Title Risk No. Risk Type Status Risk Probability Risk Impact Risk Assessment Description Risk Mitigation Plan Lack of Funding 1 2 - Project Management Open 3 10 - Catastrophic Yellow - monitor closely; mitigation plan required Project funding should be monitored throughout the course of the project. Approved funding currently satisfies project requirements. DWS PM monitors spend plan vs. project budget. Contingency fund alternatives to be reviewed. 2 4 - External Open 5 7 - Significant Yellow - monitor closely; mitigation plan required Implementation of a new UI tax system may require changes to external agency system (e.g. TRD) Interface requirements have been reviewed. Specific agency interfaces needs further review. 3 3 - Organizational Closed Legislation has been introduced to modify this funding clause. Legislation has addressed this risk. 4 3 - Organizational Open 7 7 - Significant Red - immediate action required (including mitigation plan) Key agency resources include: Financial, Business, Technical and Leadership. FY PMP outlines staffing expectations. DWS PM will monitor staff availability.
end impacts financial staff availability. 5 3 - Organizational Open 5 7 - Significant Yellow - monitor closely; mitigation plan required Attrition may result in key leaving the project. Project Management will work with leadership to understand their plans for staff transition. Specifically, understanding succession planning for key project team members. 6 3 - Organizational Open 4 7 - Significant Yellow - monitor closely; mitigation plan required Size of DWS team resources or SMEs is limited. Deloitte ui subject matter expertise can help offset loss of key agency team members. 7 3 - Organizational Open 5 8 Yellow - monitor closely; mitigation plan required Effective training and knowledge transfer is critical to DWS Knowledge Transfer Plan is part of Planning and Administration deliverable.
Additionally, a Training Plan is a separate deliverable. Plans and execution will be tracked carefully with periodic updates to the Steering Committee. Note: Plans have been executed at other UI agencies successfully. 8 3 - Organizational Open 3 2 Green - no action required; periodically review Legislative updates may divert resources to address legacy system modifications Anticipated legislative changes did not This risk will be periodically reviewed to revisit potential changes. 9 1 -Technical Open 5 5 - Material - no action required; periodically review Legacy system contraints may impact integration with new UI tax system Limitations are not identified at this time and will be better understood during the Design phase. To be revisited.
10 1 -Technical Open 7 6 Yellow - monitor closely; mitigation plan required Limited knowledge of legacy system may impact integration of systems with the new UI tax system Legacy team's track record suggests that they can support changes, but the lack of documentation and detailed knowledge of the system has the potential to impact the project schedule. 11 1 -Technical Open 7 4 Yellow - monitor closely; mitigation plan required Limited infrastructure support resources may impact deployment of the new UI tax system Infrastructure and Support resource requirements to support the project must be identified, tracked, and reported if this limitation becomes an issue. 12 1 -Technical Open 7 5 - Material Yellow - monitor closely; mitigation plan required Legacy data may impact integration with legacy systems, data conversion effort, and implementation Data Conversion activities have begun and will identify red/yellow flags as they proceed.
of the new UI Tax system. 13 1 -Technical Open 10 9 Red - immediate action required (including mitigation plan) Timely purchase of HW/SW is essential for keeping the project on schedule. Initial procurement is in progress, but has been delayed due to several architecture shifts after the SOW. 14 1 -Technical Open 9 8 Red - immediate action required (including mitigation plan) If the decision to proceed with a .NET architecture changes, it will significantly impact the project. Further changes to the architecture may result in project Change Orders with impact to the project costs and project schedule. 15 3 - Organizational Open 3 5 - Material Green - no action required; periodically review Changes that result in modifications to UI tax business rules may impact the project No known changes in the pipeline. To be periodically reviewed.
