Project Charter by jizhen1947

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									             California Department of Transportation




              Integration Study
                      &
Financial Information Systems Strategic Plan




          Conceptual Architecture (CA)
                       &
Systems with No Required Integration or Interfaces




                      November, 2003
Caltrans Integration Study                                                                                     Conceptual Architecture




      CALTRANS INTEGRATION STUDY CONCEPTUAL ARCHITECTURE

                                                  TABLE OF CONTENTS

1.0    INTRODUCTION ......................................................................................................................... 5
       1.1 PURPOSE AND OBJECTIVES ...................................................................................................... 5
2.0    OVERVIEW AND APPROACH ................................................................................................. 7
       2.1 METHODOLOGY FOR DEVELOPING THE CONCEPTUAL ARCHITECTURE .................................... 7
           2.1.1 Inputs .......................................................................................................................... 8
           2.1.2 Process ........................................................................................................................ 9
           2.1.3 Outputs (Deliverables)................................................................................................ 9
       2.2 CONCEPTUAL ARCHITECTURE INDUSTRY STANDARD METHODOLOGIES ............................... 10
       2.3 STRUCTURE OF THE REPORT .................................................................................................. 13
3.0    GUIDING PRINCIPLES ............................................................................................................ 14
       3.1 GUIDING PRINCIPLES INTRODUCTION .................................................................................... 14
       3.2 GUIDING PRINCIPLES MATRIX ............................................................................................... 14
4.0    CONCEPTUAL ARCHITECTURE – FINANCIAL VIEW ................................................... 17
       4.1 SCOPE .................................................................................................................................... 17
       4.2 OVERVIEW ............................................................................................................................. 17
       4.3 APPROACH ............................................................................................................................. 18
       4.4 CONCEPTUAL ARCHITECTURE COMPONENTS .......................................................................... 19
           4.4.1 Reporting Systems ..................................................................................................... 20
           4.4.2 Enterprise Application Integration (EAI) ................................................................. 20
           4.4.3 Legacy and Specialized Systems ............................................................................... 20
           4.4.4 Defining Integration & Interface .............................................................................. 21
           4.4.5 Enterprise Resource Planning Systems (ERP) ......................................................... 21
           4.4.6 Standard Functionality, Configuration, and Customization .................................... 22
           4.4.7 Implementation Considerations ................................................................................ 23
       4.5 CONCEPTUAL ARCHITECTURE SYSTEM DIAGRAM ................................................................. 23
       4.6 CONCEPTUAL ARCHITECTURE COMPONENT DEFINITIONS ..................................................... 26
           4.6.1 General Ledger Module ............................................................................................ 27
           4.6.2 Accounts Receivable Module .................................................................................... 28
           4.6.3 Cash Management Module ....................................................................................... 28
           4.6.4 Budget Preparation Module ..................................................................................... 29
           4.6.5 Fund Request Module ............................................................................................... 29
           4.6.6 Project/Grant Accounting Module ........................................................................... 29
           4.6.7 Procurement Module ................................................................................................ 30
           4.6.8 Accounts Payable Module ........................................................................................ 31
           4.6.9 Asset Management Module ....................................................................................... 32
           4.6.10 Inventory Management Module ................................................................................ 32


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          4.6.11 Human Resources Module ........................................................................................ 33
          4.6.12 Payroll Module ......................................................................................................... 33
          4.6.13 Labor Distribution Module ....................................................................................... 33
          4.6.14 Workflow Module...................................................................................................... 34
          4.6.15 Reporting Module ..................................................................................................... 34
          4.6.16 Data Warehouse ....................................................................................................... 34
          4.6.17 Online Analytical Processing (OLAP)...................................................................... 34
          4.6.18 Business Intelligence (BI) ......................................................................................... 34
          4.6.19 Document and Records Management ....................................................................... 35
          4.6.20 Real Estate Module ................................................................................................... 35
      4.7 PROPOSED ARCHITECTURE BENEFITS .................................................................................... 36
          4.7.1 General Benefits ....................................................................................................... 36
          4.7.2 Accounts Payable...................................................................................................... 36
          4.7.3 Procurement/Inventory ............................................................................................. 36
          4.7.4 Estimating and Budgeting......................................................................................... 36
          4.7.5 Project/Grant Accounting ......................................................................................... 37
      4.8 FINDINGS ADDRESSED BY THE TO-BE ARCHITECTURE .......................................................... 37
      4.9 CONCEPTUAL ARCHITECTURE ―TO-BE‖ DIAGRAMS BY FINANCIAL FUNCTION ..................... 39
          4.9.1 Legend....................................................................................................................... 40
          4.9.2 General Ledger “To-Be” Diagram ......................................................................... 41
          4.9.3 Accounts Receivable “To-Be” Diagram .................................................................. 42
          4.9.4 Procurement “To-Be” Diagram ............................................................................... 43
          4.9.5 Accounts Payable “To-Be” Diagram ....................................................................... 44
          4.9.6 Asset Management “To-Be” Diagram ..................................................................... 45
          4.9.7 Budgeting, Programming, and Funds Management “To-Be” Diagram .................. 46
          4.9.8 Inventory Management “To-Be” Diagram .............................................................. 47
5.0   CONCEPTUAL ARCHITECTURE – PROPOSED SYSTEM VIEWS ................................ 48
      5.1 INTRODUCTION & APPROACH ................................................................................................ 48
      5.2 CMS – CONSTRUCTION MANAGEMENT SYSTEM ................................................................... 50
          5.2.1 Overview ................................................................................................................... 50
          5.2.2 System Diagram ........................................................................................................ 53
          5.2.3 Functionality Mapping Matrix ................................................................................. 54
          5.2.4 Issues and Considerations ........................................................................................ 57
      5.3 CLMS – CALTRANS LAND MANAGEMENT SYSTEM .............................................................. 58
          5.3.1 Overview ................................................................................................................... 58
          5.3.2 System Diagram ........................................................................................................ 60
          5.3.3 Functionality Mapping Matrix ................................................................................. 61
          5.3.4 Issues and Considerations ........................................................................................ 63
      5.4 CTIFS – CALIFORNIA TRANSPORTATION INFRASTRUCTURE FUNDING SYSTEM .................... 65
          5.4.1 Overview ................................................................................................................... 65
          5.4.2 System Diagram ........................................................................................................ 68
          5.4.3 Functionality Mapping Matrix ................................................................................. 71
          5.4.4 Issues and Considerations ........................................................................................ 71
      5.5 FMS – FINANCIAL MANAGEMENT SYSTEM ........................................................................... 73
          5.5.1 Overview ................................................................................................................... 73
          5.5.2 System Diagram ........................................................................................................ 75


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          5.5.3 Functionality Mapping Matrix ................................................................................. 75
          5.5.4 Issues and Considerations ........................................................................................ 78
      5.6 OTHER SYSTEMS .................................................................................................................... 79
          5.6.1 BPMS – Budget Planning Model System .................................................................. 79
          5.6.2 UTPI – Universal Transportation Project Identifier ................................................ 83
          5.6.3 PRSM – Project Resource and Schedule Management ............................................ 86
          5.6.4 iBID........................................................................................................................... 88
6.0   SYSTEMS WITH NO REQUIRED INTEGRATION OR INTERFACES ........................... 90
      6.1 INTRODUCTION ...................................................................................................................... 90
      6.2 LIST OF SYSTEMS ................................................................................................................... 90
          6.2.1 Automated Governor’s Budget Galley...................................................................... 90
          6.2.2 CBAS – Contract Boilerplate Assembly System ....................................................... 91
          6.2.3 CCS – Centralized Conference Section .................................................................... 91
          6.2.4 DBE Database .......................................................................................................... 91
          6.2.5 PIN Interface ............................................................................................................ 92
          6.2.6 VISA Download ........................................................................................................ 92
          6.2.7 Zenworks ................................................................................................................... 93
7.0   APPENDICES .............................................................................................................................. 94
      7.1     APPENDIX A – ERP FUNCTIONAL MATRIX FOR EXISTING SYSTEMS ...................................... 94
      7.2     APPENDIX B - ERP FUNCTIONAL MATRIX FOR PROPOSED SYSTEMS ..................................... 95
      7.3     APPENDIX C – PROPOSED SYSTEMS ―AS-IS‖ DIAGRAMS ....................................................... 96
      7.4     APPENDIX D – GUIDING PRINCIPLES INTERVIEW TEMPLATE ................................................. 99
      7.5     APPENDIX E - SYSTEM ACRONYMS ...................................................................................... 101




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Caltrans Integration Study                                                                      Conceptual Architecture



1.0 INTRODUCTION
Caltrans has undertaken an Integration Study to identify improvement opportunities related to financial
management systems and associated financial information. The Integration Study consists of the
following seven phases:
    Phase 1: Project Organization
    Phase 2: Best Practices / Lessons Learned
    Phase 3: Identification of Existing Financial Information Systems
    Phase 4: Baseline Analysis of Proposed and Existing Financial Information Systems
    Phase 5: Data Model of Caltrans‘ Financial Information
    Phase 6: Conceptual Architecture / ―To Be‖ State of Caltrans‘ Financial Information
    Phase 7: Financial Information Strategic Plan

                               Identify Existing                                                          Financial
         Best Practice                                      Baseline             Conceptual
                                   Systems                                                                 Systems
           Analysis                                         Analysis             Architecture
                                  Impacted                                                              Strategic Plan




       Summary Analysis of                           Baseline Analysis Of Four
      Financial Management      List of Systems                                                          Strategic Plan
                                                       Proposed Systems &
      Best Practices/Lessons                            Existing Systems,        Conceptual
             Learned                                  High-level Entity Model    Architecture


Each of the phases results in specific outcomes that provide the context and content for the subsequent
phase, allowing Caltrans to maintain and understand the enterprise perspective and to define an
enterprise strategy for development and implementation of financial management systems.

The Conceptual Architecture documented in this report provides the first two, out of a total of five
deliverables from Phase 6 – Conceptual Architecture / “To Be” State of Caltrans’ Financial
Information.

1.1 PURPOSE AND OBJECTIVES
Control agencies, audit reports, and business process reviews have identified potential duplication of
functions and processes in four different proposed systems. These proposed systems include the
Financial Management System (FMS), the California Transportation Infrastructure Funding System
(CTIFS), the Construction Management System (CMS), and the Caltrans Land Management System
(CLMS). In addition, there is recognition that duplication of functions and processes may also occur in
other existing systems not intended to be replaced by the four proposed systems. This potential
duplication, if unresolved, could result in process inefficiencies, replication of system functionality,
silos of information, integration and interface requirements defined ―after the fact,‖ and the non-
optimal use of resources.




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Caltrans Integration Study                                                   Conceptual Architecture

Caltrans has the opportunity to improve overall financial information quality and accessibility by
understanding the overlaps and creating a roadmap for the future. The Conceptual Architecture
documented in this report describes the results of the following activities:
    System-by-system analysis of the existing financial management information systems across
     Caltrans to identify opportunities for integration eliminating unnecessary duplication and
     redundancy
    Development of a detailed Conceptual Architecture focusing on an enterprise view of financial
     information
    Identification of systems with no required integration or interfaces
    Documentation of integration or interface requirements of systems (upcoming deliverable)
    Identification of potential cost savings of the proposed Conceptual Architecture (upcoming
     deliverable)
    Development of data flow diagrams and a high-level integrated entity model for the proposed
     Conceptual Architecture (upcoming deliverable)

This report provides the Draft Conceptual Architecture (Deliverable #11) and identifies Systems with
No Integration or Interface Requirements (Deliverable #12). The remaining deliverables, Listing of
Integration and Interface Requirements (Deliverable #13), the High Level Data Flow Diagram and
Integrated Entity Model (Deliverable #14), and the Findings Presented to the Steering Committee
(Deliverable #15) will be presented in the coming months and will be based upon the
recommendations in this document.

The information gathered in the Conceptual Architecture phase will provide the blueprint necessary for
development of the Financial Systems Strategic Plan. This Strategic Plan will focus on defining the
methods used to progress from the current state towards the desired or ―To Be‖ state. Please note that
while we refer to the deliverable as a "strategic plan", it will more closely resemble a map with the
chosen path identified and be as much tactical as it is strategic.




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Caltrans Integration Study                                                     Conceptual Architecture



2.0 OVERVIEW AND APPROACH
2.1 METHODOLOGY FOR DEVELOPING THE CONCEPTUAL ARCHITECTURE
The objective of the Conceptual Architecture phase of the Caltrans Integration Study (CIS) is to
identify opportunities and make recommendations for integration of financial functions, systems and
data to eliminate unnecessary duplication and redundancy. The Conceptual Architecture creates an
enterprise view of financial information systems that will enable better strategic and tactical planning
and decision-making by the Department.

More specifically, the Conceptual Architecture will describe the relationships of the four proposed
systems and the existing systems that contain or process financial information. The architecture is the
basis for developing the Financial Information Strategic Plan, a subsequent project deliverable.

It is important to note that the Conceptual Architecture phase will not define the implementation
strategy (sequence of implementation of systems, priority of implementation, etc.). This information
will be provided in the next phase: the Strategic Plan. Furthermore, the Conceptual Architecture
focuses on the optimum fully integrated financial information system architecture. Less optimal, but
perhaps more practical alternatives, including interfaces, will be evaluated in the Listing of Integration
and Interface Requirements and in the Strategic Plan deliverables.




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Caltrans Integration Study                                                                    Conceptual Architecture

Development of the Conceptual Architecture and the structure of this document follow the approach
summarized in the diagram below. The diagram shows the inputs, process steps, and outputs of the
Conceptual Architecture phase.

