Centers for Medicare & Medicaid Services <Business Owners Office/Center> <Business Owners Group>

7500 Security Blvd Baltimore, MD 21244-1850

Implementation Plan

<System Name (Acronym)>

Version: <1.0> Last Modified: <Month Day, Year>

[Implementation Plan Template Version 1.2 April 9, 2008 Approved for use by the ESD Deliverables Workgroup]

Document Number: <documents configuration item control number> Contract Number: <current contract number of company maintaining document>

<System Name and/or Acronym>

Note to the Author

[This document is a template for creating an Implementation Plan for a given project. The template includes instructions to the author, boilerplate text, and fields that should be replaced with the values specific to the particular project. Blue italicized text enclosed in square brackets (i.e., [text]) provides instructions to the document author, or describes the intent, assumptions and context for content included in this document. Blue text enclosed in angle brackets (i.e., <text>) indicates a field that should be replaced with information specific to the particular project. Text and tables in black are provided as boilerplate examples of wording and formats that may be used or modified as appropriate.

When using this template, follow these steps: 1) Replace all text enclosed in angle brackets (e.g., <System Name (Acronym)>) with the appropriate information for the specific project. These angle brackets appear in both the body of the document and in headers and footers. 2) Modify any boilerplate text as appropriate to the specific project. 3) To add any new sections to the document, ensure that the appropriate header and body text styles are maintained. Styles used for the section headings are Heading 1 (Times New Roman 16 pt and Section Sub-Headings are Heading 2 (Times New Roman 14 pt). The style used for boilerplate and body text is Body Text (Times New Roman 12 pt). 4) To update the Table of Contents, right-click and select Update field and choose the option Update entire table. Ensure that sub-headings at each level in the Table of Contents are appropriately indented for improved readability. 5) Delete this Notes to the Author page and all instructions to the author (i.e., all blue italicized text enclosed in square brackets) before finalizing the initial draft of the Implementation Plan.]

_____________________________________________________________________________________________ Implementation Plan <Version # / Date> i

<System Name and/or Acronym>

APPROVALS
[Obtain signature approval of the final document from the delivering organizations Project Manager and the primary CMS recipient (i.e., generally the Government Task Leader (GTL)). Additional signature lines may be added as needed (e.g., CMS Business Owner).] Submitting Organizations Approving Authority:

Signature

Printed Name

Date

Phone Number

<Position Title> [e.g., <System Name and/or Acronym> Project Manager]

CMS Approving Authority:

Signature

Printed Name

Date

Phone Number

<Position Title> [e.g., <Contract or System Name> Government Task Leader]

_____________________________________________________________________________________________ Implementation Plan <Version # / Date> ii

<System Name and/or Acronym>

REVISION HISTORY
[Use the table below to record information regarding changes made to the document over time.] Version Date Organization/Point of Contact 1.0 <mm/dd/yy> <Organization Identifier / Point-ofContact Name> Description of Changes Baseline Version

_____________________________________________________________________________________________ Implementation Plan <Version # / Date> iii

<System Name and/or Acronym>

TABLE OF CONTENTS
1. 2. 3. INTRODUCTION .............................................................................................................. 1 REFERENCED DOCUMENTS ........................................................................................ 1 OVERVIEW ....................................................................................................................... 1
3.1. SYSTEM/SITUATION DESCRIPTION ................................................................................... 2 3.2. SYSTEM/SITUATION ORGANIZATION ............................................................................... 2

4.

ASSUMPTIONS/CONSTRAINTS/RISKS ....................................................................... 2
4.1. ASSUMPTIONS ....................................................................................................................... 2 4.2. CONSTRAINTS ....................................................................................................................... 2 4.3. RISKS....................................................................................................................................... 2

5.

IMPLEMENTATION OVERVIEW ................................................................................. 2

5.1. IMPLEMENTATION DESCRIPTION ..................................................................................... 3 5.2. POINTS OF CONTACT ........................................................................................................... 3 5.3. MAJOR TASKS ....................................................................................................................... 3 5.4. IMPLEMENTATION SCHEDULE .......................................................................................... 4 5.5. SECURITY & PRIVACY ......................................................................................................... 4

6.

