A.1 SIMM 19A Preparation Instructions

State of California

Department of Technology

Stage 1 Business Analysis

Preparation Instructions

Version 3.0.5

Statewide Information Management Manual – Section 19A

September 2023

California Department of Technology 1

SIMM Section 19A Stage 1 Business Analysis

A.1 Preparation Instructions September 2023

INTRODUCTION TO

THE STAGE 1 BUSINESS ANALYSIS

Overview

Statewide Information Management Manual (SIMM) Section 19A, Stage 1 Business

Analysis, is the first stage of the information technology (IT) Project Approval Lifecycle

and provides a basis for project management, program management, executive

management, and state-level control agencies to understand and agree on business

problems or opportunities, and the objectives to address them. Additionally, the Stage 1

Business Analyses are used to generate the Conceptually Approved IT Project

Proposals Report each quarter, which represents the Executive Branch's plan for IT

investments in support of the California IT Strategic Plan.

The Stage 1 Business Analysis instructions are designed to help State of California

agencies/state entities

meet the California Department of Technology (CDT) IT project

proposal documentation requirements.

Clarifications

✓ A.2 Stage 1 Project Reportability Assessment is required to be submitted to

CDT with the A.3 Stage 1 Business Analysis.

✓ Non-affiliated state entities (state entities not governed by agencies) are

required to submit a Stage 1 Business Analysis for all IT project proposals,

regardless of project cost delegation amounts.

✓ Agency-affiliated state entities are not required to submit Stage 1 Business

Analyses that have been approved by the agency as delegated.

✓ Project approval reporting requirements are initially determined as part of the

Stage 1 Project Reportability Assessment but may change as the proposal

progresses though the Project Approval Lifecycle.

✓ Agency Chief Information Officers (AIOs) have been delegated CDT approval

authority for Stage 1 Business Analyses prepared by agency-affiliated state

entities.

✓ Stage 1 Business Analyses prepared by non-affiliated state entities must be

approved by the CDT prior to submitting a Stage 2 Alternatives Analysis.

✓ Stage 1 Business Analyses prepared by agency-affiliated state entities must

be approved by the AIO prior to submitting a Stage 2 Alternatives Analysis.

Stage 1 Project Reportability Assessment Reporting

Requirements

AIOs, or the CDT (for non-affiliated state entities), require specific information from state

entities to carry out its Stage 1 Business Analysis approval responsibilities. It is

State entity: Includes every state office, officer, department, division, bureau, board,

and commission, including Constitutional Officers. “State entity” does not include the

University of California, California State University, the State Compensation Insurance

Fund, the Legislature, or the Legislative Data Center in the Legislative Counsel Bureau.

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SIMM Section 19A Stage 1 Business Analysis

A.1 Preparation Instructions September 2023

imperative that Project Reportability Assessment clearly documents and communicates

the reportability and Project Approval Lifecycle requirements of the proposed project.

Stage 1 Business Analysis Reporting Requirements

AIOs, or the CDT (for non-affiliated state entities), require specific information from state

entities to carry out its Stage 1 Business Analysis approval responsibilities. It is

imperative that each Stage 1 Business Analysis clearly document and communicate the

business investment justification. Therefore, each proposal must describe in detail the

business driver(s), statutes or legislation, program background and context, business

problems or opportunities, strategic business alignment, organizational readiness,

business and stakeholder impact, and problem statements.

State entity IT proposal submissions that meet one or more of the CDT reporting criteria

must follow the documentation requirements defined in the State Administrative Manual

(SAM Section 4819) and these instructions. Each state entity is responsible to ensure

its Stage 1 Business Analyses meet CDT requirements. The Stage 1 Business Analysis

must be comprehensive and cannot rely on verbal or subsequent written responses

(e.g. emails) to provide needed justification for the submission. Incomplete Stage 1

Business Analysis submissions that fail to provide relevant information in written form

may be returned without consideration at the discretion of the AIO or CDT (for non-

affiliated state entities).

Any submissions of Stage 1 Business Analyses must be checked with the Americans

with Disabilities Act (ADA) Web Content Accessibility Guidelines (WCAG) 2.0 validation.

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SIMM Section 19A Stage 1 Business Analysis

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Table of Contents

INTRODUCTION TO THE STAGE 1 BUSINESS ANALYSIS ..................................................... 1

Overview .................................................................................................................................... 1

Stage 1 Project Reportability Assessment Reporting Requirements .......................................... 1

Stage 1 Business Analysis Reporting Requirements .................................................................. 2

STAGE 1 PROJECT REPORTABILITY ASSESSMENT PREPARATION INSTRUCTIONS ....... 4

MS Word Forms ......................................................................................................................... 4

Project Reportability Assessment Transmittal Requirements ..................................................... 4

Project Reportability Assessment – General Instructions ........................................................... 4

1.1 General Information ............................................................................................................. 4

1.2 Contact Information .............................................................................................................. 5

1.3 Reportability Assessment ..................................................................................................... 5

STAGE 1 BUSINESS ANALYSIS PREPARATION INSTRUCTIONS ........................................10

MS Word Forms ........................................................................................................................10

Stage 1 Business Analysis Transmittal Requirements ...............................................................10

Stage 1 Business Analysis – General Instructions ....................................................................11

1.1 General Information ............................................................................................................11

1.2 Submittal Information ..........................................................................................................12

1.3 Business Sponsorship .........................................................................................................13

1.4 Stakeholder Assessment .....................................................................................................14

1.5 Business Program ...............................................................................................................15

1.6 Project Justification .............................................................................................................15

1.7 Business Outcomes Desired ...............................................................................................18

1.8 Project Management ...........................................................................................................22

1.9 Initial Complexity Assessment .............................................................................................23

1.10 Financials ..........................................................................................................................24

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SIMM Section 19A Stage 1 Business Analysis

A.1 Preparation Instructions September 2023

STAGE 1 PROJECT REPORTABILITY ASSESSMENT

PREPARATION INSTRUCTIONS

MS Word Forms

To ensure California’s compliance with the Americans with Disabilities Act as Amended,

the CDT will only support the Project Reportability Assessment version 3.0 (MS Word

form) starting February 1, 2022.