                      INPUT                               PROCESS                              OUTPUT

               Baseline Summary &
            Working Papers – Proposed
            Systems & Existing Systems
                 (Deliverable #8)         6.1 Develop Draft CA
                      Findings
                (by functional area)
                                          6.2 Working Group sessions
                  Overlap Matrix
             (one per functional area)
                                                                                        Systems with No Required
                                          6.3 Identify and document systems with
                                                                                         Integration or Interfaces
               Data/function overlap      no required integration or interfaces
                                                                                             (Deliverable #12)

                   Data overlap                                                     Final Draft Conceptual Architecture
                                          6.4 Revise Draft CA
                                                                                             (Deliverable #11)
                 Function overlap
                                                                 Client approval

                                          6.6 Identify Functional/Process Changes
                  Existing System
                    Templates
                 (one per system)                                                    List of Integration and Interface
                                          6.7 Identify Integration and Interface
                                                                                      Requirements of the Systems
                    Functions             Requirements Among the Systems
                                                                                             (Deliverable # 13)
                                                                 Client approval
                    Interfaces
                      (Data)
                                                                                          Potential Cost Savings
                                          6.9 Confirm cost savings
                   Environment                                                              (Deliverable #14)
                   (Technology)
                                                                                       Assumptions and Rationale
                                          6.10 Document Assumptions/Rationale
                                                                                           (Deliverable #14)


                                                                                         System Data Flow Model
               Summary Analysis of        6.11 Develop System Data Flow
                                                                                            (Deliverable #14)
            Financial Management Best
                     Practices
                 (Deliverable #3)                                                   High Level Integrated Entity Model
                                          6.12 Develop Integrated Entity Model
                                                                                            (Deliverable #14)

              High-Level Entity Model                             Client approval
                 (Deliverable #9)
                                          6.15 Review CA


            Confirmed Costs of Existing                                               Findings Presented to Steering
                     Systems              6.16 Develop Presentation for ITMC                    Committee
                  (Deliverable #7)                                                           (Deliverable #15)

                                          6.17 Present Conceptual Architecture to
                 List of Financial        ITMC
              Management Functions




2.1.1   INPUTS
        During the development of the Conceptual Architecture, the CIS Project Team utilized
        information gathered in all of the previous phases of the Integration Study, including:
         Best Practices / Lessons Learned - Provides a summary of the financial information
          management practices and lessons learned by organizations similar to Caltrans




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         Baseline Summary – Identifies and analyzes financial information redundancies between
          the proposed and existing systems at Caltrans
         Existing & Proposed System Templates – Provides detailed information on the
          functionality, interfaces, and environment for each existing system that contains or
          processes financial information
         FSRs / BPRs / APBJs / etc. – Provides detailed information regarding proposed system
          solutions, business processes, opportunities for improvement, etc.
         Costs of Existing Systems – Provides PY and operating expense costs of existing Caltrans
          systems that contain or process financial information
         High Level Entity Model – Provides a logical framework to describe data of interest to
          Caltrans and the relationships of data within the organization
         List of Financial Functions – Describes the scope of financial information and processes
          included in the Integration Study.

2.1.2   PROCESS
        Utilizing the inputs identified above, the CIS project team completed the following tasks to
        develop the Conceptual Architecture. (Please note: This document includes only Deliverables
        #11 – Conceptual Architecture and Deliverable #12 – Identify Systems with No Integration /
        Interface Requirements. Tasks for future Conceptual Architecture deliverables will be
        documented in subsequent deliverables.)
         Developed templates for capturing Conceptual Architecture ―Guiding Principles‖ from
          Divisions Chiefs to provide context, guidance, and the high-level framework for the
          development of the architecture
         Analyzed of the functionality of existing and proposed financial management information
          systems within Caltrans to identify specific recommendations for integration
         Convened sub-working groups to present the first and subsequent drafts of the Conceptual
          Architecture, validate assumptions, collect additional information, and obtain feedback
          regarding the recommendations
         Presented ―findings‖ to the Integration Work Group for input and/or validation

2.1.3   OUTPUTS (DELIVERABLES)
        The Conceptual Architecture / “To-Be” State phase of the CIS project will result in the
        following deliverables. (The diagram above shows how these deliverables are integrated into
        the overall Conceptual Architecture phase.)
         Deliverable #11 – Draft Conceptual Architecture: Describes the relationships of the four
          proposed systems and the existing systems in a logical framework that becomes the
          blueprint for Caltrans‘ Financial Systems Strategic Plan.
         Deliverable #12 – Identified Systems with No Required Integration or Interfaces: Identifies
          and defines why the systems identified are not impacted by the proposed Conceptual
          Architecture.



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         Deliverable #13 – Listing of Integration and Interface Requirements of the Systems:
          Defines the specific system integration and interface requirements of the systems included
          in the Conceptual Architecture. Integration requirements will identify the financial
          functions to be shared among the systems. Interface requirements will identify the actual
          financial data that must be shared between the systems.
         Deliverable #14 – High Level Process Model/Data Flow and Integrated Entity Model for
          Conceptual Architecture: Combines a number of key elements to complete the Conceptual
          Architecture, including the following:
            Assumptions & Rationale: Identifies and documents the assumptions and rationale to
             substantiate the direction of the Conceptual Architecture.
            High Level Integrated Entity Model: Details the data entities and their relationships
             with one another to support the Data Flow Diagram.
            High Level Data Flow Diagram: Identifies how data will flow between systems in the
             Conceptual Architecture.
            Cost Savings of the Conceptual Architecture: Identifies the potential cost savings
             resulting from the design of the Conceptual Architecture (and the elimination or
             reduction of redundant financial data and functions).
         Deliverable #15 – Findings Presented to Steering Committee: Once the Integration
          Working Group reviews Deliverables #11 - #14, the final Conceptual Architecture will be
          presented to the ITMC for final approval.

2.2 CONCEPTUAL ARCHITECTURE INDUSTRY STANDARD METHODOLOGIES
The methodology used to develop this architecture is based on several industry standard
methodologies, which are summarized below. Components of these methodologies have been
followed and adapted to provide guidance for the CIS project.
    Zachman Framework – The Zachman Framework is an approach for documenting and/or
     developing an enterprise-wide information system architecture. This framework, which is
     recognized as a de-facto standard within industry and has been in use for over 20 years,
     provides multiple perspectives of the overall architecture and draws upon the discipline of
     classical architecture to establish a common vocabulary and a framework for defining and
     describing today's complex enterprise systems.
        In addition to leveraging work by John Zachman, the CIS Team also considered the additional
        contributions of Steven Speewak and Melissa Cooke, who have published approaches to the
        implementation of Zachman focused on legacy system replacement.
        Zachman stresses the importance of aligning the architecture with the intent of the enterprise.
        The CIS team applied this concept by defining Guiding Principles, which were gathered
        through a series of interviews with Division Chiefs and other stakeholders. In addition, this
        report leverages the Zachman Framework concept of presenting different views (perspectives)
        of the same architecture. A high-level view of the overall architecture is presented in Section 4,
        followed by views from the standpoint of the various financial functions (procurement,
        accounts payable, etc). Section 5 then presents the architecture from the viewpoint of each of
        the four proposed systems.


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        Other key points adopted from the Zachman Framework used in developing the Conceptual
        Architecture include:
            Interfaces inhibit change. Interfacing between systems causes ―hard binding‖ and loss
             of flexibility, often leading to maintenance problems. Therefore, reducing and limiting
             the number of interfaces creates more adaptable, easier to maintain systems.
            Focusing on data rather than systems provides a better long-term view because of the
             natural focus on integration. Focusing purely on systems results in a more short-term
             view because it is focused primarily on implementation. This concept has been
             leveraged on the CIS project by using the data model – developed as part of the
             Baseline deliverable – to identify integration opportunities.
            By eliminating redundancy, removing traditional organizational separation and
             grouping similar data and functions across the enterprise, the architecture becomes more
             simplified and streamlined, allowing the fewest possible linkages between information
             systems.
            The boundaries of information systems should not be arbitrary. The best possible
             boundaries for each information system are found based on similarities between data
             and function. This concept has been leveraged on the CIS project by mapping existing
             and proposed systems to a common set of high-level functions.

    Government Information Factory (GIF) – Bill Inmon has created the ―Government
     Information Factory™ (GIF)," a new architectural framework for building government
     information systems. The GIF is based on the notion and success of the data warehouse centric
     Corporate Information Factory (CIF) while considering the unique information processing
     requirements of government entities. The GIF recognized that the government procurement
     focus on individual project approval leads to development of silo systems.
        GIF helps address the architectural structuring of government information systems and the
        many parameters that need to be factored into the architecture and balanced accordingly,
        including:
            The need for merging and managing data across multiple governmental organizational
             units
            The need for a holistic approach to security – looking at both break-in and surveillance
             security
            The need for distributed metadata management and integrity of metadata across the
             enterprise
            The need for the organization to be able to easily access data and reports
            The need to handle archival data in an efficient and agile manner, without losing data
             and without significant cost
            The need for the management of many technologies as a cohesive whole
            The reconcilability of information when there are discrepancies
            The ability to respond to new and unknown requirements in an agile and timely manner


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            The ability to store and use historical data
            The ability to manage large amounts of data without becoming overwhelmed by the
             volumes of data
            The integration of data from many disparate sources
            The need to support data mining and analytical processing

        One of the key concepts promoted within GIF is the need for an overall blueprint, recognizing
        that the full blueprint may never be completely implemented, but that every opportunity (e.g.
        project) should be used to move a step closer to the architecture described in the blueprint. GIF
        likens this blueprint to a city-plan rather than house plan. A city-plan provides an overall
        architectural direction, does not have to be fully built to provide value, and does not define a
        particular sequence for the build out of the plan. This concept is applicable to the Conceptual
        Architecture phase of the CIS project and this report because the Conceptual Architecture is
        intended to provide a ―To-Be‖ picture of what ―could be‖ in the future. The CIS Strategic Plan
        will focus on defining the steps from the current architecture (as-is) towards the ―To-Be‖
        architecture.

    IEEE 1471: Recommended Practice for Architectural Description of Software-Intensive
     Systems – This recommended practice addresses the architectural description of software-
     intensive systems. A software-intensive system is any system where software contributes
     essential influences to the design, construction, deployment, and evolution of the system as a
     whole.

        The scope of this recommended practice encompasses those products of system development
        that capture architectural information. This includes architectural descriptions that are used for
        the following:
            Expression of the system and its evolution
            Communication among the system stakeholders
            Evaluation and comparison of architectures in a consistent manner
            Planning, managing, and executing the activities of system development
            Expression of the persistent characteristics and supporting principles of a system to
             guide acceptable change
            Verification of a system implementation‘s compliance with an architectural description
            Recording contributions to the body of knowledge of software-intensive systems
             architecture

        For the purposes of the CIS project and this report, this IEEE recommended practice is
        consistent with the principles and approach offered by the Zachman Framework. IEEE 1471
        refers to stakeholders, which is similar to rows within Zachman Framework, and also refers to
        views, which are similar to the columns within the Zachman Framework. Both the concepts of
        stakeholders and views have been leveraged, as described above, in the creation of this report.


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        IEEE 1471 also states that ―potential adopters of architectural practices and technology need a
        frame of reference within which to address implementation and adoption decisions,‖ which is
        consistent with the blueprint concept defined within GIF, and leveraged in the creation of this
        report.

2.3 STRUCTURE OF THE REPORT
This report presents the Conceptual Architecture developed as part of Phase 6 – Conceptual
Architecture / “To Be” State – of the Caltrans Integration Study. The document is structured as
follows:

Overview & Approach – Provides a description of the purpose, objectives and methodology for
completing the Conceptual Architecture.

Guiding Principles – Summarizes the key Guiding Principles, gathered during interviews with
Division Chiefs, which provide context, guidance, and the high-level framework for the development
of the architecture.

Conceptual Architecture Financial Views – Provides summary and detailed information about the
Conceptual Architecture, including definitions of ―integration‖ and ―interface‖; identification of
systems integrated into the new Conceptual Architecture; high-level overview of the Conceptual
Architecture as well as detailed diagrams by financial functions; documentation of the benefits of the
proposed architecture; and the Baseline Analysis Findings addressed by the architecture.

Conceptual Architecture as Viewed by the Proposed Systems – Describes the process for analyzing the
proposed systems from an enterprise viewpoint and defines the resulting recommendations for
integration.

Systems with No Required Integration or Interfaces – Identifies those systems that are not impacted by
the Conceptual Architecture.

Appendices– Provides detailed financial functionality mapping and other supporting information.
Includes functional mapping for all 146 existing system and the four proposed systems.




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Caltrans Integration Study                                                                       Conceptual Architecture



3.0 GUIDING PRINCIPLES
3.1 GUIDING PRINCIPLES INTRODUCTION
In order to provide context and direction for the development of the Integration Study Conceptual
Architecture, the CIS Team met with a number of Division Chiefs to gather information on ―Guiding
Principles‖ and ―Constraints.‖ ―Guiding Principles‖ are factors important to the enterprise within
which the architecture must align. ―Constraints‖ are factors that limit how the architecture is designed.
Together these items provide context, guidance, and the high-level framework for the development of
the architecture. The recommendations and decisions within the Conceptual Architecture will trace
back to these Guiding Principles and Constraints.

