UCPath Scope Document

Transcription

1 21 April 2014

2 Table of Contents 1 Introduction Purpose of the Document Background Reference Documents Program Mission Statement and Vision Objectives and Benefits Scope University Locations In Scope: Functional / Business Process Scope In Scope: Technical Scope Platform Delivery Application Development Security Data Conversion Data Delivery / Decision Support Organizational Change Management Scope Training Scope UCPath Training Deliverables: UCPath Center Scope In Scope: Transition Management Operational Readiness Cutover and Migration Plans Contingency Planning and Decommissioning Readiness Assessment Overall Go-Live Testing UCPath Wave 1 Artifact Deliverables Appendix 1 - Decision and Change Request Approval Process Appendix 2 FAQ: UCPath Scope Document Revision History Page 1

3 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 Page 2

4 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, costeffective 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 decisionmaking. 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 1. PPS Initiative Project Summary September The Regents of the University of California Request For Proposal # UCOP/payroll- HRIS/2011 Description A program charter with the purposes of gaining approval from President Yudof to go forward with the UCPath program 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 Page 3

5 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 Replace PPS with hosted Oracle PeopleSoft platform Standardize payroll and human resources business processes throughout the UC System Significantly change the delivery of transactional payroll and human resources services Benefits 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 Streamlines processes and improves transition between campuses Provides opportunities to correct inefficiencies and inequities 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 Page 4

6 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 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 Page 5

7 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 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 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 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; onetime and ad hoc awards. Manager Dashboard Summaries of information of a manager s direct and indirect reports that contains alerts, approvals and a campus or location organization chart Position Management Position management will be implemented to support administration of budgeted and funded positions and related updates to appointments Organizational Chart Organizational reporting in a chart view, including direct reports using reports-to position data Employee Self Service (ESS) for Education & Licensure Employees have the ability to Out-of-Scope Manager-level views of compensation history Page 6

8 In 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 Out-of-Scope Add People Ability to hire and rehire employees and identify non-employees; nonemployee 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 nonemployees (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 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. 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 Page 7

9 In Scope Out-of-Scope Employee Self Service for Personal Information Ability for employees to update their own name, home/mailing address, phone, 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 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 Ability to Update Large Volume of Records at One Time Define, create, manage, Page 8

10 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 In Scope Create Employee payroll Information Create direct deposit and update tax withholding information via employee selfservice; additionally, track imputed income, track NRA tax treaty information, voluntary general deductions, additional compensation, garnishment processing Out-of-Scope 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 Provide payroll Information Create and distribute payments (issue checks to employees and provide balances) Ability to Run Payroll Check Process Outside of Normal Payroll Schedule Offcycle 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 Create Payroll Regulatory Reporting and Tax Information Create pay period tax reporting information, quarterly tax reporting information, yearend tax reporting Information, 1042 reporting Information Use of time and labor to record employee hours and earnings Reconcile and Distribute Payroll Distribute actuals with time and labor (UC Page 9

11 In Scope 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 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 General and Voluntary Deduction Remittance All voluntary general deductions (excludes benefits and child support) Out-of-Scope not using T&L module) Create accounting lines - encumbrances Report budget definitions and amounts to load gross fringe information 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 In Scope Out-of-Scope 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 Page 10

12 In 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 Out-of-Scope SCT upload functionality It's currently unknown whether benefit-only cost transfers will be in-scope or out-ofscope 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 Post Actuals Distribution Mass Transaction Updates Local account mapping to map subobject 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 Page 11

13 In Scope Out-of-Scope 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 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 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 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 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 The creation of an interface for A/R balances from HCM to any third party application is out of scope Benefits In Scope Out-of-Scope 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 Page 12

14 In Scope enrollment snapshot options; EDI trading partners and EDI 834 transaction mapping; benefits billing: parameters and calendar Out-of-Scope Certification definition Non-discrimination rules Manage leaves Track FMLA Manage leave accruals COBRA 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 Retroactive Benefits Deductions Processing Create retroactive deduction calculation request; calculate deduction amount and difference between new and old amount; send transaction to payroll 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 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 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 Page 13

15 In 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 Out-of-Scope 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 In Scope 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 Enroll In Leave Eligibility Enroll employees into leave programs by assigning absence paygroup and eligibility group assigned in job data 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 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 Absence forecasting Out-of-Scope 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 Page 14

