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UCPath Scope Document

21 April 2014


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Table of Contents

1 Introduction ....................................................................................................... 2

1.1 Purpose of the Document ........................................................................................................................ 2 1.2 Background ............................................................................................................................................. 2 1.3 Reference Documents ............................................................................................................................. 3 1.4 Program Mission Statement and Vision ................................................................................................... 4 1.5 Objectives and Benefits ........................................................................................................................... 4

2 Scope .................................................................................................................. 5 2.1 University Locations ................................................................................................................................ 5

2.1.1 In Scope: ....................................................................................................................................... 5 2.2 Functional / Business Process Scope ...................................................................................................... 6

2.2.1 In Scope: ....................................................................................................................................... 6 2.3 Technical Scope .................................................................................................................................... 16

2.3.1 Platform Delivery ......................................................................................................................... 16 2.3.2 Application Development ............................................................................................................. 19 2.3.3 Security ....................................................................................................................................... 20 2.3.4 Data Conversion ......................................................................................................................... 21 2.3.5 Data Delivery / Decision Support ................................................................................................. 22

2.4 Organizational Change Management Scope .......................................................................................... 23 2.5 Training Scope ...................................................................................................................................... 25

2.5.1 UCPath Training Deliverables: ..................................................................................................... 28 2.6 UCPath Center Scope ........................................................................................................................... 29

2.6.1 In Scope: ..................................................................................................................................... 29 2.7 Transition Management ......................................................................................................................... 31

2.7.1 Operational Readiness ................................................................................................................ 34 2.7.2 Cutover and Migration Plans ....................................................................................................... 36 2.7.3 Contingency Planning and Decommissioning .............................................................................. 37 2.7.4 Readiness Assessment Overall Go-Live ...................................................................................... 40

2.8 Testing .................................................................................................................................................. 41

3 UCPath Wave 1 Artifact Deliverables ............................................................ 34

4 Appendix 1 - Decision and Change Request Approval Process ............... 38

5 Appendix 2 – FAQ: UCPath Scope Document ............................................. 39

6 Revision History .............................................................................................. 40


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1 INTRODUCTION

The Project Management Body of Knowledge (PMBOK, 4th Edition) defines project scope as all work that is set and/or scheduled and/or required in order to ultimately facilitate delivery of the final required products, services, and results that may have a series of specified features and functions associated with them. Project scope consists of actual functions, features and characteristics that make up and delineate the entirety of a particular service, result, or project.

The UCPath program scope document details the work that is completed during the program lifecycle. This document also identifies the work that is out of scope and will not be included in the current program. The program scope document clarifies initial assumptions about work to be completed and promotes a common understanding and agreement among the sponsors, governance groups, project teams, and any third party that contributes to the program. UCPath PMO maintains the scope document throughout the UCPath program.

The UCPath program scope document serves as the scope baseline. There is a decision and change request approval process in place for any scope changes that may be required after the document is finalized (See Appendix 1). Once the UCPath team or stakeholders identify potential scope changes, UCPath will follow the established process for review and approval. It is important that the UCPath program governance have an understanding of the short- and long-term impacts of the scope change to evaluate its potential impact on the overall program.

1.1 Purpose of the Document The purpose of this Program Scope Document is to:

� Document a detailed vision, scope and approach

� Set the stage for all subsequent system integration and organizational change management work

� Deliver a framework for the initial work plan creation

� Provide clear direction to the program team

� Identify and document critical success factors for the program

� Set expectations for program leadership and the team

� Provide a baseline for making trade-off decisions for the program

UCPath stakeholders, including governance groups and project teams are the intended audiences of this document.

1.2 Background The university has successfully used 11 instances of a heavily modified legacy payroll system for the last three decades. Over that period, there have been significant changes in UC’s operational and information requirements, and a more stable technology environment is needed to accurately produce


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payroll and consistently manage UC’s diverse and complex workforce. It is from these priorities that the UCPath program emerges. This program will harmonize human resource and payroll business processes system wide and upgrade UC’s outdated payroll and personnel information systems. Under the program, UC will use an enterprise resource planning (ERP) tool to enable an efficient, cost-effective shared services environment for human resources and payroll transactional data. The resulting integrated information and business intelligence will enable improved analytic capability, provide consistent high-quality service to UC employees and enable better managerial decision-making.

The UCPath program formally began in fall of 2011 with the creation of a UC project team, acquisition of software licenses and engagement of vendor implementation resources. While the broad framework of UCPath scope has been generally understood, many aspects of the project were not yet clear. It is now necessary to establish agreement among the project stakeholders by clarifying, identifying, and relating the work of the project to the business objectives. System capabilities are now well-understood, future state business processes are becoming a reality, and it is now critical to articulate a clear statement of UCPath scope to make necessary informed decisions as project teams begin to finalize functional and technical designs to meet UC’s well-defined business requirements. The UCPath steering committee will regularly review UCPath scope to ensure project success and maintain alignment of expectations with project goals.

The UCPath program is ultimately about transformation. PeopleSoft and other technology solutions are enablers; however, the scope of UCPath also includes change to some of UC’s underlying human resources, payroll processes and service delivery model to get the most out of UC’s technology investment. Doing so will provide operational efficiencies and lower long-term cost to maximize university resources available to support UC’s academic and research mission.

The transformation includes three main areas:

� Streamlined, common payroll and human resources processes

� Centralizing related transactional processes within the UCPath Center

� Replacing PPS with a single, new payroll and human resources technology system

1.3 Reference Documents The following list of documents will be utilized for detail and reference throughout this scope definition document and available for all team members to review and reference:

Reference Documents Description

1. PPS Initiative Project Summary – September 2011

A program charter with the purposes of gaining approval from President Yudof to go forward with the UCPath program

2. The Regents of the University of California Request For Proposal # UCOP/payroll-HRIS/2011

The RFP for the program

3. UCPath Detailed Scope Document An Excel spreadsheet that provides detailed functional scope items of the program

4. UCPath Decision Log Documentation of key decisions that have been documented to date for the UCPath program

5. UCPath Wave 2 & 3 Launch Guide Guidelines for wave 2 and 3 campuses and


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Reference Documents Description

stakeholders (note: created early in the program and may be dated)

1.4 Program Mission Statement and Vision Mission Statement:

To improve service and achieve sustainable long-term cost savings through more consistent, effective and efficient processes, improved technology, and a new approach to human resources/APO, benefits and payroll service delivery.

Vision:

Administrative excellence on par with UC’s academic enterprise.

1.5 Objectives and Benefits

Project governance, along with key process stakeholders agreed to the following interdependent recommendations to achieve the future state vision:

Objectives Benefits

Replace PPS with hosted Oracle PeopleSoft platform

� Supports functionality to pay and administer UC’s complex workforce

� Expands human resources management capabilities

� Supports systemwide interoperability and accessibility

� Provides robust infrastructure and service oriented architecture

Standardize payroll and human resources business processes throughout the UC System

� Streamlines processes and improves transition between campuses

� Provides opportunities to correct inefficiencies and inequities

Significantly change the delivery of transactional payroll and human resources services

� Enables UC to become more efficient by reducing redundant systems and operations

� Improves quality of UC workforce information

� Establishes the UCPath Center to handle transactional processing


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2 SCOPE The University of California has agreed to an UCPath program scope that includes the following strategic components:

� New and more effective business processes and support methodologies for UC staff performing payroll and human resources functions

� A common payroll system based upon redesigned business processing and support environments

� A common human resources system that will enable more effective and uniform workforce planning and administration throughout the university

� Health and welfare benefits support for eligibility and calculation of employee deductions and premiums

� Recognizing the complexity of fund accounting within the multi-billion dollar UC research enterprise, a common “expense distribution engine” that may exist outside of the payroll and human resources systems to allow campuses the flexibility to allocate payroll expenditures to UC funding sources

� A transactional and customer support center that will standardize and centralize an array of processes to provide operational efficiencies and lower long-term cost to maximize university resources

2.1 University Locations

2.1.1 In Scope:

The following university locations are in scope for the UCPath program:

� Ten campuses and their affiliated facilities:

� UC Berkeley

� UC Davis including the UC Davis Medical Center

� UC Irvine including UC Irvine Health

� UCLA including the Ronald Reagan UCLA Medical Center

� UC Merced

� UC Riverside

� UC San Diego including the UC San Diego Health System

� UC San Francisco including the UCSF Medical Center

� UC Santa Barbara

� UC Santa Cruz

� UCOP - The Office of the President with offices located primarily in Oakland, Berkeley and Sacramento, California, and teaching/administrative offices in Washington, D.C.

� ASUCLA - The Associated Students of the University of California, Los Angeles

� UCH - UC Hastings College of the Law

UC Strategic Approach to Scope

� New and consistent business

processes and support methodologies � Common payroll system � Common human resources system � Health and welfare benefits support � Common expense distribution engine � Centralized transactional and customer

support center


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� ANR - Agriculture & Natural Resources administrative and research centers located throughout the state of California, and County Cooperative Extension offices

� LBNL - Lawrence Berkley National Lab for benefits functionality only

2.2 Functional / Business Process Scope

2.2.1 In Scope:

Five functional areas are in scope for the university locations, which include payroll, human resources, benefits, absence management and general ledger integration. One exception is the Lawrence Berkeley National Lab for which, only benefits is in scope. In addition, Talent Acquisition Management (TAM) and ePerformance are in scope for UCSF and UCSF Medical Center, UCD and UCD Medical Center, UCI and UCI Health and UCB. All functionality will be delivered pursuant to relevant University of California policies; policies that may need updating shall be identified and escalated to the appropriate policy unit.

