CMS Initiation Final

8/7/2019 CMS Initiation Final

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New Case ManagementSystem (CMS) Project

Initiation Document

January 27, 2011


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DOCUMENT HISTORY

Date Version Editor Changes

Jan. 6, 2011 1.0 D. Chase Initial draft Jan. 12, 2011 1.1 D. Chase Fixed various grammatical & text items

Updated Success Measures

Updated Project Scope

Updated Assumptions & Constraints

Updated Project Roles & Responsibilities

Appendix A - MOSTD Oversight Severity &Risk Analysis

Jan. 20, 2011 1.2 D. Chase Updated Schedule

Updated Work Products

Updated Resources Updated Success Measures

Appendix B Project Governance Jan. 27, 2011 1.3 D. Chase Found & replaced grammatical issues

Updated Resources


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New Case Management System ProjectInitiation Document

TABLE OF CONTENTS

1. Project Statement ..................................................................................................................................... 1

2. Business Case ........................................................................................................................................... 1

3. Objectives ................................................................................................................................................. 3

4. Scope ......................................................................................................................................................... 3

5. Assumptions ............................................................................................................................................. 4

6. Risk Factors .............................................................................................................................................. 5

7. Cost, Schedule, and Resources .............................................................................................................. 6

8. Work Products ......................................................................................................................................... 9

9. Project Organization ............................................................................................................................. 10

10. Success Measures ................................................................................................................................... 13

11. Agreement ............................................................................................................................................... 14

Appendix A. MOSTD Oversight Severity & Risk Analysis ...................................................................... 15

Appendix B. New UI CMS Governance ...................................................................................................... 18


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January 27, 2011 Version 1.2 Page 1

The purpose of this document is to provide an overview of the New Case Management SystemProject and describe the resources needed to complete the objectives outlined. This document willbe used to guide additional planning tasks and project activities.

1. PROJECT STATEMENT

The Office of Administrative Hearings (OAH) is an independent state agency that conducts morethan 70,000 impartial administrative hearings per year for state and local government agencies.Three separate case management systems are currently in place at OAH. Each system is completelyindependent, that is separate databases, separate reporting, and separate data entry.This project willfocus on the unemployment insurance cases but will be developed in a manner that is scalableenough to be used for the other caseloads as funds are secured.

The project will not only develop a new case management system (CMS) but will create newstandardized processes and procedures for the handling of cases at OAH. OAH will look to

streamline processes and procedures to maximize staff effectiveness and minimize costs such astime to process an appeal and the paper produced. Currently support staff spend a significantamount of time preparing and copying documents that go into an appeal file.

The goal is to create a system that provides flexibility to track appeals as they progress through thecase management lifecycle; be scalable to allow for modifications when necessary (i.e. new ESDprogram issue codes); and reflect efficient business processes. The new system will increaseeffectiveness in time and resources so OAH can be nimble and mobile in meeting UI caseloaddemands. The new CMS will be a system for the UI caseload that will become the model for allOAH case management systems. The new CMS will be a centralized system that provides safe,secure, and complete access to all necessary data wherever there is an Internet access in case ALJscannot access the office. Our future will be that we can literally do our jobs where ever we have

access to the system.

2. BUSINESS CASE

Currently, for the Unemployment Insurance (UI) caseload OAH relies on a system called ACTS Appeal Case Tracking System. ACTS was created about 15 years ago. At the time ACTS wasrecognized as a novel and cutting edge UI case tracking system. Recently OAH hired anindependent consulting firm to conduct an efficiency assessment. The result was that ACTS isbeyond its life expectancy and puts OAH at risk. Some of the risks identified are:

Ineffective business processes which result in poor use of staff resources and materials. Thecurrent system requires staff to complete several manual processes (e.g., assembly, sorting &

copying files) and uses WordPerfect macros to create the various case documents. Allprocesses are paper intensive and dependent on paper records. Consequently UI processesand practices vary between OAH offices and even within offices. There is no systemdocumentation and as a result much of the operational knowledge resides in the heads ofkey staff within an office on how to use ACTS.


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No data standards which results in poor and/or lost data. There are no data input standardswhich mean that incorrect data or that some critical data fields are empty. There are toomany data tables and the linkage between tables is confusing. Little or no databasedocumentation (data dictionary or data definitions, or data flow templates) exists. ACTS has

been repeatedly upgraded, modified, and changed over the years and no documentationexists.

Uses outdated software (Borland Paradox & WordPerfect) as core system componentswhich may result in lost data. Borland Paradox uses older database architecture which islimited in record and data processing (e.g., record locking, record indexing, sequencing, etc.).No technical support is available for Borland Paradox or WordPerfect.

ACTS is a document creation system not a case management or tracking system which mayresult in lost or misplaced records. There is no way to determine what step in the appealprocess a case is at within ACTS. Again, cases are tracked in the heads of key supportstaff through operational knowledge. No audit log exists on modifications or changes madeon data entered into the system.

ACTS is a distributed database which may result in lost or misplaced data and ineffective useof staff resources. Each OAH field office has its own database. Each day, field office dataare merged with a centralized agency core system. This takes 0.5 of an ITS4 FTE toaccomplish.

A new case management system will offer OAH an opportunity to change business processes andbecome more efficient in processing appeals. For example, all intake and scheduling can occur as acentralized system function, or have the ability to determine a case complexity based on the datainput which may reduce the time necessary for a hearing. Changing business processes requiresstrong management support as well as training and communications.

At the core of any case management system is a comprehensive document and informationmanagement system. Rather than trying to develop such a system from scratch, the new CMS willbe based on theMicrosoft SharePoint 2010 platform. This will enable the new CMS to use commonand Washington state government standard business tools such asMicrosoft Word,Microsoft Outlook,Microsoft SQL serverand other tools. The system will also make maximum use of establishedtechnologies at OAH such as Citrix.

At the completion of this project, we will have a system that:

Includes all necessary data relevant to the case;

Is stable and secure;

Includes a component for digital hearing record to be included in the case file;

Includes data validation and error checking; Uses standardized forms and documents;

Provides data that is necessary to create reports for reporting performance measures;

Does integrated scheduling usingMicrosoft Outlook.


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3. OBJECTIVES

Several project objectives have been identified with this project, these are:1. Development of a UI CMS that will have:

Standardized processes & procedures through standardized forms and documents, dataentry, and data templates; Production of electronic documents, electronic document transfer, and digital archiving; Integrated scheduling usingMS Outlook; Safe and secure data and files; and, Improved performance reporting.

