Department of Corrections and Rehabilitation - Operations Manual

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Chapter 4 – Information Technology

Article 11 – Project Reporting Requirements

Revised October 17, 1994

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44020.7 Project Reporting Requirements Special Project Reports

  • General Reporting Requirements (SAMState Administrative Manual Section 4945): Preparation of an SPRSpecial Project Reports is required whenever a project deviates substantially from the costs, benefits or schedules documented in the approved FSRFeasibility Study Reports, or when a major revision occurs in project requirements or methodology. No expenditure of funds shall be made to implement an alternative course of action until approval has been received from OITOffice of Information Technology or the Director of CDC, as appropriate (SAMState Administrative Manual Section 4945). SAMState Administrative Manual Section 4945.1 lists specific conditions for the required submission of an SPRSpecial Project Reports to OITOffice of Information Technology.

  • SPRs, which must be submitted to OITOffice of Information Technology, shall be transmitted within 30 days after recognition of a substantial deviation. Two copies of the SPRSpecial Project Reports shall be submitted to OITOffice of Information Technology and one copy to the Office of the Legislative Analyst. SPRs shall be signed by the Director of CDC or designee.

  • If a QPR is due to OITOffice of Information Technology during the period the Department is engaged in preparing the SPRSpecial Project Reports, CDC shall submit the QPR (see SAMState Administrative Manual Sections 4944 through 4944.1) stating that an SPRSpecial Project Reports is under development and providing an approximate date for its completion.

  • The format and content of the SPRSpecial Project Reports transmittal letter for each non-delegated or delegated project shall conform to the standard formats provided in SAMState Administrative Manual Section 4945.

  • Conditions Requiring Submission to OITOffice of Information Technology (SAMState Administrative Manual Section 4945.1):

    • Projects subject to OITOffice of Information Technology approval/oversight – an SPRSpecial Project Reports shall be submitted to OITOffice of Information Technology if:

      • The information technology project’s total costs deviate p roj, or are anticipated to deviate, by ten percent (higher or lower) from the estimated information technology ect budget (to be measured against the combined total of each fiscal year’s One-time Costs plus Continuing Costs on the Summary Fact Sheet, SAMState Administrative Manual 4930 Illustration 1.

      • The project schedule falls behind or is anticipated to fall behind by 10 percent or more (to be measured using the key management milestones critical to project success reported on the Summary Fact Sheet, SAMState Administrative Manual Section 4930, Illustration1).

      • The total program benefits deviate or are anticipated to deviate by 10 percent (higher or lower) from the estimated total program benefits (to be measured against the combined total of each fiscal year’s Cost Savings and Cost Avoidances on the Summary Fact Sheet, SAMState Administrative Manual 4930, Illustration 1).

      • A major change occurs in project requirements or methodology.

    • Projects subject to approval and oversight by the Special Project Director (delegated or nonreportable), and projects for which project reporting has been delegated to the Director after OITOffice of Information Technology approval of the FSRFeasibility Study Reports: Submission of an SPRSpecial Project Reports to OITOffice of Information Technology is required if the revised project costs exceed or are estimated to exceed CDC’s IMAPInformation Management Annual Plan cost threshold (SAMState Administrative Manual Section 4902.12), and one or more of the following conditions are true:

      • The total information technology project costs deviate or are anticipated to deviate by 10 percent (higher or lower) from the estimated information technology project budget (to be measured against the combined total of each fiscal year’s One-time Costs vs. Continuing Costs on the Summary Fact Sheet, SAMState Administrative Manual Section 4930 Illustration 1).

      • The project schedule falls behind or is anticipated to fall behind by 10 percent or more (to be measured using the key management milestones critical to project success reported on the Summary Fact Sheet, SAMState Administrative Manual 4930, Illustration 1).

      • The total program benefits deviate or are anticipated to deviate by 10 percent (higher or lower) from the estimated total program benefits (to be measured against the combined total of each fiscal year’s Cost Savings and CostAvoidances on the Summary Fact Sheet, SAMState Administrative Manual Section 4930, Illustration 1.