The in-scope and out-of-scope items defined:

Workforce Administration

In Scope Out-of-Scope

� Groups – Ability to apply data changes to a group of employees based on established criteria to be utilized for a variety of purposes such as: base compensation changes and mass updates

N/A

� Compensation – Ability to assign increases in base compensation to groups of employees based on established criteria; to approve merit increases; to apply wage implementations and UCRP recoupments per collective bargaining agreements and storing performance ratings resulting from the review process by effective date and using routings and approvals; one-time and ad hoc awards.

� Manager-level views of compensation history

� Manager Dashboard – Summaries of information of a manager’s direct and indirect reports that contains alerts, approvals and a campus or location organization chart

N/A

� Position Management – Position management will be implemented to support administration of budgeted and funded positions and related updates to appointments

N/A

� Organizational Chart – Organizational reporting in a chart view, including direct reports using reports-to position data

N/A

� Employee Self Service (ESS) for Education & Licensure – Employees have the ability to

N/A


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In Scope Out-of-Scope make updates through ESS for their own degree information, licenses and certifications; updates will be routed for approval. Updates to specialties, prior and future institutions can be entered via ESS without approval

� Add People – Ability to hire and rehire employees and identify non-employees; non-employee types include persons of interest (POI), which are defined as persons having a general relationship with the campus and contingent workers (CW), which are actual workers that are assigned to a specific department, manager and job; personal information such as names, address, SSN, DOB, military status, ethnicity, UC employee disclosures, oath/patent, etc. can be collected on all persons and workers in the system

� Job records will not be created for non-employees (POIs)

� Change the Workforce – Ability to add employment, organizational instances and relationships for employees and contingent workers (i.e., an employee can also have a separate contingent worker ‘relationship’ that is reflected in UCPath as a separate ‘org instance’); ability to update and maintain contract data to support late academic year starts and partial year career; ability to use templates for hiring employees (that speeds up the process and is largely used for student hires); ability to assign a primary job and ability to implement UC batch hire process as an alternative to the individual workflow and routings form

N/A

� Update of Personal and Job information – Access and update to personal data by using the personal data change template (HR Smart Templates); submit templates for job data changes; UCPC will access and update data directly in the personal data and/or job data components; business requirements are being analyzed for location access to personal and job information. Access will be provided to meet business requirements.

N/A

� Additional Worker Information – Ability to add and track information useful for tracking and reporting and for maintaining compliance and internal practices; for example: assigning and maintaining person checklists, background checks, identification data, disabilities, UC employee disclosures, emergency contacts, military discharge date, person search/match, person organization summary inquiry and job summary

� I-9 verification/reverification is being outsourced


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� Employee Self Service for Personal Information – Ability for employees to update their own name, home/mailing address, phone, email and ability for employees to view other personal information: UC employee disclosures, UC OPA (Outside Professional Activities); all functionality that currently exists in AYSO, except for updates to beneficiary information.

� UC OPA self-service and administrative pages will only be used for SMGs and faculty administrators

� Employees will not have the ability to change the following in ESS:

o Military status information

o Date of birth

o Marital status

o Complete and submit I-9

o Request termination

o Instant message ID

o Job profile management (not related to person profile)

o Variable compensation history

o Stock activity

o Profit sharing entitlements

o Training request/enrollment

o Candidate gateway

o Career planning

o Development plans

� UC Manager/Administrative Self Service – Campuses will execute the following transactions via manager/admin self-service request pages or smart HR templates based on defined initiator and approver roles: short work break, job earnings distribution, transfer, retirement, voluntary termination, return short work break, pay rate change, data changes, additional pay, involuntary termination, and one-time payments, hire, rehire, and add contingent worker

N/A

� Automated Approvals – Once initiated, the following transactions will be routed for approval based on campus maintained approvers or reports-to positions as defined in position management for every organization and/or department: persons of interest, short work break, job earnings distribution, transfer, retirement, voluntary termination, return short work break, pay rate change, data changes, involuntary termination, hire, rehire and add contingent worker

N/A

� Ability to Update Large Volume of Records at One Time – Define, create, manage,

N/A


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In Scope Out-of-Scope execute, delete and report mass updates

� Faculty Events – Transaction types will be associated with actions and reasons specific to academic events

� Tenure clock / tracking

� Academic case tracking

� Outside professional activities

� Meet Regulatory Requirements – Provide compliance reporting capabilities i.e., affirmative action reports

� Generating affirmative action reports with recruiting data

Payroll


� Create Employee payroll Information – Create direct deposit and update tax withholding information via employee self-service; additionally, track imputed income, track NRA tax treaty information, voluntary general deductions, additional compensation, garnishment processing

� Add or update voluntary general deductions via self service

� Calculate and Confirm Regularly Scheduled payrolls – Ability to calculate and confirm a payroll, which is considered regular or scheduled based on input from locations for employees included in time and attendance systems, as well as salaried employees; functionality to calculate retroactive pay triggered by comp rate or additional pay transactions entered with prior period effective dates

� Use of time and labor to record employee hours and earnings

� Provide payroll Information – Create and distribute payments (issue checks to employees and provide balances)

N/A

� Ability to Run Payroll Check Process Outside of Normal Payroll Schedule – Off-cycle payrolls will be run to process late time transactions, corrections and exceptions that exceed defined thresholds and final pay as required to comply with collective bargaining agreements

N/A

� Create Payroll Regulatory Reporting and Tax Information – Create pay period tax reporting information, quarterly tax reporting information, yearend tax reporting Information, 1042 reporting Information

N/A

� Reconcile and Distribute Payroll � Distribute actuals with time and labor (UC


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Information – Provide employment and income verification information to third parties, provide payroll information to the general ledger (using commitment accounting), publish accounting information; custom interface to send payroll data to accounts payable

not using T&L module)

� Create accounting lines - encumbrances

� Report budget definitions and amounts to load gross fringe information

� Glacier – The development of the inbound interface I-619 to update the employee tax data with NRA tax treaty information and update the visa permit table. In addition, an outbound interface I-151 that is an annual interface from payroll will be developed to provide 1042S tax information

N/A

� General and Voluntary Deduction Remittance – All voluntary general deductions (excludes benefits and child support)

� Provide voucher, deduction information to accounts payable (using delivered integration process); a custom interface will be created to send non-benefit deductions amount to A/P

General Ledger Integration


� Chart of Accounts from Campus Financials – Individual chartfields used can be defined by each location; depending on the location, chartfields or full FAUs will be validated; invalid chartfields will not go through GL interface and instead be set to either a department level FAU or suspense FAU; Full FAU validation will occur through either valid combo table submitted on a nightly basis by locations or through web-service validation directly to location financial system or through individual chartfield validation only

� Real-time sync of FAUs between finance system and UCPath. (A nightly feed will be used to send all new or updated FAUs to UCPath or web services that will create a link between the two systems)

� Enter or Upload Funding at Department Level or By Position or Position Pool – Funding entry allowable only at position, position pool ID and department level; can be entered manually on the page or through a custom-built funding upload program; will include logic to handle federal cap requirements; additional approval level configured for high-risk transactions

� Funding entry at job or job code level is not allowable; while the delivered system allows funding to be entered at various levels of the organization (position, position pool, job, job code, department) a decision was made that funding can only be entered at the position, position pool, or department level

� FAU entry of flat dollar amounts; FAUs can only be entered based on a percentage and cannot handle entry of a flat dollar amount

� Nightly Salary Cost Transfers – Perform an accounting transfer against a previously charged salary or fringe-related expense for a specific pay run; delivered direct retro page will only be used by UCPath Center for mass cost

� Budget retros will not be used

� Salary cost transfers cannot be initiated in UCPath for paychecks paid out of PPS. An alternate solution E-701 has been identified


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In Scope Out-of-Scope transfers; locations will use a customized direct retro page developed to be more user-friendly; update actuals program will be used to update all previous payroll distributions

for this gap

� SCT upload functionality

� It's currently unknown whether benefit-only cost transfers will be in-scope or out-of-scope within UCPath

� Approval Workflow (Funding and Salary Cost Transfer) – Approvals completed at human resources department level; ability to add ad-hoc approvers to any transaction

� Approvals are not at the funding distribution level

� AWE for GL integration cannot be routed based on employee class

� Distribute Actuals – Pre-distribution audit report to validate all necessary base configuration exists for actuals distribution to run to success; base account mapping to be configured to the UCOP base sub-object mapping; actuals distribution process to distribute all transactions across the appropriate funding sources

� N/A

� Post Actuals Distribution Mass Transaction Updates – Local account mapping to map sub-object based on location preference rather than the UCOP base account; work study processing to update any salary distributions based on work study data submitted by locations; update distribution data for transactions processed through upstream retro pay; for locations that require full FAU validation, complete a full validation of all FAUs before progressing with further downstream processing

� Retro pay funding related to late pay or any other "prior period" transactions submitted through payroll that were not processed through the "retro pay module" within UCPath