Using a template of standard questions (see Appendix D – Caltrans Integration Study Conceptual
Architecture Guiding Principles Discussion Topics), the CIS Team scheduled 9 (nine) interviews with
Division Chiefs from each of the following areas:
   Budgets                           Accounting                 Programming
   Local Assistance                  Innovative Finance         Construction
   Right of Way                      Project Management         Applications

Once the interviews were complete, a consolidated set of Guiding Principles, Constraints, and other
relevant information was created and submitted to the Integration Work Group for review and input
prior to being used by the CIS Team in the Conceptual Architecture development process.

3.2 GUIDING PRINCIPLES MATRIX
Below is a matrix that identifies each key Guiding Principle and the associated Conceptual
Architecture component that addresses it. In some cases, the Guiding Principles will be addressed in
the Strategic Plan (Deliverable #16). Additional detail regarding the Conceptual Architecture and how
each component specifically addresses a guiding principle is described later in this document.


                                                                        CONCEPTUAL ARCHITECTURE
                                                                        COMPONENTS
                                                                                                          SPECIALIZED SYSTEM*
                                                                               DATA WAREHOUSE*




                                                                                                                                LEGACY SYSTEM*

                                                                                                                                                 STRATEGIC PLAN
                                                                        ERP*



                                                                                                   EAI*




      Guiding Principles
      KEY BUSINESS DRIVERS AND PRINCIPLES
      1. The mission critical activities (planning, project delivery,
         maintenance and operations) of the Department are the
         primary drivers of the business and the financial system
         should support these activities.                               x                                    x                                       x




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Caltrans Integration Study                                                                        Conceptual Architecture

                                                                         CONCEPTUAL ARCHITECTURE
                                                                         COMPONENTS




                                                                                                           SPECIALIZED SYSTEM*
                                                                                DATA WAREHOUSE*




                                                                                                                                 LEGACY SYSTEM*

                                                                                                                                                  STRATEGIC PLAN
                                                                         ERP*



                                                                                                    EAI*
      Guiding Principles
      2. Financial information is contained in the financial system,
         while operational information is contained in the business
         systems. Financial and operational information must be
         linked for reporting purposes.                                  x        x                           x
      3. Provide access to current and accurate information.             x        x                 x         x                    x
      4. Eliminate data redundancy.                                      x      x
      5. Identify and leverage common functionality that can be used
         enterprise-wide by the Divisions and Districts.                 x                           x
      6. Put rules and edits in place to ensure compliance with
         accounting rules and to promote accountability.                 x
      7. Must be user friendly and allow end users to create their
         own reports.                                                    x        x
      8. Implementation of financial functionality (Budgeting, A/P,
         A/R, G/L, Procurement, Inventory, Asset Management) must
         be prioritized by how the function supports and improves the
         Department‟s mission critical activities (planning, project
         delivery, maintenance and operations).                                                                                                     x
      9. Appropriation control and fund accounting are the priorities.                                                                              x
      10. CTIFS and PRSM should be implemented in such a way as
          to avoid redundancy in project cost accounting.                x                          x         x
      11. Provide short-term fixes to existing systems to improve
          access to information.                                                                                                     x              x
      12. Must support approaches other than a “big bang”
          implementation                                                                                                                            x
      13. Must include a phased, achievable implementation.                                                                                         x
      14. Detailed requirements, that define the desires of all
          stakeholders, must be developed.                                                                                                          x
      15. Identify and implement a single project identifier
          methodology prior to implementation of the financial system    x      x                                                                   x
      16. Addresses the findings identified in the Baseline Analysis.    x        x                 x         x                    x
      KEY TECHNOLOGY DRIVERS AND PRINCIPLES
      17. Must adhere to Departmental standards.                                                                                                    x
      18. New systems must work with legacy systems.                     x        x                 x                              x
      19. Avoid Point-to-point interfaces because they are too costly
          to develop and maintain                                        x                          x
      20. Business transactions should be encapsulated within the
          same system or act as if they were                             x                          x


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                                                                             CONCEPTUAL ARCHITECTURE
                                                                             COMPONENTS




                                                                                                               SPECIALIZED SYSTEM*
                                                                                    DATA WAREHOUSE*




                                                                                                                                     LEGACY SYSTEM*

                                                                                                                                                      STRATEGIC PLAN
                                                                             ERP*



                                                                                                        EAI*
      Guiding Principles
      21. The architecture should minimize impact of changes to
          hardware, software, and internal application changes               x        x                 x         x                    x
      22. The architecture should be simple and sustainable                  x        x                 x         x                    x
      CHANGE M ANAGEMENT
      23. Eliminate processes that do not make sense                         x        x                 x         x                   X
      24. Some customization to any COTS solution will be required           x                                                                          x
      25. Where customization is required, the requirements must be
          well defined and reflect the desires of the stakeholders                                                                                      x
      26. Must include executive management leadership and
          commitment to follow through on implementation                                                                                                x
      CONSTRAINTS
      27. There are no new appropriations for IT projects through
          fiscal year 2004/05                                                                                                                           x
      28. The Department of Finance is delaying all large IT projects
          for an indefinite period of time                                                                                                              x
      29. The Division of Accounting does not have the resources to
          devote to design, development and change management of
          a large-scale system.                                                                                                                         x
      30. Design and development a new financial system must
          consider State Controller‟s Office requirements.                   x                          x                            x                  x

        * Please refer to Section 4.4 for definitions of these components.




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4.0 CONCEPTUAL ARCHITECTURE – FINANCIAL VIEW
4.1 SCOPE
In developing and reviewing this report it is important to be mindful of the CIS Project scope-of-work,
which included the following objectives relating to the Conceptual Architecture (―To-Be‖ state).
    Identify opportunities for system improvements
    Identify needed integration or interfaces between the proposed and existing systems
    Identify IT projects within the combined scope of the original four project proposals with little
     or no need for integration with the Financial Management System, if any such projects exist.
    Identify which existing systems and processes will be included in the desired state, and which
     will be replaced by elements of one or more of the new systems
    Document the assumptions and rationale used to reach the description of the desired (―To-Be‖)
     state.

The Conceptual Architecture does not provide enterprise architecture for all of Caltrans, but focuses on
a financial system architecture using an enterprise view and is intended to provide a foundation for
moving forward. The architecture does not recommend specific products, but focuses on classes of
widely available products, such as ERP and data warehouses. This report does not provide the levels
of detail required by FSRs, or include an implementation plan, but is intended to provide solid input
for future FSRs.

4.2 OVERVIEW
The Conceptual Architecture is presented as a blueprint of the future ―To-Be‖ state. The Conceptual
Architecture can be considered as the equivalent of a ―city plan‖ rather than a ―house plan.‖ A city
plan is higher-level, does not have to be built all at once, does not have to be completely built to be
useful, and provides framework and guidance for each step (project). The diagram below shows how
there will be a number of transitional steps or projects between the current state (―As-Is‖), and the final
(―To-Be‖) state. The ―As-Is‖ state represents the 146 systems which were documented in the CIS
Baseline Summary document, included in the large Visio diagram and delivered with the Baseline
Summary. This report defines the “To-Be” state and represents the fully integrated financial
system architecture. Even in the final ―To-Be‖ state, not all applications are integrated into one,
enormous, application. The architecture presented in this report focuses on integration, eliminating
redundancy, and eliminating interfaces to simplify overall architecture. The subsequent List of
Integration and Interface Requirements will review how interfaces could be used, if necessary, in place
of integration (recognizing that interfaces are a less satisfactory alternative). However, the focus of
this deliverable is on the integrated solution.




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4.3 APPROACH
In developing this section of the report the CIS team worked within and among (for integration
purposes) the financial functions listed below. These are the same categories of functions that were
used in the CIS Baseline documentation.
    Budgeting, Programming, and Funds Management
    Procurement
    Inventory Management
    Asset Management
    Accounts Payable
    Accounts Receivable
    General Ledger
    Financial Reporting

Review of the existing systems and proposed systems identified two broad categories of systems: 1)
Transaction Processing Systems, and 2) Reporting Systems. To understand the approach taken in
developing the Conceptual Architecture, it is important to understand the different characteristics
associated with these categories of systems.

Transaction Processing Systems have the following characteristics:
    They focus on processing individual transactions which can lead to silos of data, stove-piped
     systems, and unwanted redundancy
    They are used to process financial and/or operational transactions
    Data enters the system because a transaction is being processed (e.g. to make a payment)
    Data is a by product of a transaction being executed
    The amount of data needed to service a transaction is typically small
    Data access for reporting is often difficult, and there may be little historical data (because data
     is often archived once it is no longer needed for processing transactions).
    ERP (Enterprise Resource Planning) systems are used extensively in private sector, and
     increasingly in public sector for transaction processing systems.



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Reporting Systems have the following characteristics:
    Data is the focus. A large amount of data is required to generate a report
    Data required for reporting is extracted from transactional systems (both financial and
     operational). It is often necessary to significantly cleanse, transform, and integrate the data
     before it can be used for reporting purposes
    Data is used for retrieving, reformatting, slicing and dicing, sorting, filtering, extrapolating
    Data warehouse, data marts, Business Intelligence (BI) tools, and Online analytical processing
     (OLAP) are typical solutions in modern reporting systems

Although this report used the concepts of ERP and data warehouses, it is not the intent of this report, or
the CIS project, to ―sell‖ ERP or data warehousing to the department. ERP and data warehousing are
used as concepts because they provide a framework for identifying common functionality and data and
are widely used throughout industry today. If the department chooses not to buy an ERP package
or data warehouse, the concepts of common enterprise functionality identified in this report are
still applicable. If department chooses not to buy an integrated package the Conceptual Architecture
recommends that the integrated solution be developed. Both approaches (buy or build) can be
consistent with the same Conceptual Architecture. The Strategic Plan deliverable will address some
of the pros and cons of the buy versus build decision.

4.4   CONCEPTUAL ARCHITECTURE COMPONENTS
To further understand how these solution concepts apply to the department it is helpful to see how they
are typically used in other organizations. The following diagram shows the typical ―enterprise system
landscape‖ found in many large organizations (based on the experience of the CIS team).




                    Reporting System (Data Warehouse/Business Intelligence)


                             Enterprise Application Integration System/Layer (EAI)




                        Legacy             Specialized
                                                                          ERP
                        Systems             Systems


                                        Transactional Systems




FINAL                                      November, 2003                                    Page 19 of 104
Caltrans Integration Study                                                   Conceptual Architecture



Several key points become clear by comparing the current Caltrans system architecture (the ―As-Is‖
diagram) to the above diagram:
    Caltrans has many point-to-point interfaces. Caltrans does not have an EAI system or layer,
     which has lead to numerous point-to-point interfaces that are costly, complex, and error prone.
     These problems combined with the large quantity of interfaces make them a significant
     architectural problem. Interfaces can be eliminated by implementing integrated applications
     (such as ERPs) and reduced by using EAI, which is why the architecture in this report
     recommends the combination of integrated applications and EAI.
    Caltrans has many legacy systems. Most of the 146 systems studied as part of the CIS project
     can be considered to be legacy systems.
    Caltrans has some specialized systems. An example of a specialized system is a GIS system.

    Caltrans has some data warehouses. However, these existing data warehouses are narrow in
     scope and are data marts which focus on providing data for one business area or relating to one
     concept (e.g. projects). Caltrans does not have an enterprise level data warehouse.


   The combination of integrated applications (such as ERPs), EAI, and enterprise data
   warehouse is the solution to Caltrans architectural issues and is the recommendation of this
   report. Each of these architectural components is described in more detail below.

4.4.1   REPORTING SYSTEMS
        Data warehouses, data marts, online analytical processing, and business intelligence provide a
        sophisticated suite of data repositories and data access tools for reporting and supporting
        decision making.

4.4.2   ENTERPRISE APPLICATION INTEGRATION (EAI)
        Where interfaces are still necessary, Enterprise Application Integration (EAI) tools provide pre-
        built building blocks and infrastructure for creating simpler, cheaper, and more effective
        interfaces. Furthermore, EAI allows a single interface from a system to support many uses
        thereby eliminating the need for point-to-point interfaces. As described above Caltrans has
        implemented many point-to-point interfaces, which have been costly, complex, and error prone.

4.4.3   LEGACY AND SPECIALIZED SYSTEMS
        The Conceptual Architecture component diagram recognizes that almost all enterprises will
        continue to have legacy systems and will have some specialized systems. However, the long-
        term plan will be to replace legacy systems by migrating the functionality to the ERP and/or
        data warehouse. Specialized systems are systems that provide functionality that is not provided
        by the ERPs. Project Management systems (e.g. Primavera) are an example of specialized
        systems. Budget forecasting systems are another example. Although ERPs provide project
        management and budget preparation functionality, they do not provide the depth of
        functionality needed by large organizations such as Caltrans. Interfaces and integration
        between these systems will be achieved using Enterprise Application Integration (EAI).



FINAL                                     November, 2003                               Page 20 of 104
Caltrans Integration Study                                                   Conceptual Architecture

4.4.4   DEFINING INTEGRATION & INTERFACE
        The terms integration and interface are used frequently throughout this document. The
        definitions below clarify their meaning within the context of this deliverable.

4.4.4.1 Integration
             In an enterprise system environment, the main purpose of integration is to create a chain
             of business processes that flow together and cross-functional boundaries. Integration
             involves outputs, communications, procedures, organizational design, and security
             profiles, and focuses on likely business events and high-impact exceptions. For purposes
             of this Conceptual Architecture, Integration is needed when two systems (or system
             components) must work together, in real-time, to process a single transaction. This can
             result in functionality being implemented within a single system (an ERP) or by
             integration between multiple systems to ensure that common functions are performed in
             one place and common data is stored within one database.

