PROJECT CONTROL DOCUMENT

FINANCIAL SYSTEMS REPLACEMENT INITIATIVE

ERP—PCD—03B

Draft — 2018 年 1 月 9 日

Prepared by Corporate Financial Services

© Copyright 2002-2004, The Regents of the University of California All rights reserved.

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UCLA FINANCIAL SYSTEMS REPLACEMENT INITIATIVE

TABLE OF CONTENTS

1 INTRODUCTION AND PURPOSE...... 1

1.1 PURPOSE...... 1 1.2 INSTITUTIONAL REQUIREMENTS FOR AND HISTORY OF THE PROJECT...... 1 1.3 PROJECT STRUCTURE...... 3 1.3.1 Executive Sponsors...... 4 1.3.2 Functional Sponsors...... 4 1.3.3 Project Organization and Management...... 4 1.3.4 Other Stakeholders...... 4 1.4 SUMMARY OF WORK TO DATE...... 5 1.5 DELIVERABLES...... 5 2 SCOPE...... 7

2.1 PROJECT OBJECTIVES...... 7 2.2 PLANNING PROCESS...... 7 2.3 PROCESSES / PEOPLE AFFECTED...... 8 2.4 TECHNOLOGIES / SYSTEMS AFFECTED...... 9 2.5 BUDGET...... 10 2.6 FORMAL REPORTING AND REVIEWS...... 11 2.7 MANAGEMENT OF CHANGES TO SCOPE, SCHEDULE AND ASSUMPTIONS...... 11 2.8 EXCLUSIONS...... 11 3 SCHEDULE...... 12

3.1 LIFECYCLE MODEL...... 12 3.2 DEPENDENCIES...... 13 3.3 STAFFING...... 13 3.4 SUBCONTRACTOR MANAGEMENT...... 14 3.5 RISK MANAGEMENT...... 14 3.6 CONTINGENCIES...... 14 4 ASSUMPTIONS...... 15

4.1 PLANNING...... 15 4.2 THIRD PARTY COMMITMENTS...... 15 4.3 EXPECTED LOADS AND/OR TRANSACTION VOLUMES...... 15 4.4 TECHNOLOGIES – HARDWARE AND SOFTWARE...... 16 4.5 NON-SCHEDULE RISKS...... 16 4.6 NON-SCHEDULE CONTINGENCIES...... 16 4.7 DEPLOYMENT...... 16 4.8 FUNDING...... 16 5 SIGNATURES...... 17 6 REFERENCES AND ATTACHMENTS...... 18 APPENDIX A...... 19

A - 1 ORIGINAL PROJECT BUDGET...... 19 APPENDIX B...... 20

B - 1 APPLICATION INVENTORY...... 20

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APPENDIX C...... 25

C- 1 PROPOSED PROJECT ORGANIZATION CHART...... 25

LIST OF TABLES

Table 1 – Major Milestones and Deliverables...... 12 Table 2 – Critical Resource Availability...... 13

REVISION HISTORY

11/15/08 – Draft 01A……………………………Working draft for ERP 02/13/09 – Draft 02A……………………………Added items based on comments from Sam Morabito, Don Worth, Andrew Wissmiller 10/05/09 – Draft 03A……………………………Updated for Kickoff meeting with Executive Committee 10/30/09 – Draft 03 B……………………………Correction to section 2.5 on Budget to reflect additional funds allocated

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FINANCIAL SYSTEMS REPLACEMENT INITIATIVE

1 INTRODUCTION AND PURPOSE

1.1 Purpose This project would initiate a planning effort culminating in a comprehensive, enterprise-wide plan for addressing the replacement of each major financial system over a ten-year period. The goal of this planning effort would be to ensure that at the end of the current five-year planning period (i.e., the UTIPP2 timeframe), the institution would be poised to begin a series of strategic replacements of its major financial systems. This project funds the creation of a dedicated planning team for this effort.

1.2 Institutional Requirements for and History of the Project UCLA’s mainframe financial systems have been in place for 20 to 30 years. They have been maintained and enhanced to meet the growing requirements of the campus but these enhancements have added to the ongoing complexity and subsequent cost of maintaining these applications. Most of these applications have had web front end applications appended to them in an effort to make them easier to use and provide some flexibility. All of these enhancements have greatly added to the ability of UCLA to provide systems with good functionality and availability. However, the increasing difficulty of that maintenance and the constantly growing needs of the campus make it necessary to look at a replacement for these financial systems. In addition, the back-end book of record processing of these applications is primarily written in COBOL. While not obsolete, the availability of COBOL programmers is reduced as time goes on. Many companies have outsourced the maintenance of their COBOL programs, but this can have additional costs and associated problems. Similarly, many of the UCLA subject matter experts in the technical and functional areas are nearing retirement age, making it difficult to maintain the level of knowledge of the current systems and processes. In recognition of these issues, Corporate Financial Services has twice had a review by outside consulting firms. The first, conducted by KPMG in 1998, was to assess the viability of continuing to maintain the existing applications versus moving to a new financial system. For the second, UCLA contracted BearingPoint in fiscal 2007, a market leader in systems consulting, to do an enterprise-wide Financial System Business Case Analysis. The purpose of this analysis was to determine whether the campus should continue to make incremental investments in its existing systems in an attempt to extend their useful lives, or whether the campus should pursue a comprehensive enterprise-wide plan to purchase a new ERP system. The BearingPoint analysis confirmed the validity of the current strategy to extend the useful lives of the existing systems through planned, incremental investments (as outlined in the University Technology Infrastructure and Productivity Plan: 2007-2011 (UTIPP2)) but also recommended that the campus immediately establish a long-range planning process culminating in a comprehensive, enterprise-wide plan to address each major system over the following ten year period.