Stage 1 Project Reportability Assessment version 3.0 Changes:

The Project Reportability Assessment version 3.0 contains the following changes:

• This form has been created using questions that have been removed from the

Stage 1 Business Analysis.

• Check boxes are now drop-down fields and/or narrative areas.

• One new question added to the reportability assessment.

Project Reportability Assessment Transmittal Requirements

The Project Reportability Assessment is required to be submitted to the CDT with the

Stage 1 Business Analysis.

Questions related to transmittal requirements should be directed to your agency/state

entity’s CDT Office of Statewide Project Delivery (OSPD) Project Approval Manager;

assignments can be found at: https://cdt.ca.gov/project-approvals-and-oversight-

contact/.

Project Reportability Assessment – General Instructions

1.1 General Information

Agency or State Entity Name: Select the agency/state entity name that prepared

and is responsible for the Stage 1 Business Analysis proposal. Designate one

agency or state entity as owner if multiple agencies or state entities have a role in

the proposal.

If Agency/State entity is not in the list, enter here with organization code: Enter

the agency/state entity name, along with its organization code, if not included in

dropdown list above.

Proposal Name and Acronym: Enter the proposal name as determined by the

agency/state entity. The name should not reflect a system or type of IT solution. If no

acronym is provided, the CDT will create one

Proposed Project Start Date: Select the proposed start date for the requested

project proposal.

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PRA Version Number: Select the document’s version number based on current

status and edits.

1.2 Contact Information

Contact Information:

Contact Name: Enter the full name of the agency/state entity person who will be

the primary point-of-contact for control agency questions and comments.

Contact Email: Enter the email address of the contact provided above.

Contact Phone Number: Enter the ten-digit phone number of the contact

provided above.

1.3 Reportability Assessment

The reportability assessment questions below follow the Job Aid – Reportable Project

Decision Tree located in SIMM 19 and assist in determining if your proposal is

delegated or non-delegated. Select “Yes” or “No” for each of the questions.

Does the Agency/state entity’s IT activity meet the definition of an IT Project

found in the State Administrative Manual (SAM) Section 4819.2?

IT Project - A unique endeavor with a defined beginning and end, named

deliverables and defined budget/resources that consumes at least 500 hours of

effort. IT projects are undertaken to provide an IT solution for a business

problem/opportunity in order to meet unique goals and defined objectives that

encompasses computerized and auxiliary automated information handling that may

include systems design and analysis, conversion of data, computer programming,

information storage and retrieval, data transmission, requisite system controls,

simulation, and related interactions between people and machines. Also see

definition of IT Activity.

Select “Yes” if the proposal meets the definition found in SAM Section 4819.2. If

“No,” this initiative is not an IT project and is not required to complete the Project

Approval Lifecycle.

Does the activity meet the definition of Maintenance or Operations found in SAM

Section 4819.2?

Select “Yes” if this proposal meets the definition found in SAM Section 4819.2. If

“Yes,” this initiative is not required to complete the Project Approval Lifecycle. For

validation purposes, provide an explanation in the space provided that describes the

dynamics of the initiative and why it meets the criterion of Maintenance and

Operations.

Has the project/effort been previously approved and considered an ongoing IT

activity identified in SAM Section 4819.2, 4819.40? NOTE: Requires a Post

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Implementation Evaluation Report (PIER) submitted to the California Department

of Technology (CDT).

Previously Approved Project/Effort - An IT activity or project as defined by SAM

Sections 4819.2 and 4819.40 previously approved by the California Department of

Technology (CDT) or the agency/state entity’s executive officer in accordance with

SAM Section 4819.3.

Qualification of an activity as a previously approved effort requires an approved

Feasibility Study Report or PAL Stage 4 Project Readiness and Approval AND an

approved PIER. Effort/project must use substantially the same equipment, facilities,

technical personnel, supplies and software to meet substantially the same

requirements or to meet normal workload increases.

“Substantially the same equipment" does not include the addition, upgrade, or

replacement of a central processing unit or Mainframe. (Applicable activities include

meeting modified needs, improving the effectiveness of the activity, program or

system maintenance, or extension of existing services to new or additional users

performing essentially the same functions as those that the project was designed to

support). Minor changes in functionality and/or equipment will normally meet the

definition of previously approved effort/project. Significant changes in functionality

and/or equipment that require budget actions do not meet the definition of previously

approved effort/project.

Select “Yes” if this proposal meets the definition found in SAM Sections 4819.2,

4819.3, and 4819.40. If “Yes,” this initiative is not required to complete the Project

Approval Lifecycle. Please report this workload on the Agency Portfolio Report.

If “Yes” is selected, please provide the PIER submission date in the content control

field.

Is the project directly associated with any of the following as defined by SAM

Section 4819.32? Includes single-function process-control systems; analog data

collection devices and/or telemetry systems; telecommunications equipment

used exclusively for voice communications; Voice-Over Internal Protocol (VOIP)

phone systems; acquisition of printers, scanners and/or copiers.

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SIMM Section 19A Stage 1 Business Analysis

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Single Function Process Control Systems, Analog Data Collection Devices, or

Telemetry Systems: Activities include automated processing systems that monitor

and control the operation of a single function system and that can perform that

control in isolation from other systems (such as components necessary to monitor

and control the traffic signals at an intersection, the position of water restriction and

diversion components in a water supply and distribution system, environmental

systems for buildings or to adjust the behavior of a motorized conveyer in response

to changes in load and demand). This includes sensors, telemetry devices, alarm

and physical entry controls, functional components such as motors or traffic lights,

electronic control processors, and the network system that connects those devices

into a single-function process control system.