16 3 - Organizational Open 3 2 Green - no action required; periodically review New rates, scheduled for July 1, potentially divert DWS staff from the project Rate change will take place as part of normal, annual business cycle, greatly reducing the project risk. 17 3 - Organizational Closed 3 3 - Marginal Green - no action required; periodically review 2010 legislation resolved/removed the complexity issue. 18 3 - Organizational Open 2 1 - Negligible - no action required; periodically review Certain business are not well defined in legislation (i.e., dissolving the state fund) Legislative outcome and policy decisions give specific definition to business regarding the State fund. 19 3 - Organizational Open 5 5 - Material Green - no action required; periodically review There will be leadership change, impact is to be determined. 20 2 - Project Management Closed 3 5 - Material Green - no action required; periodically review Spring office space availability
21 2 - Project Management Open 5 7 - Significant Yellow - monitor closely; mitigation plan required New agreements will be necessary to support a revised an Agreement is in place, there is the potential for significant risk to the project schedule and cost (potential Change Order). 22 2 - Project Management Open 5 5 - Material Green - no action required; periodically review Data sharing agreements will be necessary to align with new data sharing capabilities Periodically monitor. 23 3 - Organizational Open 2 7 - Significant Green - no action required; periodically review Executive Sponsor and Agency leadership is essential for project success. To-date leadership support has been high. 24 3 - Organizational Open 3 7 - Significant Yellow - monitor closely; mitigation plan required Changing business processes and models typically Continue to Monitor; Leadership direction can help mitigate risk
budget. Contingency fund alternatives to be reviewed. 2 Implementation of a new UI tax system may require changes to external agency system (e.g. TRD) 4 - External Open 5 7 - Significant Yellow - monitor closely; mitigation plan required Interface requirements have been reviewed. Specific agency interfaces further review. 3 Legislation has been introduced to modify this funding clause. 3 - Organizational Closed Legislation has addressed this risk. 4 Key agency resources include: Financial, Business, Technical and Leadership. FY end impacts financial staff availability. 3 - Organizational Open 7 7 - Significant Red - immediate action required (including mitigation plan) PMP outlines staffing expectations. DWS PM will monitor staff availability. 5 Attrition may result in key leaving the project. 3 - Organizational Open 5 7 - Significant Yellow - monitor closely; mitigation plan required Project Management will work with leadership to
the Steering Committee. Note: Plans have been executed at other UI agencies successfully. 8 Legislative updates may divert resources to address legacy system modifications 3 - Organizational Open 3 2 Green - no action required; periodically review Anticipated legislative changes did not occur. This risk will be periodically reviewed to revisit potential changes. 9 Legacy system contraints may impact integration with new UI tax system 1 -Technical Open 5 5 - Material Green - no action required; periodically review Limitations are not identified at this time and will be better understood during the Design phase. To be revisited. 10 Limited knowledge of legacy system may impact integration of these 1 -Technical Open 7 6 Yellow - monitor closely; mitigation plan required Legacy team's record suggests that they can support changes, but the lack of documentation and
systems with the new UI tax system detailed knowledge of the system has the potential to impact the project schedule. 11 Limited infrastructure support resources may impact deployment of the new UI tax system 1 -Technical Open 7 4 Yellow - monitor closely; mitigation plan required Infrastructure and Support resource requirements to support the project must be identified, tracked, and reported if this limitation becomes an issue. 12 Legacy data may impact integration with legacy systems, data conversion effort, and implementation of the new UI Tax system. 1 -Technical Open 7 5 - Material Yellow - monitor closely; mitigation plan required Data Conversion activities have begun and will identify red/yellow flags as they proceed. 13 Timely purchase of HW/SW is essential for keeping the project on schedule. 1 -Technical Open 10 9 Red - immediate action required (including mitigation plan) Initial procurement is in progress, but has been delayed due to
several architecture shifts after the SOW. 14 If the decision to proceed with a .NET architecture changes, it will significantly impact the project. 1 -Technical Open 9 8 Red - immediate action required (including mitigation plan) Further changes to the architecture may result in project Change Orders with impact to the project costs and project schedule. 15 Changes that result in modifications to UI tax business rules may impact the project 3 - Organizational Open 3 5 - Material Green - no action required; periodically review No known changes in the pipeline. To be periodically reviewed. 16 New scheduled for July 1, potentially divert DWS staff from the project 3 - Organizational Open 3 2 Green - no action required; periodically review Rate change will take place as part of normal, annual business cycle, greatly reducing the project risk. 17 3 - Organizational Closed 3 3 - Marginal - no action required; 2010 legislation resolved/removed the complexity issue.
periodically review 18 Certain business rules are not well defined in legislation (i.e., dissolving the state fund) 3 - Organizational Open 2 1 - Negligible Green - no action required; periodically review Legislative outcome and policy decisions give specific definition to business rules regarding the State fund. 19 3 - Organizational Open 5 5 - Material - no action required; periodically review There will be leadership change, impact is to be determined. 20 Spring office availability 2 - Project Management Closed 3 5 - Material Green - no action required; periodically review 21 New agreements will be necessary to support a revised DWS-TRD interface/integration 2 - Project Management Open 5 7 - Significant Yellow - monitor closely; mitigation plan required an Agreement is in place, there is the potential for significant risk to the project schedule and cost (potential Change Order).
22 Data sharing agreements will be necessary to align with new data sharing capabilities 2 - Project Management Open 5 5 - Material Green - no action required; periodically review Periodically monitor. 23 Executive Sponsor and Agency leadership is essential for project success. 3 - Organizational Open 2 7 - Significant - no action required; periodically review To-date leadership support has been high. 24 Changing business processes and models typically presents challenges 3 - Organizational Open 3 7 - Significant Yellow - monitor closely; mitigation plan required Continue to Monitor; Leadership direction can help mitigate risk 25 DWS plans to select a new IV&V vendor. Transition to the new vendor may present challenges. 2 - Project Management Open 5 7 - Significant Yellow - monitor closely; mitigation plan required There needs to be mutually agreed upon requirements and processes defined by the IV&V for them to perform their function and report accurately to Stakeholders.