IMPLEMENTATION SUPPORT ..................................................................................... 5

6.1. INFRASTRUCTURE & DATA SUPPORT .............................................................................. 5 6.1.1. HARDWARE ................................................................................................................... 5 6.1.2. SOFTWARE ..................................................................................................................... 5 6.1.3. DATA ............................................................................................................................... 5 6.1.4. FACILITIES ..................................................................................................................... 5 6.1.5. MATERIALS .................................................................................................................... 6 6.2. PERSONNEL ........................................................................................................................... 6 6.2.1. PERSONNEL REQUIREMENTS AND STAFFING......................................................... 6 6.2.2. TRAINING OF IMPLEMENTATION STAFF .................................................................. 6 6.3. PERFORMANCE MONITORING............................................................................................ 7 6.4. CONFIGURATION MANAGEMENT ..................................................................................... 7

7.

IMPLEMENTATION REQUIREMENTS/PROCEDURES BY SITE............................ 7

7.1. SITE IDENTIFICATION .......................................................................................................... 7 7.1.1. SITE REQUIREMENTS ................................................................................................... 7 7.1.2. SITE IMPLEMENTATION DETAILS ............................................................................. 8 7.1.2.1. IMPLEMENTATION TEAM .................................................................................... 8 7.1.2.2. IMPLEMENTATION SCHEDULE........................................................................... 8 7.1.2.3 IMPLEMENTATION PROCEDURES ....................................................................... 8 7.1.2.4 DATABASE ENVIRONMENT ................................................................................. 8 7.1.2.5 OPERATIONS PROCEDURES ................................................................................. 9 7.1.3. SITE IMPLEMENTATION VERIFICATION................................................................... 9 7.1.4. SITE ROLLBACK PLAN ................................................................................................. 9

8. GLOSSARY ....................................................................................................................... 9 9. ACRONYMS ...................................................................................................................... 9 10. APPENDICES .................................................................................................................. 10

_____________________________________________________________________________________________ Implementation Plan <Version # / Date> iv

<System Name and/or Acronym>

LIST OF FIGURES
[Insert a List of Figures appearing within the Implementation Plan along with a page reference for each identified figure as appropriate. Labels of Figure titles and descriptions are to be placed centered, above the figure within the main body of the document. All figures must have an associated tag providing appropriate alternative text for Section 508 compliance.] <Figure #: Figure Title or DescriptionPage Number>

LIST OF TABLES
[Insert a List of Tables appearing within the Implementation Plan along with a page reference for each identified table as appropriate. Labels of Table titles and descriptions are to be placed centered, above the table within the main body of the document.] <Table #: Table Title or Description..Page Number> Table 1: Table 2: Table 3: Table 4: Referenced Documents .................................................................................................1 Implementation Points of Contact .................................................................................3 Implementation Schedule .............................................................................................4 Implementation Personnel Requirements ......................................................................6

_____________________________________________________________________________________________ Implementation Plan <Version # / Date> v

<System Name and/or Acronym>

1. INTRODUCTION
[Provide full identifying information for the automated system, application, or situation for which the Implementation Plan applies, including as applicable, identifications number(s), title(s)/name(s), abbreviation(s)/acronym(s), part number(s), version number(s), and release number(s). Summarize the purpose of the document, the scope of activities that resulted in its development, the intended audience for the document, and expected evolution of the document. Also describe any security or privacy considerations associated with use of the Implementation Plan.]

2. REFERENCED DOCUMENTS
[Summarize the relationship of this document to other relevant documents (e.g., System Security Plan (SSP) and/or Information Security (IS) Risk Assessment (RA), Release Plan, System Design Document (SDD), Interface Control Document (ICD), Database Design Document, Data Conversion Plan, Version Description Document (VDD), Contingency Plan, Test Plan, Training Plan, User Manual and Operations & Maintenance (O&M) Manual, if they exist). Provide identifying information for all documents used to arrive at and/or referenced within the Implementation Plan (e.g., related and/or companion documents, prerequisite documents, relevant technical documentation, etc.).] Table 1: Referenced Documents Document Name <document name> Document Number <documents configuration item control number> Issuance Date <Month Day, Year>

3. OVERVIEW
[Briefly describe the purpose and context for the system or situation, and summarize the history of its development. Include the high-level context diagram(s) for the system and subsystems previously provided in the System Design Document (SDD), updated as necessary to reflect any changes that have been made based on more current information or understanding. If the highlevel context diagram has been updated, identify the changes that were made and why.]

_____________________________________________________________________________________________ Implementation Plan <Version # / Date> 1 of <max pages>

<System Name and/or Acronym>

3.1 . System/Situation Description

[Provide an overview of the processes that the system or situation is intended to support. If applicable, provide a general description of the type of data maintained and the operational sources and uses of those data. This information may be obtained from the SDD.