This should not be interpreted to include information processing and network

systems in which data is gathered, stored, transmitted, processed, analyzed,

displayed, printed, or reported for purposes other than the direct, automatic

monitoring and controlling of a single function system, or for the manual review of

the performance and activities of that single system.

NOTE: Any component that may be added to any process control system, such as

additional sensors, processing capacity or network communications capability that is

necessary for use in conjunction with a current or planned IT system must be

included in all PAL Stage/Gate deliverables, plans, proposals and budget estimates

for the IT system. See definitions below:

• Telecommunications Equipment Used Exclusively for Voice Communications:

Projects, activities, or acquisitions where approval and initiation is within the

jurisdiction of the Public Safety Communications Office, per California

Government Code Section 15275-15277, such as public safety

telecommunications including microwave, satellite, 911, telematics, and radio/rf.

• Voice Over Internet Protocol (VOIP) Phone Systems: Installations of VOIP

systems that arrest alone and do not interface with other systems on the network.

• Acquisition of Printers, Scanners, and Copiers: If any of these components are

part of a planned IT system, they must be included in all PAL Stage/Gate

deliverables, plans, proposals and budget estimates for the IT system.

Select “Yes” if this proposal meets the definition found in SAM Section 4819.32.

If “Yes,” this initiative is not required to complete the Project Approval Lifecycle.

Please report this workload on the Agency Portfolio Report.

Is the primary objective of the project to acquire desktop and mobile computing

commodities as defined by SAM Section 4819.34, 4989?

Desktop and Mobile Computing Delegations: Agencies/state entities are delegated

the authority to acquire desktop and mobile computing commodities to support

increased staffing, as well as the ongoing replacement of obsolete or nonfunctioning

desktop and mobile computing commodities. Delegation includes authority for the

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SIMM Section 19A Stage 1 Business Analysis

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acquisition of equipment and software to support the agency/state entity’s desktop

and mobile computing activities.

Agencies/state entities must have submitted acceptable Technology Recovery Plans

or Technology Recovery Plan certifications, maintain compliance with all applicable

state IT security provisions (as defined in SAM Chapter 5300), and have appropriate

plans for the use of desktop and mobile computing commodities. See SAM Sections

4989 – 4989.8 for policy details, definitions and exclusions.

Select “Yes” if this proposal meets the definition found in SAM Sections 4819.34 and

4989. If “Yes,” this initiative is not required to complete the Project Approval

Lifecycle. Please report this workload on the Agency Portfolio Report.

Does the Project meet all of the criteria for Commercial-off-the-Shelf (COTS)

Software and Cloud Software-as-a-Service (SaaS) delegation as defined in SAM

Section 4819.34, 4989.2, and SIMM Section 22? (RPDT Reference Guide,

Reference R9.)

COTS Software and Cloud SaaS Delegation: Agencies/state entities are delegated

the authority for the approval and acquisition of COTS software and Cloud SaaS

solutions which are not classified as non-delegated (see SAM Section 4819.37 for a

list of non-delegated project criteria). The acquisition must meet “ALL” of the

following conditions:

• Software licenses and consulting services will be acquired through a leveraged

purchasing agreement managed by the Department of General Services (e.g.

CMAS or MSA) or through one of the California Department of Technology’s

master contracts.

• Does not require installation of new hardware on premises at the agency/state

entity or its designated data center.

• Solution is single purpose use, not mission critical, and used for internal

purposes only.

• Does not exchange confidential or sensitive data with other systems.

• Agency/state entities must notify the California Department of Technology (CDT)

of all COTS and SaaS acquisitions prior to project initiation as defined in

Statewide Information Management Manual (SIMM) Section 22.

Select “Yes” this proposal is a delegated project. Approval of the Project Approval

Lifecycle is delegated to the head of the state entity; however, submit an approved

SIMM Section 22 COTS/SaaS Acquisition Form to CDT.

NOTE: If the remaining questions are all marked “No,” this effort will be deemed to not

meet the reporting requirements for an IT project and be delegated back to the

department.

Will the project require or has the project previously required a Budget Action to

be completed?

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Projects whose initiation depends upon decisions to be made during the

development or enactment of the Governor's Budget, such as approval of a Budget

Change Proposal or Budget Revision to increase the agency/state entity’s existing IT

activities related to the project.

• Projects that involve a new system development or acquisition that is specifically

required by legislative mandate or is subject to special legislative review as

specified in budget control language or other legislation.

• Projects that have a cost that exceeds the level of the agency/state entity’s

delegated cost threshold assigned by the CDT and do not meet the criteria of a

desktop and mobile computing commodity expenditure (see SAM Sections 4989,

4989.1, 4989.2, and 4989.3)

Select “Yes” if the project requires a budget action to be completed.

Is it anticipated that the project will exceed the delegated cost threshold assigned

by CDT as identified in SIMM Section 15A Departmental Project Cost Delegation?

Select “Yes” if the project cost exceeds your delegated cost threshold assigned

by CDT as identified on the Project Approvals and Oversight Staff Assignments.

Are there any previously imposed conditions placed on the state entity or this

project by the CDT (e.g. Corrective Action Plan)?

Select “Yes” if CDT has imposed conditions on the agency/state entity or project

(e.g., Corrective Action Plan) and provide details regarding the conditions.

Is the system specifically mandated by legislation?

Projects that involve a new system development or acquisition that is specifically

required by legislative mandate or is subject to special legislative review as specified

in budget control language or other legislation.

Select “Yes” if the system is specifically mandated by legislation.

If this effort does not meet the definitions of a reportable project, does your

Agency Information Officer request that this project go forward through the

CDT’s Project Approval Lifecycle process?

Agency-affiliated state entities are not required to submit Stage 1 Business

Analyses for Stage 1 Business Analyses that have been approved by the agency

as delegated. An Agency Information Officer can request that the project move

forward through the Project Approval Lifecycle even if delegated or non-

reportable conditions are met. Please consult with your Agency Information

Officer to learn more.

