CEO, Office of the CIO Program Management Office County of Orange IT Quarterly Status Report Risk Assessment Fiscal Year 2008-09 3rd Quarter, January - March
Introduction The purpose of this report is to assess the risk status of major Information Technology (IT) projects in order to identify significant potential risk and mitigating actions. Major IT projects are those with budget equal to or greater than $1,000,000, as well as significant IT projects that require executive visibility and oversight. This report will compliment the IT Quarterly Status Report Summary and will draw on much of the same data. It is intended to put the status information in a risk context so as to better forecast the probability for success. The report is divided into two main sections. The first is the Project Risk Scorecard Summary. This is a color-coded risk assessment summary of all of the projects covered by the report. The second section is comprised of detailed risk assessments for each project identified. This information was gathered from one-on-one meetings with the CIO s Program Management Office (PMO) and the Project Manager for the specific project, as well as review of key project artifacts by the PMO, including detailed schedules, budget plans, status reports, etc., as available. This Risk Assessment process will continue to evolve as the PMO works with Project Managers to implement and routinely follow this discipline, defining project risks and mitigating them to increase the probability of project success. Risk Categorization Project risk is assessed for each category defined below: Risk Factor Definition Budget Focuses on the availability of funds for the project and the adequacy of that funding to complete the project. Also, refers to cost or budget overruns due to incorrect estimations, changes in scope, additional resources required, or other unanticipated expenditures. Schedule Focuses on the schedule and the likelihood of the planned milestones to be met. Also refers to the various factors that influence or impact schedules, such as business cycles, vendor delivery dates, purchasing, etc. Technical Refers to tools, processes, or technology used in providing the solution to the client. New or leading edge technology is also a risk because it may be new to the county or may not be proven. Resource Refers to the lack of obtaining or retaining the appropriate resources or quantity of resources to complete the required work. Scope Refers to the changes in requirements, tools, technology, hardware etc. Organizational Incomplete and inaccurate requirements would be part of this category. Refers to the magnitude and extent of the project that requires change to organizational culture, business processes, procedures or policies. Also risks related to business relationships, political tones or other stakeholder interactions and communications. Page 2 of 18
Risk Scoring Each risk will be rated based on probability of occurrence and potential impact to the project. These will be summarized and the overall risk category will be rated per the following criterion: H M L Definition These risks are considered very likely to be realized and the consequences are significant. Any risk rated high requires immediate attention. These risks are considered possible but not as likely and/or the consequences are not very significant. Moderate risks are sources of concern that should be monitored lest they turn into highs. These risks are considered to have little or no consequences and do not warrant extra attention. Budget and Schedule Status Included in the Risk Assessment process will be a review of the project budget and schedule to ensure that projects are being managed effectively and delivered on time and on budget. These will be rated using the following criterion: Budget Status Schedule Status to budget On Schedule 1% or 10% over budget 5 to 30 days late >10% over budget >30 days late Page 3 of 18