2. Implementation of a UI CMS by March, 2012. Implementation will include the followingOAH staff training components: New CMS processes and procedures; UsingMS Outlook for scheduling; UsingMS Wordfor creating documents; and, UsingMS SharePoint for retrieving documents and reports.3. Acquisition, installation, and implementation of all necessary technology components (e.g.,

hardware & software) that is in accordance with DIS standards and procedures.4. Good coordination, cooperation and communication with OAH staff, vendors, and client

agencies through: Communications plan that identifies medium, methods, approval, audiences; Risk, issue, & event tracking and logging; Clearly defined roles & responsibilities; and, Periodic & routine meetings and sessions.

5. Project completion by March, 2012 that is within the timelines and within budget.6. UI CMS will serve as a foundation for future case management systems within OAH.

4. SCOPE

All of OAH will be affected by this project.

Components within the scope of this project are:

How OAH processes UI appeals as well as how OAH receives and transfers data andinformation between ESD and OAH.

Defining CMS data elements & schema to be consistent with state enterprise dataframework standards.

Current system maintenance activities with current agency systems ACTS, HATSS, &

CATS. Improvements, upgrades, or major changes to these systems should be minimized.

Components not within the scope of this project are:

Automatic or integrated data transfer between ESD systems (Telecenters and/orCommissioners Review Office).

Billing or time accounting system to replace current OAH systems, e.g., TMS.


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5. ASSUMPTIONS &CONSTRAINTS

Project activities and deliverables are developed with the following assumptions in mind:

A test lab environment will be created and used to mimic the current OAH environment.The test lab will allow for evaluating technology and for providing a learning rip-and-tearenvironment. Further experimentation will be done in the test lab.

Technology will be implemented in phases (e.g., Test Lab, Pre-Production, andProduction).

Current existing infrastructure and technology equipment found in field offices (applicationservers, Ethernet switches, workstations, etc.) are satisfactory.

Whenever possible, commercially available solutions (hardware and software) will be used.

Security and access solutions will be compatible and within established DIS and ISB securitystandards.

Acquisition of services and equipment will be compatible and within established DIS &OFM purchasing guidelines.

CMS will be designed around usingMicrosoft SharePoint 2010 and the suite ofMicrosoft Office2010 products (e.g., Outlook, Word, Excel, InfoPath, etc.)

Project planning will be done usingMicrosoft Project.

Integration with current OAH systems will be done using existing OAH IT resources.

Necessary technology training, if needed, will be made available.

Staff involved will continue to fulfill their existing duties; however, required resources(whether existing team members or fill-ins) will be committed to this project as agreed uponto ensure successful implementation.

All work will be accomplished within budget allocation as identified in the Supplemental

Budget Request.

The following project activities and deliverables are developed with the following constraints inmind:

This project was identified by DIS MOSTD (Management Oversight & StrategicTechnology Direction) as Level 1 project (see appendix A). This required elimination ofautomatic & integrated data transfer processes between ESD & OAH.

Anticipated work load peaks will occur within the agency that will potentially compete forthis projects resources.

Operational constraints & agency issues, as well as workload peaks by staff need to beaccommodated (e.g., resource availability).

Scheduled leave or holidays may limit resource availability at times. Project Schedule will identify many tasks that have dependencies which if not met, will cause

a ripple effect downward of the project schedule.

No alternate resources have been approved should staff become unavailable to performtheir tasks.


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6. RISK FACTORS

It is critical to the success of this project that potential risks be identified and communicated, and arisk management strategy is in place for each phase of the project. The following table identifies

major risks and mitigation strategies. A separate, more detailed Risk Management Matrix will bedeveloped and incorporated into OAHs Risk Registry.

Elements forSuccess Risks Leading to Failure Mitigation Strategies

Staff Availability Key staff may not beavailable to effectivelydetermine requirements andperform development andtesting.

Communicate resources required and gainassurances that staff resources will be madeavailable in a timely manner.

ManageableScope

Requirements andrequested changes exceedto scope of the project.

Develop and follow an agreed upon changemanagement process.

The CMS Steering Committee will guide andkeep the project within scope and determinebusiness requirements.

Planning &coordination

Too aggressive timelines Poorly defined roles &

responsibilities

Poorly defined milestones

Use the CMS Steering Committee to guideproject timelines & milestones

Clearly defined roles & responsibilities Project manager monitors project progress and

coordinate resources Track & log issues and events

Knowledge,consulting &advice

Poor CMS design.

Poor technology (e.g.,

SharePoint) knowledge andunderstanding.

Poor implementationstrategies.

Develop a staff training plan.

Research and investigate agency case

management techniques and strategies. Coordinate and use existing SharePoint and

CMS knowledge developed in other stateagencies.

Develop and follow a good testing plan.

Establish good rapport with key business usersand agency experts

Use the CMS Steering Committee to guide theproject and determine business requirements.

Communication& coordination

Poor communication andcoordination with OAHemployees.

Poor communication and

coordination with vendor.


Develop and follow a communication plan. Document meeting minutes.

Training Inadequate technicaltraining

Inadequate staff training

Develop and follow a training plan Ensure training made available Use IT Liaisons


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7. COST,SCHEDULE, AND RESOURCES

CostThe total available federal funding awarded by the US DOL for this project is $489,742. The

following table shows a breakdown of the costs by major activity.

Category Cost % Confidence

Equipment (hardware & software) $34,400 90%

CMS Training $20,640 80%

External Consulting & Programming $403,022 80%

Quality Assurance $31,680 70%

TOTAL $489,742

ScheduleThe following table provides an overview of major activities and completion dates. A detailedproject schedule will be developed separately to provide additional detail regarding tasks, resourcesand dates.

Major Activities and Tasks Dates

UI CMS Project Initiation Identify and document project requirements

Identify project governance Review other agencies case management systems

Communication plan

October 2010 -January 2011

Determine Project Requirements Identify hardware & software requirements Identify business requirements through business workgroups Map & describe business work flows

Identify data elements Test consolidated business processes

October 2010 -February 2011

Vendor selection & initial development

Complete data dictionary & data structures Finalize consolidate business processes

Complete Software Requirements Specifications (SRS) document Complete vendor work order Interview & select vendor, contract with vendor

February 2011 -May 2011

Initial UI CMS review, testing & evaluation

Prototype & early version (alpha) UI CMS development Testing, evaluation, recommendations, modifications with selected users Project Team & UI CMS Steering Committee approval of version changes Coordinate changes with vendor and on-going development Create test UI CMS environment, ensure hardware & software are operational

Present pre-production (beta) version to stakeholders

June 2011 October 2011


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Final UI CMS testing & preparation for implementation Evaluate pre-production UI CMS (beta) and ensure data & functional accuracy