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SIMM Section 19A Stage 1 Business Analysis

A.1 Preparation Instructions September 2023

STAGE 1 BUSINESS ANALYSIS PREPARATION

INSTRUCTIONS

MS Word Forms

To ensure California’s compliance with the Americans with Disabilities Act as Amended,

the CDT will only support and accept for submission the Stage 1 Business Analysis

version 3.0 (MS Word form) starting February 1, 2022.

Stage 1 Business Analysis Version 3.0 Changes

The Stage 1 Business Analysis version 3.0 contains the following changes:

• The form no longer uses tables as a means of organizing content.

• Check boxes are now drop-down fields or narrative areas.

• Sections have been pared down to include only the most relevant information at

the proper time in the PAL process.

• Sections that require artifacts to be attached to the word document will now be

required to be submitted as attachments to the submission email.

• Headings now allow each section and/or subsection to be collapsed for easier

navigation.

Stage 1 Business Analysis Transmittal Requirements

A formal and approved transmittal is required for each Stage/Gate document submitted

to the CDT with the appropriate signatures (as applicable). Based on the State Entity’s

governing body, approval of Stage 1 Business Analyses may depend on the following:

✓ Agency-affiliated state entities are required to sign and submit the Project

Approval Executive Transmittal to their governing agency for approval. The CDT

will not review and approve Stage 1 Business Analyses from agency-affiliated

state entities.

✓ Agency-affiliated state entities are only required to submit S1BAs determined by

the governing agency to be non-delegated pursuant to SAM 4819.37, 4819.37, or

4819.40 criteria. However, agencies will include all approved Stage 1 Business

Analyses in the Agency State Entity Portfolio Report as specified in SIMM

Section 05A.

✓ Non-affiliated state entities (state entities not governed by agencies) are required

to sign and submit the Project Approval Executive Transmittal directly to the CDT

for review.

State entity: Includes every state office, officer, department, division, bureau, board,

and commission, including Constitutional Officers. “State entity” does not include the

University of California, California State University, the State Compensation

Insurance Fund, the Legislature, or the Legislative Data Center in the Legislative

Counsel Bureau.

Submit required Stage 1 Business Analysis to the CDT through the CDT Project

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SIMM Section 19A Stage 1 Business Analysis

A.1 Preparation Instructions September 2023

Oversight email address at: ([email protected]).

Questions related to transmittal requirements should be directed to your agency/state

entity’s CDT Office of Statewide Project Delivery (OSPD) Project Approval Manager;

assignments can be found at: https://cdt.ca.gov/project-approvals-and-oversight-

contact/.

Project Approval Executive Transmittal

The transmittal template (available in SIMM Section 19G) contains the approving

agency/state entity executive signatures, with the following components:

1. State Entity Name: Enter the state entity name that prepared the Stage 1

Business Analysis. Designate one state entity as owner if multiple state entities

have a role in the proposal.

2. Agency Name: Enter the agency name that prepared the Stage 1 Business

Analysis. Designate one agency as owner if multiple agencies have a role in the

proposal. This field is not required for state entities not governed by an agency.

3. Proposal Name: Enter the proposal name as determined by the agency/state

entity.

4. Department of Technology Project Number: If this is a new submission, this

field should be left blank. The CDT Project Number will be assigned by the CDT

after initial submission. If this is a resubmission, enter the number assigned by

the CDT.

5. Submission Deliverable: Select the Stage/Gate deliverable(s), as applicable.

6. Approval Signatures: The agency/state entity executive approval signatures are

required, documenting commitment and involvement at the agency/state entity

level. The required signatures include those of the Information Security Officer,

Enterprise Architect, Chief Information Officer, Budget Officer, Procurement and

Contracting Officer, State Entity Director, AIO*, and the Agency Secretary (or

designee)*.

*Exception – Non-affiliated state entities (state entities not governed by

agencies) can sign and submit the Project Approval Executive Transmittal

directly to the CDT, the AIO and Agency Secretary signatures are not required.

Stage 1 Business Analysis – General Instructions

1.1 General Information

Agency or State Entity Name: Select the agency/state entity name that prepared

and is responsible for the Stage 1 Business Analysis proposal. Designate one

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SIMM Section 19A Stage 1 Business Analysis

A.1 Preparation Instructions September 2023

agency or state entity as owner if multiple agencies or state entities have a role in

the proposal. The entity selected here or entered in the following question will be

used to generate the project number.

If Agency/State entity is not in list, enter here with organization code: Enter the

agency/state entity name, along with its organization code, if not included in

dropdown list above.

Proposal Name and Acronym: Enter the proposal name as determined by the

agency/state entity. The name should not reflect a system or type of IT solution. If an

acronym is not provided, the CDT will create one.

Proposal Description: Enter a brief description of the proposal. This description

should be concise and focused on the business problems or opportunities as

described in Section 1.6 Project Justification. This description should be formatted

as follows, “(Agency/state entity) proposes to (brief description of the initiative) in

order to (or similar verbiage).” This description is used on the CDT’s public website

for the project which has a 500 character limit.

Example: The (agency/state entity), (Business Program), proposes to re-

engineer the manual process used to publish the bi-annual publication list of the

top 500 taxpayers with tax delinquency liens greater than $100,000, in order to

meet the mandates of Assembly Bill XXXX. The current publication process is

labor intensive and produces many errors. The re-engineered process will reduce

errors, improve accuracy, efficiency, quality, and time management.

Project Planning Start Date: Select the project planning start date (the date

internal planning started at your Agency/state entity) for the requested project

proposal.

Proposed Project Execution Start Date: Select the proposed project execution

start date for the requested project proposal.

S1BA Version Number: Select the document’s version number based on

current status and edits. The version number should reflect any revised

submissions to CDT.

1.2 Submittal Information

Contact Information

Contact Name: Enter the

full name of the agency/state entity person who will be

the primary point-of-contact for control agency questions and comments.

Contact Email: Enter the email address of the contact provided above.

California Department of Technology

SIMM Section 19A Stage 1 Business Analysis

A.1 Preparation Instructions

August 2024

If Withdraw,

select reason: If applicable, se

lect th

e appropriate reason for

withdrawal.

