Steering Committee Meeting

Sunflower ProjectStatewide Financial Management System Update

December 11, 2009

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Today’s Topics

• Project status and activities – Kent

• Fourth IV&V Report – Peggy

• Change control – Peggy

• Measuring Progress – Gary

• Agency Reporting Needs and Sensitive Data – Gary

• Cutover Planning – Gary

• Agency Interactions, Service Center, AgencyReadiness and Up Coming Agency Events – Connie

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SMART Perspective

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Project Timeline

December January February March April May June July

Pilot T

raini

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Stage

6 In

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Testing Phase

Busine

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Wor

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Agenc

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Map

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Comple

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yste

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Begin

User A

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Testin

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Cutover Phase

Contin

uity o

f Ope

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Exerc

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Load

SM

ART and

SHARP

with P

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Valu

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Go-live forSMART & SHARP II

Agenc

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ort D

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End U

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Close

STARS

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Status of Testing

• System Testing started on-schedule

• All testing infrastructure (testing lab, scripts, defect tracking tool, processes) in place and functioning

• Cycle 0 – System Shakeout – complete

• Cycle 1 – Simple end-to-end processing – in progress (11/09 – 01/15)– 141 scripts– 55% complete and slightly ahead of schedule– SRS, STO and A&R participating in Cycle 1 testing– Tech team fixing defects

• Cycle 2 – Complex end-to-end processing – starts next week (12/16 – 02/15)

• Developing options for agency participation in User Acceptance Testing and will present at the January Steering Committee meeting

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• Testing, testing, testing

• All designs for approved modifications complete

• All functional designs for approved reports complete

• Cycle 1 of System Testing on-schedule – 30% complete

• Completed workflow workshops

• Continuing work on cutover plan

• Beginning work on agency CAFR reports (KDOT, Lottery, KPERS, A&R)

• Continuing support for training development

Project Status & Activities – Finance Team

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• Preparing for agency role mapping exercise – used to define individuals’ security and training requirements

• Continue developing training materials – train-the-trainer begins in January

• Hired help desk manager and selected help desk software; developing support processes

• Continue holding monthly Change Agent Network meetings

• Continue publishing monthly newsletters

• Meet with agencies on an as-requested basis

Project Status & Activities – Enterprise Readiness Team

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• Fixing defects and making minor enhancements

• Building modifications – 75% complete

• Continuing technical designs for reports and building reports

• Building and maintaining environments

• Building datamarts and modifying ETLs for data warehouse

• Beginning planning for disaster recovery exercise

Project Status & Activities – Tech Team

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• A&R/DISC performing SHARP modifications – approximately 95% complete with Phase 2 – completing about 3 weeks behind schedule but no impact on Cycle 7 System Testing (i.e. integration testing)

• SHARP II Cycle 1 testing started

• Developing test scripts for Time and Labor (on-line time reporting and employee self-service in SHARP)

• Division of Budget working with IBARS vendor to develop modifications and interfaces; will load 2011 appropriation budgets into SMART from IBARS when finalized in May

Project Status & Activities – Central Systems

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• Continue holding monthly forums to address issues and communicate with agencies for interfaces and conversions

• Continue to review project plans to assess agencies’ progress and communicate identification of problems

• Washburn basic accounting course was well-received over 200 agency personnel participated representing over 60 agencies

• Data Warehouse Advisory Group 4th meeting January 29th to develop prototype agency dashboards for HR/payroll data

• Executing agency reporting strategy

• Develop strategy for securing sensitive data in DW

• Enrolling agencies in the Shared Service Center

• Met with six large agencies over past two weeks (KHPA, KDOT, SRS, KDHE, KDOR, KDWP)

• Detailed planning for Continuity of Operations exercise; DISC is taking the lead to coordinate

Project Status & Activities – Miscellaneous

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• 4th scheduled IV&V project review (Sys Test Labs – Denver)

• One week prep, one week on-site, one week to draft report

• Interviewed 21 project and 12 agency personnel

• Reviewed 41 documents (deliverables, risk log, issue log, project plan, status reports, requirements matrix, test scripts, etc.)

• Overall project health continues to be good

• Several recommendations provided:• Project leadership should schedule more one-on-one sessions with key

State agencies• Closely monitor progress of Cycle 1 System Testing• Closely coordinate cutover with new SHARP II hardware and remaining

network upgrades

Fourth IV&V Review, Findings and Recommendations

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Change orders approved since last Steering Committee meeting

Change Control

Two change requests over $50K since last meeting

Credits of $187K for change orders since last meeting

Change Request Tracking Report/Enhancement and Mod Effort vs Cost

Approval Date by CCB

Steering Comm.