3.2 . System/Situation Organization

[Provide a brief description of the system or situation architecture and the major system/ situation components essential to the implementation. Describe hardware, software, and communications, as appropriate. Include any charts, diagrams, and/or graphics as necessary. This information may be obtained from the System Architecture section of the SDD.]

4. ASSUMPTIONS/CONSTRAINTS/RISKS
4.1. Assumptions
[Describe any assumptions or dependencies regarding the implementation of the system. These may concern such issues as: related software or hardware, operating systems, or end-user characteristics.]

4.2. Constraints
[Describe any limitations or constraints that have a significant impact on the implementation of the system. Such constraints may be imposed by any of the following (the list is not exhaustive): a) Hardware or software environment b) End-user environment c) Availability of resources d) Interoperability requirements e) Interface/protocol requirements f) Data repository and distribution requirements]

4.3. Risks
[Describe any risks associated with implementation of the system and proposed mitigation strategies.]

5. IMPLEMENTATION OVERVIEW
[Briefly summarize the implementation effort that is described in detail in the following subordinate sections.]
_____________________________________________________________________________________________ Implementation Plan <Version # / Date> 2 of <max pages>

<System Name and/or Acronym>

5.1. Implementation Description

[Describe the planned deployment, installation, and implementation approach.]

5.2. Points of Contact

[Provide the names of the responsible organization(s), and titles and telephone numbers of the staff who serve as points of contact for the system or situation implementation. These points of contact could include the Business Owner, Project Manager, and/or System Developer, and others with responsibilities relating to the implementation. The site implementation representative for each field installation or implementation site should also be included, if appropriate. Provide identifying and contact information for all managers and staff with whom the implementation must be coordinated.] Table 2: Implementation Points of Contact Contact <contacts name> Organization Phone <contacts <contacts organization phone identifier> number(s)> Email <contacts email address> Role <contacts role identifier> Responsibility <description of contacts responsibility>

5.3. Major Tasks

[Provide a brief description of each major task required for the implementation of the system or situation. Add as many subsections as necessary to this section to describe all of the major tasks adequately. The tasks described in this section are not site-specific, but generic or overall project tasks that are required to install hardware and software, prepare data, and verify the system or situation. Include the following information for the description of each major task, if appropriate: What the task will accomplish; Resources required to accomplish the task; Assumptions and constraints associated with the task; Identified risks and planned mitigations associated with the task; Reference documents applicable to the task; Criteria for successful completion of the task; Miscellaneous notes and comments. Examples of some major tasks to consider include the following: Providing overall planning and coordination for the implementation; Obtaining personnel for the implementation team; Providing appropriate training for personnel;
_____________________________________________________________________________________________ Implementation Plan <Version # / Date> 3 of <max pages>

<System Name and/or Acronym> Ensuring all documentation applicable to the implementation are available when needed; Acquiring special hardware, software, or network facilities; Preparing site and support facilities for implementation; Installing and configuring the various components of the operational environment; Providing all needed technical assistance; Scheduling any special computer processing required for the implementation; Performing site surveys before implementation; Performing system or situation transition activities; Performing data conversion before loading data into the system; Ensuring that all prerequisites have been fulfilled before the implementation date.]

5.4. Implementation Schedule

[Provide a schedule of activities to be accomplished during implementation. Show the required tasks (described in Section 5.3, Major Tasks) in chronological order, with beginning and ending dates of each task, the key person(s) responsible for the task, dependencies, and milestones. If appropriate, tables and/or graphics may be used to present the schedule.] Table 3: Implementation Schedule Task # Task Description Key Dependencies Milestone Person(s) Responsible <mm/dd/yy> <mm/dd/yy> <name(s)> <task #(s)> <Yes/No> Begin Date End Date

<task <task #> description>

5.5. Security & Privacy

[Reference the appropriate sections of the System Security Plan (SSP) and/or Information Security (IS) Risk Assessment (RA) that address the system security features and requirements that will be applicable to the system or situation during implementation, including the primary security features associated with the system hardware and software. Address security issues specifically related to the implementation effort, if any. If the system is covered by the Privacy Act, describe the privacy concerns. Security and protection of sensitive data and information should be discussed, if applicable. For example, if LAN servers or workstations will be installed at a site with sensitive data preloaded on non-removable hard disk drives, address how security would be provided for the data on these devices during shipment, transport, and installation because theft of the devices could compromise the sensitive data.]

