project Workspace

□ □ □ Received Project Documents/Materials

□ □ Completed Background Check (if applicable)

Project Resource Name:

Signature: Date:

Workstream Lead/Project Supervisor Name:

Signature: Date:

Exhibit 12: RLMS Project On-boarding Checklist

2.2.4.2 Background Investigations

All Contractor personnel assigned to this Project must have successfully completed a background screening that is equivalent to a Level 2 screening standard specified in Section 435.04, F.S. The Contractor will cooperate with the department in obtaining the Level 2 background screenings for both the Contractor and subcontractor staff. The Contractor is responsible for the cost of obtaining the screenings. The results of the screenings shall be provided to the Department’s Contract Manager and shall be used, in part, in approving project team members. The Department reserves the right to make final determinations on all vendor personnel assigned to this Project.



The Department may disclose the results of such screenings only to state employees with a need-to-know (e.g., auditors, investigators, HR) and shall use the results only for the purpose of evaluating the proposed personnel, and not for any other purpose.

2.3 Department Training Certifications

Contractor staff will cooperate with the department in successfully completing the Department’s annual Security Awareness, complete CJIS Security Awareness and Ethics training courses as well as any additional training that may be required.

2.3.1 Training and Certification

Part of ensuring internal staff is adequately equipped to perform involves training and certification for skills required for the RLMS Project. Along with experience acquired from day-to-day work, it may be necessary for FDACS project staff to gain further knowledge from additional sources. The process for training staff will be consistent with current FDACS training guidelines and procedures for training and certifications.

2.3.2 Project Team Training Roles

It is important to identify the process and resources required to prepare internal FDACS project staff for their roles on the RLMS Project. To that effect, management of the training of project staff is assigned to the FDACS PM to help FDACS personnel develop skills and/or acquire knowledge for project-specific needs.

The FDACS PM’s responsibility is to manage all aspects of RLMS Project Team training, including establishing a training curriculum which will prepare the project team for the tasks they have been assigned. Additionally, if an internal FDACS staff member has been assigned to a task that he/she is not currently prepared for, the Training Lead will work with the staff member to get him/her the necessary learning resources needed to acquire the required skills.

2.3.3 Succession Planning

One of the challenges encountered on a project the duration of the RLMS Implementation is the likely departure or prolonged absence of key personnel due to retirement, promotion, maternity/paternity, etc. FDACS must manage this risk by identifying likely replacement candidates and planning to succeed or backup key project resources should such actions be required. Developing a backup or succession plan provides coverage for potential replacement of key project personnel and eliminates the loss of a key resource from being a single source of failure. FDACS is employing the following high-level steps in managing succession:

Project-Level Planning › Having staff work in teams to eliminate potential of single point of failure › Making sure that working documents are maintained on the FDACS site › Capturing project meeting minutes and post them to the FDACS site

Resource-Level Planning › Identifying personnel risks › Defining timelines for movement



› Documenting current roles and responsibilities › Identifying potential replacement candidates › Identifying appropriate time horizons for development of candidates

Documentation related to succession planning should be updated annually at a minimum through coordination with the PPMO and FDACS Human Resources.

2.4 Resource Transition and Off-Boarding

Resource transition includes the key activities and documentation required to prepare and transition staff. The transition of team members from one role to another, into operational and maintenance activities, or out of the Project may take place throughout the duration of the Project. Team members will work closely with experienced Department staff and Contractor staff to gain as much practical knowledge as possible.

The appropriate Department or Contractor Project Manager is responsible for ensuring any pending work from a departing resource is transferred to a remaining staff member to ensure timely transition and completion of the work. If appropriate, the receiving staff may request additional training to support the new responsibilities. An appropriate transition period must be developed for the departing resource and for Contractor resources approved by the RLMS Project Manager

The FDACS Schedule Coordinator will be notified of upcoming departures or arrivals of new resources through the Staffing Report identifying resources (at least by roles) for the Project. Each new resource will be on-boarded and oriented to the Project by the RLMS PMO

Additionally, project staff will also be transitioned off the RLMS Project, or off-boarded. The transition off the Project includes, but is not limited to, the following activities:

Knowledge Transfer of Domain Information and Deliverables to Department Staff – Knowledge of the project domains, status, processes and activities will be transferred to the appropriate department and/or succeeding Contractor staff as appropriate.

Turnover Documentation – Information required to effectively handoff project processes, procedures and activities will be documented with adequate detail for the department or the succeeding Contractor staff to take up and continue the turnover activities. All pertinent project documents and deliverables should be stored in the RLMS project repository and provided in a zip file (if requested).

Lessons Learned Debrief – Lessons Learned are any useful information or experience gained

through the course of the Project that can be applied to a later phase or project activity. Currently, only lessons learned which have a significant impact on the Project are documented.

.



2.4.1 Transition Department Staff to Operations (and Maintenance)

As the Project draws to a close and modules of functionality are implemented, project staff will begin to transition into operations and maintenance roles. The RLMS Project Team will work with each staff member to prepare him/her for the new role in operations or supporting maintenance activities.

2.4.2 Off-Boarding

Once a department or external resource concludes his/her project activities and completes the Resource Transition process previously outlined, the resource will officially roll off the Project by completing the following Off-boarding activities:

Lessons Learned Debrief Knowledge Transfer Equipment Return (e.g., FDACS laptop) Disabled Access to network and Project resources Disabled Access to Project Software and Applications (e.g., SharePoint) Disabled Building Access/Security Access (as appropriate) Return of Security/ID Badge, if applicable Completed Off-boarding Checklist in CAPAS

The exhibit below is an example of the RLMS Project off-boarding checklist.

FLORIDA DEPARTMENT OF AGRICULTURE AND CONSUMER SERVICES

RLMS PROJECT OFF-BOARDING CHECKLIST

Personnel Type

On-boarding Activity PPMO

Internal / Business

External / Contractor

□ □ □ Participated in Lessons Learned Debrief

□ □ □ Completed Knowledge Transfer

□ □

Returned FDACS Equipment (e.g., FDACS Laptop)

Equipment Returned:

□ □ □ Project Software and Application Access Disabled (as required)

□ □ Building Access/Security Access Disabled

□ □ Security/ID Badge Returned

□ □ □ Project Documents/Materials Returned (as required)



Project Resource Name:

Signature: Date:

Workstream Lead/Project Supervisor Name:

Signature: Date:

Exhibit 15: RLMS Project Off-boarding Checklist

3 References

DOCUMENT SHAREPOINT LINK

RLMS Project

Management Plan

http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/160204-

DACS02-D3B-Project%20Management%20Plan-v200.docx

On-Boarding

Checklist


DACS02-DG3-On-Boarding%20Checklist-v100.docx

Off-Boarding

Checklist


DACS02-DG3-Off-Boarding%20Checklist-v100.docx

Resource Planning

Spreadsheet


DACS02-D3G-On-Boarding-Resource%20Planning%20Spreadsheet%20v100.xlsx