Approval CR # CR Description Total Hours

Accenture Hours per

CRState Hours

per CR Total $ Cost 10/13/2009 CR 113 State Development Team Supplement 671.8766 671.8766 0 $ 130,680.00 10/13/2009 N/A CR 101 Bidder/Vendor Table Values 67 13 54 $ 2,528.50 10/13/2009 N/A CR 95 BPC Recon Page Add Contract # 50 50 0 $ 9,725.00 10/13/2009 N/A CR 77 Commodity Code Desr Field 329 66 263 $ 12,837.00 10/20/2009 N/A CR 16 Module Workflows10/20/2009 N/A CR 92 1099 S & 1099 DIV Forms Reports10/20/2009 N/A CR 100 PO workflow changes 110 110 0 $ 21,395.00

11/3/2009 N/A CR 115 GL Journal Source 31 6 0 $ 1,167.00 11/17/2009 N/A CR 117 T&L - NonPaid Hours Dist 209 209 0 $ 40,650.50 11/17/2009 N/A CR 118 SHARP Related Date Warehouse chgs 210 183.6 26.4 $ 35,710.20 11/17/2009 N/A CR 16 Remove Workflows & move to Reserve -964.71 -964.71 0 $ (187,637.00)11/17/2009 N/A CR 111 KDFA Bond TRAKKER Data Feeds11/17/2009 N/A CR 114 Disable PO Dispatch button 48 10 38 $ 1,945.00

11/17/2009 N/A CR 122Al low PS to Recognize & Access Shared CDFA tables 29 29 0 $ 5,640.50

12/1/2009 CR 94 Limiting Access to EmplID 674 588 86 $ 114,366.00 12/1/2009 N/A CR 127 Shift Remaining Workflow $ to Reserve See 11/17 CR 16 change

12/1/2009 N/A CR 124Al low Autonumbering Feature on INF44 & INF43 102 102 0 $ 19,839.00

12/8/2009 N/A CR 116 Interface for Vendor Self-Svc Website 102 102 0 $ 19,839.00

Total Hours/Dollars Used 20,657 17,249 3,409 3,354,852.70$ Total Possible Hours/Dollars 19,130 3,720,785.00$

Remaining Mod Hours/Dollars 1,881 365,932.30$

Reserve created by de-scoped items 3,127.78 608,354.00$

Use Reserve (2,348.88) (456,856.50)$

Total Remaining Reserve dollars 778.91 151,497.50$

includes eGrants analysis, Purchasing modules,decrease in FARMS effort, RE Mgmt, Portal, Directory Interface, Portal Pack. Treasury Build/Unit Test, SOW WorkflowsIncludes Payroll SME,SHARP Conversion, PHIRE set up for SHARP, IFV Trng design, Supplement State Dev Team, Mod to Limit Access to EmplID

Remove 4 workflows and repurpose 1 workflow1 contingency report

All state work

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CR # 113 – Supplemental Support for State Development Team

• Contractually, State is responsible for performing a significant portion of the development work (mods, interfaces, conversions, reports)

• Most State developers are inexperienced in coding in PeopleSoft

• Despite training and coaching, productivity trends indicated the State was having problems meeting the schedule and that the State Tech Team’s workload exceeded the team’s capacity

• State Tech Team Manager requested two additional experienced development resources to recover the schedule and to stay on schedule

• CR is time and materials – not to exceed 1,000 hours or $131K – with Accenture providing two of their developers (familiar with the project and live in area)

• Checkpoints in mid-December and mid-January to assess progress and need

• Expect contract developers to “roll-off” by the end of January or mid-February

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CR # 94 – Limiting Access to Employee ID

• Limits access to Employee ID and other employee data (e.g. home address, phone #) to only employees within that agency

• Employee ID is a very sensitive piece of data since it is the User ID for SHARP employee self-service

• Without this mod, employee’s address, phone number, etc., will be accessible via search screens in SMART to potentially thousands of users

• Employee ID and/or personal information displayed in five modules across14 different pages

• Fixed-price estimate is $114K with State developers doing 20% of the work

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Change Control – Remaining Balance

• Balance of hours for customizations (including all customizations discussed today)

• Total Accenture hrs used = 17,249 (16,368 October)

• Total available contract hrs = 19,130

• % Used = 90% (86% last month)