16 In 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 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 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) Run Leave Reports Time and attendance reconciliation report; negative accruals; leave donation transactions; monitor approaching return to work dates; leave balances report Out-of-Scope Employee self-service functionality Talent Acquisition Management (TAM) In Scope (Future Waves) 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 Out-of-Scope Functionality All other UC locations TAM will not be used for academics Page 15

17 document from UCI In Scope (Future Waves) Out-of-Scope Functionality eperformance In Scope Functionality (Future Waves) 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 Out-of-Scope Functionality All other UC locations eperformance will not be used for academics 2.3 Technical Scope 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 Page 16

18 Description In Scope Out-of-Scope requirements for UCPath, and represents the core of the integrated technology platform 2 Enterprise Planning, Budgeting, and Forecasting System An enterprise-grade application suite that enables the planning, budgeting, and forecasting business requirements for budget personnel 3 Portal Capability An enterprise-grade web portal system that enables industry-standard portal capability 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 environment and supporting nonproduction 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 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 nonproduction 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 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 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 path 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 Non-PeopleSoft enterprise and point solutions for web portal functions Environments outside the established code path. Content aggregation for non-ucpath applications Location enterprise service bus design, implementation, and maintenance Page 17

19 Description In Scope Out-of-Scope 5 Production Control Design/ Implementation Batch processing schedule design and implementation of the schedule 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 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 8 Secure Connectivity Infrastructure Network design and configuration to enable encrypted point-topoint connectivity over public infrastructure 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 locations Job-process monitoring 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 Implementation and configuration of a central security key and certificate management solution Integration with other integrated technology platform components Implementation of an enterprise source code management solution (Dell Stat) Integration of Dell Stat to UCOP ITSM system (ServiceNow) Design and configuration of network infrastructure that enables encryption of data and files in transmission Validated list of network locations for permitted connectivity 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 Batch process schedule for non- UCPath applications Non-Control-M batch processing scheduling tools Decentralized key and certificate management Non-Dell source code management solutions Integration to Dell Stat to location ITSM systems Encryption of data at rest at the locations Non-UCPath applications and technologies Page 18

20 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 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 2 Interfaces Technical development of interface programs to support interoperability of applications and operation of end-toend 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 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 Unit testing of interfaces Transition to system and integration testing team 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 Page 19

21 Description In Scope Out-of-Scope Locations and processes applications regulatory and operational reporting requirements Security Custom development of reports in PeopleSoft HCM aligned with technical design Unit testing of reports Transition to system and integration testing team 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 Description In Scope Out-of-Scope Locations 1 Federated Identity Management Solution to enable and manage a federated identity management methodology 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 3 Application Security Configuration 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 Design and configure integration methods for local LDAP solutions to integrate with UCPath applications (primarily Interaction Hub) Execute the user profile and role definition design created by the functional Non-UCPath identity management systems Integration to location IdM solutions SSO integration for non-ucpath applications and systems Non-UCPath applications Administration of federated IdM systems at locations Administration of federated authentication systems at locations Participation in design of integrated authentication Location is responsible for participation in Page 20

22 Description In Scope Out-of-Scope Locations 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 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 Description In Scope Out-of-Scope Locations 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 nonpayroll/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 Page 21

23 Description In Scope Out-of-Scope Locations 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 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 Description In Scope Out-of-Scope Locations 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 2 HR Analytics A pre-packaged, 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 Oracle HR Analytics Suite Oracle OBIEE (scope Centralized ODS infrastructure and systems available to locations Deployment of OBIEE capabilities Validation of DDODS loads to local ODS systems Archival of incremental DDODS loads Page 22

24 Description In Scope Out-of-Scope Locations limited to human resources analytics deployment) delivered set of analytics and reports to support human resources-related business analysis and decisions 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) beyond those required to enable the HR Analytics Suite Non-data conversion uses 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. Page 23

25 Organizational Change Management Business Transformation Area 1. Change Program Business Transformation Activity Stakeholder analysis UCPath Scope Document the full list of all project stakeholders, and include key information for each stakeholder, including risks and mitigation Locations 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 Work with the UCPath change management team to fully understand the change impacts Deliver strategies, programs and tools to support the transition to system wide future-state process designs 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 Page 24