The goal of this planning effort would be to ensure that at the end of the current five-year UTIPP2 timeframe, the institution would be poised to begin a series of strategic upgrades of its major financial

ERP-PCD-03B JANUARY 9, 2018 PAGE 1 PROJECT CONTROL DOCUMENT systems. In addition to replacing existing financial systems, this project will look at re-engineering existing business processes and providing the university with systems that can be consistently used across the campus, ideally including the medical enterprise. At the very least, interfaces between systems will look to be simplified, in order to minimize reconciliation requirements.

UCLA also provides financial processing services to the UC Office of the President and to UC Merced. As part of the financial systems replacement project, it is assumed that these services will continue to be provided and could be made available to other campuses if needed.

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UCLA FINANCIAL SYSTEMS REPLACEMENT INITIATIVE

1.3 Project Structure A preliminary proposed structure of the project is provided below.

Sam Morabito Administrative Vice Chancellor

James Davis Executive Steven Olsen AVC, Information Vice Chancellor, Finance, Technology Steering Budget & Cap Programs Committee

David Feinberg ITPB CEO & AVC, representative Medical Enterprise

Others TBD

Management Andrew Wissmiller Steering Committee Susan K. Abeles AVC Administrative AVC Corporate Information Systems Finance/Controller

Judith Freed Project Director

Technical SMEs Functional SMEs

AIS CFS Representatives Representatives

Campus Campus Representatives Representatives

Technical Assessment Team Functional Assessment Team

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1.3.1 Executive Sponsors The Executive Sponsor for this project is the Administrative Vice Chancellor, Sam Morabito. He will provide strategic leadership to the project, along with James Davis, Associate Vice Chancellor of Information Technology and Steve Olsen, Vice Chancellor of Finance, Budget and Capital Programs. The Executive Steering Committee also includes Dr. David Feinberg, CEO/Associate Vice Chancellor of the Medical Enterprise and a campus representative from the ITPB, who will be named later. In addition, Associate Vice Chancellor of Corporate Financial Services/Controller, Sue Abeles, and Assistant Vice Chancellor of Administrative Information Systems, Andrew Wissmiller, will be part of the executive leadership of this project.

1.3.2 Functional Sponsors Financial systems impact significant numbers of campus users at all levels. As a result, those responsible for the daily operations of current systems are considered stakeholders of this project. They include: Marsha Lovell, Director of Student Financial Services Craig Squire, Director of Corporate Accounting William Propst, Director of Purchasing Gayelea Allison, Director of Payroll Scott Monatlik, Director of Tax Services

1.3.3 Project Organization and Management The planning effort described in this document would involve a hierarchy of committees. At the lowest level, a Functional Requirements Work Group, led by a Project Director, staffed by functional and technical subject matter experts and populated with campus user representatives, would focus on the following: understanding procedural objectives and requirements of all business processes, engaging the campus to develop consistent definitions of the “enterprise” for each system, developing a master schedule for addressing each major system in sequence based on degree of dysfunction, risk or unmet needs identified, building appropriate budgets for systems replacement and renewal, documenting processes for each system in detail, preparing detailed business requirements, conducting informal vendor evaluations, evaluating options and degrees of fit, and identifying any changes to the computing environment that will be required to support operations. A Management Steering Committee, co-chaired by the Associate Vice Chancellor/Controller of Corporate Financial Services and the Assistant Vice Chancellor of Administrative Information Systems and including process owners and functional and technical senior management representatives, will provide oversight and direction to the Functional Requirements Work Group, be responsible for resolving policy disputes, and implement a strategic communications plan to build support for the project and the eventual migration to the new systems. The Project Director will be a member of the Management Steering Committee. The Executive Sponsor is the Administrative Vice Chancellor, who will provide strategic leadership to the project.

1.3.4 Other Stakeholders As the financial systems have interfaces from and to many other systems, both on campus and outside of the University, there will be many other stakeholders involved in the project. The success of this project will also require several campus stakeholders to volunteer time to the planning effort, as well as focus groups, and work groups, possibly as project team members.