� Payroll-to-GL Interface and Labor Ledger – PAYGL02 is the delivered process that creates all base expense and liability transactions; custom local account mapping will map any local liability sub-object codes; custom journal modification program will modify transactions based on UC requirements and create all assessment transactions; custom labor ledger program will display all transactions in a standardized format that will be sent to the ODS; custom write-back process that will update UCPath labor ledger data based on location-specific data used when posting the transactions to the general ledger; ability to apply assessments rates and redirects

� Automated sync with financials of all accounting transactions since there are multiple financial systems to post data

� Salary Cost Transfers – Interface that loads directly into labor ledger

� If an employee does not exist in UCPath, then salary cost transfers will not be processed through this interface to the labor ledger. The missing employees will be those that had separated outside of the conversion range


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� Budget/Staffing – Custom page built to track all permanently funded position distribution data; custom program to create an extract of budget-related data

� Automated load to location budget/staffing system

� Automated load of data to budget distribution page

� Transfer of funds process will remain the same

� Encumbrances – Delivered process to generate, update and liquidate salary encumbrances

� Will not generate pre-encumbrances when a position exists within an employment instance that exists within the position

� Assessments Configuration – Configuration related to setting up all assessment rates and redirects required for all assessments created within the payroll-to-GL interface steps

N/A

� ERS – Labor ledger to ERS interface (I-129) is in scope; a new instance of ERS (v11) is being developed to receive the I-129 file

N/A

� Payables – AP vendor payment process; this includes the delivered PSFT AP extract process and a potential in-scope automated interface from UCPath to the UCLA AP system to create the vouchers; there should be scope added from the business process standpoint for payment and reconciliation of health and welfare payments from the UCLA AP system. Additionally, there should be a system interface in scope for the integration of transactions produced by HCM into the UCLA AP system for automation of payments

� The synchronizing of vendors between UCLA AP and UCPath. (Vendors in UCPath will have to be manually entered, presumably by someone at the UCPath Center.)

� Significant changes to the UCLA AP system or processes

� Receivables – A business process is added to the GL scope, specific to accounts receivable management; this is limited to a nightly outbound interface to provide the A/R system with employee data, and potentially repayment data when payments are collected through payroll deduction

� The creation of an interface for A/R balances from HCM to any third party application is out of scope

Benefits


� Maintain Benefit Plans – Plans and providers; plan attributes for simple plans, health plans, health coverage codes, life and AD&D plans, disability plans, savings plans, FSA benefits and retirement plans; rates and rules: benefit rates, calculation rules, coverage formula; ABBR (Annual Benefit Base Rate) and ABBR type; program structure: benefit programs;

� Leave plans, pension plans;

� FMLA (FMLA functionality delivered in benefits module is not used)

� COBRA

� FSA administration


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In Scope Out-of-Scope enrollment snapshot options; EDI trading partners and EDI 834 transaction mapping; benefits billing: parameters and calendar

� Certification definition

� Non-discrimination rules

� Manage leaves – N/A � Track FMLA

� Manage leave accruals

� COBRA – N/A � A third party does COBRA and FSA administration

� Manage Automated Enrollment – Benefits administration (batch) process; on-demand event maintenance; review and update BAS activity; update event status; update processing controls; perform election entry; generate enrollment and confirmation statements; view processing results and processing messages; investigate exceptions:; run eligibility debugging and review results; employee process status report; report of flagged items; ineligible participants report; invalid elections report

N/A

� Retroactive Benefits Deductions Processing – Create retroactive deduction calculation request; calculate deduction amount and difference between new and old amount; send transaction to payroll

N/A

� Manage Savings Plan Extensions – Calculate 403(b) extensions; identify age-50 extensions; review 403(b) process messages; process 403b catch-up elections; calculate 457(b) MAC’s for under and over 50 year olds; investigate and resolve 403(b) and 457(b) over-contribution errors; investigate and resolve, in concert with UCOP vendor management as necessary, MRD issues/discrepancies

N/A

� Vendor interfaces – Take a snapshot of benefits enrollment for vendor interface as of a date; calculate insurance premiums based on vendor negotiated rates and employee contribution rules; premium reports for billing; generate vendor interface file and send them to vendors; create HIPAA EDI 834 files as applicable and send them vendors; create premium and contribution files and send them to vendors and brokers; receive and process savings program enrollments; receive family eligibility verification report from Secova and process FMEV report resultant actions

N/A

� Employee Self Service for Benefits – Enroll in benefits during open enrollment or a qualifying event, add and maintain dependent

� Add and maintain beneficiary information (maintained outside of UCPath and provided to UCPath Center or location upon request if


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In Scope Out-of-Scope information; enroll dependents into benefit plans; make enrollment changes for life and job events such as birth, marriage, divorce and job changes; view benefits enrollment and deduction summary

needed in the case of a claim)

� Designate beneficiary for life and AD&D plans (maintained outside of UCPath and provided to UCPath Center or location upon request if needed in the case of a claim)

� Enroll in Benefits – Enroll in benefits during open enrollment or a qualifying event; add and maintain dependent information; enroll dependents into benefit plans; make enrollment changes for life and job events such as birth, marriage, divorce and job changes; make enrollment changes for events that are not available via employee self-service

� Add and maintain beneficiary information (maintained outside of UCPath and provided to UCPath system)

� Designate beneficiary for life and AD&D plans

� Retiree benefits (maintained outside of UCPath and provided to UCPath system)

Absence Management


� Manage Leave Programs – Maintain leave usage and leave entitlement codes; maintain leave eligibility groups ; define leave donation programs; define leave accrual formulas and tables; define balance calculation process and frequency; define processing calendars

� Absence forecasting

� Enroll In Leave Eligibility – Enroll employees into leave programs by assigning absence paygroup and eligibility group assigned in job data

N/A

� Calculate Accruals and Balances – System processes will be run to calculate accrual eligible earnings hours from payroll; Identify accrual rate; calculate entitlements; apply any leave usage and adjustments for the period; calculate final leave balance; make any retroactive adjustment; this also includes sabbatical leave, which is a new function for campuses; this also includes sabbatical leave credit accrual

N/A

� Time and Attendance Integration – Receive paid hours, leave usage, adjustments, compensatory time earned, compensatory time used from locations; calculate leave accrual and final balance; accrual balances are available in ODS; reconciliation process is made available for campus T&A systems that calculate accruals and submit to UCPath via interface

� Employee and manager self-service functionality for requesting and approving leave usage

� Absence forecasting

� Manage Leave Donations – Configure leave donation programs; options include: individual and/or campus catastrophic leave banks; track

� Employee and manager self-service functionality for leave transfer requests


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In Scope Out-of-Scope leave transfers and maintain balances; report on all activities associated with leave donations

� Manage Leave of Absence – Initiate and administer a leave of absence transaction for leave with pay, leave without pay and sabbatical; initiate return to work or extension requests; leave requests are entered by the campus directly into AM without approval; Attachment functionality to allow supporting documents to be attached to the request; verify FMLA eligibility

� Employee self-service functionality

� Perform Accrual Adjustments – Adjustments are submitted via interface from campus T&A systems; adjustments include time worked and takes that can be reflected as positive or negative entries; the scope also includes sabbatical leave credits

N/A

� Review Balances – Employees can review their own leave balances; balances are accurate as of the last leave calculate date; administrators can review balances for all employees in their area (pending decision)

N/A

� Run Leave Reports – Time and attendance reconciliation report; negative accruals; leave donation transactions; monitor approaching return to work dates; leave balances report

N/A

Talent Acquisition Management (TAM)

In Scope (Future Waves) Out-of-Scope Functionality

Talent Acquisition Manager (TAM) is an integrated module that will enable the organization to manage workforce recruiting and employment. It provides functionality for creating and managing job opening, entering and managing applicant information and job postings. TAM has the ability to screen and route applicants and the ability to manage interviews and employment offers

� In scope for UCSF, UCSFMC, UCI, UCIMC, UCD, UCDMC, UCB

� Customizations mutually agreed upon by UCSF, UCSFMC, UCI, UCIMC, UCD, UCDMC, and UCB will be in scope

� UC Irvine’s configuration will be used as the template for a reference set up

* NOTE: Request the configuration scope

� All other UC locations

� TAM will not be used for academics


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In Scope (Future Waves) Out-of-Scope Functionality

document from UCI

ePerformance

In Scope Functionality (Future Waves) Out-of-Scope Functionality

PeopleSoft ePerformance is a self-service evaluation management application for managers, employees, and human resources administrators. ePerformance can be used as a tool for planning, collaboration, communication, assessment, and monitoring evaluations, performance and development � In scope for UCSF, UCSFMC, UCI, UCIMC,

UCD, UCDMC, UCB

� Customizations mutually agreed upon by UCSF, UCSFMC, UCI, UCIMC, UCD, UCDMC, and UCB will be in scope

� UC Irvine’s configuration will be used as the template for a reference set up

* NOTE: Request the configuration scope document from UCI

� All other UC locations

� ePerformance will not be used for academics

2.3 Technical Scope

2.3.1 Platform Delivery

Platform delivery encompasses tasks needed for designing, implementing, validating and transitioning an integrated technology platform to enable the other UCPath functional and technical teams to design, build, test and transition the future business processes and IT portfolio to the UCPath Center and UCOP ITS. The integrated platform components include infrastructure, enterprise applications, security and identity management, third-party tools, enterprise integration and batch processing. All functionality will be delivered pursuant to relevant University of California policies; policies that may need updating shall be identified and escalated to the appropriate policy unit.