_____________________________________________________________________________________________ Implementation Plan <Version # / Date> 4 of <max pages>

<System Name and/or Acronym>

6. IMPLEMENTATION SUPPORT
[Describe the support equipment, software, facilities, and materials required for the implementation, as well as the personnel requirements and training necessary for the implementation. The information provided in this section is not site-specific. If there are additional support requirements not covered by the subsequent sections, others may be added as needed.]

6.1. Infrastructure & Data Support

[Identify the support equipment (hardware), software, data, facilities and materials required for the implementation, if any.]

6.1.1. Hardware
[Provide a list of support equipment and include all hardware used for testing the implementation. For example, if a client/server database is implemented on a LAN, a network monitor or sniffer might be used, along with test programs, to determine the performance of the database and LAN at high-utilization rates. If the equipment is site-specific, list it in Section 7, Implementation Requirements/Procedures by Site.]

6.1.2. Software
[Reference the associated Version Description Document (VDD) for a list of software and databases required to support the implementation. The VDD should identify the software by name, acronym, vendor, and configuration item identifier. The VDD should also include any commercial off-the-shelf (COTS) and/or Government off-the-shelf (GOTS) software. In addition, identify any software used to facilitate the implementation process, such as software specifically designed for automating the installation process. If the software is site-specific, list it in Section 7, Implementation Requirements/Procedures by Site.]

6.1.3. Data
[Describe specific data preparation requirements and data that must be available for the system or situation implementation. An example would be the assignment of individual IDs associated with data preparation. Include reference to the Data Conversion Plan, if applicable. If the data and data preparation requirements are site-specific, provide this information in Section 7, Implementation Requirements/Procedures by Site.]

6.1.4. Facilities
[Identify the physical facilities and accommodations required during implementation. Examples include physical workspace for assembling and testing hardware components, desk space for
_____________________________________________________________________________________________ Implementation Plan <Version # / Date> 5 of <max pages>

<System Name and/or Acronym> software installers, and classroom space for training the implementation staff. Specify the hours per day needed, number of days, and anticipated dates. If the facilities needed are site-specific, provide this information in Section 7, Implementation Requirements/Procedures by Site.]

6.1.5. Materials
[Provide a list of required support materials, such as CD-ROMs, cartridge media, and disk packs.]

6.2. Personnel
[Describe personnel requirements and any known or proposed staffing requirements, if appropriate. Also describe the training, if any, to be provided for the implementation staff.]

6.2.1. Personnel Requirements and Staffing

[Describe the number of personnel, length of time needed, types of skills, and skill levels for the staff during the implementation period. If particular staff members have been selected or proposed for the implementation, identify them and their roles in the implementation. The System Developer may have to work with the Office of Information Services (OIS) and/or the IT Infrastructure Implementation Agent or Contractor to complete this section of the Implementation Plan.] Table 4: Implementation Personnel Requirements Skill Type <skill type (e.g., configuration management)> Skill Level <skill level and/or specific expertise (e.g., seniorlevel; MKS)> # Personnel <number of personnel needed with associated skill type and skill level> Assigned Staff <name(s) of individuals> Length of Time Needed <# of hours, days, weeks, months, etc. or timeframe that the personnel will be needed> Role <role in the implementation>

6.2.2. Training of Implementation Staff

[Describe the training necessary to prepare support staff for implementing the system. Do not address user, operations and maintenance training, which should be the subject of the Training Plan. If support staff are already knowledgeable and require no training, then identify as such; otherwise, describe the type and amount of training required for each of the following areas, if appropriate:
_____________________________________________________________________________________________ Implementation Plan <Version # / Date> 6 of <max pages>

<System Name and/or Acronym> System hardware/software installation; System support; System maintenance and modification; Present a training curriculum listing the courses that will be provided, a course sequence, and a proposed schedule. If appropriate, identify which courses particular types of staff should attend by job position description. If training will be provided by one or more commercial vendor(s), identify them, the course name(s), and a brief description of the course content. If the training will be provided by CMS staff, provide the course name(s), and an outline of the content of each course. Identify the resources, support materials, and proposed instructors required to teach the course(s).]

6.3. Performance Monitoring

[If applicable, describe the performance monitoring tool and techniques utilized during implementation, and how they will be used to help determine if the implementation is successful.]

6.4. Configuration Management

[Describe the configuration management procedures that will be followed and the interactions that will occur for configuration control, change control, and configuration status account reporting.]