Testing, evaluation, modifications, with expanded group of selected users

Project Team & UI CMS Steering Committee approval of final UI CMS version Coordinate changes, modifications, and updates with vendor Present UI CMS to ADCs & Office Managers

Identify training materials and plans Create implementation plan

Create pre-production UI CMS (technical environment) for extensive testing &functionality

October 2011 December 2011

Quality Assurance

Hire private vendor to perform light quality assurance assessment of CMS Prepare for quality assurance - ensure all requirements documentation &

change orders are assembled Coordinate with vendor quality assurance

Review quality assurance report from vendor

December 2011 February 2012

UI CMS Implementation

Perform training at each field office

Coordinate with each field office for UI CMS installation Provide extra local IT & UI CMS support Lessons learned at each local office post-implementation

March 2012 April 2012

UI CMS Lessons Learned & Project wrap-up

Coordinate with vendor on final UI CMS issues

Meet with various UI CMS workgroups to do Lessons Learned Project Team & Steering Committee approval Identify with the vendor and Steering Committee what possible future

improvements can be made for future versions.

May 2012


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Resources

The following table lists agency resources expected to participate in the project. The Est. ProjectInvolvement column identifies the estimated percent of time the resource is dedicated to theproject; since most staff will be participating in the project concurrently with their current job

responsibilities and duties. This percentage estimate is the average for the life-time (estimated 20months) of the project. Consequently, there may be times when the project resource mayperiodically be 100% involved with the project and other times involved very little or not at all.

Resource Project RoleEst. ProjectInvolvement

Lorraine Lee Project Sponsor, GMAP Project TeamLead, & CMS Steering Committee

30%

Don Chase Project Manager 50%Tarisse Injerd Project Coordinator 90%Bill Dodge Business Project Team Lead 90%Loree Hawkens Technical Team Lead 50%Stephanie Croom-Williams Stakeholder Team Lead & CMS Steering

Committee

20%

Virgil Sweeney Time-Keeping BMV Lead & CMSSteering Committee

20%

Patti Latsch Performance BMV Lead & CMS SteeringCommittee

20%

Justin Hansen SharePoint & Technical Team member 50%John Morgan Technical Team member 30%Frank Mighetto Technical Team member & multiple

workgroup member30%

IT Liaisons IT Liaisons 10%BMV Team Leads BMV Team Leads 15%BMV & Ad hoc Wrkgrp members BMV & Ad hoc Workgroup members 10%ADCs ADCs 5%


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8. WORK PRODUCTS

The following work products will be produced.

Major Activity Work ProductsCMS ProjectInitiation

Project initiation document Communications plan Project schedule

Risk management plan Project team roles and responsibilities document Project governance document

Determine ProjectRequirements

Business Activities Document

Business work flow drawing Data screens indicating elements as determined from business workgroups Agency glossary relating to terminology and measures

Vendor Selection &Initial Development

Data dictionary Software Requirements Specifications document

Vendor work request & work order Technical flow charts Sample or proposed screen views

Initial CMS Review,Testing &Evaluation

Prototype and Alpha CMS releases (for each)o Test plan (Implementation, audience, timeline & milestones)o Testing criteria

Summary of change orders

Issue & tracking log

Final CMS Testing& Preparation For

Implementation

Beta CMS releaseo Test plan (Implementation, audience, timeline & milestones)

o Testing criteria Summary of change orders, issue & tracking log CMS presentation for agency staff and stakeholders

o PowerPoint presentationo Demonstration of system

Agency CMS Training plan

Pre-Implementation plan

Quality Assurance Vendor work request & work order Vendor Quality Assurance report

CMSImplementation

CMS documentation instructions, guides, how-tos, FAQso Policy and procedures relating to use of CMS

Lessons learned per each local office Summary of issue & tracking log

CMS LessonsLearned & ProjectWrap-Up

Post Implementation Review document (Lessons Learned) Vendor summary report

Next version recommendations


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9. PROJECT ORGANIZATION

The project governance design can be found in Appendix B.

Not all project positions are defined below, only those that have significant roles and responsibilitiesin the project and directly influence the success of the project.

Project Sponsor Lorraine LeeThe Project Sponsor represents the business processes being addressed by the project and isultimately accountable for the projects success. The Project Sponsor must be committed to change,must have budget authority over the project, and must be willing to mandate business processalignment within the program and/or Agency where necessary.

Project Sponsor will:

Ensure commitment from the organization to participate in the project

Ensure that political and organizational obstacles to project success are addressed in a timelymanner

Ensure funding and other resources are available for the duration of the project

Resolve outstanding project personnel and resource issues

Supervise and direct the Project Manager, Project Coordinator, and Business Team Lead

Project Steering Committee Lorraine Lee, Patti Latsch, Stephanie Croom-Williams, VirgilSweeneyThe Project Steering Committee guides the project and ensures project and business objectives arebeing met. The Project Steering Committee must be committed to understanding projectrequirements and balance them with business requirements.

Project Steering Committee members will:


Ensure resources are available for the duration of the project

Approve project plans

Approve major project changes (scope, schedule, etc.)

Approve final reports (deliverables) from all project phases

Resolve outstanding project operational and functional issues

Approve recommendations made by the Project Teams


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Project Manager Don ChaseThe Project Manager has the technical managerial oversight of the project and, along with theProject Sponsor, has overall responsibility for the project. The Project Manager has the basic task ofintegrating the efforts of both the user and technical teams in developing the CMS. The Project

Manager assigns the technical project deliverables to specific project personnel and tracks theirprogress in accordance with the project plan. The Project Manager is the prime planner, organizer,and team leader for the project. The Project Manager works very closely with the Project Sponsorin the development and management of the project from start to finish.

The Project Manager will: Plan & control the project Direct and coordinate project resources which may include assigning tasks and deliverables Approval of project documents, materials, presentations, and status reports Provide management oversight of system development tasks Be the primary agency contact with the vendor, developers, consultants

Prepare project work plans & work breakdown structures Approve technical system design and specifications, and technical deliverables such as

diagrams and specifications to be used by developers Produce project deliverables in accordance with the SDLC project management

methodology Verify that design and technical decisions are consistent with the OAH standards and

strategies and compatible with those of the state as a whole

Project Coordinator Tarisse InjerdThe Project Coordinator coordinates project meetings, workgroups, training and othercommunications are completed timely and within project specifications. The Project Coordinator isthe prime communicator, facilitator, and organizer for the project. The Project Coordinator works

very closely with the Project Manager in the development of the project.

The Project Coordinator will:

Assist in the creation and preparation of project documents and status reports.

Ensures that the project communications plan is being followed.

Work with the Project Manager that project milestones, tasks, and events are being mettimely and successfully.