4.4.4.2 Interface
             In an enterprise system environment, the main purpose of an interface is to connect two or
             more points between different components of a system or systems.

             Interfaces can be classified in two ways:
                 1. One-way communication with no responses.
                 2. Two-way communication, with responses required to complete a set of
                     transactions/processes.
             For purposes of this Conceptual Architecture, an interface is viewed as a method of
             connecting systems where the systems need to share data but the systems do not need to
             work together to process an individual transaction in real-time.

4.4.5   ENTERPRISE RESOURCE PLANNING SYSTEMS (ERP)
        ERP systems were created and have evolved to solve many of the problems similar to what the
        Department is experiencing, and which are identified in the findings section of the Baseline
        document. An ERP is an integrated software solution that supports best practices across an
        enterprise. Functionality and data are integrated within one application. There are many
        companies that sell packages that they refer to as ERP, however, there are only a few that
        provide the true enterprise-wide functionality to the degree needed by large organizations like
        Caltrans. These few large-scale ERP packages are referred to as Tier-1 ERP packages within
        this report.




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        Today‘s Tier-1 ERP systems integrate financial management functions and many operational
        functions, including (but not limited to):

            Accounting/Budgeting                                     Human Resources
            Procurement                                              Customer Relations
            Inventory/Materials Management                           Real Estate
            Asset Management                                         Document Management
            Program and Project Accounting                           Workflow
            Grants Management                                        Call Centers, and more



                     Int eg rat ed Fun ct ion s P rov id ed b y a T i e r - 1 ER P S yst em


            Real                           Inventory
            Estate                           Mgmt              Budget                Human
                                                             Preparation            Resources

                           Procurement


                                                             Labor Cost            Payroll
                                                             Distribution

                                           General
                      Accounts
                                           Ledger
                      Payable
                                                                                        Cash Mgmt



            Fixed
                                           Accounts                                             Fund
            Assets                                                 Project/Grant
                                          Receivable                                           Request
                                                                    Accounting




                  Document/
                                                  Workflow                         Reporting
                 Record Mgmt


        The typical functionality provided by these enterprise software components is described in
        Section 4.6 and then used to map against existing and proposed system financial functionality
        in other sections of this report.

4.4.6   STANDARD FUNCTIONALITY, CONFIGURATION, AND CUSTOMIZATION
        In Sections 4 and 5, the Conceptual Architecture maps to both ―standard‖ and ―customized‖
        ERP functionality. Standard functionality is intended to represent functionality provided by
        Tier-1 ERP packages. Standard does not mean the software comes out of the box and does what


FINAL                                       November, 2003                                       Page 22 of 104
Caltrans Integration Study                                                    Conceptual Architecture

        Department needs the software to do. Any large scale ERP implementation requires significant
        planning, requirements analysis, configuration, change management, training, and project
        management. Configuration is a major activity for an ERP implementation and involves
        taking detailed requirements and configuring the ERP application (defining rules, entering
        client specific values). Customization differs from configuration and means custom program
        code will need to be developed to provide the functionality.

4.4.7   IMPLEMENTATION CONSIDERATIONS
        As documented in the Baseline Summary, some of the existing systems studied are very
        old and provide functionality to support processes that were in place more than 20 years
        ago. This report focuses on how functionality currently provided by the existing system
        could be supported by a modern ERP system and which components of the ERP system
        would provide the functionality. This does not mean that the CIS project is
        recommending that these existing systems be replaced without performing business
        process reviews/re-engineering and gathering and documenting requirements. The
        results of performing these activities will, in some situations, result in systems that
        provide considerably more functionality than the current systems. The mapping
        provided in this report provides guidance and a baseline for mapping new functionality
        identified by BPRs and other studies. The Strategic Plan deliverable will further define
        recommendations for how the department should use the blue print presented in this
        report to transition to new systems.
        This report focuses on the ―To-Be‖ architecture that could be, rather than what should
        be in the immediate future. This means that this report is focused on the longer-term
        ―To-Be‖ state allowing for the fact that interim steps will be taken to achieve this ―To-
        Be‖ state and that the complete ―To-Be‖ state may never be fully implemented.

4.5 CONCEPTUAL ARCHITECTURE SYSTEM DIAGRAM
The diagram on the next page represents the Conceptual Architecture as viewed from a financial
perspective (the financial systems are represented by the modules at the center of the diagram). This
diagram can be compared to the ―As-Is‖ diagram, which shows the 146 systems that currently provide
financial functionality and/or track financial data (the ―As-Is‖ diagram is available on request).
Comparing these two diagrams illustrates the ―before‖ and ―after‖ architectures.

The table following the diagram lists the existing systems that can be replaced by an integrated
financial management system (IFMS). Note that three of the four proposed systems are shown as
partially overlapping, indicating that they share common functions and data with the integrated
financial system.




FINAL                                     November, 2003                                Page 23 of 104
Caltrans Integration Study                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       Conceptual Architecture



                                                                                                                                                                                                                                                              Conceptual Architecture System Diagram
                                                                                                                                                                                                                                                                                                                                                                    Notification of
                                                                                                                                                                                                                                                                                                                                                               Federal Reimbursement $

                                             Online Analytical
                                                                                    Department                  Local                                                                                           Employment                                                                                               State
                                              Processing &                                                                                                                                                                                                               Patterson                                                                                                                        State Controller's
                                                                                    of General              Transportation                                                                                      Development                                                                                          Treasurer's
           BPMS                                  Business                                                                                                                                                                                                                 Travel                                                                                                                            Office (SCO)
                                                                                     Services                 Agencies                                                                                          Department                                                                                           Office (STO)
                                               Intelligence
                                                                                                                                                                                                                                                                                                                                                          Checks                                                                                                                                                 CUC
                                                                                                                                                                                                                                                Contractors
                                                                                                                                                                                                                                                                                                                                                          Cleared
                                                                                                                                                                                                                                                                                                                                                                                         Claim
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            Construction Unit
                                                                                                                                                                                                                 Franchise                             Confirmations     Internal                                           Federal                                                     Schedule                                                                      Project                                Cost System
                                                                                       Purchase                                                                     First                                                                                                                                               Reimbursement $                                                                                                                              Location                                                                             Bid Item
 5 yr Estimated
                  IFMS Budget                                                          Estimate                                                                                                                     Tax                                                  Revenue                                                                                                                                       Payroll/Benefit
                    Estimate                                                             Data                                                                       Bank                                                                                                                                                                                                                                  Notice of       Data for                                                                                                                       Description
   Revenue &                                                                                                                                                                                                       Board                                                 Service                                                                                     Claim Schedule                      Claims Paid   IRS Form W-2
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          Bid Item
   Expenses                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  Bid Item
                                                                                                                                                                                                                                                                                                                            FMIS                                     Supporting Data,                                                                                                                                                                    Description
                                                                                                                                                                                           Electronic                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       Description
                                                                                                                                                                                                                                                                                                                                                                      EFT Payment                                                                                                                                                          Cost Data
                                                                                                                  CBAS                                                                     Statement                                                                                                                   Fiscal Mgmt
                                                                                                                                                                                                                                                                                                                        FMIS                                               File
                                               Enterprise Data                                                   Contract                                          Electronic                 File
                                                                                                                                                                                                                                                                         American                                      Info System
                                                                                                                                                                                                                                                                                                                         Edit
                                                                                                                                                                                                                                        1099 Tape                                              1098
                                                 Warehouse                          PIN Interface               Boilerplate       Zenworks                         Statement                                       MPOs                                                                                                  File                                                                                                                                                                                                   Bid Item                                                         BEES
                                                                                                                Assembly                                              File                                                                                               Express               Data
                                                                                                                                                                                                                                                                                                File                                                                                                                                                                                                                                                                                             Basic                              Project                 BBA                               Low, First, Second,
                                                                                                                 System                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           Description,                                                   Third Bidders,
                      Numerous types of data
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          Project Location                    Engineering                          Location,             Bridge Bid                             Subcontractors,
                                                                                                                                                                                                                                                                                                       Federal                                  Request                                                                                   Notification of
                   loaded from ERP to DW. This                                                                                                                                                                                                                                                                                    Daily         Approval                                                                                                                                              Project                                                                                  Estimating                        Bid Item Cost         Analysis System                        Bid Price, Item Cost                           Bid
                                                                                       CCS                     Automated                                                                                                                                                                                 Aid                                                                                                                                 Federal
                                                                                                                                                                                                                                                                                                                                 Project       to Proceed                                                                                                                                           Description,                                                                                System                                                                                                                                    Item Cost
                     will be further defined in I&I                                                                                                                                                                                                                                                     Billing                                                                                                                          Reimbursement $
                              deliverable.                                           Centralized               Governor's           DBE                           VISA                                                                                                                                   File                   Updates,       (E76 Data)                                                                                                                                            Bid Item
                                                                                                                                                                                                                     FTIP                                                                                                       Obligation
                                                                                     Conference                 Budget            Database                      Download                                                                                                    Billings                                                                                                                                                                                                                  Costs
                                                                                                                                                                                                                    Project                                                                                                      Amount
                                                                                      Section                    Galley                                                                                           Description/
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          Project description, location
                                                                                                                                                                                                                 Cost Estimate
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               Bid item unit cost,
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            quantity and total cost
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    Low Bid
      ADS                                 AP Data
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   Item Cost

   Aeronautics                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               Project Description,
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  Location,
    Database                           Project
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                Bid Item Cost
     System
                                   Allocation Data                                       General Ledger                                           Fixed Assets                                                                                                                                                                                                              Document Management                                                             Workflow
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     CMS
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    Low Bidder's Bid,
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     Bid Item Costs


                                                                                     Accounts Receivable                                Project/Grant Accounting                                                                                                                                                                                                                 Budget Preparation                                                Cash Management                                                                                                                 Prime Payment
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        Data
  Rental Rate                                                                                                                                                                                                                                                 Integrated Financial
  Spreadsheet                                                                                                                                                                                                                                                 Management System                                                                                                                                                                                                                                                    CLMS                                                                       Bid Item
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 Bid Item
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                Final Utilization                                       OE Item                 Description,                                     BID
                                                                                       Accounts Payable                                  Inventory Management                                                                                                                                                                                                                             Procurement                                                       Reporting                                                                                                              Database
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             Description,
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            Bid Item Cost               Database                 Bid Item
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   Cost                                      Bid Opening
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               System


                                                                                    Manufacturing Planning                                Material Requirement                                                                                                                                                                                                                                                                                                                                                                     CTIFS                                                                                                OE
                                                                                                                                                                                                                                 Forecasting                                                             Shop Floor                                                          Labor Cost Distribution                                                   Fund Request                                                                                                                                      DB Goal &
                                                                                           System                                               Planning                                                                                                                                                                                                                                                                                                                                                                                                                                                  Contract
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   Disadvantaged                 Subcon-
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 tractors                                            iBid
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           Data                       Business
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     Database

         Rental
         Rates                                                                                                                Traffic
                                                                                                                               Data                                   Signals & Lighting                                   Cost                                                                                                                                                                                                                               Project Tasks,
                                                                                                                                                                          Inventory                                       Records                                                  Personnel                                                                                                                                                                                      Project Tasks,
                           Surplus Equipment,                                                                    Purchase               Highway geometrics,                                Catalog                                                                                                                                                                                                                                                              Estimated                                                                              PS&E Cost Estimate,                                                         Office Engineer             Low, First, Second, Third Bidders,
                           Vehicles Eligible for              Vehicle Data,                                       Orders                   traffic volumes,                                                                                     Validated                            Data                                                    Accounting                                                                                                        Resources         Milestone Dates,                                                       Project Information                                                                                       Subcontractors, Bid Price
                                                                                                                                                                                           Item &                                                                                                                                                                                                                                                                                                                                                                                                                                 Project Database
                             Replacement,                     Rental Rates,                                                              and accident data                                                                                      Employee                                                                                       Codes                                                                                                                            Estimated Hours,
                                                                                                                                                                                            Price
                            List of Damaged             New Vehicle Req. Data,                                                                                                                                                                    Time                                                                                          [EA]                                        Personal                                                                             Estimated Costs,
                                                                                                                                                                                                                                                                                                                                                                                                                             Operation &
                                Vehicles,                  Equipment Sales,                                                                                                                                                                                                                                                                                                                 Service                                                                             Estimated Support
                                                                                                                                                                                                                                                                                                                                                                                                                             Equipment
                            Equipment Rental            List of Equip. in Repair,                                                                                                                                                                                                                                                                                                                                                                                                     Costs
                                  Data,                Scheduled Maintenance/,                                                       TSN                                                                                                                                                                                                                                                  Expenditures                        Expenses
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         Project Info
                              Owner Data,                   Finished Goods                                                       Transportation                                                          Maintenance
                                                                                                                                                                                                                                                                                           TOPSS
                          Job Shop Order File,
                          Vehicle Master File,                                            Expenditures                              System                                                                & Repair                                                                                                                                                                                                                                                                                                                                                                        Bid Status
                                                                                                                                                                                                            Data                                                                                        PTAS                                                                                                                                                           XPM
                            Work in Process                                                                                         Network                                                                                                                                                                                                               Project Management Employee
                              Transactions,
                                                                                                               Purchase                                                                                                                                                                           Position Tracking                                        Project and Non-Project Time                                                                            Expert Project
                            RS&E Allocation                                                                                                                                                                                                                                Automated 8
                                                                                                                Order                                                                                                                                                                               Automated
                              Adjustments                                                                                                                        Bridge                                                                                                                                                                                                                                                                                              Manager
                                                                                                                                                               Inventory                                                                                                                               System                                               Employee Pay Data
                                                                                                                                                                                                                                     Employee Info &
                                                                                                                                                              & Condition                                                             Leave Balance
                                                                                                                                                                                                   IMMS
                               FA                                                                                                                                                               Integrated                                                                                                                                                                                                                                                               PRSM
                              Fleet                                                                                                                                                            Maintenance
                                                                                                                                                                                               Management                                                                                                                                           Leave Transactions                  State
                            Anywhere                                                                                                                                                                                                   Maintenance Employee
                                                                                                         Fleet Data                                                                               System                            Project and Non-Project Time                                                                                                                    Controller's
                                                                                                                                                                                                                                                                                                                   Position and
                                                                                                                                                                                                                                                                                                                  personnel data,                                                   Office (SCO)
                                                                                                                                                                                                     Chemical                                                                                                       FCC codes
                                                                                                                                                                                                      Usage                                              Highway Bridge Info/Selected
                           Fuel Amount
                             & Cost
                                                                                                                                                                                                                                                                  Inventory                                                                                                                                                Fiscal
                              Data                                                                                                                  Traffic Info                                                                                                                                                                                                                                                          Database