The Human Resource Plan for Phase 1 is consistent with section 5.5 Staff Planning and Resource Acquisition of the PMP. In addition to the Key Staff outlined in the PMP, the following Deloitte staff are assisting with Phase 1: Andrew Yonan – Business Analyst Bob Daub – Project Management Analyst Lisa Newell – Business Analyst Lynnette Stern – Business Analyst Pamela Nichols – Budget Analyst Phil Tackett – Business Analyst Siva Sambasivam – uFACTS Architecture Srinivas – Data Conversion/Interfaces Analyst Anil Gosu – Technical Analyst Tim McCracken – Technical Analyst Subcontractor resources, in addition to indicated in the PMP, include: Marcus (RSI) – Business Analyst Ankit Shah (POD) – Technical Analyst Additional Deloitte will be added to the Phase 1 team based on the skill set requirements determined by the Fit/Gap Analysis activities. DWS Steering Committee members include: Ken – Cabinet Secretary Neal Meoni – Executive Sponsor Ron Martinez – Deputy CIO Casandra Encinias – Business Owner Clyde DeMersseman – Legal Counsel John Salazar – CIO Donna Trujillo – Financial Business Owner DWS project leadership includes: Julie Lopez-Casaus – IT Business Analyst (Interim Project Manager) Roy Chandler – IT Technical Lead Alice Dominquez – Chief of Tax Unit Willard Hunter – Staff Manager, Tax
DWS Tax Program Staff Formal technical end-user training Mentoring UAT involvement Train-the-Trainer Presentations User manuals Exercises Job aids Online help System manuals CBT computer literacy DWS-specified technical expertise Identified by DWS as trainer Technical Staff Formal support end-user training Mentoring Presentations User manuals Exercises Job aids Online help System manuals CBT Basic computer literacy Support job function, including help desk staff DWS Trainers Formal end-user training Mentoring UAT involvement Train-the-Trainer Presentations User manuals Exercises Job aids Online help System manuals CBT Basic computer literacy Identified by DWS as trainer End Users Formal end-user training from DWS Trainers Presentations User manuals Exercises Job aids Online help System manuals CBT Basic computer literacy Defined system role Project Specific Activities and Tasks The UITSM Project Knowledge Transfer Plan includes the following activities and tasks: Audience Identification – The project team identifies specific DWS management, business, and technical staff that require knowledge transfer to perform their role with the deployment of the new system. Initial Assessment – The project team will assess DWS capabilities
Training Presentations Test Scripts Business, Technical Demonstrations, Learn at Lunch Walkthrough Training Presentations Lynnette Stern, Partha Mukhopadhyay DWS Staff July/August 2010 Requisite Pro Business, Technical Demonstrations, Learn at Lunch Walkthrough Training Presentations Lynnette Lisa Newell, Mrinal Shaw DWS Staff April/May 2010 Batch Technical Computer -Based Training Mrinal Shaw, Anil Gosu DWS IT Staff August/September 2010 Event Logging Technical Presentations, Demonstrations Mrinal Shaw, Anil Gosu DWS IT August/September 2010 Exception Handling Technical Presentations, Demonstrations Mrinal Shaw, Anil Gosu DWS IT Staff August/September 2010 Online Screens Technical Computer Training Mrinal Shaw, Anil Gosu DWS IT November/December 2010 Business Demonstrations, Learn at Lunch Walkthrough Lynnette Stern, Bernt Peterson DWS Staff 2010 Knowledge Transfer Tools and the uFACTS Knowledge Repository The uFACTS Knowledge Repository contains knowledge transfer artifacts deployed on previous UI Tax modernization projects. These reusable training artifacts are tailored based on DWS needs. artifacts include the following: Traditional training manuals
Scheduled Activities – Week of 4/19/2010 Project Management: DWS to complete review of PMP and owned sections; Deloitte will incorporate DWS feedback Further delays will impact project deliverables (Project Planning and Administration) Technical: Deloitte to update and provide updated hardware/software lists to DWS based on Oracle decision. Deloitte is waiting on Abba Tech for new quotes on new range of hardware from HP that affect these lists. Procure Equipment - DWS to proceed with necessary hardware and software procurement - on items that have no impact on Oracle decision or DoIT approval; elements impacting design (Rational RequisitePro, Rational Rose, and DreamWeaver are an immediate priority.) Phase 1 – Employer Self Service Status Progress / Scheduled Activities Progress (Accomplishments) Project Management: Develop DEDs – In-progress. Several DEDs are now ready for review (DED Status Spreadsheet Handout) Prepare Planning and Administration Deliverable – In-progress PMP Review is impacting finalizing the complete list of Planning and Administration Deliverables. Detailed Project Schedule/Plan Completed and Submitted – Under DWS Review DWS/Deloitte met to discuss review/orient team to the deliverable. Action Items: DWS to review Project Schedule Deliverable (.mpp file) DWS to review DED documents Functional – Define System Requirement and Fit/Gap Analysis JRM Sessions – In-progress. Activities include the following:
1.1.4.4.2.4.1 1.B.D.3 Established Development/Conversion Environments (Letter) 5/28/2010 5 6/4/2010 Conversion analysis initiated. June 2010 1.1.4.2.2.6.1 2.C.D.1 Detailed System Requirements 6/4/2010 10 6/18/2010 JRMs in Progress 1.1.4.4.3.2.1 1.I.D.1.A Unit Test Planning 6/4/2010 7 6/15/2010 Test Planning Analysis initiated