I. PROJECT RISK SCORECARD SUMMARY The CEO-IT PMO has updated the 1 st quarter FY 08-09 Risk Assessments for the major IT projects identified and provides the following Risk Assessments for the 2 nd quarter, October - December 2008. The PMO met with the project managers to review key project documents as available, discuss project risks and determine how the risks are being managed in order to keep the project on budget and on schedule. Detailed risk logs were reviewed and summarized in order to obtain an overall risk score for each risk category. Risk Scorecard Summary Risk Level Dept. Project Name Bud Sch Tech Scope Res Org A. CAPS + CAPS+ Implementation- Phase I L L L M M L B. Assessor C. A/C,COB TTC D. Clerk- Recorder E. HCA F. PROB G. PA/PG Assessment Tax Systems, Assessor Segment Re-engineering Project H M M L M L Property Tax Management System H L M M M L Electronic Recording Delivery System (ERDS) Cerner Clinic Scheduling/Public Health Registration Systems AS/400 Case Management System (CMS) Migration epages Replacement Case Management System L M M M L M COMPLETED L M L L L M M H L M M L The Risk Assessment process will continue to evolve and improve as the PMO works with project managers to conduct further review of key project artifacts to better assess risk and to make recommendations as necessary. The use of project management planning, monitoring and controlling tools and processes will continue to be encouraged. Page 4 of 18
II. PROJECT RISK ASSESSMENT DETAIL A. CAPS+ Implementation- Phase I 1. Project Description The primary objective of the project is to upgrade the CAPS Financial and Purchasing System from the CGI Inc. s Advantage 2.x ERP product to the new 3.x release. In addition, there are secondary objectives to take advantage of new capabilities within the Advantage 3.x release to improve the County s administrative processes, to re-engineer business processes to streamline workflow, to reduce paperwork, to strengthen controls, to improve management reporting, and to reduce administrative costs. A tertiary project objective is to lower on-going operating and maintenance costs by moving from the current mainframe platform to a server-base platform. Phase 1 components of the Upgrade include General Accounting, Capital Assets, Accounts Payable, Cost Accounting, and Procurement. Phase 2 components include Budget Preparation (BRASS upgrade), Vendor Self Service, and Year-End Close. Phase 2 is outside the scope of report and will start at a later date. 2. CAPS+ Risk Scorecard Risk Level Budget Schedule Technology Scope Resource Organizational L L L M M L Risk Scorecard Comments: The CAPS + team is pro-actively identifying, assessing and mitigating project risks. The Resource risk category remains a Medium risk level. Reports and Interfaces remediation plans have met milestones and are being lowered on the risk scale. However, central accounting procedures development is short staffed based upon a larger scope than anticipated. Technology risk has been reduced to low. Conversion of data has had marked improvement and the new technology platform is being appropriately staffed. The conversion success rate has been improved from the 60% range to 96% through the first mock conversion. The conversion process will continue to be tested and improved up until final cutover in June/July 2009. Data center staffing is being adjusted and trained to support the new technology platform. Scope remains medium due to additional scope increases. The previous concern of a dual e- procurement approach has been mitigated by selecting the current approach and not adding new functionality at this time. The increased scope is coming from the new need for the project to develop central accounting procedures. The scope is being monitored and will need to be controlled based upon the remaining schedule and staffing availability. The Central Accounting staff are working with the CAPS+ team to develop an approach for providing the needed knowledge transfer and using the existing training materials and job aids for go-live business functions. Additional documentation can then be developed when project staff are more readily available. The Organizational risk has been reduced to Low. The project procedures development is completed and the training is on track. Training will be a large effort and will cause some level of disruption at the Page 5 of 18
department level. This effort will be monitored closely to help reduce the impact to the departments and ensure that staff have been trained on all critical processes. 3. CAPS+ Budget Status Fiscal Year Budget Expenditures To Date Status FY 07-08 $ 13,963,900 $ 13,275,800 FY 08-09 $ 13,668,900 $ 8,441,200 FY 09-10 $ 4,041,400 N/A N/A Project Contingency $ 3,167,000 N/A N/A Total Budget $ 34,841,200 $ 21,717,000 Budget Comments: The CAPS+ expenditures are being monitored regularly and are on target for FY 08-09. 