• % Remaining = 10% (1,881 hours)

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Proposed CR for Building and Maintaining a Copy of Test Environment

• Finance Team has requested an additional environment that would be a copy of the Test environment for identifying and fixing defects

• Need an environment that contains all configurations, config data and modifications

• Prefer not to use the Test environment:– could corrupt test data– will impact data warehouse data validation activities

• Boundaries/Expectations:– refreshed daily– built (mostly) by Accenture over the holidays due to limitations of the State Tech staff to be ready

the 1st week of January– available until beginning of April, then the hardware would be re-purposed to a training “sandbox”

• Estimated cost:– Build environment including scripts (140 hrs) = $28K– Ongoing maintenance (8hrs/wk for 15 wks) = $24K

$52K

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Potential CR for Building and Maintaining a Training “Sandbox”

• Currently there are no plans to have an environment where end users can “practice” entering transactions after completing instructor lead training

• Practice environment has been requested by several large agencies

• Boundaries/Expectations:– Environment would be a copy of the Training environment and would contain a subset of configuration data but

not agencies’ specific data– Trainees would practice common transactions such as requisitions, POs, receiving, vouchers, deposits, journals

and inter-funds– Access would be only in the testing lab– Reactive support model– Sign-up for 1-2 hours in advance (for managing support)– No sensitive data would be used– Environment would be available from April through mid-June

• Estimated cost:– Build environment = $10K– Support (10 weeks, 30 hrs/wk, 50% State) = $30K– Contingency (additional support) = $10K

$50K

• The proposed training “sandbox” would be in addition to an end user lab at “go-live” where agencies can enter real transactions into Production with stand-by support

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Measuring Progress

• All workstreams trending positive

• Expect Reports Build and Modifications Build to be in “yellow” status until January or February

Scope Element10/09Status

12/11Status Detailed Status/Corrective Actions

Test Scripts – All Cycles Green Green All test scripts (except several Time and Labor) complete.

Configuration Data Entry Green Complete Complete

Functional Design Reports Yellow Complete All functional designs for all approved reports complete.

Functional Design Modifications

Green Complete All functional designs for all approved mods are complete or in progress (for recently approved mods).

Tech Design Modifications Yellow Green Tech Team is almost complete (93%) with technical designs for approved mods.

Modifications Build Red Yellow Team is approximately 70% complete with builds for mods. Several mods may not be ready at the beginning of the testing Cycle but will be ready prior to the end of the Cycle.

Interface Build Red Green Approved interfaces complete. Several additional interfaces (special requests) for specific agencies have been approved. Minor changes to interfaces on as-needed basis.

Data Conversion Yellow Complete Complete.

Reports Technical Design and Build

Yellow Yellow Tech Team will be working on reports for next four months. Functional designs for all approved reports are complete.

Training Phase 2 Green Green

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Test Sequence & Schedule

Test Stage Start Date

Finish Date

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Ma

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Unit Test 7/1/09 10/23/09

Assembly Test 11/3/09 11/30/09

* Conversion Test

10/30/09 4/16/10

System Test 11/2/09 4/16/10

* Interface Test 9/1/09 2/1/10

Performance Test

11/2/09 4/16/10

* User Acceptance Test

1/1/10 4/30/10

Disaster Recovery Test

2/1/10 4/16/10

Operational Readiness Test

4/1/10 6/11/10

Functional Team

Dev. Team

Interface Team

Conversion Team

Technical Team

All Teams

* - Indicates a test stage that requires agency participation

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System Test Cycles

Ten testing cycles of increasing complexity. Test conditions and test scripts for each cycle

Cycle Description Cycle Description

0 Configuration 5 Complex End to End Processing w/ Converted Data

1 Simple End to End Processing 6 Security

2 Complex End to End Processing 7 Cross Functional Integration

3 Conversion 8 Reporting

4 Simple End to End Processing w/ Converted Data

9 Exception Processing

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Interface and Conversion Timelines

2009Oct/Nov/Dec Jan/Feb/March April/May/June

Online Data Entry Preparations

Online Data Entry Preparations

Agency Conversion Data CleansingAgency Conversion Data Cleansing

InterfaceTesting Cycles

Conversion Assembly

Test

Conversion Assembly

Test

Mock Conversion Testing (Mock 1, 2, 3)Mock Conversion Testing (Mock 1, 2, 3)

2010

Cutover ActivitiesCutover Activities

Week 1 Activities

Preparation

Week 1 Activities

Preparation

Extract & send final data files

Extract & send final data files

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Milestone Status:Stage 1: • 16/21 agencies have completed their entire testing of Stage 1 interfaces