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1.4 Summary of Work to Date

September 2007……….Project presentation to CITI by Sue Abeles November 2007……….Project received highest prioritization by CITI December 2007…….....Total $700,000 budget allocated for FY0708 and FY0809 April 2008…………….Initiated search for Project Director ……………..Office space acquired at Wilshire Center for the project team November 2008……….Project Director Judith Freed hired January 2009…………..Job descriptions prepared for initial subject matter experts …………..Project Control Document draft submitted for review February 2009…………Project Baseline and first Project Status report prepared March 2009……………Project Control Document draft 2.0 submitted ……………Administrative Specialist hired as contract support June 2009…………… Reworked project team structure July 2009………………Project funds committed (less 10%) for 3 years August 2009…………...Job descriptions submitted to CHR for approval September 2009……….Reconfiguration of suite 680 completed October 2009………….Project Director begins 100% appointment …………..Project Control Document draft 3.0 completed …………..Presentation to CAO/CFO Quarterly meeting …………..Kickoff meeting with Executive Committee …………..Project email address established …………..Four job openings listed on CHR website

1.5 Deliverables The initial presentation to CITI suggested that the following list of deliverables be provided by the project. This is still anticipated to be the project requirements and deliverables. This list will be adjusted if further information is discovered during the documentation and detailed analysis phases of the project that would make some of the subsequent deliverables no longer required. At this time a detailed project plan will be developed with associated tasks for these deliverables. Once a project team is in place, these deliverables will be put into a multi-phase project plan with the appropriate dates and deliverables associated with each phase. The original project plan presented to CITI was to cover approximately a five year period. The current schedule suggests that the planning phase may be accomplished in a shorter period of time, but requires the full project team to be available on a full-time basis.

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The original deliverables include:  Documentation of existing processes, risks, and unmet needs  Detailed analysis of functional business requirements  Process review and reengineering to take advantage of best practices  An assessment of vendor capabilities  Development and issuance of a Request for Proposal  Technical assessment of campus infrastructure readiness for new system(s)  Implications for data conversion/data migration  Master schedule for addressing each major functional system in sequence  Proposed budgets for system replacement and permanent funding requirements for renewal and maintenance  An evaluation of options and recommendations regarding next steps for financial systems acquisition

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2 SCOPE

2.1 Project Objectives Campus business processes must be well-supported by state-of-the-art systems and technology to ensure that the academic mission and all legal and regulatory obligations of the campus can be met. Additionally, UCLA provides business services to the Office of the President and the UC Merced campus, so that they are similarly dependent upon UCLA financial systems for transaction processing and financial reporting of their activities.

2.2 Planning Process The planning process will involve several key areas to be studied and documented by the project team. This will serve as a foundation for the selection and subsequent implementation of an ERP or best of breed solution for replacing the current financial systems. The major components of this project will fall into the following categories:  Establish the current status of UCLA’s financial systems. This includes a complete review of the technology, costs associated with maintaining the systems, usability by central departments and academic units. A review of requirements by departments to maintain shadow systems to make up for missing functionality will also be conducted. Another important aspect of the current status of financial systems is to clearly document current cycle times, system availability and reliability. This needs to be compared to “perception” of cycle times, availability of systems, and reliability of systems by campus departments and central units. Current inefficiencies or redundancies that are found will also be evaluated for re-engineering.  UCLA fundamental policies or procedures, as they pertain to financial systems, will also be explored to determine if they are effective in terms of controls or impediments of the progress. Some of these policies or procedures will include the concept of post- audit, distributed access, service centers, risk versus control related to monetary thresholds and various other policies that are integral to UCLA’s current financial systems, both technically and procedurally.  A review of the current technical infrastructure available on campus and the scalability of that infrastructure. It is likely that a new ERP would require deployment on a distributed platform technology. It is important to assess the university’s ability to manage and maintain a large scale distributed platform series of applications with the required availability and reliability. This would likely require ITIL processes and possibly a different model for the help desk.  An updated review of currently available ERPs and open source financial suites. This will include looking at how well these fit other university campuses and how they were implemented. Another important aspect of this review is to document true costs to the universities and how well the systems met their expectations. Additionally, the review will assess the long-term viability of these ERPs, since companies have gone out of business or mergers have occurred in the past.  Establish a clear plan of how to move forward at UCLA, including a presentation of alternatives, a recommendation with timelines, costs, associated risks and benefits, and a process for retiring existing systems while maintaining data for longitudinal analysis. Perhaps the most important aspect of the plan is to assess campus willingness and readiness to adopt new business practices and a way to communicate and involve the campus personnel in the process.