Integrated Technology Platform

Description In Scope Out-of-Scope

1 Human Resources / Payroll Environment – An enterprise-grade human capital management application suite that enables the functional

� Oracle PeopleSoft HCM application suite

� Pre-production environments organized in a structured silo design and linear code path

� Transition of production

� Non-PeopleSoft enterprise and point solutions for human capital management

� Environments outside the established code


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Description In Scope Out-of-Scope

requirements for UCPath, and represents the core of the integrated technology platform

environment and supporting non-production environments to UCOP ITS at go-live

� Interim updates and upgrades as necessary to maintain vendor support, and to align with production version after the initial deployment

path

2 Enterprise Planning, Budgeting, and Forecasting System – An enterprise-grade application suite that enables the planning, budgeting, and forecasting business requirements for budget personnel

� Oracle Hyperion Planning and Budgeting Suite configured and deployed for UCOP budget personnel

� Pre-production environments organized in a structured silo design and linear code path

� Transition of production environment and supporting non-production environments to UCOP ITS at go-live

� Interim updates and upgrades as necessary to maintain vendor support, and to align with production version after the initial deployment

� Non-Hyperion enterprise and point solutions for planning, budgeting, and forecasting

� Environments outside the established code path

� Configuration and deployment of Hyperion for non-UCOP budget personnel

3 Portal Capability – An enterprise-grade web portal system that enables industry-standard portal capability

� Oracle PeopleSoft Interaction Hub Application Suite

� Content aggregation for UCPath applications

� Single-sign-on integration

� Integration with federated identity management system

� Branding based on design requirements from the functional and communications teams

� Non-PeopleSoft enterprise and point solutions for web portal functions

� Environments outside the established code path.

� Content aggregation for non-UCPath applications

4 Enterprise Service Bus – This is the aggregation point for inbound/outbound interfaces; the platform is SOA-based to facilitate multiple integration methods and formats

� Implementation of central enterprise service bus

� SOA-based (web services) interoperability

� Integration with locations’ authentication systems

� Integration with UCOP identity management system

� Integrated secure file transfer

� Dashboard/error handling capability

� Issue resolution process with

� Location enterprise service bus design, implementation, and maintenance


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Description In Scope Out-of-Scope locations

� Job-process monitoring

5 Production Control Design/ Implementation – Batch processing schedule design and implementation of the schedule

� Deployment of Control-M for batch process scheduling and monitoring

� Design and implementation of batch processing schedule for UCPath applications

� Transition of batch schedule to UC Berkeley’s production control center for operation, support and maintenance

� Batch process schedule for non-UCPath applications

� Non-Control-M batch processing scheduling tools

6 Enterprise Key and Certificate Management – Centralized security key and certificate management system to simplify enablement and management of encrypted data transfer over public infrastructure

� Implementation and configuration of a central security key and certificate management solution

� Integration with other integrated technology platform components

� Decentralized key and certificate management

7 Enterprise Source Code Management System – Enterprise system to manage custom and delivered source code and enforce code silo discipline to optimize system quality and security

� Implementation of an enterprise source code management solution (Dell Stat)

� Integration of Dell Stat to UCOP ITSM system (ServiceNow)

� Non-Dell source code management solutions

� Integration to Dell Stat to location ITSM systems

8 Secure Connectivity Infrastructure – Network design and configuration to enable encrypted point-to-point connectivity over public infrastructure

� Design and configuration of network infrastructure that enables encryption of data and files in transmission

� Validated list of network locations for permitted connectivity

� Encryption of data at rest at the locations

9 Fault Tolerance – Infrastructure and application configuration to ensure platform availability in the event of a failure of a single component, as well as support for business continuity in the event of a disaster

� Design, implementation, and validation of redundant application infrastructure for UCPath, to include disaster recovery solutions and methodologies

� Resiliency test execution and results

� Disaster recovery cutover testing and results

� Non-UCPath applications and technologies


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2.3.2 Application Development

Application development comprises all application development activities for the IT portfolio implemented for the UCPath program. This team also participates in the design and documentation of the application development methodology. A master list of custom conversion, extension, modification, localization, and interface programs (CEMLIs) that is a complement to this document enumerates individual development efforts.

Application Development

Description In Scope Out-of-Scope Locations’ Responsibilities

1 Enhancements – Customization of delivered code base within the integrated technology platform to support specific business processes that are not adequately enabled by delivered functionality; this can be modification of existing programs or creation of additional programs

� Technical design of enhancements to PeopleSoft HCM and Interaction Hub based on functional business requirements and processes

� Custom development of enhancements in PeopleSoft HCM and Interaction Hub aligned with technical design

� Unit testing of customizations

� Transition to system and integration testing team

� Customization of non-UCPath applications

N/A

2 Interfaces – Technical development of interface programs to support interoperability of applications and operation of end-to-end business processes

� Technical design of interface programs in PeopleSoft HCM and Interaction Hub based on functional business requirements and processes, as well as interoperability requirements from user experience designs

� Custom development of interface programs in PeopleSoft HCM and Interaction Hub aligned with technical design

� Unit testing of interfaces


� Integration development for non-UCPath applications

� Participation in design and scope of interfaces

� Development and unit testing of data extracts from and loads into tier-n systems

3 Reports – Technical development of reports to meet

� Technical design of reports in PeopleSoft HCM based on functional business requirements

� Report development for non-UCPath

� Participation in validation of report results


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regulatory and operational reporting requirements

and processes

� Custom development of reports in PeopleSoft HCM aligned with technical design

� Unit testing of reports


applications

2.3.3 Security

End-to-end security of the integrated technology platform consists of requirements and design from the functional team. Security components include identity management, access, application security, and encryption of data in transit.

Security


1 Federated Identity Management – Solution to enable and manage a federated identity management methodology

� Design and implement an enterprise identity management solution that is SAML 2.0 compliant and supports federated identity management

� Design and implementation of an integrated identity provider (IdP) proxy infrastructure to simplify federation of identity management

� Non-UCPath identity management systems

� Integration to location IdM solutions

� Administration of federated IdM systems at locations

2 Integrated Platform Authentication – The design and implementation of integration between multiple distributed authentication systems (LDAP) and the integrated technology platform to enable single-sign on (SSO) capability

� Design and configure integration methods for local LDAP solutions to integrate with UCPath applications (primarily Interaction Hub)

� SSO integration for non-UCPath applications and systems

� Administration of federated authentication systems at locations

� Participation in design of integrated authentication

3 Application Security Configuration

� Execute the user profile and role definition design created by the functional

� Non-UCPath applications

� Location is responsible for participation in


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team for the UCPath application portfolio

definition of security role

4 Pre-Production Enterprise Security Administration

� Provide security administration services to the UCPath program team and locations for technologies and application environments prior to production

� Non-UCPath applications and technologies

� UCPath technologies and application environments in production

� Administration of federated authentication systems at locations

2.3.4 Data Conversion

Converted employee data includes all active and separated employees who separated on or after January 1 of the conversion year of each location’s conversion year (e.g., 2015 for UCOP). Each employee record will includes the most recent hire date and the current snapshot of employment data at the time of conversion. The records for separated employees include termination data. Because there is not effective dating for most employee records in PPS, converting employee data older than current conversion year would be very complex and costly.

The university maintains 10 years of historical PPS data on the mainframe for each campus for inquiry purposes. After the final location cutover, UCPath governance reviews the decision to maintain the data on the mainframe (versus other platform options), with the intent to maintain PPS historical data per university policy. There may be a point when UC may want to discard or prune data.

Data Conversion


1 Converted Legacy System Data – Conversion of legacy data from the current PPS system to the integrated technology platform to support business operations in the new systems

� Convert data sets of legacy system (PPS/PeopleSoft) data sufficient to enable the operation of payroll, human resources and benefits administration business processes

� Receive and load campus non-PPS data files to enable the operation of payroll, human resources, and benefits administration business processes

� Historical data from legacy payroll, human resources, and benefits administration systems; data from non-payroll/human resources/ benefits administration systems

� Provide key knowledge and input to the functional requirements necessary to successfully convert data through data analysis, conversion validation, data cleansing and collection of non-PPS data


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Description In Scope Out-of-Scope Locations’ Responsibilities � Outreach to

campus central, organization and department subject-matter experts as needed to ensure requirements and data values are accurate and consistent

� Identify PPS data clean up and manage clean-up activities

� Data conversion validation, reconciliation and defect reporting

2.3.5 Data Delivery / Decision Support

Data delivery and decision support includes all scope required for designing, implementing, and maintaining the technologies and programs related to delivery of data to UC locations for analytical use (i.e., data warehouse) and reporting. Specific components include DDODS and OBIEE.