If Other, specify reason here: Select the appropriate reason if “Other” is

selected.

Sections Changed, if an update or resubmission: If applicable, list all the

sections that have been updated since the last submission.

Summary of Changes: If

applicable, provide a brief summary of changes made

since the last submission.

Project Approval Executive Transmittal: Attach a copy of the signed Project

Approval Executive Transmittal for Stage 1 Business Analysis to your email

submission. Use the transmittal form located in SIMM 19 Section G.1.

Stage 1 Reportability Assessment: A

ttach a copy of the Stage 1 Project

Reportability Assessment to your email submission. Use the form located in SIMM

19 Section A.2.

1.3 Business Sponsorship

Executive Champion (Sponsor)

An “Executive Champion” maintains a leading and very active role in the project by

promoting and marketing the project to stakeholders. An executive champion:

• Champions or “sponsors” the project.

• Provides vision, guidance, and direction to the project.

• Determines and advocates for suitable levels of funding and resources.

• Ensures multi-divisional or multi-agency participation on the project where

appropriate.

• Acts as an advocate for the project throughout its lifecycle.

• Monitors project progress, intervenes as needed, and resolves escalated issues.

• Oversees project budget, schedule, and scope.

• Communicates project status to the executive stakeholders, as relevant, and

ensures sustained buy-in at all levels.

Title: Enter the title of the Executive Champion.

Name: Enter the full name of the Executive Champion.

Bus

iness Program Area: Enter the name of the business program area

represented by the Executive Champion (Sponsor).

Business Owner

A “Business Owner” maintains a leading and very active role from the perspective of the

government program area that the project enables, supports, and/or enhances.

Submission Type: Select the appropriate description for

the sub

mission typ

Contact Phone Number: Enter the ten-digit phone number of the contact

provided above.

1.2 Submittal Information

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Business Owners “partner” with technology project leaders to lead projects that serve

business needs and to meet objectives (see Section 1.7). A Business Owner:

• Owns the program area(s) that the project empowers, maintains, or improves.

• Defines the expected business objectives and outcomes.

• Develops the business strategy.

• Describes and clarifies business processes and terminology.

• Reviews and approves the business requirements.

Title: Enter the title of the Business Owner.

Name: Enter the full name of the Business Owner.

Business Program Area: Enter the name of the business program area

represented by the Business Owner.

Product Owner

The product owner is responsible for maximizing the value of the product by managing

the product backlog, or list of work to be done. The product owner is also responsible

for making sure that the business and the team have a shared understanding of the

project vision, the project goals, and the details of the work to be done, so that the team

can plan and build the work items and ultimately accepts the final product.

A Product Owner:

• Owns the lifecycle of a product from idea, through to explore, validate, grow,

sustain, and eventually retire.

• Is heavily involved in procurement methodology, design, and management.

• Reports to the Business Owner if available or Executive Champion(s) if not.

• Is the Lead Business Liaison subject matter expert for predictive methodology.

Title: Enter the title of the Product Owner.

Name: Enter the full name of the Product Owner.

Business Program Area: Enter the name of the business program area

represented by the Product Owner.

1.4 Stakeholder Assessment

Indicate which of the following are interested and the level of interest in this

proposal and/or outcome of the project.

Determine if the project will only have an impact to the department only and choose

‘Yes’ or ‘No’ for the first question.

If ‘No’ is selected above, select the group(s) that may have a vested interest in the

outcome or may be impacted by the proposed project. Choose ‘Yes’ or ‘No’ for each

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A.1 Preparation Instructions September 2023

group.

Describe how each group marked ‘Yes’ will be involved in the planning process.

Describe how each of the group(s) identified will be involved in the project’s planning

process.

1.5 Business Program

Organization Name: Enter the organization’s name.

Business Program Name: Enter the name of the business program.

Program Background and Context

Provide a brief overview of the agency/state entity’s business program(s) impacted by

the proposed project. The business description should be succinct and at the highest

level possible to understand the business problem(s) and not contain any business

terminology and acronyms unless previously defined.

Note: This section should not provide a description of the agency/state entity’s mission

or background. Do not discuss business programs that are not affected by the proposal,

how the work is performed, business problems, potential solutions, existing technology,

etc.

This narrative should adhere to the following guidelines:

• The program background and context should set the scope of the study;

everything that follows in the study must relate to and follow from the business

description.

• List multiple business programs separately if they have distinct problems,

opportunities, or objectives. Include a description of impacted business program

activities and services.

• The business program(s) identified should align with the Business Owner(s) and

Key Stakeholder(s) identified in sections 1.3 Business Sponsorship and 1.4

Stakeholder Assessment partners.

How will this proposed project impact the products or services supported by the

department?

The impacts should detail how processes and procedures will be changed overall

including training and Organizational Change Management.

1.6 Project Justification

Strategic Business Alignment

▪ Strategic Plan Last Updated: Enter the date the agency/state entity’s Strategic

Plan was last updated.

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▪ Strategic Business Goal: Identify the agency/state entity’s strategic business

goal(s) associated with this proposal.

▪ Alignment: Briefly describe how this proposal helps to achieve the agency/state

entity’s strategic goals. Describe how the proposal will address problems that

impede or opportunities that enhance the achievement of the business goal as

stated in the agency/state entity’s Strategic Plan.

Mandate(s): Select one of the following mandate descriptions, if applicable.

Mandates may include Executive Orders or proclamations which impact the

business program. They may also include new Federal legislation or changes to

existing Federal regulations. See SAM Section 4819.37 for additional information on

project reporting requirements related to mandates.

▪ Bill Number/Code: Enter the Bill or Code number if applicable.

▪ Add the Bill language that includes system-relevant requirements:

Enter the Bill or Code language that provides relevant information and system

requirements to support this project.