4. CAPS+ 3 rd Quarter Schedule Milestones Milestone Planned Actual Planned Actual Status Start Start Finish Finish Project Start 7/1/07 7/30/07 7/1/09 Software Modifications, Complete 9/24/07 9/24/08 2/27/09 3/31/09 Iterations 1-5 User Interface Modifications 8/13/07 8/13/07 9/19/08 6/30/08 Complete System Interface Development 8/13/07 7/24/08 5/20/09 In process Planned finish date revised from 3/31/09 to 5/20/09 due to additional interfaces. Original interface list milestone met. Reports and Forms 8/27/07 8/27/07 4/30/09 In process Planned finish date revised from 3/31/09 to 4/30/09; an additional iteration was added. Security and Workflow 1/2/08 1/2/08 2/16/09 In process Primary configuration is complete. Policy and Procedures 7/30/07 10/1/07 2/13/09 3/31/09 Complete End User Training Complete 1/7/08 11/1/07 2/27/09 3/31/09 Development End User Training Delivery 4/6/09 7/1/09 User Acceptance Testing 3/1/09 3/1/09 5/29/09 Mock Conversions 3/2/09 3/2/09 6/15/09 Performance Testing 4/1/09 4/1/09 5/15/09 Page 6 of 18
Schedule Milestone Comments: Additional scope has been added to the reports and interfaces, however initial milestones were completed on schedule. This scope is scheduled to be completed in time for inclusion in User Acceptance Testing. Training on the new system also began during this period. Note: Although the OCid POC for CAPS+ was successful, in order to reduce risk, a recommendation was made by the CAPS+ Steering Committee in April 2009 to postpone the implementation until both systems have stabilized in production. B. Assessor Assessment Tax Systems (ATS) Re-Engineering 1. Project Description The Assessment Tax Systems (ATS) is a set of software applications that support all of the County s Property Tax Administration (PTA) Depts. Assessor, Auditor-Controller, Clerk of the Board of Supervisors and the Treasurer-Tax Collector. Each of the PTA departments maintains operational control over its portion of the ATS as prescribed by law and interacts with the other departments and their processing functions through controlled interfaces. ATS also has an interface with the Clerk- Recorder for necessary information exchanges. 2. ATS Risk Scorecard Risk Level Budget Schedule Technology Scope Resource Organizational H M M L M L Risk Scorecard Comments: The PMO met with the Assessor and his staff to obtain information about the ATS project status and risks which is reflected in this report. The Independent Verification and Validation (IV&V) contractor also commenced work during this reporting period and will provide additional information regarding overall ATS project risk at the May 5, 2009 Board meeting. The risk level for ATS funding remains High. Funding for FY 2008-2009 is sufficient, however funding for FY 2009-2010 is contingent upon successful completion of the project financing currently pursued by the CEO Budget and Public Finance. The schedule risk level is rated as Medium this quarter to reflect risk associated with completion of key deliverables to ensure that the Unsecured System is deployed to production by July 2009 and cut-over from the current system is completed by December 2009. As stated above, the cutover for the Unsecured ATS systems is scheduled for December 2009, however, the Assessor recently informed the CIO that the current mainframe system will continue to serve as the System of Record until the Secured systems and PTMS interfaces are also completed the following year, in December 2010. The ATS project end date is being modified to reflect this information. Technology Risk continues to be rated as Medium due to the complexity of the new ATS system, interfaces to PTMS, as well as data transfer, synchronization and migration issues. Also, system performance testing needs to be completed in order to develop the production system design. Page 7 of 18
Collaboration efforts between the Assessor and CEO-IT will need to continue to ensure that these tasks are completed on schedule. Resources continue to add risk to the project due to the availability of in-house subject matter experts impacted by on-going production workloads and retirement. This will continue to be monitored by the Assessor. 3. ATS Budget Status Fiscal Year Budget Current Approved Budget Funded Expenditures To Date FY 04-07 $ 1,885,000 -- $ 2,058,328 FY 07-08 $ 5,827,000 -- $ 5,685,610 FY 08-09 $8,200,000 decreased to $ 6,405,000 $5,619,195 increased to $ 6,405,000 Status $ 5,010,615 Current funding is sufficient for FY0809. FY 09-10 $ 4,126,000 TBD N/A N/A FY 10-11 $ 728,000 TBD N/A N/A Total $ 18,971,000 $12,754,553 See comments Budget Comments: An additional $785,805 was approved and the budget required was decreased due to reduced staffing costs, therefore budget is sufficient through this fiscal year. Financing considerations for FY 09-10 budget are still being addressed by CEO Budget. The Board directed the Assessor to conduct an Independent Validation and Verification (IV&V) for the ATS project which began during the 3 rd quarter and is currently in progress at a contract cost of $80,000. There are other potential costs that are not well defined at this phase of the project, including data archive and storage requirements and PTMS interfaces. These costs will be indentified in the next several months. A contingency of $1,000,000 has been recommended for this project. Page 8 of 18