Data Delivery/Decision Support


1 Distributed Data Delivery System – Enterprise system to federate delivery of operational data required to meet business needs in a standard format via enterprise service bus

� Distributed delivery operational data store (DDODS) system

� Java-based data loader program to streamline loading of DDODS data into downstream systems

� Data dictionary and related metadata

� Centralized ODS infrastructure and systems available to locations

� Validation of DDODS loads to local ODS systems

� Archival of incremental DDODS loads

2 HR Analytics – A pre-packaged,

� Oracle HR Analytics Suite

� Oracle OBIEE (scope

� Deployment of OBIEE capabilities

N/A


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delivered set of analytics and reports to support human resources-related business analysis and decisions

limited to human resources analytics deployment)

beyond those required to enable the HR Analytics Suite

3 Algorithmic Information Matching System – Data analysis toolset to compare data from multiple sources and match similar records to reduce duplicate data

� Oracle MDM/Higher Education Constituency Hub (scope limited to data conversion activities)

� Non-data conversion uses

N/A

2.4 Organizational Change Management Scope

Organizational change management (OCM) enables business transformation in a multi-facet program that encompasses business process education, communications, and training. OCM supports UC employees in all locations in a successful transition to UCPath. OCM involves preparing employees for new business processes and system(s), working with the new-shared services center, managing new ways of working in an environment of continuous improvement, and providing information about the new portal tool to all employees. OCM includes collaborating with locations to:

� Develop strategies, change programs, communications and training to support UC employees in making a successful transition to UCPath

� Measure change management effectiveness through regular assessments

� Manage system-wide business process design and technology impacts by helping employees understand new concepts, terminology, business processes and new technology

� Support locations in the alignment of new roles to the new business processes

� Transition the organization to the new ways of working

� Support employees with change management programs through stabilization of each new process and technology that supports them

The table below contains the scope for the UCPath team and the individual locations teams’ scope as it pertains to organizational change management.


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Organizational Change Management

Business Transformation

Area


Activity

UCPath Scope Locations’ Responsibilities

1. Change Program

Stakeholder analysis

� Document the full list of all project stakeholders, and include key information for each stakeholder, including risks and mitigation

� Identify local stakeholders and coordinate meetings and information

Change management plan (including mitigation strategy)

� Define the change enablement solution to ensure adoption and benefits realization

� Deliver strategies, programs and tools to support employees in the transition to the system wide future state design

� Provide input into the change management plan as it pertains to the particular needs of the location.

� Manage and deliver location change management plan

Stakeholder commitment tracking

� Build upon the stakeholder analysis to track information on stakeholders throughout the life of the change effort

� Provide input into the tracker; use for other local-only tracking

2. Communication Planning Communications

and engagement plan

� Provide strategies, programs and tools for building commitment through communication and engagement activities

� Coordinate with local communication teams to ensure integrated approach

� Manage and deliver local communication plan

� Customize UCPath communications to local needs

3. Process Alignment

Change impact assessment

� Define how the future-state design transforms the way we work and summarize the changes and results by major stakeholders

� Deliver strategies, programs and tools to support the transition to system wide future-state process designs

� Work with the UCPath change management team to fully understand the change impacts

� Support location business process alignment to future state

4. Structure and Job Alignment

Job design

� Provide guidance and leading practices information

� Provide tools for locations to document the characteristics of a job, including roles and responsibilities, skills and competency requirements,

� Identify, redesign and implement structure and job changes as it relates to tasks changes identified in the future state business processes


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Area


Activity

UCPath Scope Locations’ Responsibilities

key performance indicators, level of experience

� Deliver strategies, programs and tools to support the transition to UCPath

5. System Security Role Mapping

Roles/skills

� Provide assistance to locations in documenting the requirements for new roles based on the new business processes, new system and the shared services center model

� Document requirements for employee roles based on the new business processes, system and the shared services center model

User role to process map

� Collaborate with locations to help them understand revised/new business roles associated with changes to business processes and technologies

� Assist in preparation of role designs and integration with security design

� Develop and support local role mapping process

� Map staff to security roles

� Manage local security

6. Enable and Transform the Organization

Organization transition

� Provide strategies, programs and tools, to support conceptual and skills-based learning as employees adapt to the future-state design and adopt the new UCPath system

� Provide local coordination as employees learn and adapt to the business transformation

� Provide strategies, programs and tools to support employees through the local transition to future state and the new UCPath system and shared services model

2.5 Training Scope

The overall goal of the UCPath training scope is to train and prepare employees with the knowledge and skill-sets to transition successfully to the new standardized business processes, the new technology and the UCPath shared service center model.

UCPath training scope includes the design, development and delivery of role based end-user training curriculum, quick reference guides, participant and other support materials. UCPath bases the scope on an analysis of the extent of the business transformation, input from subject matter experts, an


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analysis of the future-state business process designs (FSPD), as well as the new roles, technology, and tools required for accomplishing new or existing work.

The delivery approach includes introductory town halls, webinars, and simulations to build an overall awareness and knowledge about UCPath, building high-touch instructor-led classroom and training labs to cover the more complex business processes and transactions. Provisions also include offering specific lab sessions to address computer access issues and/or specific audience groups identified by the locations. UCPath offers train-the-trainer sessions to each location.

The table below outlines the training scope for the UCPath central PMO, the UCPath Center, and UC locations.

UCPath Central PMO UCPath Center UC Locations

Focus: Design and develop core standardized UCPath training for end users; deliver training utilizing the train-the-trainer approach

Focus: Design, develop and deliver training associated with the UCPath Center operations, technology and services offered to all locations

Focus: Design, develop and deliver location-specific business process training and deliver the core standardized UCPath training to end users

Responsibilities

� Introduction to UCPath / portal

� Employee self-service

� Manager self-service

� Portal/case management

� UCPath/PeopleSoft HCM 9.2 standard navigations (role-based training) -Absence management -Benefits -Payroll -Workforce administration -Reporting -TAM -ePerformance

Responsibilities

� UCPath Center business and functional operations (benefits, payroll, workforce administration, etc.)

� Job-specific training for customer service reps, operations team etc.)

� Enabling technology (PeopleSoft, IVR, case management, FileNet, PerfectForms, etc.)

Responsibilities

� Identification of local trainers to attend train-the-trainer courses

� Audience identification and mapping of roles

� Training logistics including: training communication, classroom scheduling, enrollments, training coordination

UCPath Training Responsibilities

In Scope Out-of-Scope Locations’ Responsibilities

Training Design, Development � Local business processes � Identification of location


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and Deployment Strategy – is based on audience size, degree of centralization complexity of tasks and the degree of change involved for the end-user; the training modalities reflect the increase in complexity of the training design related to the level of skill development and knowledge transfer; for example, the human resources/APO audience will receive more instructor-led training and labs versus the employees learning how to use the portal; materials include instructor, participant and quick reference guides

� Ownership of UCPath Center operations, customer service and technology training not yet defined

training leads and logistics coordinators

� Identification of power users

� Audience identification and mapping of security roles to business roles

� Management of training readiness plan

� Communication and scheduling of location course offerings; maintenance of location training schedule

� Scheduling and maintenance of classroom facilities

� Enrollments of learners and maintenance of location course schedule

Training Delivery Methods – Delivery modalities include town halls, webinars, instructor-led training, labs, simulations and ask-the-SME sessions; deliverables include facilitator guides, participant materials, quick-reference guides, case studies and lab scenarios

N/A � Coordination of location training delivery and deployment

� Co-leading of training sessions

Training for Trainers – The training team will develop and deliver train-the-trainer session for each rollout, to introduce the location trainers to the logistical considerations associated with UCPath training program as well as the training content; content will be further developed once course curricula are designed; necessary content for this trainer orientation is included below:

� Training methodology for delivering UCPath training

� Review of UCPath training curriculum

� Co-leading of training

N/A � Identification of UCPath lead trainers

� Identification of trainers to attend train-the-trainer sessions

� Training on pre-inbound transactions to the UCPath Center and post-outbound transactions from the UCPath Center

� Design of integration of training to capture the handoffs to and from UCPath not yet defined

� Implementation and maintenance of post-go live support and training remediation plans


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sessions

� Delivery and facilitation skills

� Change management issues

� Training logistics and location rollout plans.

� Roadmap of in scope and out of scope processes

� Deployment details

Training Content Areas –

� Introduction to UCPath/portal

� Employee self- service/manager self-service

� Absence management

� Benefits

� Compensation

� Workforce administration

� Payroll

� General ledger integration

� TAM

� ePerformance

� IT Training (system administrators, database administrators, etc.)

� Maintenance of base tables

� Test/QA training

� UCPath Center operations, customer service and technology training

� Benefits vendor management training

� Local business process training content areas

� Training at the locations on human resource policies, laws and practices

2.5.1 UCPath Training Deliverables:

UCPath training deliverables include:

� Role-based training maps

� Course content, facilitator guides and learning materials for town halls, webinars, instructor-led, labs and train-the-trainer offerings

� Training manuals, case scenarios, job aides/quick reference guides, in application help (later phases)

� Train-the-Trainer sessions/trainers deployed to the locations to co-lead

� Master course catalogue and training schedule

� Training data base/training environment

� Post go-live support plan


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2.6 UCPath Center Scope

2.6.1 In Scope:

Background:

To operate a new, common payroll and human resources system effectively and efficiently, UC has decided to centralize transactional and customer support functions system wide by creating the UCPath Center.