                                                                                                                                                                                                                                                                                   BMS
                         Voyager
                                                                                                                                                                                                                                                                                  Bridge
                        Credit Card                                                                                                                                                           Department                                                                                                                                                                          Inventory and Local Bridge Condition
                                                                                                                                                                                                                                                                                Management
                         Company                                                                                                                                                              of Pesticides
                                                                                                                                                                                                                                                                                  System


                                                                                                                                                                                                                                                                                                                                                               Legend

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           A square, white rectangle with
                                                                                                                                                                                                                           A square, white rectangle                                                         A rounded, white rectangle                                                                  A green object represents a
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           gray shadow represents a
                                                                                                                                                                                                     SYSTEM                represents a Caltrans                                        Organization         represents an external                                             SYSTEM                   reporting system or data                                  SYSTEM
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           system that supports the
                                                                                                                                                                                                                           Information System                                                                organization or stakeholder                                                                 warehouse
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           proposed system

                                                                                                                                                                                                                                                                                                             A rounded, yellow rectangle                                                                 A square, purple rectangle
                                                                                                                                                                                                                           A square, red rectangle                                                                                                                                                                                                                                         A solid line indicates an
                                                                                                                                                                                                                                                                                                             indicates that an organization                                                              indicates that the system is
                                                                                                                                                                                                     SYSTEM                indicates that no action/                                    Organization                                                                            SYSTEM                                                                                 Data                electronic flow of data
                                                                                                                                                                                                                                                                                                             is located more than once on                                                                out of scope and no analysis
                                                                                                                                                                                                                           changes to the system                                                                                                                                                                                                                                           between systems
                                                                                                                                                                                                                                                                                                             the diagram                                                                                 has been performed


                                                                                                                                                                                                                                                                                                             A square, blue rectangle                                                                    A square, light blue rectangle                                                    A dotted line indicates a
                                                                                                                                                                                                                           A white convex shape
                                                                                                                                                                                                  Spreadsheet                                                                            SYSTEM              indicates that the system                                          SYSTEM                   with dotted outline represents                               Data                 manual input of data from one
                                                                                                                                                                                                                           represents a spreadsheet
                                                                                                                                                                                                                                                                                                             will be interfaced with ERP                                                                 a proposed system                                                                 system to another


                                                                                                                                                                                                                                                                                         Document            A white "document"                                                                          A white "keyboard" represents
                                                                                                                                                                                                                                                                                                             represents a paper report                                       Key Enter Data
                                                                                                                                                                                                                                                                                                                                                                                                         a manual input to a system




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      Caltrans Integration Study                                                     Conceptual Architecture

              S yst em s t h at w oul d b e r epl a ce d b y th e IFM S, CM S, CLM S , and C T IFS
1.    360 Log                         43.   ECS                             82.    PMDW
2.    A & E Database                  44.   EDI                             83.    PSH
3.    Amex Billing                    45.   EFTD                            84.    PTAS
4.    AMI                             46.   ELI                             85.    PUBS
5.    ARPS                            47.   ELMS/TPRX                       86.    PUSV
6.    ARR                             48.   Encumbrance Refresh and         87.    RBR
7.    ARS                                   Recalculation                   88.    Reimbursement PC
8.    Authorizations Database         49.   EPTS                                   Reporting
9.    Automated 8                     50.   Equipment Rental Rate           89.    Reimbursement Subsystem
10.   AVL                                   Export System                   90.    Rental Rate Report
11.   BAS                             51.   EVRS                            91.    RFS
12.   Batch Query System              52.   EWB                             92.    Right of Way ACL
13.   BFI                             53.   Expenditures Database           93.    RPS
14.   Bid Unit Db                     54.   FADS                            94.    RRS
15.   Bill of Lading                  55.   FPRS                            95.    RUMS
16.   BMS-Budget Monitoring           56.   Fund Estimate Model             96.    RWMIS
17.   CalCard Tracker                 57.   GASB 34                         97.    RWPS
18.   Capital Allocations Db          58.   GIS                             98.    SAL
19.   CAPS                            59.   Highway Maintenance             99.    SB45
20.   CAS                                   Tracking                        100.   SCATS
21.   Cash Balance Model              60.   ICRS                            101.   SCH3
22.   Category 25 Reporting           61.   Interest Penalty System         102.   SCOPE
23.   CATS                            62.   Inventory Mgt (D3 Pilot)        103.   SLB
24.   CBARS                           63.   IRWS                            104.   SPEA
25.   CCIS                            64.   IT Procurement and OE           105.   STOCK
26.   CDPOS                                 Tracking                        106.   Student Assistant Tracking
27.   CFPIS                           65.   Land & Building System          107.   SUBS
28.   CLELR                           66.   LDS                             108.   Surplus Sales
29.   CLS                             67.   LP2000                          109.   SVI/PCMS
30.   COMS/EAS                        68.   LPAMS                           110.   SVS
31.   COSOAR                          69.   LREDP Log                       111.   TAMS
32.   Cost Allocation System          70.   No Warrant                      112.   TBUS
33.   CSTS                            71.   Non-Expendable                  113.   TEC: Reportable Payment
34.   CTIPS                                 Equipment Database                     Reporting System
35.   DCP                             72.   Net Zero                        114.   TMS
36.   District 32 Equipment           73.   OAR                             115.   TOMIS
      System                          74.   OET                             116.   Tool & Computer
37.   Division of Accounting          75.   PARR                                   Inventory
      Training Tracking               76.   Payroll Variance Distrib.       117.   TPRC
38.   DPRS                            77.   PCARS                           118.   TRAMS
39.   Drug Free Certification Db      78.   PCU                             119.   Travel Reporting System
40.   DTS                             79.   PDIS                            120.   UNC
41.   EBR                             80.   PETS                            121.   URS
42.   ECR                             81.   PMCS                            122.   WCCP




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The Conceptual Architecture recommends the following systems be integrated into the
combination of the Data Warehouse and Business Intelligence (BI)/Online Analytical Processing
(OLAP) portion of the Integrated Financial System architecture:

                   S yst em s Int eg r at ed i n D at a W a re hou se / B I / O L AP

1. FPRS                           3. TPRC                              5. PMDW
2. RWMIS                          4. EVRS

Note: These systems are also listed in the previous table (Systems Replaced by the Integrated
Financial System) because some of their functions would be supported by the ERP and some by
the Data Warehouse/BI/OLAP. In addition to these existing systems, the CIS team expects
Caltrans would find many other uses for a Data Warehouse combined with Business
Intelligence/OLAP tools. However, identifying these uses is beyond the scope of this study.

The Conceptual Architecture also recommends the following systems be interfaced or integrated
with the IFMS:
                     S yst em s Int e rf ac ed o r Int eg ra ted w ith t he IFM S

1.   Aeronautics Database         7. CADb                             14. Office Engineer Project
2.   BBA                          8. CUC                                  Database
3.   BEES                         9. Equipment Status Db              15. TOPSS
4.   BID/iBID                     10. Final Utilization Database      16. TSN
5.   BPMS                         11. Fiscal Database                 17. XPM/PRSM
6.   Bridge Management            12. Fleet Anywhere
     System                       13. IMMS



The Conceptual Architecture recommends PTAS and Automated 8 systems be integrated into
TOPSS, the ERP Human Resource (HR) system. The verified salary and position data would be
passed from TOPSS to the ERP Budget Preparation module for the purpose of preparing the
governor‘s budget. This architecture results in TOPSS being the system of record for HR
including salary, position information, and organizational structure information. The LDS
system will be integrated in to the financial ERP. TOPSS will pass time sheet data to the
financial ERP, which will record it in the General Ledger with the use of the Labor Distribution
module.

Note that the PCU system, which is one of the systems included on the initial list of system
studied by the CIS project, is not included in this section because this system is no longer in use.

4.6 CONCEPTUAL ARCHITECTURE COMPONENT DEFINITIONS
The Conceptual Architecture ―To-Be‖ model is based on ERP, Data Warehouse and EAI as
potential solution concepts that are described in Section 4.4. This section expands on the
definitions of the Conceptual Architecture components, specifically on the functionality typically
provided by Tier-1 Enterprise Resource Planning (ERP) systems.



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   ERP applications were created and have evolved to solve problems related to process and data
   integration – some of the problems Caltrans is currently experiencing. Many organizations find
   themselves in environments similar to Caltrans, characterized by non-integrated, stand-alone
   financial systems that do not provide detailed, real-time financial information. A number of
   these systems were designed using aging technology that is difficult to maintain and modify.
   The limitations of these systems have resulted in the proliferation of numerous standalone, non-
   integrated systems and spreadsheets to meet business needs not satisfied by the legacy financial
   systems.

   In a business environment increasingly driven by the availability of detailed, timely, and accurate
   information, Caltrans requires integration and information sharing at an enterprise level with
   solutions that address specific business and program functions. The Conceptual Architecture
   ―To Be‖ model addresses these needs.

   Today‘s ERP systems provide comprehensive, integrated, enterprise wide solutions for financial
   management functions and operational functions, including financial and budget performance,
   procurement and contract management, inventory management, asset management, program and
   project accounting, grants management, human resources/payroll and more. As a result,
   organizations find themselves with better access to data and greater process efficiency. An
   overview of typical Tier -1 ERP capabilities by module is presented below.

4.6.1   GENERAL LEDGER MODULE
        The General Ledger is the heart of a financial ERP system. This module defines the
        accounting structure or chart of accounts, which determines the level of financial
        information that can be accessed and captured. Most ERP systems provide a flexible, user
        defined accounting structure compliant with GAAP and GASB and supports multiple bases
        of accounting. The General Ledger data is used to generate many financial and
        management reports/queries.

        The General Ledger also includes functionality to manage commitments and expenditures
        automatically by checking them against predefined, authorized budgets. Additionally, the
        General Ledger provides functionality to automate journal entries/allocation and accruals,
        eliminating redundant efforts associated with using silo systems and supporting
        spreadsheets.

        Key characteristics of the General Ledger Module include:
            Flexible system setup/configuration without programming (e.g. user defined
             classification structure, fund split rules)
            Supports multiple fiscal years, with the ability to post to past, current and future
             periods (with the appropriate security permissions)
            Conformance with Generally Accepted Accounting Principles (GAAP), American
             Production and Inventory Control Society (APICS), and Governmental Accounting
             Standard Board (GASB)




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            Supports cash, budgetary, modified accrual and full accrual bases of accounting -
             posts and isolates transactions enabling full reporting and reconciliation of different
             accounting bases
            Tightly integrated with all ERP modules, eliminating duplicate data entry and re-
             keying
            Expenditures and encumbrances are validated, recorded, and reported against annual
             and multiyear budgets
            Single or multiple cost allocation methods may be employed, dependent upon
             business needs
            Automatic account distribution (fund split)
            Standard financial reports such as Trial Balance, Balance Sheet, Income Statement,
             Budget vs. Actual, Fund Summaries, etc.
            Supports tracking expenditures and available balances at various levels of detail from
             the most detail to appropriation level
            Ability to compare budget to actual expenditures on real-time basis
            Ability to track budget, pre-encumbrance, encumbrance and expenditure transactions
             down to lowest levels of detail
            Ability to drill down from appropriation/allocation levels to purchase orders and
             invoices lines and even distribution lines

4.6.2   ACCOUNTS RECEIVABLE MODULE
        The Accounts Receivable Module is designed to manage a wide variety of customers and
        handle the associated invoicing needs. Most ERP systems provide users with the ability to
        easily design and produce customer statements/invoices, dunning letters, and custom
        management reports. Standard functions include the ability to track, monitor and collect
        receivables and delinquent accounts.

        Key characteristics of the Accounts Receivable Module include:
            Ability to process multiple receivable types (reimbursements, abatements) and track
             their status
            Real-time access to review items such as receipts, customer balances
            User defined billing parameters (billing periods, aging periods)
            Multiple invoice and statement forms
            Standard reports including aging, customer account transaction details and summaries

4.6.3   CASH MANAGEMENT MODULE
        The Cash Management module allows users to forecast future cash flow needs and make
        proactive business decisions more effectively. This module of the ERP also includes
        functionality to reconcile bank accounts/statements and create the necessary accounting
        entries to the general ledger.