•16/21 agencies have completed testing of INF01•  6/6 agencies have completed testing of INF15

Stage 2: •  1/25 agencies have completed their entire testing of Stage 2 interfaces

•8/22 agencies have successfully loaded INF02 interface files•2/4 agencies have successfully loaded INF04 interface files•0/12 agencies have successfully loaded INF06 interface files•0/10 agencies have successfully loaded INF44 interface files

Stage 3: • 3/25 agencies have completed their entire testing of Stage 3 interfaces

•10/23 agencies have successfully received an INF03 interface file

Agency Interface Testing Status

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Agency Technical Events and Developments

•Continue holding Monthly Interface and Conversion Technical Meetings (today’s Conversion workshop covered Vendor Conversion for Interfacing Agencies)

•INF44 (deposits) interface workshop

•Extended interface testing: Stage 2 (inbound by 5 weeks) and Stage 3 (outbound by 3 weeks) to give agencies additional time to test and to compensate for modifications to INF44 (deposits)

•Lab environment for agencies (functional and technical) to log into the interface test instance of SMART and view interface transactions, make on-line corrections and begin learning troubleshoot techniques – specific Fridays beginning after the 1st of the year

•Providing a semi-cleansed converted (from STARS) vendor file for loading into agency systems – approximately 250,000 vendors

•Developing a mini-batch schedule to cycle vendor interfaces, payments and deposits on a regular and frequent basis to simulate agency transaction processing

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Reporting Strategy & Approach Steps

The Reporting Strategy and Approach is moving forward

• Step 1 – Agencies identify critical reports, Task ID 265 distributed

• Step 2 – Agencies compare agency identified reports to SMART report list and prioritize potential reporting gaps

– 2nd due date is 12/11/09– approximately 100 potential gaps identified by agencies so far; most from agencies

that are de-commissioning financial systems

• Step 3 –Sunflower Project Team reviews critical and high-priority potential reporting gaps and determines how to resolve gaps – in progress

– if an available report is very close to the agency’s needs, no gap exists

– if no similar report is available, a gap exists and a report will have to be built:

1. by agencies’ Super Users from the Data Warehouse if data is available

2. by the Sunflower Project Team from Production

• The Sunflower Project Team will be contacting agencies after 01/01/10 to begin resolving reporting gaps

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Sensitive Financial Data in the Data Warehouse

• Based on survey results, agency requirements to secure sensitive data within their agency are diverse, e.g. Account/Object Code, Program/PCA, Dept ID, and vendor

• Configuring and maintaining security necessary to enable each agency to restrict agency employees from accessing specific, sensitive data elements (within their agency) is not feasible.

• Bottom line…. a simpler solution is needed to restrict access to sensitive data within an agency

• Solution: Agencies will restrict employee access to sensitive data using restricted queries/reports/dashboards developed by agency designated Power Users

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Data Warehouse Power Users

• Depending on the size of the agency, each agency will designate 1-3 Power Users

• Agency Power Users:– must have a solid understanding of the data origins and data structures

– will develop queries/reports/dashboards for their agency

– will have unrestricted access to agency data in the data warehouse

– will be responsible for limiting access to sensitive data within their agency

– will be the contact point in their agency for issues and concerns related to the data warehouse

• Central support (Data Warehouse Team or the Service Center) will be available to assist agency Power Users and other agency personnel with report development

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Cutover Planning Underway

• Detailed cutover calendar has been developed for all central systems (STARS, SOKI, SHARP, SMART)

• Highlights of cutover calendar will be shared with agencies at the next CAN meeting in January

• Template will be provided in January showing key central system dates and key activities affecting agencies

• Agencies will be requested to use this template to sync with agency cutover activities

• Agencies will be encouraged to hold monthly cutover meetings to coordinate their activities (business, tech, training, communications, etc.)