UCPath Center Scope

In Scope

Out-of-Scope Locations’ Responsibilities

Workforce Administration – This area covers multiple transactions and inquiry types that could affect an individual employee or group of employees’ status with the organization, their job data, their personal data, organizational data, compensation and pay data, etc. In addition, each campus has the role to identify, analyze, initiate and approve transactions that in most cases are not re-entered by the UCPath Center

The following functions will not be supported centrally within the shared service center:

� Staffing and recruiting

� Learning management

� Performance management

� Employee and labor relations

� Position management

� Funding entry

� The locations will initiate, route and approve transactions through Approval Workflow Engine (AWE) for processing at UCPath Center

Payroll – This process area includes all items necessary to prepare for and process payroll, most post-payroll activities, and year-end/beginning activities associated with all groups of employees and their pay; the scope of payroll does not include time reporting, as those processes will, for the near future, remain the responsibility of the local campuses/medical centers until such time as a common time and attendance system is put in place

N/A � For several payroll processes, locations will be involved in:

� Issue resolution

� Coordination of submitting information (either from employees or local offices) for payroll processing

� Auditing and reconciliation of reports

� Local processes for data that did not migrate to UCPath or UCPath Center

� For applicable payroll transactions, the locations will initiate, route and approve transactions through the Approval Workflow Engine (AWE) for processing at the UCPath Center


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In Scope


� Locations will remain responsible for all time and attendance reporting

Benefits – This process area includes items such as enrolling in benefits, making changes to existing benefits, inquiring about benefit information, and/or processing various non-customer facing benefit administration activities

N/A � Location-based, new employee orientation and open enrollment fairs will continue to be supported by locations

� Health care facilitators will continue to support employees with escalated claims issues

� Locations may also be involved in escalated issues that require additional employee outreach

Leaves of Absence – This process area includes only the management of status changes that are created because of an employee going on to or returning from a leave of absence of any type. The scope of UCPath Center is to update the payroll status upon notification from the campus. The campus is responsible for all other activity.

N/A � Leave administration will remain at the locations

� Locations will be responsible for communicating leave begin and end dates, leave types including leave entitlement, such as FMLA, and return from leave information, through the extended absence module, to the UCPath Center

Business Continuity Plan – The development and execution of a business continuity plan to assure vital processes for the UC system are made available as soon as possible in the case of a failure

N/A � The locations are responsible for location-specific business continuity plans that are not covered by the UCPath business continuity plan

Ability to Update Large Volume of Records at One Time – The delivered mass-update functionality will be used primarily by the UCPath Center; however, locations may be able to perform some at their locations (i.e.:

N/A � The locations can submit mass transaction files to UCPath Center for processing.

� Transactions will include updates to position management, job data and


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In Scope


FileNet feeds, etc) compensation

� The locations will use a standard file format specific to the transactions and will not have the ability to route for approval within UCPath

The Case Management Tool – will be used to initiate, respond, and document closure of specific action items within the UCPath Center and between the UCPath Center and the locations. Individual cases will be referable back and forth between case managers and designated location representatives and will support the inclusion of document attachments as part of the overall case

N/A � The locations will receive notifications and instructions for specific transactions via case management system and will be able to respond, communicate and/or resolve issues through this tool

� Similarly, the employee and the managers can initiate cases and submit questions/information to the UCPath Center

2.7 Transition Management

Transition management consists of readiness activities to prepare the university for the deployment of the UCPath system. The scope of transition management includes five areas: application readiness, technical architecture and infrastructure readiness, deployment site(s) readiness, support readiness and end-user readiness. Due to the unique complexity of the UCPath program, the UCPath transition management team has been established to collaborate with UC location transition teams to identify readiness actions that need to be taken, to monitor and measure status as we progress through the project and to evaluate the readiness to move a UC location into production.


1 Application Readiness

� Review the requirements for rolling out the applications to the end users

� Identify potential issues that would prevent the scheduled deployments

� Add actions to the operational readiness checklist to record what requirements need to be rolled out to

� Non-UCPath related applications

� Identify location-specific requirements for rolling out the applications to the end users

� Identify potential local issues and risks

� Participate in


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the end users

and take responsibility for operational readiness checklist items assigned to the locations

2 Technical Architecture and Infrastructure Readiness

� Close coordination between UCPath and Oracle (OMCS) in place in order to assess the deployment readiness of the technical infrastructure

� Periodic monitoring of the requirements for deploying the technical infrastructure to support the application rollout for all locations involved in the go-live

� Any risks and potential issues that would prevent scheduled deployment will be identified, added to the operational readiness plan and monitored throughout the project

� Non- UCPath related infrastructure

� Identify location-specific requirements for rolling out the local infrastructure to the end users

� Identify potential local issues and risks

� Participate in and take responsibility for operational readiness checklist items assigned to the locations

3 Deployment Site Readiness

� Monitor change of local business practices affected by the new state business designs

� Create and maintain effective transition communication plan with locations

� Monitor training (example: have the local trainers been engaged and prepared in the train-the-trainer approach)

� Ensure technical infrastructure transformation (example: is the technology prepared at the local sites)

� Technical support (example: what is needed for local support)

� Security requirements

� Non- UCPath related local site changes

� Local system transformation (i.e., are all tier systems converted and tested?)

� Local communication activities

� Local trainers are prepared to train end users

� Technical infrastructure is in place locally

� Local security requirements

Accuracy of local systems’ data


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(example: are there any specific requirements for localities)

� Accuracy of data (example: are electronic files/data accurate; are there manual work-arounds)

� Preparedness for change (example: organizational change readiness for the site(s) first out of the gate)

4 Support Readiness � The operational readiness checklist will include system support readiness from the five UC locations that will support the UCPath system:

� UCPath Center

� UCOP corporate application systems

� UC Berkeley production support team

� UCOP ITS production support and infrastructure

� Oracle managed cloud services

� Each of the five UC support organizations will initially establish a production operational model, and then expand their services with each go-live to include a larger and more diverse population, along with potential expansion of functionality (i.e., TAM and ePerformance)

� The strategy for providing support (e.g., on-site, by phone, call center helpline, e-mail, web site, etc.) will be refined and documented in the operational readiness plan

� Non- UCPath related application support

� Local system support readiness will be included in the operational readiness checklist with each go live

� Assign resources, that will be available to support key local deployment activities and integrate with the central support models


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� Resources, which will be available to support key deployment activities, will be identified and the level of support required will be determined based on an assessment of deployment site readiness

5 End User Readiness

� End users’ knowledge of the new application, their successful completion of the required UCPath training modules

� Role-level security established and managed for the application

� Coordinate with organizational change management to monitor end-user perception of new application

� An action plan will be incorporated into the communication and training plans and the operational readiness checklist

� Non-UCPath related organizational changes

� Ensure end users attend new application training for their assigned role(s)

� Responsible for assigning end users to correct security role(s)

� Take responsibility for operational readiness checklist items related to end users assigned to the locations

2.7.1 Operational Readiness

Release management includes operational readiness for UCPath. Operational readiness is a process of creating awareness and coordinating the start of new operations among all involved staff and locations. This preparation includes early assessments listed below that will be executed to verify that the application and the organizations are integrated and prepared to move into production effectively. Operational readiness also includes central coordination of each location’s readiness to go live. Throughout the project, there will be risk monitoring and reporting.

Operational Readiness


1 Operational � Implement operational readiness pre-

N/A � Identify locations’


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Readiness Assessments – All locations will participate in a series of operational readiness evaluations leading up to go live to verify readiness to deploy and to track any risk items

assessments during:

o Pre-SIT initial build and test

o Pre-UAT re-execution and evaluation

specific operational requirements for the go live to be included in the overall assessment for the go live

� Integrate local needs to overall UC support model needs for the go live

� Take actions if necessary to prepare

2 Central Coordination – The UCPath transition team will provide coordination in developing and gathering the final operational readiness areas and checklist items from the locations; these will be consolidated into an overall report representing the status of all locations within the go-live

� Disburse standard tools and documents to be re-assembled

� Review and audit each organization’s detailed checklist

� Gather and format each assessment and the final operational readiness checklist

N/A � Provide input and validation of final information in central assessment

3 Go-Live Risk Monitoring – Upon each assessment the documents will be reviewed to identify any potential risks to the go live and facilitate the escalation and development of contingency plans as needed

� Updating of the risk register

� Coordination of contingency plan development

� Documentation of contingencies used for SIT and UAT

� Monitoring risks closely for production

� Tracking production contingency plans facilitating integration into the post-go-live operational execution

� Risks that are unrelated to the UCPath program

� Development of local contingency plans

� Execution of local contingencies


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4 Reporting – Reporting across to project leadership the status of each assessment and outstanding risks and issues around operational readiness

� Results from assessments to project sponsors, project governance and all project organizations involved in the upcoming go live

� Feeding operational readiness results to the readiness assessment for the overall go live

� Final operational readiness checklists will be completed at least four weeks prior to the go-live date

N/A N/A

2.7.2 Cutover and Migration Plans

The primary mechanism to execute and manage the cutover to the production system at go live is the detailed cutover plan. This plan will specify the hour-by-hour schedule of cutover tasks/activities of system, data and processes and includes assigned responsibilities for both the central team and local teams.