4. ATS 3rd Quarter Schedule Milestones Milestone Start Actual Start Planned Finish Project Start 10/1/01 10/1/01 12/2009 This has been revised to 12/2010 Actual Finish Status Project end date is revised to reflect the completion of both the Unsecured and the Secured Modules to December 2010. Only Unsecured will be implemented by December 2009. Image Viewer Prototype 9/1/08 9/1/08 12/1/08 12/1/08 Unsecured Systems Development 3/1/08 3/1/08 11/3/08 11/24/08 - Release 2 Unsecured Systems Development - Release 3 11/1/08 11/1/08 3/31/09 3/6/09 Develop Logical & Physical 10/31/08 10/31/08 2/28/09 2/28/09 Design for Secured Sub-Systems Database Developed architecture for interfaces between new ATS, PTMS and existing mainframe 10/31/08 10/31/08 3/31/09 3/31/09 Software Performance Testing 12/08 12/08 1/09 This task will be completed next quarter. Operational Readiness 11/08 11/08 7/09 In process. Developed and tested solution for printing from new ATS system to Publishing Services Independent Verification & Validation ATS Unsecured Systems Implementation 3/2/09 10/31/08 6/30/09 3/10/09 3/4/09 3/4/09 6/30/09 In process. 6/30/09 12/30/09 ATS Unsecured systems will be implemented 7/1/09 12/31/09, but will not be used as the system of record until 12/2010 when the Secured modules are also complete. Schedule Milestone Comments: Key development milestones being worked on during this period were reported as on schedule. The Unsecured Systems final development Release 3, which includes all 25 modules, was completed in Page 9 of 18
March. User testing is on-going. Work on the Secured system is also proceeding. The new Unsecured ATS system will be implemented in June 2009 with a planned cutover from the current system by December 2009. Users will begin to use the new ATS Unsecured systems after June; however, based on new information from the Assessor, the current mainframe system will serve as the production system until the Secured systems are also complete the following year, in December 2010. True cutover to the new ATS, as recently explained by the Assessor, will take place in December 2010. The project end date has been modified to reflect this new information. Although an initial hardware platform has been provisioned by CEO-IT to support the Unsecured System development, QA & Production hardware has not been sized or procured. Performance testing will begin next quarter, which will provide the necessary information for hardware sizing and design for the production environments which will then be procured by the Assessor. CEO-IT has completed the standard Operating Procedures for the Data Center environment. The ATS team is in the process of developing application-specific procedures for the new ATS. Significant collaboration between the Assessor and CEO-IT needs to continue to ensure that these efforts are completed on schedule. C. A/C, COB and TTC Property Tax Management System (PTMS) 1. Project Description The Assessment Tax Systems (ATS) is a set of software applications that support all of the County s Property Tax Administration (PTA) Departments Assessor, Auditor-Controller, Clerk of the Board of Supervisors, and the Treasurer-Tax Collector. At this time, the ATS rewrite is being conducted in two coordinated efforts: the Assessment application is being managed by the Assessor; and the Property Tax application is being managed by the Auditor-Controller, the Clerk of the Board, and the Treasurer- Tax Collector. The PTMS Steering Committee is providing the overall management and oversight of the rewrite. The purpose of this phase of the PTMS project is to engage consulting services to design, develop, and implement the PTMS system requirements. The system will be developed in 3 phases or tiers. 2. PTMS Risk Scorecard Risk Level Budget Schedule Technology Scope Resource Organizational H L M M M L Risk Scorecard Comments: The PTMS project team continues to be diligent in following project management standards and best practices. Although there is inherent risk in a project of this size, complexity and duration, the PTMS Project Team has taken steps to mitigate all of the risks within its control. The risk level for PTMS budget continued to increase during the 3 rd quarter. Initial financing plans were not realized and due to the County budget crisis, the CEO is re-evaluating all projects for possible deferral. To ensure that the impact of this issue is reduced, the team will continue to work with CEO Budget and will be deliberate in its software delivery strategy, ensuring that each rollout (tier) is stable and contained enough to avoid reliance on the implementation of subsequent implementations. Page 10 of 18