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4.6.4   BUDGET PREPARATION MODULE
        Budget Preparation enables an organization to create current and future budgets. These
        budgets, which are generally monitored using data that is tracked with the General Ledger,
        can be established and controlled at various levels within the organizational structure. The
        Budget Preparation Module in ERP applications typically includes trend analysis/budget
        modeling functions that allow users to analyze the current or prior year budget and/or
        actual information, manipulate the data and create and store various ―what if‖ scenarios.

        Key characteristics of the Budget Preparation Module include:
            Supports the development and maintenance of multiple versions of a budget,
             including Appropriation, Allocation and Project
            Maintains an audit trail of amendments, revisions, transfers in to/out of a budget and
             maintains visibility of original budget
            Performs allocations based upon percentage, pro-rata share of expenditures, fixed
             amount, etc.

4.6.5   FUND REQUEST MODULE
        The Fund Request module organizes and tracks all grants accounting and administration
        activities from the creation of the sponsor application and submission to award. This
        module provides fund request tracking up until the sponsor funds the request. This module
        is also used to track pre-award costs or costs incurred prior to receiving the official
        funding.

        Key characteristics of the Fund Request Module include:
            Supports tracking of applications, approvals, and funding amounts
            Supports creation, approval and electronic transmission of requests for federal funds
            Support the process of executing a project agreement with Federal agencies such as
             FHWA and National Institutes of Health

4.6.6   PROJECT/GRANT ACCOUNTING MODULE
        Project Accounting is used to record, track, control and report on the activities of specific
        projects of a governmental entity. The module allows users to establish and monitor a
        budget against a particular project as well as track and report the associated project
        activities over the life of the project.

        Grant Accounting is used to record, track, control, bill and report on activities affecting
        programs determined and funded by external sponsoring organizations, such as local, state
        and federal entities. Grant Accounting includes the ability to track activities over the life of
        the grant in accordance with the timelines of the organization and the external sponsor
        should they differ, as in the case of differing fiscal year ends for state and federal reporting.
        For Caltrans, Grant Accounting is a misleading term because the ERP Grant Accounting




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   Caltrans Integration Study                                                 Conceptual Architecture

        functionality would apply to the process of obtaining and accounting for Federal
        Reimbursement.

        Key characteristics of the Project/Grant Module include:
            Tightly integrated Project/Grant Accounting, Procurement, Accounts Payable,
             Accounts Receivable, GL, and Fixed Assets data and processes, eliminating duplicate
             data entry and re-keying
            On-line, real-time setup and maintenance of project, task, work breakdown structure,
             grant, grant award
            Allows grant and project accounting periods to be defined separate from the fiscal
             year
            Allows work breakdown structures to be established with as many levels as required
            Project related pre-encumbrance, encumbrance and expenditure transactions can be
             ‗fund split‘ to multiple funding sources
            Provides the ability to create and monitor budgets, pre-encumbrances, and
             expenditure transactions down to the lowest level of the work breakdown structure
            Funds Management at project level and grant award
            Supports project billing for reimbursable costs

4.6.7   PROCUREMENT MODULE
        The Procurement Module is designed to support the activities required to request, order and
        ultimately receive goods and/or services. This module, which is designed to support both
        centralized and decentralized purchasing operations, streamlines the procurement process
        and improves productivity by utilizing functions such as online requisitions, purchase
        orders/contracts and change orders, electronic catalogs, automated workflow approvals,
        electronic commerce email, automatic faxing, etc. In most ERP applications, this module
        is tightly integrated with the General Ledger and Accounts Payable modules to enable
        budget checking and encumbrance accounting at the time of procurement, therefore
        eliminating redundant data entry.

        The Procurement module also includes functionality to support the invitation to bid and
        request for proposal (RFP) process.

        Key characteristics of the Procurement Module include:
            Tightly integrated Procurement, Inventory, Asset Management, GL, and AP data and
             processes, eliminating duplicate data entry and re-keying
            Online/Web access for entry of purchase requests (for inventoried items or goods and
             services purchased from vendors)
            Automatically generates purchase orders from on-line requisitions and encumbers the
             funds



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            Supports the generation of multiple purchase order types including standard purchase
             orders, blanket and contract purchase agreements
            Automated, user defined workflow and approval processes for purchase requests and
             requisitions
            Centralized vendor database (for procure and pay functions)
            Supports automated matching (two/three/four way) of procurement and payment
             documents, simplifying the payment process
            Real-time access to review items such as status of purchase requests, purchase orders,
             contracts
            Captures costs—such as the freight, duty, and setup charges associated with each
             purchase—for a complete picture of procurement costs.
            Bid/Solicitation Management supports the tracking, tabulation and awarding of bids

4.6.8   ACCOUNTS PAYABLE MODULE
        The Accounts Payable module is used to manage payments to vendors and other parties,
        such as employees. In most ERP applications, this module is tightly integrated with
        Purchasing, General Ledger and Fixed Assets to reduce data entry efforts and increase
        efficiency. All information needed to authorize payments is typically generated on-line,
        eliminating the paper flow of requisitions, purchase orders, invoices and receiving
        documents. Comprehensive and flexible vendor maintenance, coupled with powerful
        inquiry capabilities provides users with the ability to improve timeliness of cash
        disbursements.

        Key characteristics of the Accounts Payable Module include:
            Tightly integrated Procurement, Inventory, Asset Management, GL, and AP data and
             processes, eliminating duplicate data entry and re-keying
            Supports the processing of multiple payable types, eventually resulting in a single
             interface with SCO Utilizes a centralized vendor database (for procure and pay
             functions)
            Supports automated matching (two/three/four way) of procurement, receiving,
             inspection, and payment documents, simplifying the payment process
            Real-time access to review items such as status and history of payments, as well as
             funds availability
            Performs duplicate invoice checking as part of the payment approval process
            Processes employee salary, travel advances, and other types of advances
            Standard reports include account aging (unpaid invoices), vendor detailed transaction
             listings and summaries




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4.6.9    ASSET MANAGEMENT MODULE
         The Asset Management module is designed to monitor and report on all capitalized and
         non-capitalized property and equipment within an organization. Specific functions include
         tracking of the assets and the related asset information from the time of acquisition until its
         retirement. In addition to monitoring the asset, the Asset Management module performs
         depreciation calculations using a variety of depreciation methods. The user has the ability
         to selectively define whether the accounting transactions associated with asset functions,
         such as acquisition, depreciation, sale or disposal, are automatically posted to the General
         Ledger.

         Key characteristics of the Asset Management Module include:
            Tightly integrated Procurement, Inventory, Asset Management, GL, and AP data and
             processes, eliminating duplicate data entry and re-keying
            Allows assets that meet the criteria for capitalization to be capitalized at the time of
             payment

4.6.10   INVENTORY MANAGEMENT MODULE
         Inventory Management is designed to account for items purchased by an organization and
         held in inventory until needed by another unit within the organization or until the item is
         sold to an external entity. The inventory management module accounts for items from the
         time they are received until the time they are ultimately distributed. The major functions of
         the inventory management module include inventory control and orders processing, with
         timely access to critical information, such as inventory availability, quantity on hand,
         reorder quantities and costs. ERP systems typically provide the ability to automatically
         generate purchase orders based on user defined inventory levels and reorder points, thereby
         eliminating data entry efforts.

         Key characteristics of the Inventory Management Module include:
            Tightly integrated Procurement, Inventory, Asset Management, GL, and AP data and
             processes, eliminating duplicate data entry and re-keying
            Real-time access to review items such as status of purchase orders and stock
             information
            Automatically generate inventory replenishment requisitions (and fulfill them using
             either internal or external suppliers)
            Automatically update inventory levels for returned items or items that fail inspection
            Provides trend analysis capabilities to indicate items that should be purchased in bulk
             and/or stocked as inventory item
            Supports multiple inventory costing methods
            Generates pick tickets and packing slips for warehouse orders




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4.6.11   HUMAN RESOURCES MODULE
         The Human Resource (HR) module provides comprehensive support for routine and
         specialized personnel activities, including hiring, promotion, termination, and retirement;
         support for different employee groups and civil service titles; online job and salary
         histories.

         Key characteristics of the Human Resources Module include:
            Tracks authorized, filled and vacant positions
            Provides profiles for each employee with associated benefits information, training
             needs, performance reviews
            Manages and tracks benefit eligibility requirements for employees and dependants
            Self service employee access to personnel data

         Note that the current Caltrans TOPSS system is an implementation of an ERP HR module.
         The ERP HR module is not always tightly integrated with other ERP modules, and it is not
         uncommon for the HR module and the financial modules to be implemented using different
         ERP packages.

4.6.12   PAYROLL MODULE
         The Payroll module typically encompasses the time capture functions in an organization.
         Payroll enables an organization to record labor details, summarize time, and make
         adjustments to time already paid all through a single point of entry. Payroll accounting
         calculates wages, salaries, and pensions for public employees in addition to supplementary
         benefits such as seniority, sick pay, vacation, and bonuses.

         Key characteristics of the Payroll Module include:
            Performs payroll processing for each payroll cycle
            Maintains unlimited deductions and earnings types
            Allows users to define and control processing rules and timeframes
            Maintains a full history of payments by employee
            Manages sick and vacation accruals

         It is important to note that Caltrans‘ payroll functions are performed by the State
         Controller‘s Office. Therefore, Caltrans will not use the payroll module of an ERP.


4.6.13   LABOR DISTRIBUTION MODULE
         The Labor Distribution module is designed to address various methods for distributing
         labor costs when a need exists to record personnel costs at a lower level of detail than can
         be provided by the organization‘s payroll system. A more detailed account of personnel
         costs may be necessary to support Federal grant reporting, external billing/reimbursement,



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         and internal management requirements. Most ERP applications provide several
         methodologies for distributing costs.

         Key characteristics of the Labor Distribution Module include:
            Allocate costs at multiple levels of detail (across different account codes)
            Allows users to define and control distribution rules and codes
            Distributes labor costs based upon time sheets and/or default distribution rules

4.6.14   WORKFLOW MODULE
         Workflow is a tool that can be used in conjunction with an ERP to automate a business
         process by electronically routing information to appropriate person(s) inside or outside the
         organization for review, analysis and approvals, according to user defined parameters.
         Additionally, workflow provides the ability to capture and route information from a variety
         of documents to support in the analysis/approval process, including but not limited to
         reports, spreadsheets, and images. Workflow makes the business process visible to those
         who need to know if a document has been approved or where it is in the approval process.

4.6.15   REPORTING MODULE
         Most ERP applications include comprehensive standard and ad-hoc reporting capabilities
         that allow users to report on both detailed and summary information on virtually any
         module within the ERP. The reporting module provides functionality to report on data
         stored within the ERP database, whereas a data warehouse contains and reports on data
         from the ERP and other systems outside of the ERP.

4.6.16   DATA WAREHOUSE
         The Data Warehouse is not a module within the ERP. Instead, it is a mechanism for
         providing data access to the enterprise by copying data from transactional systems (such as
         an ERP, specialized systems or legacy systems) to the data warehouse, then cleansing,
         summarizing or structuring the data specifically for query and reporting purposes.

4.6.17   ONLINE ANALYTICAL PROCESSING (OLAP)
         Similar to the Data Warehouse, Online Analytical Processing (OLAP) is a not a module
         within the ERP, but a reporting tool that provides a multi-dimensional analysis of
         information (time periods, organizations, cost centers, etc.) to support complex statistical,
         mathematical and financial calculations. Users can perform functions such as forecasting,
         modeling and consolidations using OLAP.

4.6.18   BUSINESS INTELLIGENCE (BI)
         BI is a broad category of applications and technologies for gathering, storing, analyzing,
         and providing access to data to help enterprise users make better business decisions. BI
         tools are often used in combination with data warehouses but can also be used to access
         transactional databases.




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4.6.19   DOCUMENT AND RECORDS MANAGEMENT
         Document and Records Management is a tool that enables organizations to manage
         documents and records related to its business processes on paper and in electronic form.
         Together with Workflow, Document and Records Management is a workflow management
         system that can map both predefined and ad hoc business process flows. It is integrated
         with all areas in public administration, ranging from simple business processes to specific
         technical procedures running on different application systems.

         Key characteristics of Document and Records Managements include:
            Manages paper and electronic records in one system – provides a single point of
             access to all information for authorized users
            Integrates business objects with their scanned image (an application document with
             its scanned image)
            Integrate public and Inter Organizational services on the Internet directly into
             electronic records management
            Records and documents can be viewed by or sent to other public agencies without
             complex transport procedures
            Stakeholders send queries or requests via the Internet/Web
            Functions for processing requests and storing documents in a record are fully
             integrated

4.6.20   REAL ESTATE MODULE
         The Real Estate module provides the capability to manage Real Estate related functions and
         transactions for both the public and private sector.

         Key characteristics of the Real Estate module include:
            Tightly integrated Real Estate, General Ledger, Accounts Receivable, Asset
             Management data and processes, eliminating duplicate data entry and re-keying
            Provides the ability to define properties (land and building within a property), parcels,
             sections, buildings, floors, offices, as well as space management for both internal
             (office space and assigning employees) and external (rental customers) uses
            Provides lease administration functionalities such as direct leases, third party leases,
             or subleases, manage lease agreements, and contractual obligations, milestone
             management of critical dates, insurance, and notes
            Maintains usage by cost centers




   FINAL                                     November, 2003                                Page 35 of 104
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4.7     PROPOSED ARCHITECTURE BENEFITS
        There are numerous benefits associated with the implementation of an integrated financial
        management system. Many of these benefits address the findings that were identified in the
        Baseline Summary document. Some of the key benefits are listed below:

4.7.1   GENERAL BENEFITS
            Integrates applications, which leads to greater productivity as less staff time is spent
             doing manual processes, reconciliation, and redundant data entry into multiple
             systems
            Allows transaction details to be easily available via ‗drill down‘ for transactions
             originating in the ERP, eliminating the manual effort associated with identifying
             transaction source documents/systems
            Master Data consistency across the organization (e.g., centralized vendor table)
            Real Time data access, error detection, notification, and on-line error correction –
             account validations and budget checking occurs at time of data entry
            Reduces paper flow through online entry, automated workflow and approval
             processes.
            Reduced difficulty of maintenance, upgrade, and support tasks (fewer systems to
             support)
            Aids with timely management decision making
            Facilitates re-engineering of business processes to use standard industry best practices
             – provides flexibility to adapt to changes.