Plans include having each UC location participate in a series of mock cutovers that will validate the cutover checklist tasks, timing and dependencies prior to the system integration test (SIT) phase. These assessments include conversions (central and local), environment initiation, loading and configuration, account creation, infrastructure migration and initiation in the cutover testing. Once the mock cutovers have been executed cleanly, the project team creates a detailed cutover schedule that documents the expected duration and sequence of each step. The central team will notify legacy system owners, detailing the timing when extracts are required for the new system. The project team schedules reconciliation tasks with data owners to verify data was correctly converted and as errors are found adjustments are made to the cutover plan.

The cutover checklist will be used to monitor all activities used to create the SIT environments to validate its completeness and accuracy and will be updated and finalized with each execution of SIT. The cutover checklist developed from the SIT build will be used to execute the creation of UAT and to execute a final comprehensive test of the production build with final benchmarks and timing to determine the final go-live schedule.

Cutover Migration



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1 Execution – All locations will be expected to participate in a series of executions of the cutover plan including a pre-SIT build evaluation, a SIT monitoring and validating execution and a UAT execution of cutover plan integrated with the other locations

� Include conversions (central and local), environment initiation, loading and configuration, account creation, infrastructure migration and initiation in the cutover execution

� Include dependencies and benchmarking in the cutover executions to reduce downtime of production systems

N/A � Identifying local cutover activities

� Collecting local benchmarks for timing purposes

� Participating in identifying dependencies locally and with other locations

� Participate in the central coordinated execution of the cutover execution

2 Central Coordination – The final cutover will be managed by the UCPath program transition team coordinating efforts across all organizations involved with the go-live

� Coordinate with UCPath project team, UC organization(s) moving to production, UCPath Center, UC Berkeley production control, UCOP teams, and Oracle managed cloud services

� Organizations not included in the go live

� Participation in final cutover activities

3 Reporting – A standard set of metrics will be reported on and as timelines are refined and compressed communication toward actual production cutover schedule will be published

� Include amount of systems and data being migrated to production

� Document estimated and actual run-times of tasks

� Report overall duration of cutover execution to production availability

N/A N/A

2.7.3 Contingency Planning and Decommissioning

A contingency plan will be created to create the steps required if the implementation does not work or if specific functionalities or locations cannot go live as planned. The plan contains the possible scenarios of problems that could occur when the application goes live, and what to do to revert to normal operation. The plan anticipates the type of problems that may occur during the go-live deployment,


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identifies the solutions or workarounds to resume normal business operations, and identifies the people to notify and/or implement actions and to prepare people who are responsible so they can respond quickly if problems occur. There will be milestone reviews to monitor the risks and will be tracked and reported centrally for all locations involved in each go live.

Contingency Planning


1 Milestone Reviews – Working with the PMO risk team monitoring the risk register and coordinating activities around risks that will require contingency execution

� Perform evaluation of central team and location team risks involved in each go live

� Conduct reviews as milestones are completed during the design and development phases

� Conduct reviews as teams prepare for SIT and UAT activities

� Perform a final review prior to go live

N/A � Maintain updates to local risks in the program risk register

� Participate in risk reviews with central team

� Identification of local contingency needs

2 Contingency Plan Development – Work with the responsible team(s) to develop plans as needed and monitor need to execute along project timelines

� The UCPath operational readiness team is responsible for identifying and monitoring the contingency plans, working in concert with the UCPath central PMO and the locations

� Update risk register

� Assist in evaluating impact across other areas

� Coordinate execution into the IWP and production status monitoring for need of contingency in the go-live and post-production activities

N/A � Develop and execute local contingencies as identified

3 Reporting and Tracking – Maintain central list of active Contingencies and communicate to project leadership and governance during key milestones; integrate

� Include all location organization contingencies involved in the upcoming go live; report generated prior to SIT, UAT and go-live.

� Escalate contingencies immediately as they are activated to project leadership and

N/A N/A


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contingency and impact into the operational readiness evaluations

governance

� Proactively report the potential need for contingencies as they are identified to locations, program leadership and governance

� Integrate all active contingencies and impacts to the operational readiness assessment

Decommissioning

The identification of any legacy systems that will be decommissioned as a part of the UCPath program will be tracked and managed from the UCPath central PMO. The dates of decommissioning and the status will be periodically updated in the tracking documentation. The decommissioning activities will also be included and tested in SIT and UAT where appropriate. The current technical teams that maintain these systems will be engaged in the design, development, testing and ongoing production support of the legacy systems that are being transformed and continue to be used in production with new or ongoing functionality.

Decommissioning


1 Scope – Document final disposition of legacy systems involved in each go-live

� Identity systems that are being eliminated

� Identify systems that are being transformed for a temporary time or permanently into post-production operations

N/A � Design, develop and testing of the local systems decommissioning or transformation

2 Tracking Development – Assure local organizations needs and timelines are being met and integrated into the overall UCPath development timelines and dependencies

� Manage the central location combined systems and the local organization systems including AYSO and PPS

� Plan around central design dependencies and downstream unit testing

N/A � Reporting of local systems development and readiness


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3 AYSO – Track and facilitate the transition of each location into new system and the remaining AYSO functionality going forward

� Final functional scope in both systems meets minimum current content

� Resolution of outstanding design question such as inactive employees

� Development integration with UCPath central team

N/A � UCOP corporate AYSO development team will participate in final design and develop changes to AYSO

� Integrate with central team testing and user experience design

4 PPS – Track and facilitate each locations transformation of PPS into post go-live functionality

� Document final PPS functionality post go live for each location

� Integrate new PPS processes into testing phases

N/A � Each technical team currently maintaining PPS systems will apply necessary changes and create testing and production instances

5 Testing – Integration into UCPath SIT and UAT testing

� Integrate ongoing processes into the test plans for SIT and UAT

� Document that process flows and user experience have been tested

N/A � Integration of local systems into the plans for SIT and UAT

� Execution of local systems testing

2.7.4 Readiness Assessment Overall Go Live

The final readiness assessment for go live will be gathered and consolidated into a decision matrix for the go/no-go decision for go live.

Readiness Assessment Overall Go-Live


1 Reporting – Contents of the readiness assessment will be validated with owners and presented to UCPath governance

� Include each organization involved with the go-live

� The project teams centrally and locally, including systems, organizational change and operations

N/A � Provide input via operational readiness checklists and other channels into final assessment status


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Description In Scope Out-of-Scope Locations’ Responsibilities � Participate in

final assessment and approval to move forward

2.8 Testing

The testing scope covers seven testing phases. These include unit testing (technical), functional unit testing (FUT), conversion unit test, system integration testing (SIT), payroll parallel (PPL), performance test and user acceptance testing (UAT). The data used in all phases of testing will be unmasked, unscrambled production data. Processes for assuring appropriate use of the data are in development for local approvals.

Testing


1 Unit Testing (Technical) – This is technical unit testing of specific modifications and interfaces

� Tests are executed on each modification of the system

� Number of tests is related to number of units modified

� Tests on delivered functionality that has not been modified

� Unit testing of local development

2 Functional Unit Testing (FUT) – This is configuration unit testing of specific application setups

� Configuration tests are executed for each setup value within UCPath

� Business process and end-to-end testing

� Technical unit testing

� Testing of vendor interfaces.

� Converted employee data

� Limited support for validation

3 Conversion Unit Test – Verifies that conversion programs and reconciliations function appropriately; provides a realistic look at what data will be included in the

� Conversion program unit testing

� Source data validation

� Extract program validation

� Loading data from source to target and error handling routines

� Data mapping validation

� Historical records not included in the scope of converted records

� Validate data sets and provide detailed feedback

� Clean up data as needed


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new system (target field to source field)

� Validation of conversion business rules and translation tables

4 System Integration Test (SIT) – The system integration test expands on the previous tests to verify the use of the system in the broader application environment. The test includes end-to-end business process tests to verify the integration of the ERP system with other internal and external applications. As part of SIT, we coordinate with internal campuses and external vendors to confirm the end-to-end interface processing

� Confirm module configuration

� Incorporate testing of parking lot and GAP from the business process or FSPD identified as configuration

� Determine if there are any additional gaps

� Test all inbound and outbound interfaces including the enterprise service bus

� Test modifications, extensions and workflow

� Negative testing

� Execute test cases using converted data

� Verify flow of information across applications by processes and interfaces are working as designed

� Verify vendor interfaces and all downstream applications are working as designed

� Test printing capabilities and requirements

� Test technical usability: browsers, internal and external network connections (Citrix, VPN, etc.), desktop/operating system capabilities (Apple, Windows, etc.), devices (iPad, mobile, etc.)