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2.3 Processes / People Affected Approximately 13 million transactions are processed by the UCLA general ledger on an annual basis. The majority of these transactions are being processed from “feeder systems” throughout the campus in a batch mode. However, nearly 10% of these transactions are processed online annually and are considered “financially significant”, thereby requiring a post-audit review by one or more mandatory reviewers. The number and type of online, real-time transactions is increasing annually, resulting in a greater impact on university employees to review transactions in a timely manner. There are already approximately 4,000 employees involved in the daily processing of financial transactions. This could increase with the move toward more online processing. The diagram below is from the Bearing Point study, and shows the current data flow of the current set of financial systems. The scope of the project would include the “application engines” pictured on the mainframe (center box), including the DB2 databases pictured.

Current Data Flow

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2.4 Technologies / Systems Affected As this is the planning phase of the project, no production technologies and/or systems will be impacted. However, it is probable that a sandbox environment will be set up to gain a working knowledge of potential packaged ERP products and/or open source systems that are available. This will require either an in-house installation of software, or possibly an installation of software that is hosted by a vendor.

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2.5 Budget The initial budget submitted to CITI was for $7,362,674, allocated among expense items as shown in Appendix A. It was anticipated that the project would begin in fiscal year 2008. However, with delays in funding and in project initiation, there has been a delay in the startup of the project. In addition, the actual amount allocated to the project was $700,000 for the first 2 years, which are presumed to be FY08 and FY09. The remaining project budget was allocated in July 2009, although less than the original requested amount. The proposed budget below shows the actual expenditures through FY09, which are well under the $700,000 limit for the combined first and second year, and a projected budget for the remainder of the project which has been extended through FY13 to adjust for the delayed start. The current budget is a reduction of the original requested budget by approximately one year and $850,000. However, this budget is still over the allocated amount. Further refinement to the budget will be done once the project team is in place.

Current Proposed Budget

FY09 Annual Inflation 4% actual FY10 FY11 FY 12 FY 13 Total Salaries Project Director $52,836 $147,941 $156,395 $162,650 $84,578 $604,400 Functional SME-GL $69,767 $128,267 $133,397 $69,367 $400,797 Technical SME-GL $67,467 $108,533 $112,875 $58,695 $347,569 Med Enterprise Financial SME $73,600 $118,400 $123,136 $64,031 $379,167 Functional SME-Purch to Pay $73,600 $118,400 $123,136 $64,031 $379,167 Technical SME-Purch to Pay $67,467 $111,627 $116,092 $60,368 $355,553 Functional SME-BAR $30,320 $113,467 $118,005 $61,363 $323,155 Technical SME-BAR $30,320 $98,667 $102,613 $53,359 $284,959 Functional SME-Payroll $30,320 $98,667 $102,613 $53,359 $284,959 Technical SME-Payroll $39,867 $59,800 $62,192 $32,340 $194,199 Technical Architecture FTE $100,000 $104,000 $54,080 $258,080 Marketing/Communications / Training Specialist $24,180 $77,090 $80,174 $41,690 $223,134 Clerical Support $11,164 $36,505 $37,512 $39,013 $20,287 $144,481 Incentive Awards $65,000 $65,000 Subtotal Salaries $64,000 $691,353 $1,326,823 $1,379,896 $782,546 $4,244,619

Benefits @ 28% of Salaries $17,402 $209,065 $371,511 $386,371 $200,913 $1,185,262

Supplies & Expense Work Stations $10,000 $10,000 Printers $3,000 $3,000 Space $55,829 $33,457 $57,354 $57,354 $28,677 $232,671 Supplies & Expense $2,500 $12,000 $21,091 $21,091 $10,500 $67,182 Travel $30,000 $45,000 $32,000 $10,000 $117,000 Consulting Services $120,000 $220,000 $220,000 $70,000 $630,000 Hardware-Servers/Sandbox $20,000 $20,000 Subtotal S&E $58,329 $208,457 $363,445 $330,445 $119,177 $1,079,853

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UCLA FINANCIAL SYSTEMS REPLACEMENT INITIATIVE

Total $139,731 $1,108,874 $2,061,779 $2,096,712 $1,102,636 $6,509,733

2.6 Formal Reporting and Reviews This project will follow the same reporting and review requirements of all CITI approved projects, in addition to the project reviews set up within the project team. The project will also have regular reviews and status updates with the Executive Committee.

2.7 Management of Changes to Scope, Schedule and Assumptions An Issues List will be maintained for the project. Changes to scope, schedule and assumptions will be documented as part of the issues list and will be brought up at review meetings. Changes will be highlighted at the UTIPP2 review meeting and documentation provided as well. There are a number of UC-wide and UCLA initiatives that could impact this project, i.e., the PPS White Paper project initiated by the Controllers, and the Administrative Efficiencies Report. Decisions that are made, as a result of these initiatives, that impact the replacement of the financial systems, will be reviewed and appropriate adjustments will be made to the project plan.