Business Driver(s)

A “Business Driver” is a resource, process, or condition that is vital for the continued

success and growth of the business program(s) that the proposal will enable, support,

and/or enhance. Potential business drivers have been placed into three general

categories (i.e., Financial Benefit, Mandate, and Improvement). Check all items that are

applicable as business drivers for this proposal:

• Financial Benefit: Select “Yes” or “No” to indicate whether this project provides a

financial benefit. If “Yes, indicate which type by selecting “Yes” or “No” for each of

the following items:

▪ Increased Revenues: Any addition to cash or other current assets that does not

increase any liability or reserve and does not represent the reduction or recovery

of expenditure (e.g., reimbursements and/or abatements). Revenues are a type

of receipt generally derived from taxes, licenses, fees, or investment earnings.

Revenues are deposited into a fund for future appropriation and are not available

for expenditure until appropriated (Uniform Codes Manual).

SAM Section 6602 defines revenues as, “Any changes in the amounts of

operating income received by state and local agencies as the result of an

executive regulation…includes taxes, state and/or federal assistance, fees,

licenses, and so forth.”

Select “Yes” if the proposal will result in additional income to the State in the form

of increased federal funding, state taxes, licenses, fees, etc.

▪ Cost Savings: As defined by SAM Section 6602, “Both actual budget reductions

and the ‘freeing up’ of staff and/or resources to address other areas of legitimate

concern of the agency.”

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Select “Yes” if the proposal will result in reduced expenses for the program or IT

budget (e.g., reduced program, IT staff, equipment, travel expenses, etc.).

▪ Cost Avoidance: Benefits that occur when future program needs are met at less

cost than would otherwise have been required. Such program needs can include

new program services, increased program service levels, or replacement of

current systems.

Select “Yes” if the proposal will result in the avoidance of a future planned

increase in the program or IT budget.

▪ Cost Recovery: The Federal government portion for their share of expenditures

for providing Medicaid services, administering the Medicaid program, and certain

other human service programs recovered by the State. This also includes costs

recovered from the Federal government through the Federal Financial

Participation (FFP) under U.S. Code, Title 42, Chapter 7, Subchapter XIX,

Section 1396b, which allows states to receive partial reimbursement for activities

that meet FFP objectives.

The FPP objectives, among others, may include activities attributable to the

design, development, modification, and installation of mechanized claims

processes and information retrieval systems.

Select “Yes” if the proposal will result in the agency/state entity’s ability to

recover costs through the Federal government due to the type of service or

program provided.

• Improvement: Select “Yes” or “No” for each of the following Improvement

categories.

▪ Better Services to the people of California: Better services to the people of

California may include improvements to quality of life or improving the experience

of those interacting with program operations (e.g., replacing paper forms with

internet forms or replacing paper listings of information with searchable

databases).

▪ Efficiencies to Program Operations: Efficiencies to program operations may

include making improvements to an agency/state entity’s business processes

used to run program operations (e.g., automating business processes,

workflows, and reporting).

▪ Improved Equity, Diversity, and/or Inclusivity: Equity, Diversity, and

Inclusivity may include upgrades to support unrepresented or under-represented

groups in the state of California. It’s a proactive means to avoid or address

unnecessary risks that can disrupt the delivery of expected service levels. There

may be changes to programs to target groups that have perfectly suitable access

but are disproportionately impacted by stuff.

▪ Improved Health and/or Human Safety: Health and human safety

improvements may include upgrades to the physical and/or mental conditions of

the people of California, including inpatients, employees, and those in the

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community. Health improvements may include reducing the presence or negative

impacts of illnesses, injuries, or impairments to the people of California. Human

safety improvements may include reducing exposure to or negative impacts from

hazards or reducing the risk of harm or injury.

▪ Improved Information Security: Improved information security protects the

confidentiality, integrity, availability of business data from those with malicious

intentions, and information compliance with state and federal standards.

▪ Improved Business Continuity: Business continuity encompasses a defined

set of planning, preparatory, and related activities intended to ensure that an

organization's critical business functions will either continue to operate despite

serious incidents or disasters that might otherwise have interrupted them or will

be recovered to an operational condition within a short period.

▪ Improved Technology Recovery: Improved technology recovery involves a set

of policies and procedures to enable the recovery or continuation of vital

technology infrastructure and systems following a natural or human-induced

disaster, which impedes the agency/state entity’s ability to provide business

services. Technology recovery focuses on the IT or technology systems

supporting critical business functions, as opposed to business continuity, which

involves maintaining all essential aspects of a business functioning despite

disruptive events.

▪ Technology Refresh: Technology refresh may include the replacement of aging

hardware or software that is unreliable or will no longer be supported by the

manufacturer.

▪ Technology End of Life: The technology currently in use to support the

agency/state is no longer supportable due to aging technology or the lack of

skilled resources to support the technology.

Statewide IT Strategic Alignment

• Statewide IT Strategic Goal: Identify the statewide IT strategic goal(s) associated

with this proposal.

• Alignment: Briefly describe how this proposal helps to achieve the state’s IT

strategic goal(s). Describe how the proposal will address problems that impede or

opportunities that enhance the achievement of the Statewide IT Strategic Plan.

1.7 Business Outcomes Desired

Executive Summary of the Business Problem or Opportunity

Provide a brief narrative summary of the business problem or opportunity that is driving

changes to the current state environment, processes, etc. This should be a brief

description of the overall problem or opportunity. The individual problems or

opportunities will be listed in below. This narrative summary should address the

following questions:

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• How was the problem or opportunity identified (e.g., log/report deficiencies,

backorders, assessment of penalties, excessive overtime costs, statutes, or

legislation)?

• What created the problem or opportunity?

• What is the magnitude of the problem or opportunity?

• How do the business drivers selected above relate to the business problem or

opportunity?

• Why is this proposal important to consider at this time?

• Are there any security and/or privacy issues (e.g., confidentiality, integrity, and

availability) that should be considered?

• What are the effects and/or impact of the statutes and/or mandates, if identified

in Section 1.6?