Coordinates and ensures project resources are available for meetings, tasks, and other projectitems.

Facilitate and lead various meetings (e.g., Steering Committee, training, Lessons Learned,

testing) and workgroup sessions Assist in the development of user testing criteria and user testing

Coordinate, facilitate, and/or lead user testing

Coordinate, facilitate, and/or lead user training

Coordinate and facilitate CMS implementation

Assist and help create technical deliverables such as diagrams and specifications to be usedby developers

Manage & publish content for the SharePoint CMS sites and Inside OAH


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Business Team Lead Bill DodgeThe Business Team Lead coordinates BMV workgroups, and ad-hoc workgroups for the project andis the lead ensuring that business elements are included in the CMS. The Business Team Lead works

very closely with the Project Manager and Project Coordinator in the development of the project.

The Business Team Lead will:


Ensure that the communications plan is being followed.

Coordinate and ensure project resources are available for meetings, tasks, and other projectitems.

Assist in facilitation & organization of BMV Workgroup & Ad hoc workgroups, user testingand user training meetings

Assist in the development of user testing criteria and user testing

Assist in user testing

Assist in user training

Assist in CMS implementation


Assist in managing & publishing content for the SharePoint CMS sites Steering Committee& Workgroups.

Verify that CMS design and deliverables are consistent with the OAH legal standards andstrategies and compatible with those of the state as a whole

Technical Lead Loree HawkensThe Technical Lead provides the linkage between the technical needs of the project and businessrequirements. The Technical Lead is the technical subject matter expert who understands thedetailed business aspects of the project and will provide a clear understanding as to whatfunctionality the system must provide to the potential system users. The Technical Lead is expectedto work very closely with the Project Manager and Project Sponsor, and interfaces continually withothers working on the project.

Technical Network Lead will: Provide technical oversight on the CMS technical system

Define the basic concepts of the system to meet needed functionality

Determine information and system requirements

Perform and assign technical tasks, as needed

Prepare test plans and test data, and coordinate and conduct system testing

Define and document operational procedures


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10. SUCCESS MEASURES

The following factors will be used to guide and measure the success of this project.

Project concludes with all identified work plan components (tasks and milestones)successfully completed within the scheduled time and budget.

All project purchases (hardware, software, consulting, development, and training) arecompleted by 09/30/12.

Good system performance;o Measures:

No. of help desk calls; Server & database system uptime of greater than 99.9%; and, No record of complaints or issues.

Good coordination between OAH and DIS.o Measures:

Written evaluation written by DIS MOSTD; Periodic meetings with meeting minutes; and, No record of complaints or issues.

Good coordination between OAH and ESD.o Measures:

Written evaluation written by ESD and ESD Commissioners Review Office; Periodic meetings with meeting minutes; and, No record of complaints or issues.

Good coordination between OAH and vendors;o Measures:

Closing vendor evaluation; Periodic meetings with meeting minutes; and, No record of complaints or issues.

Good coordination between CMS Project Team and OAH employees/customers;o Measures:

Closing survey & evaluation with a cumulative score above 3.3 (1 poor 5excellent) in the following categories:

Testing; Training; Communication methods; and, Implementation.

Periodic meetings with meeting minutes; and, No record of complaints or issues.

The CMS system receives a cumulative approval rating by OAH staff equal to or greaterthan 3.3 (1 poor 5 excellent) in the following areas:

o Functionality; and,o Design, layout & appearance.

CMS project plan milestones met within 90% of the time as set forth in the project plan.


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11. AGREEMENT

The following signatures by the Project Sponsor and Project Manager indicate acceptance andapproval of the Project Initiation document as written.

Lorraine Lee, Chief Administrative LawJudge

Don Chase, CIO & Project Manager


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Appendix A. MOSTD Oversight Severity & Risk Analysis

Severity Level CriteriaThe severity matrix assesses the proposed projects impact on citizens and state operations, its visibility

to stakeholders, and the consequences of project failure.

Categories

Levels

Impact onClients

Visibility Impact on StateOperations

Failure or NilConsequences

High Direct contactwith citizens,politicalsubdivisions, andservice providers

including

benefitspayments andtransactions.

Highly visible topublic, tradingpartners, politicalsubdivisions andLegislature.

Likely subject to

hearings.System

processessensitive /confidential data(e.g. medical,SSN, credit card#s).

Statewide ormultiple agencyinvolvement /impact.

Initial mainframeacquisitions or

networkacquisitions.

Inability to meetlegislative mandateor agency mission.

Loss of significantfederal funding.

Medium Indirect impacts

on citizensthroughmanagementsystems that

supportdecisions thatare viewed asimportant by thepublic.

Access bycitizens forinformation &researchpurposes.

Some visibility tothe Legislature,trading partners,or public thesystem / program

supports. May be subject to

legislative hearing.

Multipledivisions orprogramswithin agency.

Potential failure ofaging systems.

Low Agency

operations only. Internal agency

only. Single division. Improve or

expand existing

networks ormainframes withsimilartechnology.

Loss of opportunityfor improvedservice delivery or

efficiency. Failure to resolve

customer servicecomplaints orrequests.


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Risk Level CriteriaThe risk matrix measures the impact of the project on the organization, the effort needed to complete theproject, the stability of the proposed technology, and agency preparedness.

Categories

Levels

Functional Impacton BusinessProcesses or

Rules

Development Effort& Resources

Technology Capability &Management

High Significant change

to business rules. Replacement of a

mission criticalsystem.

Multipleorganizationsinvolved.

Requires extensive

and substantial jobtraining for workgroups.

Over $5 million. Development and

implementationexceeds 24 months.*

Requires a seconddecision package.

* Clock starts after

feasibility study orproject approval andrelease of funding.

Emerging. Unproven. Two or more of the following

are new for agency technologystaff or integrator, or are new tothe agency architecture:programming language;operating systems; databaseproducts; development tools;

data communicationstechnology.

Requires PKI certificate. Complex architecture greater

than 2 tier.

Minimal executivesponsorship.

Agency uses ad-hocprocesses.

Agency and/or vendortrack record suggestsinability to mitigaterisk on projectrequiring a given level

of development effort.

Medium Moderate change to

business rules. Major enhancement

or moderate changeof mission criticalsystem.

Medium complexitybusinessprocess(es).

Requires moderatejob training.

Under $5 millionbut over agencydelegatedauthority.

12 to 24 months fordevelopment andimplementation. *



New in agency with 3rd partyexpertise and knowledgetransfer.

One of the technologies listedabove is new for agencydevelopment staff.

Executive sponsorknowledgeable butnot actively engaged.

System integratorunder contract withagency technicalparticipation.