2.8 Exclusions The project has been defined for the financial systems replacement and excludes the student systems and other campus systems that are specific to a department or a functional unit. Although there are many systems that interface with the financial systems, these will not be included unless there is a specific reason they are deemed necessary for inclusion, as agreed upon by the Executive Steering Committee. A complete listing of campus applications is provided in Appendix B. The listing indicates which applications are considered in scope and which are out of scope. Those applications which provide interfaces to the financial system are considered to be partially in scope, as the interfaces will need to be addressed as part of the project.

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3 SCHEDULE

3.1 Lifecycle Model A project plan will be developed that shows detailed tasks and activities, along with deliverables. The table below shows some major milestones anticipated at this time, but will be refined once the project team is in place and the actual planning has begun.

Table 1 – Major Milestones and Deliverables Major Milestones Major Activities Associated Deliverables Establish project team Post job descriptions, Project staff dedicated to the ERP evaluate resumes, project initiative; recommendations for conduct interviews workgroups, including meeting schedules and member list Conduct literature and Review Bearing Point Reaffirm project goals and associated project review study; current literature risks since Bearing Point study on ERP implementations; Inventory of where other campuses contact other universities stand in their pursuit or with recent ERP implementation of an ERP implementations Establish list of people to interview Business Process Train team on process Prepare documentation of existing Modeling modeling technique; processes, from technical and Define major business functional perspective processes Identify any associated risks; Validate major processes functional and technical with key users Review current processes against best practices Determine current metrics Review current costs, Conduct focus groups and individual for business processes cycle times, business interviews with key campus personnel process error rates, and Establish current system availability perceived system vs. perception by campus users weaknesses Evaluate technical Determine progress Document process for change infrastructure towards ITIL management, and current adherence Look at current service to process level measurements and ability to meet them Produce RFP based on Assemble requirements RFP document for distribution; determined requirements for new financial system, evaluation of responses and evaluate responses both technical and functional Present options for Review the available Present options and Financial Systems options, note differences recommendations for financial Replacement from initial Bearing Point systems replacement initiative with review; determine costs associated costs and timelines and associated risks of implementation

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3.2 Dependencies A significant dependency on the schedule is the ability to staff the project with functional and technical subject matter experts. To the extent that these are delayed or the expertise is not available, the project will be negatively impacted in its ability to document the current processes. The University’s precarious budget situation may make it more difficult to recruit subject matter experts in both the technical and functional areas. As there are various systems, although outside the scope of this project, that interface with one or more of the financial systems that are being considered for replacement, there is a distinct possibility that these systems will need some analysis and ultimately modification. It will be up to the business owners of these systems to provide timing, cost estimates, and conversion requirements associated with these modifications. These peripheral requirements will depend on people outside the project team and could potentially cause delays.

3.3 Staffing Table 2 – Critical Resource Availability Staff Member Availability Potential Disruptions to Availability Judith Freed, Project 50% time November 1, None anticipated at this time, other Director 2008 through September than furlough time during the 12 30, 2009; 100% starting month period October 1, 2009 Functional SMEs (4 FTE) Assumed @ 100% once None anticipated at this time, other hired than the availability of campus personnel during fiscal closing or other major activities Furlough time may affect availability Technical SMEs (3.4 Assumed @ 100% once None anticipated at this time, other FTE) hired than the availability of campus personnel during fiscal closing or other major activities Furlough time may affect availability Medical Enterprise SME Assumed @ 100% once None anticipated at this time, other (1 FTE) hired than the availability of campus personnel during fiscal closing or other major activities Furlough time may affect availability Project support staff; Assumed @ 100% once None anticipated at this time clerical, technical hired, or specified Furlough time may affect availability architect, and contract time communication/training specialist Consultants – various, As needed None anticipated at this time e.g., business analyst, documentation specialist, as required

An organization chart of the proposed staffing is provided in Appendix C.

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3.4 Subcontractor Management The Project Director will be responsible for management of any subcontractors hired for the project.

3.5 Risk Management The most significant risk to the project would be disruptions to the project budget and/or staffing process. Extending the project beyond the proposed timeframe or changes in staffing could disrupt the continuity of the project and negatively impact deliverables.

3.6 Contingencies The project budget and plan submitted to CITI is based on the state of the financial systems as documented in 2006. With current UTIPP2 projects going on simultaneously to this project, we are looking at replacing a somewhat “moving target” in terms of functionality and perhaps technology. Although this project will review the UTIPP2 projects as they are implemented and update documentation as required, the timing of some deliverables may be impacted.

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4 ASSUMPTIONS

4.1 Planning Project planning will be done assuming a five year commitment to the project, although actual funding has only been allocated in two parts ($700,000 for the first 2 years, the remainder allocated in 2009), at less than the requested amount. Since some time has already passed without establishing the project team, the five year time frame has been shortened.

4.2 Third Party Commitments It is anticipated that there could be third party commitments required at various times throughout the project. These will be dealt with on an as needed basis.