� End-user training

� Testing manual procedures

� Testing business desk level procedures

� UCPath application navigation training

� Platform validation testing

� Location desktop applications

� UCPC testing

� Location integration testing for business process end-to-end testing

� Location downstream application testing

5 Payroll Parallel Test – Parallel testing is a popular and effective test for simulating production processes

� Validate that the payroll gross to net calculations compare accurately or are reconciled between the legacy and new system

� Reconcile calculations

� Running two systems in parallel for the current period

� Matching the total number of

� UCPC to compute payroll and assist with analysis, validation and reconciliation


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and transactions in a very controlled manner to determine whether systems are working well before a new approach goes live. A parallel test verifies that the new system can produce comparable results to the current system and that all necessary business functions are incorporated into the system

between old and new systems

� Verify YTD balance conversions (non-tax related elements)

� Execute payroll related processes, interfaces and compare to legacy results

� Payroll testing defects are monitored and resolved

� Disposition on identified variances

line items in the remuneration statements of the selected employees between legacy and UCPath systems

� Location SMEs to assist with analysis, validation and reconciliation

6 Performance Test – Performance testing ensures that the system is capable of operating at the load levels specified by the performance requirements and any agreed upon service level agreements (SLAs). Performance testing evaluates the compliance of the system with specified performance requirements, specifically the speed and efficiency in processing transactions

� Tests load levels of system

� Tests the speed and efficiency in processing transactions

� Network response times

� Batch processing response times

� Online response times

� Final results will be moved forward into the UCPath readiness assessment for go live. This includes the issue log and test script validation for all processes and users engaged in the UAT cycle

� Tests on functionality

� Test for accuracy of transactions or processes

� Locations to support as needed

7 UAT – Allows the end users to complete one final review of the system prior to deployment. The test planning is performed in the design and develops phases during which the user requirements are defined. The plan is refined based on SIT

� UAT will test all systems and processes needed to be available with the upcoming go-live; include business processes, systems, training, communications across the UCPath Center, UCOP support, Oracle managed cloud services, Berkeley production control and the current UC organization moving into production

� Previous full scope testing that is not feasible to repeat (i.e.: payroll parallel processing)

� Locations to plan, execute, validate and report on UAT

� UCPC to participate and support UAT

� UCPath central team to support UAT


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results before being executed. The test execution is performed in the test stage

� Cycle one created to test entire scope of UAT

� Focus cycle two on correction of errors found, revised documentation and revised training materials

3 UCPATH WAVE 1 ARTIFACT DELIVERABLES The following chart displays the deliverables by pillar or content group across the phases of UCPath Wave 1:

Pillars Plan Analyze Design Build Test Train Deploy

1 Functional Management

� Functional Fit/Gap Analysis

� CEMLI Inventory

� Future State Process Designs

� Fit/Gap Resolution Documents

� Configuration Designs

� Functional Designs

� Summit Meetings for FSPD Review

� Updated and Final FSPDs

� Business Process Decision Documents

� Functional Unit Test of Configuration

� Summit Meetings for Configuration and Functional Design

� Updated and Final Configuration

2

Test Management (FUT, SIT, and PPT)

� Test Strategy

� SIT Test Plan

� PPT Test Plan

� SIT Test scripts and Schedule

� PPT Test scripts and Schedule

� Conversion Validation Results

� Test Scripts for System Integration Test (SIT)

� Test Scripts for Payroll Parallel Test (PPT)

� Conversion Validation Results

� SIT Test Results, Closure and Defect Metrics Report

� PPT Test Results, Closure and Defect Metrics Report

3 Transition Management

� Transition Management Plan

� Contingency Plan

� Roll Back Plan

� Operational Readiness Checklist

� Operational Readiness Evaluations

� Initial Integrated Cutover Plan Build

� Operational Readiness Evaluations for SIT and UAT

� Cutover Plan Finalized UAT

� Final Operational Readiness Report

� Cutover Plan Execution

� Final go-live Readiness


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Templates

� Cutover Plan Templates

� UAT Test Plan

� Contingency Evaluations and Plans

� Cutover Plan Execution Results

� Contingency/Risk Mitigations for Production

� UAT Results

� UAT Test Signoff

� Preliminary Go-Live Readiness Assessment

� Go-Live Support Plan

Assessment

� System Validation Signoffs

� Project Production Support model

� Command Center

� Go-Live/No-Go Live Authorization/Signoff

� Smoke Test Plan

� Smoke Test Scripts

� Smoke Testers

� Smoke Test Signoff

4 System Integration Management

� Security Plan

� Data Conversion Strategy

� Integrated Technology Platform Definition

� SI Team Structure and Resource Requirements

� Integration Strategy

� Technical Fit/Gap Analysis

� IT Shared Service Strategy

� Integrated Technology Platform Spec

� Integration Architecture Spec

� CEMLI list

� Security Matrix – User Profile Role Mapping

� IT Shared Service Design

� Technical Designs

� Data Conversion Design

� Technical Environment Design

� Decision Support and Reporting Design

� Unit Test Scripts

� CEMLI Development and Unit Test Results

� Unit Test Signoff

� Transition Documentation to Test Team

� Performance Test Scripts

� Converted Data

� Enterprise Security Model

� Performance Test Execution and Results

� Performance Test Sign Off

� Security Vulnerability Test Execution and Results

� Execution of Cutover

� Final Data Conversion Execution

� Production Integrated Technology Platform

� Transition Documentation to UCOP ITS Shared Services


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5 Organizational Change Management

� Stakeholder Analysis

� Org Change Plan

� Change Leadership Action Plan

� Change Impact Assessment

� Communication and Engagement Plan

� Stakeholder Commitment Tracker

� Organization Change Management (OCM) Readiness Outreach and Support Design

� Communication Materials

� OCM Readiness Scorecard

� Communication and Engagement


� Role Mapping






� OCM Readiness Scorecard (Final)

� Go Live Communication

6 Training � Training Plan

� Training Scope

� Curriculum Framework

� Location Training Assessment

� Training Resources

� Detailed Course Outlines

� Draft Training Data Requirements

� Role Mapping to Training Courses

� Course Content Development

� Course Materials

� Learning Paths

� Pilot Curriculum

� Master Course Catalogue

� Master Training Schedule

� Training and Performance Support Materials

� Train-the-trainer

� Training Delivery

� Training and Performance Support Evaluations

� Training Communications

� Training Attendee Stats

� Post Go Live Support Plans

Deliverables Across All Phases

7

Program Management Office (PMO)

� Program Management Methodology

� Program Organization Structure

� Program Team Roles and Responsibilities

� Integrated Workplan

� Program Scope Document

� Meeting Minutes (PMO/Steering Committee)

� Program Onboarding/Off boarding Process

� Program Monitoring Process

� Program Quality Control Process


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� Program Plan (WBS)

� Steering Committee/Governance Process

� Status Reports

� Issues Log /Issues Management Process

� Scope Change Documents

� Time Tracking Reports

� Risk Log/Risk Management Process

� Current State Processes

� Change Control Plan

� Decision Documentation


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4 APPENDIX 1 - DECISION AND CHANGE REQUEST APPROVAL PROCESS

The decision and change request approval process includes the management of software and its related documentation as the software evolves from development to maintenance. The UCPath process enables project team members and UCPath stakeholders to identify, communicate, implement, document, and control changes in the documentation and systems environment. A set of items becomes included into a baseline only after formal review and approval by UCPath governance.

The diagram below depicts the decision and change request approval process.


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5 APPENDIX 2 – FAQ: UCPATH SCOPE DOCUMENT

Questions received during the UCPath scope document reviews are documented in the attached FAQ: UCPath Scope Document.

FAQ for Scope.docx


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6 REVISION HISTORY

Date Version Description Author

03/21/14 1.0 First Draft with input from Christy Campbell, Brian Ellis, Pat Furze, Jax Hamilton, Michelle Maule, Kim Lane, Barbara Perman

Jeannie Smith

3/21/14 2.0 Changes made by UCPath PMO: Mark Cianca, Randy Wilson, Sabu Varghese, Michelle Maule

Jeannie Smith

3/24/14 3.0 Changes made by UCPath Leadership Council: Allison Baird-James, Peggy Arrivas, Jim Leedy, Paige Macias, Chuck Rowley, Nancy Tanaka

UCPath PMO: Mark Cianca, Sabu Varghese

UCPath Pillar Leads: Jax Hamilton, Christy Campbell, Brian Ellis, Barbara Perman, Pat Furze, Kim Lane

UCPath Team Members: Jean Park, Deb Hill, Veer Trivedi

Jeannie Smith

3/25/14 4.0 Changes made by UCPath Steering Committee: Peggy Arrivas, Paige Macias, Allison Baird-James, Jim Leedy, Chuck Rowley, Paul Weiss, Eleanor Skarakis

UCPath PMO: Mark Cianca, Sabu Varghese, Michele Maule

UCPath Leads: Christy Campbell, Brian Ellis, Pat Furze, Jax Hamilton, Barbara Perman, Kim Lane

UCPath Team Members: Jean Park, Veer Trivedi, Todd Laesch, Clay Bake, Stacey Alvarez

Jeannie Smith

4/1/14 5.0 Extended deadline to 4/1/14 - changes made by Sabu Varghese, Cindy Doherty, Allison Baird-James

Jeannie Smith

4/8/14 5.0 Extended deadline to 4/4/14 – changes made by UCPath Project Managers: Deb Nikkel, Jane Wong, Cynthia Lynch Leathers, Leah McKee, Samantha Heath, Jennifer Damico Murphy, Paul Sheirich

UCPath Leads: Christy Campbell, Brian

Jeannie Smith


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Ellis, Pat Furze, Jax Hamilton, Michele Maule, Kim Lane, Barbara Perman

Final Review by UCPath PMO: Mark Cianca, Sabu Varghese, Michele Maule

4/14/14 5.0 Sent to UCPath Steering Committee Jeannie Smith

4/21/14 6.0 Steering Committee changes Jeannie Smith

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