Technical risks continue to be rated as Medium. PTMS is being developed in 3 tiers which will result in continual movement of data between ATS and PTMS while in transition stages. There is also the added complexity of differing platforms. The general strategy is to do batch updates. The PTMS team is working to define an adequate solution for this effort. CEO-IT and PTMS have agreed on plans to ensure that the necessary procedures and resources are identified to ensure operational readiness, including a deployment plan. A decision has also been made to use the County s Single-Sign-On (OCid) security strategy. Since this is a new system, risk will be mitigated by testing OCid with PTMS early on. Working with the OC-id vendor has been slower than planned, but efforts continue. Project scope is rated as Medium during this period due to requirements volatility. A Change Management process to estimate changes to requirements and document impacts has been implemented to mitigate this risk. The team is also considering imposing cut-off dates for change requests to prompt users to think earlier than later, thereby reducing risk. Resource risk related to the availability and continuity of subject matter experts and project team members over the 2-year life of the project continues to be rated as Medium. During this period, all required resources were on track in fulfilling project requirements. On-going resource monitoring will continue to ensure the project remains on schedule. 3. PTMS Budget Status Fiscal Year Budget Current Budget Funded Expenditures To Date Status FY 2005-2008 $ 2,754,475 -- $ 2,754,475 FY 2008-2009 $ 5,598,141 $ 3,820,000 $707,062 FY 2009-2010 $ 5,578,640 -- N/A N/A FY 2010-2011 $ 3,754,500 -- N/A N/A Total Budget $17,685,756 $3,461,537 Budget Comments: Project budgeted funds include all phases of the project. Expenditures include $2,754,475 from previous phases and $707,062 for this fiscal year. Additional funding required is still pending CEO financing. Total project budget does not include costs resulting from an Independent Verification and Validation and data storage and archive. After reducing the scope and rebidding the IV&V RFP, a new contract will be going to the Board in the month of April or May 2009. Page 11 of 18
4. PTMS 3rd Quarter Schedule Milestones Milestone Planned Start Actual Start Planned Finish Actual Finish Project Start 7/16/08 7/28/08 12/2010 Finalize Unified Project Process Plan 9/08 9/08 10/08 10/08 Tier 1 Requirement and prototypes 10/08 10/08 1/09 1/09 Logical Technical Architecture 12/08 12/08 2/09 2/09 Status Schedule Milestone Comments: During this quarter the PTMS project team has been in the Planning and Design phase of the application development for Tier 1. Requirements, prototypes, application design and database design for Tier 1 have been completed. The technical architecture and general Standard User Interface (SUI) has also been completed. The project is progressing on schedule. D. Clerk-Recorder SECURE Electronic Recording Delivery System (ERDS) 1. Project Description This is the development of a Multi-County Electronic Recording Delivery System to be jointly owned by the Counties of Orange, Los Angeles, Riverside and San Diego. Phase I includes the initial Orange and Los Angeles County implementation, followed by additional Counties in future phases. The system will allow authorized submitters (Title Companies and others) to have a single point of submission, with the ability to submit documents to multiple Counties. Once the document is submitted through the multicounty system, each County will have its own Recording-Cashier-Grantor-Grantee system in place to retrieve, record and maintain the document. 