4.3 Expected Loads and/or Transaction Volumes The expected volume of transactions is not necessarily expected to increase over current volumes, with the exception of what has been considered as normal growth for the university. The chart below provides a breakdown of current transaction volumes and technical costs of the various applications currently in production supporting the financial processes. This data includes UCLA, UCOP and UC Merced.

Annual Transactions FY 2008-09 Costs Application FY08-09 (Technical) Budget System 14,213 $90,433 General Ledger System 13,606,942 $1,376,186 Purchasing/Accounts Payable 3,241,634 $2,533,618 Payroll System 73,417 $1,324,017 Staffing List System 10,556 $61,869 Billing and Receivables 2,973,676 $660,204 PAN System/ASAP 1,258,187 $96,883 ISIS* N/A $206,073 Security (DACSS)* N/A $67,446 UID System* N/A $89,732 View Direct Reports* N/A $143,725 TOTAL $6,650,186

1. Transaction counts include batch and online 2. Payroll system counts are average number of employees on database during year 3. Costs include programming costs, CPU, storage, and proportion of infrastructure 4. Systems with asterisk* are also used by non-financial systems; transaction counts are not applicable

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4.4 Technologies – Hardware and Software Technologies are not known at this time. It is presumed that the new system will run in a distributed platform environment rather than mainframe, but this can only be finalized once an ERP product(s) is selected or a technical direction is determined for a suite of products. Until then, estimates cannot be made, nor architectures produced for review. Technology will be a significant part of the evaluation process, in terms of acquisition costs, reliability, maintainability, and total cost of ownership.

4.5 Non-Schedule Risks Project staffing consistency is always a risk in a project of this type. Staff turnover can lead to a disruption of project schedules, particularly since this project is anticipated to be staffed with subject matter experts who are already knowledgeable about UCLA processes and procedures. If all or part of the project staff cannot be filled with existing UCLA staff, some positions will be filled by contractors that lack institutional knowledge.

4.6 Non-Schedule Contingencies This project has been fully funded, although at a reduced amount. Although the budget has already been cut somewhat from the original request, the additional cut puts the project budget below the revised budget. The shortfall of funds will mean that additional schedule and scope changes will be necessary. These will be discussed with the Executive Committee.

4.7 Deployment It is anticipated that one or more chosen applications will be deployed in a “sandbox” environment during the planning and evaluation phase of the project. It is assumed that the budget will cover the necessary hardware and software to set up this environment. Similarly, it is anticipated that either Administrative Information Systems or Corporate Financial Services will be able to facilitate the setup of the sandbox environment.

4.8 Funding No funding offsets are available to apply to this project; the entire cost is to be funded by new funds. Less than 50% of the funding requested for the first 2 years was allocated by CITI initially. At this time the remainder of the funding has been allocated (minus 10%) which does not fully cover the proposed budget in section 2.5 of this document. It will be necessary to cut down the scope or make changes to the originally anticipated deliverables and/or timeline to adjust for the current funding level. Should further budget reductions occur, a similar reduction of scope and deliverables will also need to be addressed.

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5 SIGNATURES

______Susan K. Abeles, AVC Corporate Financial Services/Controller Date

______Andrew Wissmiller, AVC Administrative Information Systems Date

______Judith Freed, Director, Financial Systems Replacement Project Date

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6 REFERENCES AND ATTACHMENTS

Appendix A: Initial Proposed Budget Appendix B: Application Inventory Appendix C: Project Team Organization Chart

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APPENDIX A A.1

Proposed ERP Planning Initiative Budget FY08-FY12

Annual Inflation 4% FY08 FY09 FY10 FY11 FY 12 Total Salaries Project Manager $43,333 $135,200 $140,608 $146,232 $152,082 $617,455 Functional SME-GL $125,000 $130,000 $135,200 $140,608 $530,808 Technical SME-GL $60,000 $119,600 $124,384 $129,359 $433,343 Functional SME-AP $95,000 $98,800 $102,752 $106,862 $403,414 Functional SME-Purchasing $95,000 $98,800 $102,752 $106,862 $403,414 Technical SME-PAC/BruinBuy $60,000 $119,600 $124,384 $129,359 $433,343 Functional SME-BAR $43,500 $90,480 $94,099 $97,863 $325,942 Technical SME-BAR $115,000 $119,600 $124,384 $358,984 Functional SME-Payroll $95,000 $98,800 $102,752 $106,862 $403,414 Technical SME-Payroll $60,000 $119,600 $124,384 $129,359 $433,343 Technical Architecture FTE $60,000 $60,000 $120,000 Marketing/Communications/ Training Specialist $75,000 $78,000 $81,120 $84,365 $318,485 Clerical Support $37,000 $38,480 $40,019 $41,620 $157,119 Incentive Awards $65,000 $65,000 Subtotal Salaries $43,333 $880,700 $1,247,768 $1,357,679 $1,474,586 $5,004,066