Objective ID: Give each objective added to the form a number, continuing from the

problem ID number. For example, problem statement 1, objective ID 1 and 2 would

become 1.1 and 1.2.

Objective: Identify the objectives for the problem listed above. These requirements are

merely intended to provide a guide to the major issues. They are not intended to be

specified here at a level that they could be implemented by a developer. Describe how

the metric will be tracked through the progression of the project. Examples include but

are not limited to existing data, relevant forms, surveys, focus groups, etc. Provide a

description of the problem in business terms and ensure that it is aligned with at least

one of the business drivers identified above. The statements should not indicate that the

completion of a new system will solve the problem.

Metric: Describe the measurement(s) that will be used to confirm the attainment of the

business objectives identified. Provide specific, measurable, and realistic means to

measure the business problem or opportunity against the objectives. Measurements

should be developed with stakeholder involvement. These measurements will be used

to collect data before, during, and following an approved project to support the

achievement of the objectives as described in the Post Implementation Evaluation

Report (PIER).

Baseline: Provide the current magnitude or value for the metric (e.g., the current

business program processing time: number of people served, forms processed). For

example, if it currently takes 20 minutes to perform the business problem or opportunity,

then 20 minutes would be entered. The metric used should align with the objective (e.g.,

loss of revenue should use money-based objective metrics).

Target Result: List the business objective(s) associated with the problem or opportunity

and identify expected short-term and long-term target result that the proposal will

address (e.g., what the proposal is seeking to achieve). Identify at least one objective

for each individual business problem or opportunity. An ideal objective statement is

“SMART” (i.e., “S” Specific, “M” Measurable, “A” Achievable, ”R” Realistic, and “T” Time

Bound) (see SIMM 170B, Project Requirements Development Instructions, section 2.1,

Table 1).

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If an objective does not have measurable data, the agency/state entity should at a

minimum provide the proposed data source, unit of measurement, and timeframe of

when the data will be observable or verified. Identify the timeframe in which the

objective will be achieved. Provide additional details as necessary.

It is essential that each target result:

• Relates to a problem or opportunity specified in the problem/opportunity statement.

• Is business based.

• Is stated in quantifiable terms and at a level which decision makers can determine

value versus investment.

• Is realistically achievable.

• Is not compounded (i.e., list one desired outcome per line item). Do not combine

more than one objective in an objective statement.

TIP: Copy and paste to add Problem Statements as needed. Please number for

reference.

TIP: Problem statements should identify WHAT needs to be achieved or solved. Each

objective should identify HOW the problem statement can be solved and must have a

target result that is specific, measurable, attainable, realistic, and time bound.

Good Examples:

Example 1

Objective ID: 1.1

Objective:

Efficiencies to program operations (business driver): Administrative Services Division

(business program) manually processes and matches approximately 2,500 Residential

Housing Unit (RHU) purchase orders (POs) annually, which requires over 2,080 hours

in overtime by staff (impact).

Reduce average time to reconcile a single PO in minutes. Current average is 20.

Reduce staff time necessary to reconcile the RHU Purchase Orders by 25 percent

within 18 months of the completion of the Business Management Review (BMR).

Metric:

Average time to reconcile a single PO in minutes.

Baseline:

20 minutes

Target Result:

15 minutes using the existing PO tracking report.

Example 2

Objective ID: 2.1

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Objective:

Efficiencies to program operations (business driver); Customer Support Division (CSD)

(business program):.Staff members manually transfer data from 200 Microsoft Excel

(MS Excel) spreadsheets gathered from remote offices into Microsoft Access (MS

Access) to develop reports for CSD. The current process relies on heavy manual

interactions and duplicative efforts, resulting in excessive staff usage and incomplete

and inaccurate data (impact).

After implementation, eliminate the need to manually transfer data from Microsoft (MS)

Excel spreadsheets into MS Access database.

Metric:

Number of spreadsheets requiring staff to manually transfer data into a reporting

system.

Baseline:

Current: 200.

Target Result:

Number of spreadsheets requiring staff to manually transfer data into a reporting

system: 0 Number of errors during manual data transfer into a reporting system: <1

Objective ID: 2.2

Objective:

After system implementation, track the number of spreadsheets requiring manual

conversion of data into the reporting system. After implementation, reduce staff

computation errors during the manual data transfer from Microsoft (MS) Excel

spreadsheets into MS Access database.

Metric:

Number of errors during manual data transfer into a reporting system.

Baseline: >10

Target Result:

After system implementation, track the number of errors during the data conversion into

the reporting system. Goal is <1.

Poor Examples:

Poor Example 1

Objective ID: 5

Objective:

Excessive customer wait time at field offices.

Within 18 months of implementation of the system, reduce the field office wait time.

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Time until customer is seen at a window. Anecdotal information from field offices.

Current value: 30 minutes.

Metric: Time until customer is seen at a window.

Baseline: 30 minutes

Target Result: Reduced by 50%

The above example does not follow the SMART objective format. It does not specify

reliable data source or a frequency for the data to be captured and reviewed.

Poor Example 2

Objective ID: 1.1

Objective:

Ensure effective and efficient management of the Program. Decrease data

management maintenance costs by 50 percent within 12 months of completion of the

replacement system.

Maintenance support contract cost estimate is $1 million. Count the number of SDNs

(invoices) to reach the values.

Metric: Number and cost of system SDNs (invoices).

Baseline: Maintenance support contract cost estimate is $1 million.

Target Result: Pay $0 for sub-contracts.

The above example does not identify a problem or an opportunity; this is a high-level

goal statement. The description uses an acronym which has not been identified

previously. The target result is not equal to the 50% as implied in the objective

statement. Invoices are a good data source for measurement; however, the invoice

count does not relate to a dollar value. Finally, the description does not address the

frequency in which the information would be reviewed.