4.7.2    ACCOUNTS PAYABLE
            Automatically encumbers funds – minimizes need for checkbook systems
            Eliminates the need for manual matching and validation of purchase order, receiving
             documents and invoice

4.7.3    PROCUREMENT/INVENTORY
            Timely order processing/reduction in cycle times
            Reduces data entry error and manual matching and validation of purchase order,
             receiving document and invoice

4.7.4    ESTIMATING AND BUDGETING
            Reduces the need for large linked spreadsheets
            Reduces the problem of robust budget models that blow up because of their large size
            Eliminates standalone spreadsheets and data bases and makes budget data available to
             large user community



   FINAL                                     November, 2003                                Page 36 of 104
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            Reduces time required to do ‗What if‘ modeling
            Uses variables in modeling
            Timely funds management data (e.g., appropriation, allocations, budgets, pre-
             encumbrance, encumbrance, expenditures, available balance) by means of on-
             line/real-time data entry, error detection, notification, and correction

4.7.5   PROJECT/GRANT ACCOUNTING
            Reduces programming effort through flexible system setup (e.g. project, task, work
             breakdown structure, grant, grant award, fund split rules, and funds availability
             notifications/alerts)
            Improves throughput of transactions and timeliness of project financial data (e.g.,
             budgets, pre-encumbrance, encumbrance, expenditures, available balance) by means
             of on-line/real-time data entry, error detection, notification, and correction
            Reduces need for multiple systems each tracking a portion of the project financial
             data through ERP ability to support WBS structure to lowest levels of detail
            Reduces need for inter-system interfaces and reconciling by maintaining project
             financial data in one system/repository
            Provides on-line, real-time account analysis and drill down from project when project
             financial balances and transaction detail are maintained in one system/repository


   4.8 FINDINGS ADDRESSED BY THE TO-BE ARCHITECTURE
   The following table outlines the findings identified in the Baseline Summary (Deliverable #8)
   and provides a reference to the ERP module that includes functionality to address the finding.
   This does not necessarily mean that ―out-of-the-box‖ ERP functionality will resolve the findings.
   The ERP modules address the findings with a combination of standard functionality and
   customized functionality. In section 4.4.6 above, the concepts of ERP configuration and
   customization are defined. The later sections (including the appendices) of this document
   provide more detail about where standard and customized functionality are required.

    Baseline Summary Finding                                                                Reference
    Global Findings
       1. It is difficult to modify legacy systems in order to adapt to changing
           business requirements.
       2. Internal and external stakeholders require more detailed and current
           financial information than legacy systems currently provide.
       3. Over the last decade, there has been a dramatic increase in the                All ERP Modules –
           development of desktop/workgroup applications to address the                   See Conceptual
           limitations of existing legacy systems.                                           Architecture
       4. Accessing transportation project information, including financial data, is         Introduction
           impeded by the lack of a universal project identifier.
       5. Systems proposed for development contain duplicate functionality.
       6. Financial management business process reviews document current
           process flows primarily at the Divisional level




   FINAL                                        November, 2003                                  Page 37 of 104
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 Baseline Summary Finding                                                                    Reference
 Budgeting, Programming & Funds Management Findings
    7. Systems that track what Caltrans is authorized to spend are not                   Budget Preparation,
        connected to systems that track actual expenditures, which causes                 General Ledger,
        users to rely on secondary systems for information.                                 Project/Grant
                                                                                             Accounting
     8. Allocation data is maintained by different Divisions in two different            Budget Preparation,
        systems, neither of which provides the level of detail needed by the              General Ledger,
        Divisions and Districts.                                                            Project/Grant
                                                                                             Accounting
     9. Systems that support programming and project delivery are not                    Budget Preparation,
        connected which results in duplicate data maintained in multiple                  General Ledger,
        systems.                                                                            Project/Grant
                                                                                             Accounting
     10. It is difficult to track the use of Federal funds without substantial manual     General Ledger,
         effort.                                                                            Project/Grant
                                                                                             Accounting
 Procurement
    11. Procurement is primarily a manual process supported by multiple,                    Procurement
        independent systems.
    12. Procurement and accounts payable processes and associated systems                   Procurement,
        are not connected.                                                               Accounts Payable,
                                                                                           General Ledger
     13. Procurement, inventory, and accounts payable processes and                         Procurement,
         associated systems are not connected.                                                Inventory
                                                                                            Management,
                                                                                         Accounts Payable,
                                                                                           General Ledger
     14. Systems that support procurement and the management of named                    Procurement, Asset
         assets are not connected.                                                          Management,
                                                                                           General Ledger
 Accounts Payable
    15. Vendor information is keyed and stored in multiple systems.                       Accounts Payable,
                                                                                            Procurement
    16. With multiple systems posting accounts payable transactions to TRAMS,             Accounts Payable
        sometimes significant manual effort is required to identify the transaction
        detail in the source system.
    17. Multiple systems submit claim schedule information electronically to the          Accounts Payable
        State Controller‟s Office but for only a limited number of accounts
        payable types.
 Accounts Receivable
    18. With multiple systems posting accounts receivable transactions to                     Accounts
        TRAMS, significant manual effort is required to identify the transaction             Receivable,
        detail back to the source system.                                                   Project/Grant
                                                                                             Accounting
    19. Systems used to process employee salary and travel advances are not               Accounts Payable,
        connected.                                                                             Payroll
 General Ledger
    20. Divisions and Districts have developed their own independent                       General Ledger,
        expenditure tracking systems to compensate for TRAMS‟ limited                    Financial Reporting,
        reporting capabilities.                                                           Data Warehouse,
                                                                                               OLAP,
     21. TRAMS data fields are used to code multiple data elements resulting in            General Ledger
         complex, difficult to interpret, coding structures.




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 Baseline Summary Finding                                                               Reference
     22. Differing edit checks result in inconsistent data among TRAMS and its        All ERP Modules
         subsystems.
     23. Differing cost allocation methodologies are supported by multiple             General Ledger
         systems.
     24. Modifications to existing systems would eliminate the need for the Labor     Labor Distribution
         Distribution System.                                                              Module
     25. Differing data retention periods between systems cause reconciliation        All ERP Modules,
         issues.                                                                      Data Warehouse
 Inventory Management
     26. Real time stock information is not available.                                   Inventory
                                                                                        Management
     27. Inventory balances do not reconcile between systems.                            Inventory
                                                                                        management,
                                                                                       General Ledger
 Asset Management
    28. The Department lacks a centralized property control system for non-         Asset Management,
        expendable assets.                                                            General Ledger,
                                                                                         Procurement
     29. Independent systems used to capitalize assets may not reconcile to         Asset Management,
         TRAMS.                                                                       General Ledger
     30. Manual process used to capitalize non-expendable equipment may not             Procurement,
         identify all assets.                                                        Accounts Payable,
                                                                                    Asset Management
     31. Duplicate data exists in the six systems that are involved in tracking     Asset Management
         equipment usage.                                                            module interfaced
                                                                                    with IMMS and FA.
                                                                                        (The ERP will
                                                                                     calculate the asset
                                                                                                       1
                                                                                        depreciation.)
1
  Implementation of the Asset Management module would streamline the current process of updating
equipment usage records, however, some duplication of data would still remain as FA, IMMS, and the
Rental Rate spreadsheet are not candidates for replacement in the “To Be” architecture.



4.9 CONCEPTUAL ARCHITECTURE “TO-BE” DIAGRAMS BY FINANCIAL FUNCTION
This section provides more detailed versions of the Conceptual Architecture shown in Section
4.5. To support the development of an enterprise view of financial information systems, the
project team mapped the key functionality of each existing system to those functions available in
Tier-1 ERP applications. This exercise involved analyzing the current process diagrams and
templates developed as part the Baseline Summary, Deliverable #8 as well as leveraging the
experience of project team members who have implemented various ERP systems over the years.

The results of this analysis are depicted in the proposed Conceptual Architecture diagrams that
follow. These diagrams were presented to key stakeholders for input and/validation during a
series of work sessions. Those systems whose functions could be replaced by the
implementation of an ERP with little or no required customization are potential candidates for
replacement and are depicted on the diagram within the ―integrated financial management
system‖ box. Those systems that represent specialized or other operational systems whose
functions could not be entirely absorbed by the implementation of an integrated financial
management system are shown on the diagram as external to the integrated financial


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management system, but may be integrated with the integrated financial management system
performing the financial related functions that the system currently performs. The appendices in
Section 7.0 provide the function mapping detail that supports the decision to integrate or
interface the existing system.

4.9.1 LEGEND
      This Legend will be used as a guide for the ―To Be‖ diagrams that follow:


             A square, white rectangle                             A rounded, white rectangle                               A solid line indicates an
    SYSTEM   represents a Caltrans                  Organization   represents an external                      Data         electronic flow of data
             Information System                                    organization or stakeholder                              between systems

             A square, yellow rectangle                            A rounded, yellow rectangle
                                                                                                                            A dotted line indicates a
             indicates that a system is                            indicates that an organization
    SYSTEM                                          Organization                                               Data         manual input of data from one
             located more than once on                             is located more than once on
                                                                                                                            system to another
             the diagram                                           the diagram

                                                                   A square, blue rectangle
             A square, red rectangle                                                                                        A green object represents a
                                                                   indicates that the system
   SYSTEM    indicates no action/                    SYSTEM                                                  SYSTEM         reporting system or data
                                                                   will be interfaced with the
             changes to the system                                                                                          warehouse
                                                                   ERP

             A square, white rectangle with                                                                                 A square, purple rectangle
             gray shadow represents a                Document      A white "document"                                       indicates that the system is
    SYSTEM                                                                                                   SYSTEM
             system that supports the                              represents a paper report                                out of scope and no analysis
             proposed system                                                                                                has been performed

                                                                                                 A square, light blue rectangle
                                  A white "keyboard" represents
                                                                               SYSTEM            with dotted outline represents
                                  a manual input to a system
                 Key Enter Data                                                                  a proposed system




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4.9.2      GENERAL LEDGER “TO-BE” DIAGRAM

                                                       Integrated Financial Management System


                                     NZ                                                                           GASB 34
                                                                                        Cost Allocation
           EAS/COMS                Net Zero               COSOAR                                                 Prospective
                                                                                           System
                                   System                                                                         Reporting


                                                           OAR
                                 Encumbrance                                                                     CAPITAL
            SCH3                                         Overhead                       SB 45 System                                              BAS
                                   Refresh                                                                         Capital
          Schedule 3                                    Assessment                           (in                                            Budget Allocation
                                      &                                                                          Allocations                Tracking System
         Reconcilliation                               Reimbursemen                     development)
                                 Recalculation                                                                   Database
                                                             t

             LPAMS                   SPEA                   LDS                             Payroll                TRAMS
          Local Programs          Single-Phase
                                                            Labor                          Variance             Transportation
          Accounting and             Project
           Management             Expenditure            Distribution                     Distribution           Accounting
             System               Authorization            System                           System                 System




                                                                                                                       Personal
                                                                                                                       Service
                                                                                                                     Expenditures

                                    Accounting
                                       Code
                                    Validation
                                      Tables                                                      Maintenance
                                                                                                     Time
                                                       Non-Maintenance
                                                                                                   by Crew
                                                             Time
                                                         by Individual



                                                                                                     IMMS
                                                                                                  Integrated
                                                          TOPSS                                  Maintenance
                                                                                                 Management
                                                                                                    System                          Actual Payroll
                                                                                                                                     & Benefits         Complete Payroll
                                                                                                                                    Cash Transfer           Data
                                                                            Employee Time                                            (total only)
                                                                               Employee Info &
                                                                                Personal Data

                                                                         Updated Leave Balances                        State Controller's
                                                                         Leave Transactions                              Office (SCO)
                                                                    Employee Pay Data                                        CLAS




This Conceptual Architecture diagram shows how an Integrated Financial Management System (IFMS) would replace existing systems. The diagram
shows that the IFMS replaces these existing systems by placing the replaced systems inside the gray IFMS box. The Conceptual Architecture diagrams
assume that any future solution must be able to provide at least the functionality of the existing systems, in addition to the additional functionality
described in the proposed systems' feasibility studies.