Agency and/or vendorrecord indicates good

level of success butwithout the structurefor repeatability.

Low Insignificant or no

change tobusiness rules.

Low complexitybusinessprocess(es).

Some job trainingcould be required.

Within agencydelegated authority.

Under 12 monthsfor developmentandimplementation.*

* Clock starts afterfeasibility study orproject approval and

release of funding.

Standard, proven agencytechnology.

Strong executivesponsorship.

Agency and vendorhave strong ability tomitigate risk on adevelopment project.

Project staff usesdocumented andrepeatable processesfor tracking status,problems, and

change. Agency or vendor is

CMM Level 3equivalent or above.


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Project Approval and Oversight MatrixThe level of approval and oversight required on a given project is determined through an assessment ofproject risk and severity:

High SeverityLevel

2Level

2Level

3

Medium SeverityLevel

1Level

2Level

2

Low SeverityLevel

1Level

1Level

1

Low Risk Medium Risk High Risk


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New Case ManagementSystem (CMS) Project

Initiation Document

January 27, 2011


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DOCUMENT HISTORY

Date Version Editor Changes

Jan. 6, 2011 1.0 D. Chase Initial draft Jan. 12, 2011 1.1 D. Chase Fixed various grammatical & text items

Updated Success Measures

Updated Project Scope

Updated Assumptions & Constraints

Updated Project Roles & Responsibilities

Appendix A - MOSTD Oversight Severity &Risk Analysis

Jan. 20, 2011 1.2 D. Chase Updated Schedule

Updated Work Products

Updated Resources Updated Success Measures

Appendix B Project Governance Jan. 27, 2011 1.3 D. Chase Found & replaced grammatical issues

Updated Resources


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TABLE OF CONTENTS

1. Project Statement ..................................................................................................................................... 1

2. Business Case ........................................................................................................................................... 1

3. Objectives ................................................................................................................................................. 3

4. Scope ......................................................................................................................................................... 3

5. Assumptions ............................................................................................................................................. 4

6. Risk Factors .............................................................................................................................................. 5

7. Cost, Schedule, and Resources .............................................................................................................. 6

8. Work Products ......................................................................................................................................... 9

9. Project Organization ............................................................................................................................. 10

10. Success Measures ................................................................................................................................... 13

11. Agreement ............................................................................................................................................... 14

Appendix A. MOSTD Oversight Severity & Risk Analysis ...................................................................... 15

Appendix B. New UI CMS Governance ...................................................................................................... 18


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The purpose of this document is to provide an overview of the New Case Management SystemProject and describe the resources needed to complete the objectives outlined. This document willbe used to guide additional planning tasks and project activities.

1. PROJECT STATEMENT

The Office of Administrative Hearings (OAH) is an independent state agency that conducts morethan 70,000 impartial administrative hearings per year for state and local government agencies.Three separate case management systems are currently in place at OAH. Each system is completelyindependent, that is separate databases, separate reporting, and separate data entry.This project willfocus on the unemployment insurance cases but will be developed in a manner that is scalableenough to be used for the other caseloads as funds are secured.

The project will not only develop a new case management system (CMS) but will create newstandardized processes and procedures for the handling of cases at OAH. OAH will look to

streamline processes and procedures to maximize staff effectiveness and minimize costs such astime to process an appeal and the paper produced. Currently support staff spend a significantamount of time preparing and copying documents that go into an appeal file.

The goal is to create a system that provides flexibility to track appeals as they progress through thecase management lifecycle; be scalable to allow for modifications when necessary (i.e. new ESDprogram issue codes); and reflect efficient business processes. The new system will increaseeffectiveness in time and resources so OAH can be nimble and mobile in meeting UI caseloaddemands. The new CMS will be a system for the UI caseload that will become the model for allOAH case management systems. The new CMS will be a centralized system that provides safe,secure, and complete access to all necessary data wherever there is an Internet access in case ALJscannot access the office. Our future will be that we can literally do our jobs where ever we have

access to the system.

2. BUSINESS CASE

Currently, for the Unemployment Insurance (UI) caseload OAH relies on a system called ACTS Appeal Case Tracking System. ACTS was created about 15 years ago. At the time ACTS wasrecognized as a novel and cutting edge UI case tracking system. Recently OAH hired anindependent consulting firm to conduct an efficiency assessment. The result was that ACTS isbeyond its life expectancy and puts OAH at risk. Some of the risks identified are:

Ineffective business processes which result in poor use of staff resources and materials. Thecurrent system requires staff to complete several manual processes (e.g., assembly, sorting &

copying files) and uses WordPerfect macros to create the various case documents. Allprocesses are paper intensive and dependent on paper records. Consequently UI processesand practices vary between OAH offices and even within offices. There is no systemdocumentation and as a result much of the operational knowledge resides in the heads ofkey staff within an office on how to use ACTS.


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No data standards which results in poor and/or lost data. There are no data input standardswhich mean that incorrect data or that some critical data fields are empty. There are toomany data tables and the linkage between tables is confusing. Little or no databasedocumentation (data dictionary or data definitions, or data flow templates) exists. ACTS has

been repeatedly upgraded, modified, and changed over the years and no documentationexists.

Uses outdated software (Borland Paradox & WordPerfect) as core system componentswhich may result in lost data. Borland Paradox uses older database architecture which islimited in record and data processing (e.g., record locking, record indexing, sequencing, etc.).No technical support is available for Borland Paradox or WordPerfect.

ACTS is a document creation system not a case management or tracking system which mayresult in lost or misplaced records. There is no way to determine what step in the appealprocess a case is at within ACTS. Again, cases are tracked in the heads of key supportstaff through operational knowledge. No audit log exists on modifications or changes madeon data entered into the system.

ACTS is a distributed database which may result in lost or misplaced data and ineffective useof staff resources. Each OAH field office has its own database. Each day, field office dataare merged with a centralized agency core system. This takes 0.5 of an ITS4 FTE toaccomplish.

A new case management system will offer OAH an opportunity to change business processes andbecome more efficient in processing appeals. For example, all intake and scheduling can occur as acentralized system function, or have the ability to determine a case complexity based on the datainput which may reduce the time necessary for a hearing. Changing business processes requiresstrong management support as well as training and communications.

At the core of any case management system is a comprehensive document and informationmanagement system. Rather than trying to develop such a system from scratch, the new CMS willbe based on theMicrosoft SharePoint 2010 platform. This will enable the new CMS to use commonand Washington state government standard business tools such asMicrosoft Word,Microsoft Outlook,Microsoft SQL serverand other tools. The system will also make maximum use of establishedtechnologies at OAH such as Citrix.