• Pam Fink is the State lead for cutover planning

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• Meetings held with agencies:• Department of Revenue

• SRS & State Hospitals

• Attorney General

• Department of Education

• Department of Commerce

• Legislature

• Department on Aging

• Legislative Post Audit

• University of Kansas Medical Center

• SMART Service Center Kick-Off

• Called several agencies to request asset conversion files

Agency Interactions

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• Held Kick-Off Meeting with potential Service Center Agencies on November 4, 2009 – following up with agencies that did not attend

• Service Center is not an all or nothing approach, agency can key some transactions online while using Service Center for less frequent transactions

• Service Center agencies can still inquire on their data online or through data warehouse even if they elect not to key online

SMART Service Center

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SMART Service Center Current Commitments

Agencies Fully Participating in Service Center• Kansas Housing Resources Corp.• Behavioral Sciences Regulatory Board• Board of Optometry Examiners• Kansas Commission on Peace Officer Standards & Training• Legislative Post Audit

Agencies Using Service Center for Selected Transactions

• Real Estate Commission• Office of the Securities Commissioner• Board of Accountancy• Animal Health Department• Office of Administrative Hearings• Judicial Council

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Readiness Assessment #2

• 65 agencies responded to questions about readiness for SMART go-live

• Results help to:– Identify issues or risks across all agencies where

additional attention is needed

– Identify agencies requiring additional support

• Going forward…– Continue to respond honestly

– This helps identify specific needs to address

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Readiness Assessment #2 Agency Concerns

• Agency concerns noted:– Receiving all training needed by go-live– Balancing training with current workload– Staff not understanding SMART concepts, processing,

terms and chartfields– Lack of time to complete required tasks and lack of

understanding on how to complete tasks– Lack of communication between functional and

technical staff within agency– Can't make appropriate decisions for implementation

strategy without seeing system – Managing all the tasks in a small agency

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Readiness Assessment #2 Agency Mitigation Steps

• Agency mitigation steps:– Complete Task ID 216, agency course attendance estimation– Plan in advance, can any agency work be completed in advance or

after go-live to allow for training– Evaluate which courses are required before go-live– Evaluate if Service Center is an option for low volume transactions

in small agencies– Reach out to the project and utilize project resources to receive

additional information on tasks– Schedule regular meetings within your agency to communicate

• Does your agency have a newsletter or group e-mail to keep staff informed of key updates

– Tasks are intended to provide the necessary background without screen shots or system access to complete the configuration

– Project staff are available to answer questions and can schedule office hours if needed

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Readiness Assessment #3 -

Readiness Assessment has been modified to simplify and

improve the process, changes include:

– Excel based format allowing agencies to keep a copy or print as needed

– Pre-populated status based on what the Sunflower Project has recorded for your agency – where the status is correct, no response is required

– Highlighted cells focusing on those questions that require an updated response

– More comments fields to note additional details as needed

– Incorporates task applicability (e.g., required, optional, not applicable) based on module usage listed on Agency Confirmation Document

Due back by December 23rd!

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Agency Readiness Assessment Schedule

Phase Agency Readiness Assessment Distributed

Test December/2010

February/2010

April/2010

Deploy May/2010

June/2010

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Upcoming Agency Events

December 2009

12/10 – Monthly Interface Technical Meeting

12/17 – Monthly Conversion Technical Meeting

NEW: Daily SMART Interface Testing Status Issues and Updates Conference Call

Occurs every day Monday through Thursday from 10:00 to 10:30 A.M effective until March 16th, 2010.

January 2010

01/06, 12, 14 – Role Mapping Workshops

(Offering a Remote Option only session on January 7, 2010. Remote Option also available during one session on January 14, 2010)

01/12 – Monthly Interface Technical Meeting

01/20 – Change Agent Network Meeting #8

01/27 - Train-the-Trainer Kickoff Meeting

01/27 – Monthly Conversion Technical Meeting

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Questions and Answers

??For additional information on the project, please seethe project website: http://da.ks.gov/smart

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Authority for Change Requests

Change Request

Authority Cost Impact Scope Impact Impact on PS Code

Base

Schedule Impact Agency Impact Law, Reg, Policy Impact

Level 1Executive Sponsors TBD TBD Any change affecting

the “Go-live” dateTBD Any changes affecting

laws, regulations or other non-A&R policies

Level 2Steering Committee Changes over $50K “Significant” impact on

project scope (+/-)TBD Recommends changes

to Executive Sponsors

Level 3FMS Mgmt Team (CCB) Changes under

$50K“Moderate” impact on project scope (+/-)

All mods approved by FMS Mgmt Team

Any change affecting KITO milestones or other key (internal management) milestones

Any decisions/ changes “adversely” affecting agencies

Any changes affecting A&R policies and procedures

Level 4 ManagersAll changes affecting cost (+/-) approved by FMS Mgmt Team

“Minor” impact on project scope (+/-)

“Minor” impact on project activities that do not adversely impact a milestone

Configuration decisions benefiting agencies that do not impact cost or do not impact a milestone