2. SECURE ERDS Risk Scorecard Risk Level Budget Schedule Technology Scope Resource Organizational L M M M L M Scorecard Comments: This is a complex development project with multiple stakeholders; therefore, several risks were identified with regards to schedule control and risk continues to be rated as Medium. Overall, the SECURE ERDS Project Manager is mitigating these risks through more effective communication with the Owner counties and increased visibility of dependant project tasks that include: a. California Attorney General Certification Requirement Prior to use of the new system, the software application must be certified by the Attorney General. The contracted software developers were behind in delivering this code, but during this reporting period, significant progress was made with delivery of core software functionality needed for certification. The Owner Counties voted, however, to accommodate a software design change to reduce the risk of confusion during certification. The new design calls for a bridge component to connect the SECURE ERDS software system to the OC Clerk-Recorder s back-end system and limit the Attorney General Certification requirement to the front-end system only, like all other Owner County systems. With this change in scope, the schedule Page 12 of 18
will be rebaselined, extending the project completion date but reducing risk and increasing the likelihood for success in the certification process. b. Coordination of testing with LA County Further work is being done to mitigate this schedule risk and provide project visibility to this process. LA County has delivered a timeline for development of their bridge component that coincides with the timeline for the Orange County Clerk-Recorder to finish their tasks for certification. The OC Project Manager is working with LA County to ensure testing is completed on schedule. The ERDS team is confident they can meet their new completion date of 9/1/2009, followed by the Attorney General certification process which could take up to 90 days. Technology Risk related to the software application itself continues to be a Medium risk. Three software releases were completed during this period to address program fixes and additional functionality. OC staff is performing on-going testing and quality assurance activities to ensure the software code meets requirements. Due to the multi-county involvement in this project, Organizational Risk continues to be rated as Medium and is being mitigated again through on-going communication and status meetings with all stakeholders. The Clerk-Recorder has finalized the multi-county business model and established an MOU with CEO-IT for support of the ERDS system. 3. ERDS Budget Status Fiscal Year Budget Expenditures To Date Status FY 07-08 $ 3,450,000 $ 2,572,250 FY 08-09 $ 877,750 $ 323,495 Total $ 3,450,000 $ 2,895,745 Budget Comments: Budget rollover to FY 08-09 Expenditures to date include the contract encumbrance of $2,520,000 and resource costs of $323,495. The project is on budget. (Note: The contract cost is being divided equally among the four Owner Counties. Orange County Clerk Recorder will only pay 1/4 of the total cost agreed to by Owner Counties.) 4. ERDS 3rd Quarter Schedule Milestones Milestone Planned Actual Planned Actual Status Start Start Finish Finish Project Start 2/08 2/08 6/09 Rebaselined to 12/09 Rebaselined to address approved change in scope. Core software functionality 5/08 5/08 9/08 1/09 Software Testing 9/08 9/08 7/09 Software testing is on-going as releases are received by vendor. Software Bridge POC 1/09 1/09 3/09 3/09 Page 13 of 18
System Certification by California Attorney General (rebaselined) 9/09 12/09 Schedule Milestone Comments: Core software functionality was developed and tested during this quarter. After re-evaluating the multicounty Attorney General certification requirements, a key decision was made this quarter by all SECURE ERDS Owner counties for Orange County to change the ERDS software design to include a bridge component. This decision resulted in an approved increase to the scope of work. A Proof-of-Concept for the new software bridge design was completed during this quarter. A contract that includes the full development of the bridge software component is expected to go to the Board of Supervisors for approval in May 2009 as part of an upgrade to the Clerk-Recorder s current property recording, cashiering and document retrieval systems. The schedule has been rebaselined to reflect the time required for the additional scope. E. HCA Cerner Clinic Scheduling/Public Health Registration Systems - Complete 1. Project Description The scope of this project includes the development and implementation of Registration and Scheduling functionality that is integrated within the Cerner suite of products at all selected Public Health and Behavioral Health program facilities. The project was primarily split into two halves; 2007 was dedicated to the implementation of Registration and Scheduling functionality for Public Health clinics and 2008 for Scheduling functionality at Behavioral Health clinics. This functionality is integrated with the currently deployed billing and laboratory system and together will enable HCA to achieve significant operational efficiencies. 