Benefits @ 28% of Salaries $12,133 $246,596 $349,375 $380,150 $412,884 $1,401,138

Supplies & Expense Work Stations $10,000 $10,000 Printers $3,000 $3,000 Space $27,972 $55,268 $57,479 $59,778 $62,169 $262,666 Supplies & Expense $4,000 $19,500 $20,280 $21,091 $21,935 $86,806 Travel $5,000 $30,000 $30,000 $30,000 $30,000 $125,000 Consulting Services $50,000 $200,000 $100,000 $50,000 $50,000 $450,000 Hardware-Servers/Sandbox $20,000 $20,000 Subtotal S&E $99,972 $324,768 $207,759 $160,869 $164,104 $957,472

Total $155,439 $1,452,064 $1,804,902 $1,898,698 $2,051,574 $7,362,676

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APPENDIX B B-1 Application Inventory

Accounting (Budget, Ledger, Purchasing, Payables, Receivables):

Application / Service Institutional / Owner Supported Current Status Regional / by Local BruinBuy Application Institutional CFS AIS Current UTIPP2 projects are adding functionality, as well as additional catalogs and increasing EDI and EFT enabled suppliers Budget System Institutional APB AIS Mainframe application currently undergoing rewrite to simplify logic Chart of Accounts Institutional CFS AIS Reference information (rather than an application) common to all financial applications Consolidated Gift Institutional CFS AIS Custom developed at UCLA; receives input Reporting from multiple sources: foundation, UCOP, UCLA Equipment Management Institutional CFS CFS Interfaces with PAC and GL Financial Journal & EFT Institutional CFS AIS Current UTIPP2 projects are adding receipt functionality and changing technology General Ledger Institutional CFS AIS Currently mainframe application with both web and batch update applications and web reports Intercampus Transfer/ Institutional CFS AIS Current UTIPP2 projects are adding this Recharge functionality Interdepartmental Institutional CFS AIS Current UTIPP2 projects are adding Recharge functionality and changing technology Lawson Purchasing/AP Medical MCCS Medical Enterprise requirements for Enterprise purchasing will be looked at to see if they can be accommodated by one system Lawson G/L Medical MCCS Medical Enterprise requirements for general Enterprise ledger will be looked at to see if they can be accommodated by one system Memo Liens Institutional CFS AIS Not used much Organizational Hierarchy Institutional APB AIS Reference information (rather than an application) common to all financial applications Purchasing/ Institutional CFS AIS Current UTIPP2 projects are adding Accounts Payable (PAC) functionality—mainframe application available to central office only; all others use BruinBuy exclusively

In Scope Partially In Scope Out of Scope

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UCLA FINANCIAL SYSTEMS REPLACEMENT INITIATIVE

Transfer of Institutional APB AIS Current UTIPP2 projects are adding Funds functionality and changing technology Vendor Invoice Institutional CFS AIS Provides a means for vendors to submit Portal invoices online Billing and Institutional CFS AIS Currently being looked at in conjunction with Receivables the consolidated billing project; interfaces to general ledger system Cashiering and Institutional CFS AIS Currently being looked at in conjunction with DDF the consolidated billing project Consolidated Institutional Currently being reviewed for purchase or Billing development Cyberpay and Institutional CFS AIS Currently being looked at in conjunction with PCI the consolidated billing project Post- Institutional CFS AIS Used by all financial transactions; web based Authorization Notification (PAN) CBIG Institutional APB APB Used by campus to prepare and submit budgets to APB Chancellorial Institutional APB AIS Used by APB only for tracking commitments; Commitment has some relationship to transfer of funds Monetary Institutional External External Currently available on the “Islands” menu Transfer of Affairs Affairs maintained by EA. Transfers funds from Funds (MTF) foundation to campus fund. Voyager Local (Library) Library Library Local application for Library; feeds to both General Ledger and PAC

Human Resources and Payroll:

Application / Institutional / Owner Supported Current Status Service Regional / Local by EDB Web Institutional UCOP/ AIS Change in technology to JAVA. Developed Inquiry CFS by UCOP. EDB Web Institutional UCOP/ AIS Currently being developed by UCOP for Update CFS “New Hire Update” Glacier Institutional Payroll 3rd party Hosted application interface through Payroll Kronos Regional HHS HHS Used by Administrative Services and some departments on campus; interfaces to PPS Online Open Institutional APB AIS Open Provisions has been rewritten to be web- Provisions based. Personnel/ Institutional UCOP AIS Mainframe system developed by UCOP and Payroll (EDB) installed/run at UCLA. Currently being evaluated for replacement as a UCOP led UC- wide project Staffing List Institutional APB AIS Staffing list is a batch mainframe system;