At the completion of this project, we will have a system that:

Includes all necessary data relevant to the case;

Is stable and secure;

Includes a component for digital hearing record to be included in the case file;

Includes data validation and error checking; Uses standardized forms and documents;

Provides data that is necessary to create reports for reporting performance measures;

Does integrated scheduling usingMicrosoft Outlook.


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3. OBJECTIVES

Several project objectives have been identified with this project, these are:1. Development of a UI CMS that will have:

Standardized processes & procedures through standardized forms and documents, dataentry, and data templates; Production of electronic documents, electronic document transfer, and digital archiving; Integrated scheduling usingMS Outlook; Safe and secure data and files; and, Improved performance reporting.

2. Implementation of a UI CMS by March, 2012. Implementation will include the followingOAH staff training components: New CMS processes and procedures; UsingMS Outlook for scheduling; UsingMS Wordfor creating documents; and, UsingMS SharePoint for retrieving documents and reports.3. Acquisition, installation, and implementation of all necessary technology components (e.g.,

hardware & software) that is in accordance with DIS standards and procedures.4. Good coordination, cooperation and communication with OAH staff, vendors, and client

agencies through: Communications plan that identifies medium, methods, approval, audiences; Risk, issue, & event tracking and logging; Clearly defined roles & responsibilities; and, Periodic & routine meetings and sessions.

5. Project completion by March, 2012 that is within the timelines and within budget.6. UI CMS will serve as a foundation for future case management systems within OAH.

4. SCOPE

All of OAH will be affected by this project.

Components within the scope of this project are:

How OAH processes UI appeals as well as how OAH receives and transfers data andinformation between ESD and OAH.

Defining CMS data elements & schema to be consistent with state enterprise dataframework standards.

Current system maintenance activities with current agency systems ACTS, HATSS, &

CATS. Improvements, upgrades, or major changes to these systems should be minimized.

Components not within the scope of this project are:

Automatic or integrated data transfer between ESD systems (Telecenters and/orCommissioners Review Office).

Billing or time accounting system to replace current OAH systems, e.g., TMS.


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5. ASSUMPTIONS &CONSTRAINTS

Project activities and deliverables are developed with the following assumptions in mind:

A test lab environment will be created and used to mimic the current OAH environment.The test lab will allow for evaluating technology and for providing a learning rip-and-tearenvironment. Further experimentation will be done in the test lab.

Technology will be implemented in phases (e.g., Test Lab, Pre-Production, andProduction).

Current existing infrastructure and technology equipment found in field offices (applicationservers, Ethernet switches, workstations, etc.) are satisfactory.

Whenever possible, commercially available solutions (hardware and software) will be used.

Security and access solutions will be compatible and within established DIS and ISB securitystandards.

Acquisition of services and equipment will be compatible and within established DIS &OFM purchasing guidelines.

CMS will be designed around usingMicrosoft SharePoint 2010 and the suite ofMicrosoft Office2010 products (e.g., Outlook, Word, Excel, InfoPath, etc.)

Project planning will be done usingMicrosoft Project.

Integration with current OAH systems will be done using existing OAH IT resources.

Necessary technology training, if needed, will be made available.

Staff involved will continue to fulfill their existing duties; however, required resources(whether existing team members or fill-ins) will be committed to this project as agreed uponto ensure successful implementation.

All work will be accomplished within budget allocation as identified in the Supplemental

Budget Request.

The following project activities and deliverables are developed with the following constraints inmind:

This project was identified by DIS MOSTD (Management Oversight & StrategicTechnology Direction) as Level 1 project (see appendix A). This required elimination ofautomatic & integrated data transfer processes between ESD & OAH.

Anticipated work load peaks will occur within the agency that will potentially compete forthis projects resources.

Operational constraints & agency issues, as well as workload peaks by staff need to beaccommodated (e.g., resource availability).

Scheduled leave or holidays may limit resource availability at times. Project Schedule will identify many tasks that have dependencies which if not met, will cause

a ripple effect downward of the project schedule.

No alternate resources have been approved should staff become unavailable to performtheir tasks.


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6. RISK FACTORS

It is critical to the success of this project that potential risks be identified and communicated, and arisk management strategy is in place for each phase of the project. The following table identifies

major risks and mitigation strategies. A separate, more detailed Risk Management Matrix will bedeveloped and incorporated into OAHs Risk Registry.

Elements forSuccess Risks Leading to Failure Mitigation Strategies

Staff Availability Key staff may not beavailable to effectivelydetermine requirements andperform development andtesting.

Communicate resources required and gainassurances that staff resources will be madeavailable in a timely manner.

ManageableScope

Requirements andrequested changes exceedto scope of the project.


The CMS Steering Committee will guide andkeep the project within scope and determinebusiness requirements.

Planning &coordination

Too aggressive timelines Poorly defined roles &

responsibilities

Poorly defined milestones

Use the CMS Steering Committee to guideproject timelines & milestones

Clearly defined roles & responsibilities Project manager monitors project progress and

coordinate resources Track & log issues and events

Knowledge,consulting &advice

Poor CMS design.

Poor technology (e.g.,

SharePoint) knowledge andunderstanding.

Poor implementationstrategies.

Develop a staff training plan.

Research and investigate agency case

management techniques and strategies. Coordinate and use existing SharePoint and

CMS knowledge developed in other stateagencies.

Develop and follow a good testing plan.

Establish good rapport with key business usersand agency experts

Use the CMS Steering Committee to guide theproject and determine business requirements.

Communication& coordination

Poor communication andcoordination with OAHemployees.

Poor communication and

coordination with vendor.


Develop and follow a communication plan. Document meeting minutes.

Training Inadequate technicaltraining

Inadequate staff training

Develop and follow a training plan Ensure training made available Use IT Liaisons


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7. COST,SCHEDULE, AND RESOURCES

CostThe total available federal funding awarded by the US DOL for this project is $489,742. The

following table shows a breakdown of the costs by major activity.

Category Cost % Confidence

Equipment (hardware & software) $34,400 90%

CMS Training $20,640 80%

External Consulting & Programming $403,022 80%

Quality Assurance $31,680 70%

TOTAL $489,742

ScheduleThe following table provides an overview of major activities and completion dates. A detailedproject schedule will be developed separately to provide additional detail regarding tasks, resourcesand dates.