      • A major change occurs in project requirements or methodology.

    • If an SPRSpecial Project Reports for a delegated project must be submitted to OITOffice of Information Technology, attach to the SPRSpecial Project Reports a copy of the approved FSRFeasibility Study Reports and the project approval letter signed by the Director or designee.

    • Internal special project reports Delegated or nonreportable projects which exceed projected project development costs but do not (according to control agency requirements) require an SPRSpecial Project Reports.

  • An internal SPRSpecial Project Reports shall be required when the cost thresholds below are exceeded:

    • By less than $100,000 The project exceeds cost projections by 25 percent or more.

    • Between $100,000 and $200,000 The project exceeds costs projections by 15 percent or more.

    • Over $200,000 The project exceeds cost projections by 10 percent or more.

  • The SPRSpecial Project Reports shall provide sufficient information for Department management, executive branch control agencies, and the Legislature to assess the merits of the proposed project change and determine the nature and extent of future project oversight requirements. If an SPRSpecial Project Reports lacks sufficient information for these purposes, OITOffice of Information Technology may request that the Department provide additional information.

  • SPRs shall be commensurate with the level of deviation from the approved FSRFeasibility Study Reports. Therefore, the Department shall determine whether to prepare a revised FSRFeasibility Study Reports, provide the information required by the minimum content for an SPRSpecial Project Reports (defined below), or do something in between these two extremes.

  • The minimum content for an SPRSpecial Project Reports consists of a description of the project status, an explanation of the reason for the project deviation, a revised project management schedule, and economic summary information. CDC shall prepare an SPRSpecial Project Reports with at least the minimum content described below:

    • Project Status – An explanation of the problems encountered or opportunities identified that have led to the preparation of the SPRSpecial Project Reports. This section of the SPRSpecial Project Reports shall include as appropriate:

      • Changes in Project Requirements or Methodology – An explanation of the proposed change from the anticipated course of action, including the reasons for the change and why this proposed alternative methodology is now the preferred course of action.

      • Cost Benefit or Schedule Deviations – An explanation of the deviation from the originally anticipated costs, benefits or schedule. This section shall include the reasons for the deviation and the proposed course of action to bring the project back within planned costs, benefits, or schedule.

    • Summary Fact Sheet – This section shall include a revised Summary Fact Sheet (SAMState Administrative Manual Sections 4930 through 4930.1) indicating accomplishments to date by using actual dates in the Target Date fields of the Project Schedule, then continuing the schedule by focusing on the yet to be accomplished milestones critical to project success. The cost analysis portion shall contain all actual costs to date plus revised projected costs through the end of the project.

  • For example, this may be the second fiscal year that the project has been under development: indicate the actual project costs for last year and place them in the first column of Personnel Years (PYs) and Costs, then combine the actual costs for the current fiscal year-to-date with the anticipated costs for the remainder of this fiscal year, and place them in the second column of PYs and Costs. Indicate the anticipated costs for each succeeding budget year through the end of the project.

  • If the feasibility of the project was documented through the preparation of a FSRFeasibility Study Reports, the following additional content shall be provided:

    • Project Management Schedule – A revised Project Management Schedule (SAMState Administrative Manual Section 4928.4) indicating accomplishments to date and focusing on the duration of critical tasks, major management decision-points, and progress reporting milestones shall be included in the SPRSpecial Project Reports.

    • Economic Analysis Worksheet – A revised Economic Analysis Worksheet (SAMState Administrative Manual Sections 4929 through 4929.2) shall be provided. The worksheet shall contain all actual costs to date plus revised projected costs through the end of the project.

  • For example, this may be the second fiscal year that the project has been under development: Indicate the actual project costs for last year and place them in the first column of PYs and Costs, then combine the actual costs for the current fiscal year-to-date with the anticipated costs for the remainder of this fiscal year, and place them in the second column of PYs and Costs. Indicate the anticipated costs for each succeeding budget year through the end of the project.