1.8 Project Management

The Project Management Risk Assessment aids in assessing the maturity of an

organization as a whole and their ability to carry out projects. This model will evaluate

such elements as:

• Organizational commitment to a well-defined, mature project management

process

• Existence of predicated management commitment, functions, and systems

• Competence of participants in any project management endeavor

• Organizational project management environment (e.g., tools, infrastructure) and

how well these are integrated

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• Measurement metrics in the organization and how well they are used and any

applicable past performance

• Organization’s continuous improvement process

Utilizing the instructions in SIMM Section 45 Appendix B, Project Management Risk

Assessment Preparation Instructions, complete the Project Management Risk

Assessment Template (SIMM Section 45 Appendix A). Only complete the questions

identified as Stage 1 in the “Required Stage” column. This assessment is to be

completed by the agency/state entity as part of the Stage 1 Business Analysis and

verified by the CDT during the Gate 1 collaborative review meeting.

Project Management Risk Score: Enter numeric value identified after completing the

SIMM Section 45 Appendix A.

Project Approval Lifecycle Completion and Project Execution Capacity

Assessment

This information identifies how this proposal’s planning dynamics and workload will be

supported going forward. Please select an option for the following questions:

Does the proposal development or project execution anticipate sharing resources

(state staff, vendors, consultants, or financials) with other priorities within the

agency/state entity (projects, PALs, or programmatic/technology workload)?

Does the agency/state entity anticipate this proposal will result in the creation of new

business processes or changes to existing business processes?

1.9 Initial Complexity Assessment

Business Complexity Score: In many projects, complexities and unanticipated issues

are discovered as work progresses, resulting in missed deadlines, budget overruns, and

thwarted management expectations. Project complexity assessments completed at the

beginning of a proposal help to minimize a last-minute patchwork of “Band-Aid”

solutions that most often result in scope creep, poor product quality, and cause the

project team to become overwhelmed by problems and lose project control. Early

identification of complexities can also assist in planning, estimating, and staffing

decisions, including the level of project oversight required for the project.

Use the SIMM Section 45 Appendix C, Complexity Assessment Template self-

assessment tool to complete the Business Complexity section based on the

applicable information captured in the Stage 1 Business Analysis. Enter the Business

Complexity score in the space provided and attach the completed Appendix C to your

email submission. The Complexity Assessment template will be completed with the

Technical Complexity during Stage 2 Alternatives Analysis.

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Noncompliance Issues: Noncompliance issues are business problems that often affect

the security, accessibility, and statutory requirements for implementation of a business

program. Select “Yes” or “No” for each of the following issues:

• Programmatic regulations

• HIPAA/CIIS/FTI/PII/PCI

• Security

• ADA

• Other

• Not Applicable

Noncompliance Description: Provide a narrative on how the business process

is currently noncompliant.

Additional Assessment Criteria

If there is an existing Privacy Threshold Assessment/Privacy Information

Assessment, then include it as an attachment to your email submission.

How many locations and total staff is the project anticipated to affect?

• Number of locations: Total number of offices/locations that the proposal is

going to affect.

• Expected Number of Transactions/Business Events (per month): Enter the

number of expected transactions or events that the system currently

experiences per month.

• Approximate number of internal end-users: Enter the number of internal state

staff that will be using the result of this project.

• Approximate number of external end-users: Enter the number of non-staff

users for the result of this project.

1.10 Financials

This section will help identify and thereby mitigate potential financial risks related to this

proposal. The proposal’s funding or possibility of financial sanctions or penalties if not

implemented may contribute to a proposal’s success. Identifying and addressing these

factors at the beginning of a proposal’s development allows an opportunity for focused

planning and reduces uncertainty as the proposal moves forward.

Planning

Does the agency/state entity anticipate requesting additional resources through a

budget action to complete planning through the project approval lifecycle framework?

If Yes is selected, enter the date/budget season that the planning BCP will be

submitted.

Will the state incur a financial penalty or sanction if this proposal is not implemented?

Project Implementation Funding

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• Has the funding source(s) been identified for project implementation?

If Yes, please provide the Funding Source(s) and dates funds for implementation

will be made available.

Availability of secure and reliable funding is essential to successful project

planning and risk mitigation. Identify the applicable funding source(s), that

has/have been identified for this proposal, and enter a date the funding

source(s) will become available, if applicable.

Examples:

General Fund: The state fund into which non-dedicated revenues are

deposited and from which the majority of state expenditures are made. (SAM

Section 6899)

Special Fund: For legal basis budgeting purposes, funds created by statute,

or administratively per Government Code (GC) section 13306, used to budget

and account for taxes, licenses, and fees that are restricted by law for

particular activities of the government.

Federal Fund: For legal basis budgeting purposes, classification of funds into

which money received in trust from the Federal Government will be deposited

and expended by a state entity in accordance with State and/or Federal rules

and regulations. Agency/state entity must deposit federal grant funds in the

Federal Trust Fund or other federal fund in the State Treasury. (GC 13326 –

Department of Finance approval, 13338 – Appropriation of federal funds, CS

8.50.)

Reimbursement: A reimbursement is cash or other assets received as

repayment for the cost of work or services performed, or for other

expenditures made for or on behalf and for the convenience of another

governmental unit, fund, or department, or for an individual, firm, or

corporation. (SAM Section 6463)

Bond Fund: For legal basis budgeting purposes, funds used to account for the

receipt and disbursement of self-liquidating or non-self-liquidating general

obligation bond proceeds. Depending on the provisions of the bond act, either

the General Fund or a sinking fund pays the principal and interest on the

general obligation bonds.

(SAM 14400.)

Other Fund: Fund source not represented by the categories identified. If

“Other Fund” is used, specify the funding source.

▪ Will a budget action be submitted to your Agency/DOF?

If Yes, specify the budget year in which the BCP will be submitted.

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▪ Will you be requesting funds from the Technology Modernization Fund (TMF)?

If Yes, indicate whether you have completed a TMF Application to date.

• Please provide a rough order of magnitude (ROM) estimate as to the total cost of the

project: Using your best judgement and experience, select a ROM value for the total

cost of this proposed project.