7. IMPLEMENTATION REQUIREMENTS/PROCEDURES BY SITE

[Describe specific implementation requirements and procedures for each implementation site. If the requirements and procedures differ by site, repeat the following subsections for each site. If they are the same for each site, or if there is only one implementation site, use these subsections only once.]

7.1. Site Identification

[Provide the name or identifying information for the specific site or sites to be discussed in the following subsections.]

7.1.1. Site Requirements

[Define the site-specific requirements that must be met for the orderly implementation of the system or situation. Describe the site-specific hardware, software, data, facilities, and materials not previously described in Section 6.1, Infrastructure & Data Support.]

_____________________________________________________________________________________________ Implementation Plan <Version # / Date> 7 of <max pages>

<System Name and/or Acronym>

7.1.2. Site Implementation Details

[Address the specifics of the implementation for this site.]

7.1.2.1. Implementation Team

[If an implementation team is required, describe its composition and the tasks to be performed at this site by each team member.]

7.1.2.2. Implementation Schedule

[If site-specific implementation schedules are not included in Section 5.4 Implementation Schedule, provide a schedule of activities, including planning and preparation, to be accomplished during implementation at this site. Describe the required tasks in chronological order with the beginning and ending dates of each task, the key person(s) responsible for the task, dependencies, and milestones. If appropriate, tables and/or graphics may be used to present the schedule.]

7.1.2.3 Implementation Procedures

[Provide a sequence of detailed procedures required to accomplish the specific hardware and software implementation at this site. If necessary, other documents may be referenced. For example, the Version Description Document (VDD) should be referenced for the software installation instructions. A checklist of the installation events may be provided to record the results of the process. If the site operations startup is an important factor in the implementation, then address startup procedures in some detail. If the system will replace an already operating system, then address the startup and cutover processes in detail. If there is a period of parallel operations with an existing system, address the startup procedures that include technical and operations support during the parallel cycle and the consistency of data within the databases of the two systems.]

7.1.2.4 Database Environment

[Describe the database environment where the system software and database(s), if any, will be installed. Include a description of the different types of database and library environments (e.g., test, training, and production databases). Include the host computer database operating procedures, database file and library naming conventions, database system generation parameters, and any other information needed to effectively establish the system database environment. Include database administration procedures for testing changes, if any, to the database management system before the system implementation. Refer to the Database Design Document for additional information.]

_____________________________________________________________________________________________ Implementation Plan <Version # / Date> 8 of <max pages>

<System Name and/or Acronym>

7.1.2.5 Operations Procedures

[Describe operations procedures utilized during implementation. If these operations procedures will continue to be utilized during operations and maintenance activities (e.g., restart and recovery procedures), then they should be described in the Operations & Maintenance (O&M) Manual, and the applicable O&M Manual sections referenced here.]

7.1.3. Site Implementation Verification

[Describe the process for reviewing the site implementation during and after implementation to ensure adherence to the plan and for deciding if implementation was successful. This information will especially be utilized during the Operational Readiness Review (ORR) for determining if the site is ready for full operational support in the production environment. Describe how any noted discrepancies or issues will be rectified.]

7.1.4. Site Rollback Plan

[Provide the detailed steps and actions required to restore the site to the original, preimplementation condition in the event that implementation is unsuccessful. Identify conditions when site rollback is appropriate or not considered an option.]

8. GLOSSARY
[Provide clear and concise definitions for terms used in the Implementation Plan that may be unfamiliar to readers of the document. Terms are to be listed in alphabetical order.] <Term Name> <Term definition> <Term Name> <Term definition>

9. ACRONYMS
[Provide a list of acronyms and associated literal translations used within the document. List the acronyms in alphabetical order utilizing a tabular format as depicted below.]

_____________________________________________________________________________________________ Implementation Plan <Version # / Date> 9 of <max pages>

<System Name and/or Acronym> <ACRONYM> COTS DDD GOTS ICD IS RA LAN O&M OIS ORR SDD SSP VDD <Literal Translation> Commercial Off-The-Shelf Database Design Document Government Off-The-Shelf Interface Control Document Information Security Risk Assessment Local Area Network Operations and Maintenance Office of Information Services Operational Readiness Review System Design Document System Security Plan Version Description Document

10. APPENDICES
[Utilize appendices to facilitate ease of use and maintenance of the Implementation Plan. Each appendix should be referenced in the main body of the document where that information would normally have been provided.]

_____________________________________________________________________________________________ Implementation Plan <Version # / Date> 10 of <max pages>