2. Cerner Risk Scorecard Risk Level Budget Schedule Technology Scope Resource Organizational COMPLETED ON SCHEDULE AND ON BUDGET Risk Scorecard Comments: HCA has successfully completed the implementation of the last phase of this project. Due to HCA s diligence and effective project management, the project was executed within established timelines and under budget. The acceptance document has been executed with Cerner. This project will be closed prior to the next quarterly report. 3. Cerner Budget Status Fiscal Year Budget Expenditures To Date Status FY 06-07 $ 50,000 $ 46,210 FY 07-08 $ 432,532 $ 290,081 FY 08-09 $ 244,374 $ 155,128 Total $ 726,906 $ 491,419 N/A Budget Comments: Page 14 of 18
HCA has an obligation to pay the 20% negotiated cumulative holdback to the vendor upon receipt of invoice. (Note that numbers shown above are actual paid expenses for this reporting period. For FY 08-09 expenditures to date, the total does not include hours and expenses that have been consumed for which payment has not been made yet). Estimated total project cost after payment of all invoices and retention amounts is $606,542. 4. Cerner 3rd Quarter Schedule Milestones Milestone Planned Actual Start Planned Actual Status Start Finish Finish Project Start/End 1/07 1/07 2/09 01/09 Scheduling at Behavioral Health Clinics 1/08 1/08 2/09 01/09 Closed During this quarter, the Cerner project was completed one month earlier than planned and within budget. F. Probation AS/400 Case Management System (CMS) Migration 1. Project Description This is a multiple year project to migrate Probation s AS/400 Case Management System and applications, which have reached end-of-life, to an Open Source architecture. The new system will provide increased functionality and enhanced reporting capability. 2. CMS Migration Risk Scorecard Risk Level Budget Schedule Technology Scope Resource Organizational M M L L L M Risk Scorecard Comments: The Probation project manager reviewed a detailed project plan and project documents with the CEO PMO. Significant planning efforts has resulted in a comprehensive schedule, budget, software architecture design and development standards. The project continues to be managed effectively with on-going status reporting to Probation Management. For the 3 rd Quarter, Budget risk has been increased to yellow. Although the project remains within budget at this time, a rate increase from a programming contractor on the project could affect the overall budget. Programming support was originally budgeted based on a planned hourly rate; however, higher actual rates have been experienced over the life of the project. As due diligence, Probation has made this a watch item that will continue to be monitored closely to mitigate further fiscal impact. Schedule risk remains yellow. Recent staff reductions within the agency have resulted in less programming resources available for projects. This has and will continue to impact some of the original completion dates for outstanding CMS project milestones. Challenges were also experienced by the project team in completing required training of end-users. Due to staff schedules and shifts, training took Page 15 of 18
longer than estimated, resulting in a revised completion of this milestone to June 8, 2009. The project team will continue to monitor the schedule and escalate concerns as needed. Organizational risk also remains yellow based on potential challenges associated with the last phase of the project, which is the Institutions Management System (IMS) migration to the new structure. The IMS is a complex application that will require timely acceptance testing by knowledgeable Institution Operations users. There will be significant communication and user training required for the several hundred staff who use the IMS application at the six institutions. Recent staff reductions have also impacted the availability of project resources for this effort and may be a potential risk going forward. 