UI CMS Project Initiation Identify and document project requirements

Identify project governance Review other agencies case management systems

Communication plan

October 2010 -January 2011

Determine Project Requirements Identify hardware & software requirements Identify business requirements through business workgroups Map & describe business work flows

Identify data elements Test consolidated business processes

October 2010 -February 2011

Vendor selection & initial development

Complete data dictionary & data structures Finalize consolidate business processes

Complete Software Requirements Specifications (SRS) document Complete vendor work order Interview & select vendor, contract with vendor

February 2011 -May 2011

Initial UI CMS review, testing & evaluation

Prototype & early version (alpha) UI CMS development Testing, evaluation, recommendations, modifications with selected users Project Team & UI CMS Steering Committee approval of version changes Coordinate changes with vendor and on-going development Create test UI CMS environment, ensure hardware & software are operational

Present pre-production (beta) version to stakeholders

June 2011 October 2011


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Final UI CMS testing & preparation for implementation Evaluate pre-production UI CMS (beta) and ensure data & functional accuracy

Testing, evaluation, modifications, with expanded group of selected users

Project Team & UI CMS Steering Committee approval of final UI CMS version Coordinate changes, modifications, and updates with vendor Present UI CMS to ADCs & Office Managers

Identify training materials and plans Create implementation plan

Create pre-production UI CMS (technical environment) for extensive testing &functionality

October 2011 December 2011

Quality Assurance

Hire private vendor to perform light quality assurance assessment of CMS Prepare for quality assurance - ensure all requirements documentation &

change orders are assembled Coordinate with vendor quality assurance

Review quality assurance report from vendor

December 2011 February 2012

UI CMS Implementation

Perform training at each field office

Coordinate with each field office for UI CMS installation Provide extra local IT & UI CMS support Lessons learned at each local office post-implementation

March 2012 April 2012

UI CMS Lessons Learned & Project wrap-up

Coordinate with vendor on final UI CMS issues

Meet with various UI CMS workgroups to do Lessons Learned Project Team & Steering Committee approval Identify with the vendor and Steering Committee what possible future

improvements can be made for future versions.

May 2012


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Resources

The following table lists agency resources expected to participate in the project. The Est. ProjectInvolvement column identifies the estimated percent of time the resource is dedicated to theproject; since most staff will be participating in the project concurrently with their current job

responsibilities and duties. This percentage estimate is the average for the life-time (estimated 20months) of the project. Consequently, there may be times when the project resource mayperiodically be 100% involved with the project and other times involved very little or not at all.

Resource Project RoleEst. ProjectInvolvement

Lorraine Lee Project Sponsor, GMAP Project TeamLead, & CMS Steering Committee

30%

Don Chase Project Manager 50%Tarisse Injerd Project Coordinator 90%Bill Dodge Business Project Team Lead 90%Loree Hawkens Technical Team Lead 50%Stephanie Croom-Williams Stakeholder Team Lead & CMS Steering

Committee

20%

Virgil Sweeney Time-Keeping BMV Lead & CMSSteering Committee

20%

Patti Latsch Performance BMV Lead & CMS SteeringCommittee

20%

Justin Hansen SharePoint & Technical Team member 50%John Morgan Technical Team member 30%Frank Mighetto Technical Team member & multiple

workgroup member30%

IT Liaisons IT Liaisons 10%BMV Team Leads BMV Team Leads 15%BMV & Ad hoc Wrkgrp members BMV & Ad hoc Workgroup members 10%ADCs ADCs 5%


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8. WORK PRODUCTS

The following work products will be produced.

Major Activity Work ProductsCMS ProjectInitiation

Project initiation document Communications plan Project schedule

Risk management plan Project team roles and responsibilities document Project governance document

Determine ProjectRequirements

Business Activities Document

Business work flow drawing Data screens indicating elements as determined from business workgroups Agency glossary relating to terminology and measures

Vendor Selection &Initial Development

Data dictionary Software Requirements Specifications document

Vendor work request & work order Technical flow charts Sample or proposed screen views

Initial CMS Review,Testing &Evaluation

Prototype and Alpha CMS releases (for each)o Test plan (Implementation, audience, timeline & milestones)o Testing criteria

Summary of change orders

Issue & tracking log

Final CMS Testing& Preparation For

Implementation

Beta CMS releaseo Test plan (Implementation, audience, timeline & milestones)

o Testing criteria Summary of change orders, issue & tracking log CMS presentation for agency staff and stakeholders

o PowerPoint presentationo Demonstration of system

Agency CMS Training plan

Pre-Implementation plan

Quality Assurance Vendor work request & work order Vendor Quality Assurance report

CMSImplementation

CMS documentation instructions, guides, how-tos, FAQso Policy and procedures relating to use of CMS

Lessons learned per each local office Summary of issue & tracking log

CMS LessonsLearned & ProjectWrap-Up

Post Implementation Review document (Lessons Learned) Vendor summary report

Next version recommendations


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9. PROJECT ORGANIZATION

The project governance design can be found in Appendix B.

Not all project positions are defined below, only those that have significant roles and responsibilitiesin the project and directly influence the success of the project.

Project Sponsor Lorraine LeeThe Project Sponsor represents the business processes being addressed by the project and isultimately accountable for the projects success. The Project Sponsor must be committed to change,must have budget authority over the project, and must be willing to mandate business processalignment within the program and/or Agency where necessary.

Project Sponsor will:

Ensure commitment from the organization to participate in the project


Ensure funding and other resources are available for the duration of the project

Resolve outstanding project personnel and resource issues

Supervise and direct the Project Manager, Project Coordinator, and Business Team Lead

Project Steering Committee Lorraine Lee, Patti Latsch, Stephanie Croom-Williams, VirgilSweeneyThe Project Steering Committee guides the project and ensures project and business objectives arebeing met. The Project Steering Committee must be committed to understanding projectrequirements and balance them with business requirements.

Project Steering Committee members will:


Ensure resources are available for the duration of the project

Approve project plans

Approve major project changes (scope, schedule, etc.)

Approve final reports (deliverables) from all project phases

Resolve outstanding project operational and functional issues

Approve recommendations made by the Project Teams


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Project Manager Don ChaseThe Project Manager has the technical managerial oversight of the project and, along with theProject Sponsor, has overall responsibility for the project. The Project Manager has the basic task ofintegrating the efforts of both the user and technical teams in developing the CMS. The Project

Manager assigns the technical project deliverables to specific project personnel and tracks theirprogress in accordance with the project plan. The Project Manager is the prime planner, organizer,and team leader for the project. The Project Manager works very closely with the Project Sponsorin the development and management of the project from start to finish.