In Scope Partially In Scope Out of Scope

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U-Pay web entry Institutional CFS AIS Web based transaction input for payroll system, replacing key punch forms Web Merit Institutional UCOP AIS Developed by UCOP; some local UCLA enhancements Web Payroll Institutional CFS/ AIS New web application with input to the Payroll Expense ORA Personnel System Transfer Academic Institutional OIT OIT Dossier tracking system for academics; used Personnel by APO and academic departments System AYSO Institutional UCOP UCOP UCOP’s at your service online application FasTrax Institutional CHR/ AIS Inquiry system only; uses PPS data base as CFS source of data Payroll Institutional CFS AIS UCLA system for tracking garnishment of Garnishment employee wages People Admin Institutional CHR CHR UCLA application for posting of job openings and reviewing applicants Skill Net Institutional CHR CHR Local application used by UCLA for enrollment in local training classes UCLA ID Institutional SAO/ AIS UCLA’s application for a university ID, Payroll encompasses students and employees

Miscellaneous:

Application / Institutional / Owner Supported Current Status Service Regional / Local by College Local L&S L&S Developed by the college; uses QDB as basis Information for data System (CIS) Distributed Institutional AIS UCLA has developed this for all institutional Administrative applications; it is being converted to Computing Signet/Grouper, which is web based Security System (DACSS) Travel Express Institutional CFS CFS Interfaces to PAC and PAN for reimbursement processing for employee travel & entertainment expenses Advance Institutional EA EA/AIS Application for fundraising; maintained by External Affairs; minimal interfaces Application Local AIS AIS Will likely be replaced by ITSM product Service Request System Bruin Card Institutional CFS 3rd party One card for employee/student used by many applications, i.e., Kronos Campus Institutional CTS CTS Feeds to Enterprise Directory Directory

In Scope Partially In Scope Out of Scope

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UCLA FINANCIAL SYSTEMS REPLACEMENT INITIATIVE

Events Institutional SAO AIS The Events System (EVM) is a space management and events scheduling application Facilities Local Facilities Facilities Local application for Facilities; online web Service Request form FoodPro Local (Housing) HHS HHS Local application for Housing used in the food ordering process Maximo Local HHS HHS Local application for Housing and Hospitality; separate instance from Facilities Maximo Local Facilities Facilities Local application for Facilities as work order system; also controls local inventory Patient Medical Enterprise MCCS No interfaces to current financial systems Applications Shibboleth Institutional AIS Single sign on -- authentication Telecommunicat Institutional CTS CTS Application for ordering voice and telephone ions Service service Request

Reporting:

Application / Institutional / Owner Supported Current Status Service Regional / Local by PAC Web Institutional CFS AIS Reports are available in BruinBuy and on Reports OFSR menu. Some reports are operational inquiries, some are trend reports. UCLA Financial Institutional CFS AIS Currently consists of various reports that are Web (OFSR) -- web-based and parameter driven; these will be ledger, budget looked at for suitability of being reproduced reports using Cognos Campus Data Institutional Campus data warehouse will be used Warehouse whenever possible for reporting requirements, (QDB, CDW, both institutional and local. Cognos) View Direct/ Institutional AIS AIS Report display, web based and CICS-based. Document Reduces the need for paper reports to be Direct delivered to campus departments. SRDB data Institutional SAO SAO Reporting and data warehouse system warehouse maintained by the Registrar’s office UCLA Financial Institutional CFS AIS Currently developed in JAVA; available on Web – payroll OFSR menu. reports

In Scope Partially In Scope Out of Scope

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Research:

Application / Institutional / Owner Supported Current Status Service Regional / Local by Effort Reporting Institutional ORA/ AIS UCOP developed system; maintained at System EFM UCLA InfoEd Institutional ORA ORA Application for contracts and grants; maintained by Office of Research Administration RATS Institutional ORA ORA Research animal tracking system

Student Applications:

Application / Institutional / Owner Supported Current Status Service Regional / Local by Financial Aid Institutional SAO AIS Only interfaces to financial systems will be looked at Distributed Institutional SAO AIS The Distributed Components are web services Components that are wrapped around student application Web Services functionality Grades Institutional SAO MyUCLA Institutional SAO College Various student applications collected into a student portal SEVIS Institutional SAO AIS FsaAtlas implements UCLA’s compliance with Student and Exchange Visitor Information System (SEVIS) Shared Institutional SAO AIS AIS develops and maintains this application Components as a compliment to the Universal ID (UID) (SIO) system. It provides a central repository for high level demographic information not specific to any term or application Student Records Institutional SAO AIS UCLA developed system for recording information of admitted students UCLA ID Institutional SAO/ AIS UCLA’s application for a university ID, Payroll encompasses students and employees University Institutional SAO AIS UCLA developed application for undergrad Admissions and grad admissions submission, selection, notification URSA Institutional SAO AIS Online web application for current students, parents to view information, schedule classes, pay bills etc.

In Scope Partially In Scope Out of Scope

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UCLA FINANCIAL SYSTEMS REPLACEMENT INITIATIVE

APPENDIX C C-1 Proposed Project Organization Chart

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