3. AS/400 CMS Migration Budget Status Fiscal Year Budget Expenditures To Date Status FY 07-08 $1,800,000 $ 334,750 Budget rollover to FY 08-09 FY 08-09 - - $ 1,149,652 Total $1,800,000 $ 1,484,402 Budget Comments: On-going budget monitoring is being done by the Project Manager. Project is on budget. 4. AS/400 CMS Migration 3rd Quarter Schedule Milestones Milestone Planned Start Actual Start Planned Finish Actual Finish Adult CMS System Migration 4/1/08 4/1/08 11/30/08 11/30/08 Requirements Adult CMS Programming 6/1/08 6/1/08 1/31/09 2/27/09 Adult CMS Implementation 2/17/09 3/17/09 Revised to 6/8/09 Juvenile CMS Implementation 3/17/09 6/30/09 Revised to 9/30/09 IMS Implementation 3/17/09 6/30/09 Revised to 9/30/09 Status Schedule Milestone Comments: The milestones are progressing, however completion dates have been modified to reflect challenges with completion of training, as well as project impacts related to recent Probation Department staffing reductions. Page 16 of 18
G. PA/PG epages Replacement Case Management System Phase I & II 1. Project Description This project addresses PA/PG s business need to replace an outdated Case Management System that has reached end-of-life. Business units require additional automated functionality to improve the departments overall operation and ability to meet mandates, as well as improve service to Orange County conservatees and decedents. This project is being completed in two phases; Phase I includes a Proof-of-Concept, followed by the full implementation in Phase II. 2. PA/PG epages Risk Scorecard Risk Level Budget Schedule Technology Scope Resource Organizational M H L M M L Risk Scorecard Comments: During the 3 rd quarter, several project risks were identified. Original schedule estimates to define and document requirements were low and adequate resources were not assigned to the project. Requirements were not documented properly and insufficient code was delivered by the vendor. The project fell behind schedule quickly. To mitigate these risks, a new CEO-IT project manager and business analyst were assigned to work on this project. They are working with the vendor and PA/PG project team to properly identify the scope and work estimates for each software module. The project end date is being extended to reflect the revised work estimates. Since the project schedule is being protracted by six months, although contract funds to complete the development of the epages software are encumbered, the CEO-IT resource cost to complete the project is in jeopardy since these funds will not rollover to the next fiscal year. This risk is currently being discussed with CEO Budget and the CIO to determine how to fund the remaining implementation costs. 3. PA/PG epages Budget Status Fiscal Year Budget Expenditures Status FY 06-07 $ 500,000 $ 52,393 $468,216 re-budgeted in FY 07-08 FY 07-08 $ 468,216 $ 462,965 Remaining budget did not roll over to FY08-09 FY 08-09 $ 250,000 $ 51,512 See comment below. Total Budget $ 765,358 $ 566,870 The Total Budget represents prior year s actual budgeted expenditures, plus current fiscal year authorized budget. Budget Comments: The project is on budget. The $250,000 allocated for CEO-IT project resource costs is adequate, however, protracting the schedule into FY 09-10 puts the funds in jeopardy since there is no budget rollover approved by CEO Budget. This shortfall is currently being addressed by CEO Budget and the CIO s Office. Page 17 of 18
4. epages 3 rd Quarter Schedule Milestones Milestone Start Actual Start Planned Finish Actual Finish Revised Project Start/End 7/06 7/06 8/09 Revised to 2/2010 Proof-of-Concept (Iteration 1) 7/08 7/08 10/08 10/08 Asset & Accounting Modules (Iteration 2) Case Mgmt. Module (Iteration 3) 5/09 10/09 Property & Trust Modules (Iteration 4) 10/09 2/2010 Schedule Milestone Comments: Status Rebaselined to reflect revised work estimates. 11/08 11/08 5/09 On schedule to meet rebaselined completion date During the 3 rd quarter, it was determined that sufficient resources were not identified to properly document requirements for Iteration 2. Due to inadequate requirements, the vendor delivered incomplete code and the project began to fall behind schedule. In March, a new CEO-IT project manager and business analyst were assigned to the project to ensure software functionality requirements were thoroughly documented and a more realistic schedule developed. The new project manager met with the team to rebaseline the schedule to reflect more accurate work estimates. Work on the Asset and Accounting functional requirements resumed with improvements made to the process. The revised project end date is February 2010. Page 18 of 18