The Project Manager will: Plan & control the project Direct and coordinate project resources which may include assigning tasks and deliverables Approval of project documents, materials, presentations, and status reports Provide management oversight of system development tasks Be the primary agency contact with the vendor, developers, consultants

Prepare project work plans & work breakdown structures Approve technical system design and specifications, and technical deliverables such as

diagrams and specifications to be used by developers Produce project deliverables in accordance with the SDLC project management

methodology Verify that design and technical decisions are consistent with the OAH standards and

strategies and compatible with those of the state as a whole

Project Coordinator Tarisse InjerdThe Project Coordinator coordinates project meetings, workgroups, training and othercommunications are completed timely and within project specifications. The Project Coordinator isthe prime communicator, facilitator, and organizer for the project. The Project Coordinator works

very closely with the Project Manager in the development of the project.

The Project Coordinator will:


Ensures that the project communications plan is being followed.

Work with the Project Manager that project milestones, tasks, and events are being mettimely and successfully.

Coordinates and ensures project resources are available for meetings, tasks, and other projectitems.

Facilitate and lead various meetings (e.g., Steering Committee, training, Lessons Learned,

testing) and workgroup sessions Assist in the development of user testing criteria and user testing

Coordinate, facilitate, and/or lead user testing

Coordinate, facilitate, and/or lead user training

Coordinate and facilitate CMS implementation


Manage & publish content for the SharePoint CMS sites and Inside OAH


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10. SUCCESS MEASURES

The following factors will be used to guide and measure the success of this project.

Project concludes with all identified work plan components (tasks and milestones)successfully completed within the scheduled time and budget.

All project purchases (hardware, software, consulting, development, and training) arecompleted by 09/30/12.

Good system performance;o Measures:

No. of help desk calls; Server & database system uptime of greater than 99.9%; and, No record of complaints or issues.

Good coordination between OAH and DIS.o Measures:

Written evaluation written by DIS MOSTD; Periodic meetings with meeting minutes; and, No record of complaints or issues.

Good coordination between OAH and ESD.o Measures:

Written evaluation written by ESD and ESD Commissioners Review Office; Periodic meetings with meeting minutes; and, No record of complaints or issues.

Good coordination between OAH and vendors;o Measures:

Closing vendor evaluation; Periodic meetings with meeting minutes; and, No record of complaints or issues.

Good coordination between CMS Project Team and OAH employees/customers;o Measures:

Closing survey & evaluation with a cumulative score above 3.3 (1 poor 5excellent) in the following categories:

Testing; Training; Communication methods; and, Implementation.

Periodic meetings with meeting minutes; and, No record of complaints or issues.

The CMS system receives a cumulative approval rating by OAH staff equal to or greaterthan 3.3 (1 poor 5 excellent) in the following areas:

o Functionality; and,o Design, layout & appearance.

CMS project plan milestones met within 90% of the time as set forth in the project plan.


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11. AGREEMENT

The following signatures by the Project Sponsor and Project Manager indicate acceptance andapproval of the Project Initiation document as written.

Lorraine Lee, Chief Administrative LawJudge

Don Chase, CIO & Project Manager


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Appendix A. MOSTD Oversight Severity & Risk Analysis

Severity Level CriteriaThe severity matrix assesses the proposed projects impact on citizens and state operations, its visibility

to stakeholders, and the consequences of project failure.

Categories

Levels

Impact onClients

Visibility Impact on StateOperations

Failure or NilConsequences

High Direct contactwith citizens,politicalsubdivisions, andservice providers

including

benefitspayments andtransactions.

Highly visible topublic, tradingpartners, politicalsubdivisions andLegislature.

Likely subject to

hearings.System

processessensitive /confidential data(e.g. medical,SSN, credit card#s).

Statewide ormultiple agencyinvolvement /impact.

Initial mainframeacquisitions or

networkacquisitions.

Inability to meetlegislative mandateor agency mission.

Loss of significantfederal funding.

Medium Indirect impacts

on citizensthroughmanagementsystems that

supportdecisions thatare viewed asimportant by thepublic.

Access bycitizens forinformation &researchpurposes.

Some visibility tothe Legislature,trading partners,or public thesystem / program

supports. May be subject to

legislative hearing.

Multipledivisions orprogramswithin agency.

Potential failure ofaging systems.

Low Agency

operations only. Internal agency

only. Single division. Improve or

expand existing

networks ormainframes withsimilartechnology.

Loss of opportunityfor improvedservice delivery or

efficiency. Failure to resolve

customer servicecomplaints orrequests.


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Risk Level CriteriaThe risk matrix measures the impact of the project on the organization, the effort needed to complete theproject, the stability of the proposed technology, and agency preparedness.

Categories

Levels

Functional Impacton BusinessProcesses or

Rules

Development Effort& Resources

Technology Capability &Management

High Significant change

to business rules. Replacement of a

mission criticalsystem.

Multipleorganizationsinvolved.

Requires extensive

and substantial jobtraining for workgroups.

Over $5 million. Development and

implementationexceeds 24 months.*

Requires a seconddecision package.



Emerging. Unproven. Two or more of the following

are new for agency technologystaff or integrator, or are new tothe agency architecture:programming language;operating systems; databaseproducts; development tools;

data communicationstechnology.

Requires PKI certificate. Complex architecture greater

than 2 tier.

Minimal executivesponsorship.

Agency uses ad-hocprocesses.

Agency and/or vendortrack record suggestsinability to mitigaterisk on projectrequiring a given level

of development effort.

Medium Moderate change to

business rules. Major enhancement

or moderate changeof mission criticalsystem.

Medium complexitybusinessprocess(es).

Requires moderatejob training.

Under $5 millionbut over agencydelegatedauthority.

12 to 24 months fordevelopment andimplementation. *



New in agency with 3rd partyexpertise and knowledgetransfer.

One of the technologies listedabove is new for agencydevelopment staff.

Executive sponsorknowledgeable butnot actively engaged.

System integratorunder contract withagency technicalparticipation.

Agency and/or vendorrecord indicates good

level of success butwithout the structurefor repeatability.

Low Insignificant or no

change tobusiness rules.

Low complexitybusinessprocess(es).

Some job trainingcould be required.

Within agencydelegated authority.

Under 12 monthsfor developmentandimplementation.*

* Clock starts afterfeasibility study orproject approval and

release of funding.

Standard, proven agencytechnology.

Strong executivesponsorship.

Agency and vendorhave strong ability tomitigate risk on adevelopment project.

Project staff usesdocumented andrepeatable processesfor tracking status,problems, and

change. Agency or vendor is

CMM Level 3equivalent or above.


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Project Approval and Oversight MatrixThe level of approval and oversight required on a given project is determined through an assessment ofproject risk and severity:

High SeverityLevel

2Level

2Level

3

Medium SeverityLevel

1Level

2Level

2

Low SeverityLevel

1Level

1Level

1

Low Risk Medium Risk High Risk


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CMS Initiation Final

Documents

Transcript of CMS Initiation Final