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4.9.3       ACCOUNTS RECEIVABLE “TO-BE” DIAGRAM                              Federal Reimbursement $


                                                                              Notification of
                                                                                 Federal
                                                                             Reimbursement $
    Online Analytical Processing &
        Business Intelligence

                   FPRS                                      State                                                                              FMIS
              Federal Projects                                                                   State Controller's
                                                         Treasurer's                                                                     Fiscal Management
                 Reporting                                                                         Office (SCO)
                                                         Office (STO)                                                                    Information System
                  System
                                                                                                                                                                        Federal
                                                                                                                                                                       Aid Billing
                                                                                                                                                                          File



                                                                                                                                                                                                              IMMS
                                              Internal                                                                                   Comprehensive
                                                                                                                                                                                                           Integrated                    FA
                                                                                                                                    information on projects,
                                             Revenue                                        Notification of                               project status,                                                 Maintenance                   Fleet
                                             Service                                           Federal                           allowable billing amount, etc
                                                                                                                                                                                                          Management                  Anywhere
                                                                                           Reimbursement $                               (FMIS Edit File)
                                                                                                                                                                                                            System
                                                                                                                  Cash Receipt
                                                                                                                   Transaction                                                                                                          Equipment
                                                                                                                                                                                                   Signals & Lighting
                                                1098                                                                                                  Daily changes in                                                                    Rental
                                                                                                                                                                                                       Inventory
                                                Data              TAMS                                                                                  federal project                                                                    Data
                                                                                                                                                    agreements and costs
                                                File              Travel                                                                                                                                            Crew Data,
                                                                                                                                                                                                                   Expenditures
      Enterprise Data Warehouse                                  Advance                               Complete Payroll
                                                                 Monitoring                                 Data                                                                     Maintenance                                                                               CLMS
                                                                  System                                                                                                              & Repair
                                                                                                                                                                                        Data


                                                                                                                                                                                                                                                                                RWPS
                                                                    Travel
                                                                   Advance
                                                                                                                                                                                                                                                                             Right of Way
                                                                     Data                                                                                                                                                                                                      Property
                                                                                                                                                                                                                                                                             Management
                                                                                                                                                                                                                                                                               System
      Numerous types of data loaded
       from ERP to DW. This will be
     further defined in I&I deliverable.


                                                                                                                                                                                                                                    SAL
                                                  ARPS                                           Reimbursement                                                        ARR                          ELI                                                                                 FPRS
                                                                   DOA Student                                                                                                                                                     Salary
                                            Auto Remittance                                           PC                         Reimbursement                     Accounts                    Excess Land                                                                        Federal Projects
                                           Processing System
                                                                    Assistance                                                                                                                                                    Advance                 TRAMS
                                                                                                   Reporting                      Subsystem                        Receivable                    Interest                                                                            Reporting
                                            (in development)         Tracking                                                                                                                                                     Monitoring                                          System
                                                                                                    System                                                        Reconcilliation               Reporting
                                                                                                                                                                                                                                   System


                                                                        UNC                                                          CBARS                              SLB                                                         CFPIS
                                                 EPTS                                                    ARS                                                                                       PARR
                                                                                                                                                                                                                                  Completed                  ECS
                                             Encroachment          Uncleared FAE                                                  Current Billing                    Signals &                Payroll Accounts
                                            Permits Tracking
                                                                                                       Accounts                                                                                 Receivable
                                                                                                                                                                                                                                   Federal             Equipment Charge
                                                                         8                                                         & Reporting                        Lighting                                                      Project           StatementApplication
                                                System                                                 Receivable                                                                                Reporting
                                                                    Transactions                                                     System                            Billing                                                    Inventory

                                                                                                                                            Integrated Financial Management System

This Conceptual Architecture diagram shows how an Integrated Financial Management System (IFMS) would replace existing systems. The diagram shows that the IFMS replaces these existing systems
by placing the replaced systems inside the gray IFMS box. The Conceptual Architecture diagrams assume that any future solution must be able to provide at least the functionality of the existing
systems, in addition to the additional functionality described in the proposed systems' feasibility studies.




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4.9.4      PROCUREMENT “TO-BE” DIAGRAM


                                                                                                                                                                                                Project
                                                                                                                                                                                               Location                                         CUC
                                                                                                                                                                                                                                           Construction Unit
                                                                                                                                                                                                                                             Cost System
                                                                                                                                                                                                                                                                                                                     Bid Item
                                                                                                                                                                                                                                                                                                                    Description

                                                                                                                                                                                                                                                                                          Bid Item
                                                                                                                                                                                                                                                                                         Description




                                                                                                                                                                                                                                                                                                                BEES
                                                                                                                                                                                                                                                                                                                Basic                                  Project                      BBA
                                                                                                                                                                                                                                                                                                                                                     Description,
                                                                                                                                                                                                                                                                                                             Engineering                              Location,                  Bridge Bid
                                                                                                                                                                                                                        Project
                                                                                                                                                                                                                      Description,                                                                            Estimating                            Bid Item Cost              Analysis System
                                                                                                                                                                                                                       Bid Item                                                                                System
                                                                                                                                                                                                                        Costs
                                                                                        Integrated Financial Management System                                                                                                                                                                                                                       Low, First, Second,
                                                                                                                                                                                                                                         Bid Item                                                                                                       Third Bidders,
                                                                                                                                                                                                                                                                                                                                                       Subcontractors,
                                       IT                      CATS           Architecture                TRAMS                                                                                                                                                                                                                                      Bid Price, Item Cost
                                                                                                                                                  CSTS
                                 Procurement &                Contract            and                  Transportation
                                                          Administration &
                                                                                                                          360 Log            Contracts Status                                                                                                                                                                            Low Bid
                                  OE Tracking                                 Engineering               Accounting                           Tracking System
                                                                                                                                                                                                                Project Location                                                                                                        Item Cost
                                    System                Tracking System      Database                   System                                                                                                                                                                                                                                                                                                Bid Item
                                                                                                                                                                                                                                                                                                                                                                                                               Description
                                                                                                                                                                                                                                                                          Project Info
                                                                                                                                                                                                                                                                                                                 Project Description,
                                                                                                                                                                                                                                                                                                                      Location,
                                    CDPOS                                         EBR                                                                                                                                                                                                                               Bid Item Cost
                                    Contract                                    Electronic                Drug Free      Equipment
                                                              Bid Unit
                                   Delegation                                   Equipment                Certification     Status
                                 Purchase Order              Database         Budget Request              Database       Database
                                     System                                      System                                                                                                                                                                                                                                                                                                                                               Bid
                                                                                                                                                                                                                                                                 Bid Status                                                                                                                                                        Item Cost
                                                                                                                                                                                                                                                    Cost Data
                                                                                                                                                RWPS
                                                                                                                                             Right of Way
                                                                                                                                               Property                                            CAS                                                                                                                                        BID
                                                                                                                                             Management                                                                                                                                                                                   Bid Opening
                                                                                                                                                                                                Construction
                                                                                                                                               System                                                                                                                                                                                       System
                                                                                                                                                                                               Administration
                                                                                                                                                                                                                                                                                                                                                                                              Low, First, Second, Third Bidders,               OE Project
                                                                                                                                                                                                  System                                                                                                                                                                                         Subcontractors, Bid Price                     Database
                                                                                                                                                IRWS
                                                                                                                                             Integrated
                                                                                                                                                                                                                                                                                                                                               iBid
                                                                                                                                            Right of Way                                                                                                                                       Project description, location
                                                                                                                                               System                                                                                                                                               Bid item unit cost,
                                                                                                                                                                                                                                                      Low Bidder's Bid,                          quantity and total cost                                                                                       Subcontractors
                                                                                                                                                                                                                                                       Bid Item Costs
                                                                                                                                                CLMS                                                                                                                                                                                                         Bid Item Description,
                                                                                                                                                                                                                                                                                                                                                                 Bid Item Cost
                                                                              New Vehicle
                   Purchase                                         Vehicle   Requisition        Vehicles
                   Estimate                 Contract No              Data        Data           Eligible for                                                                                        CMS
                     Data                                                                      Replacement

                                                                                                                                      Numerous types of data loaded
                                                                                                                                       from ERP to DW. This will be
                                                                                                                                     further defined in I&I deliverable.
                                             CBAS
                                                                                                                                                                                                                                                                                                                                                              Bid Item
                                            Contract                             FA                                                                                                                                                  Prime Payment                                                                    Final Utilization                      Description,
                                                                                                                                                                                                                                                                                                                                                                                         OE Item
                                                                                                                                                                                                                                          Data                                                                           Database                                                        Database
                PIN Interface              Boilerplate                          Fleet                                                                                                                                                                                                                                                                       Bid Item Cost
                                           Assembly                           Anywhere
                                            System
                                                                                                                                                                   Enterprise Data Warehouse
                   Purchase
                                                                                                                                                                                                                                                                                                                                                                                                                 OE
                   Estimate                                                                                                                                                                                                                                                                                                                                                   DB Goal &                     Disadvantaged
                     Data                                                                                                                                                                                                                                                                                                                                                    Contract Data                     Business
                                                                                                                                                                                                          Online Analytical Processing &                                                                                                                                                                      Database
                                                                                                                                                                                                               Business Intelligence
                                         DBE Database



                 Department of
                   General
                   Services




This Conceptual Architecture diagram shows how an Integrated Financial Management System (IFMS) would replace existing systems. The diagram shows that the IFMS replaces these existing systems by placing the
replaced systems inside the gray IFMS box. The Conceptual Architecture diagrams assume that any future solution must be able to provide at least the functionality of the existing systems, in addition to the additional
functionality described in the proposed systems' feasibility studies




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4.9.5      ACCOUNTS PAYABLE “TO-BE” DIAGRAM
                    Local                                                                                                Franchise           Employment                     State
                                            First                      Patterson              American                                                                                                                                      State Controller's
                Transportation                                                                                              Tax              Development                Treasurer's
                                            Bank                        Travel                Express                                                                                                                                         Office (SCO)
                  Agencies                                                                                                 Board             Department                 Office (STO)


                                                                                                                                                                                                                                                                                                                                           TOPSS

                                                                                                                          1099 Tape
                                                                                                                                                                                                      CCS                      Electronic
                                     Electronic
                                   Statement File
                                                                                                                                                                                                    Centralized                  Claim
                                                                                                                                                                               Checks                                          Schedule
                                                                                                                                                                               Cleared              Conference                   Data
                                                                                                                                                                                                                                                 Payment
                                                                                                                                                                                                     Section                                      Record                                                Personnel
                                                                                                                                                                                                                                                                                                          Data
                                                                                                                                                                                                                                                                   EFT
                                                                                                                                                                                                                                                                 Payment
                                     VISA                                                                                                                                                                                                                          File          Claim
                                                                                                                                                                                                                                                                               Schedule
                                   Download                                                                                                                                                                                                                                   Face Sheets

                                                                                                                                                                                                          CMS                                                                                                       Personnel
                                                                                                                                                                                                                                                                                                                      Data
                                                                                                                                                                                                                                                                                                                                                 CLMS
                                                                                                                                                                                             CAS                  WCCP
                                                                                                                                                                                                                                                                                     Payroll/Benefit
                                                                                                                                                                                          Construction          Construction                                                            Data for

                     Project                          Electronic                                                                                  Contractors
                                                                                                                                                                                         Administration          Contract                                                            IRS Form W-2
                                                                                                                                                                                                                                                                                                                                               RWPS
                   Expenditure                      Statement File                                                                                                                          System               Payments                                                                                                                   Right of Way
                    Invoices
                                                                     Confir-                      Billings                                                                                                                                                                                                                                    Property
                                                                     mations                                                                                                                                                                                                                                                                Management
                                                                                                                                                                                                                   CCIS                                                                                                                       System
                                                                                                                                                                                            EWB                 Construction
                                                                                                                                                                                          Extra Work              Contract
                                                                                                                                                                                            Billing             Information
                                                                                                                                                                                                                  System
                                                                                                                RPS                                               Electronic                                                                                                 RFS                                                      IRWS                 RUMS
                          American                                                  AVL                                                Interest                                                                                                 DCP                                                                                Integrated        Right of Way
                                                     CalCard                                                 Reportable                                             Funds                                                                                                  Revolving                      CADb
                           Express                                             Active Vendor                                           Penalty                                                                                               Daily Direct                                                                         Right of Way      Utility Relocation
                                                    Tracker DB                                                Payment                                             Transfer                                                                                                   Fund                        District 4
                       Billing System                                              Listing                                             System                                                                                                Claims Paid                                                                             System               System
                                                                                                              System                                              Database                                                                                                  System



                            SUBS                                                                                                                                 Independent                 PCARS                                                                                                        PUSV
                                                    PUBS                           PETS                       PETS                     Travel                                                                         Batch                     CLS                       TERP                                                                               BFI
                                                                                                                                                                                          Purchase Card
                         Statewide                                                                          Progress                                              Contractors                                                                                         TEC: Reportable                  Personal Use             Rental Rate                Bulk Fuel
                                                Paper Utility                     Special                    Estimate
                                                                                                                                      Reporting                                            Accounting &              Query                      A/P                      Payment                                                                           Invoices
                             Utility                                                                                                                               Reporting                Requisition                                                                                                      of                   Report
                                               Billing System                     Handling               Tracking System               System                                                                        System                  Control Log                 Reporting                                                                      Payment System
                       Billing System                                                                                                                               System                   System                                                                                                    State Vehicle



                          TBUS                                                                                DPRS                                                  SCATS                    CDPOS                   CAPS                                                                                 CLELR                    LPAMS                   TRAMS
                                                    EDI                             CATS                                               DTS                                                                                                  Right of Way
                                                                                                                                                                    Service                  Contract                                                                                                  ROW Claim Log            Local Programs
                        Telephone                                                  Contract                  Duplicate                                                                                              Caltrans                                                  NOW                                                                       Transportation
                                              Electronic Data                  Administration &
                                                                                                                                  Direct Transfer                  Contracts                Delegation                                       Accounting                                                & Excess Land            Accounting and
                          Billing                                                                            Payment                                               Automated              Purchase Order            Accounts                                                No Warrant                   Reporting               Management              Accounting
                                               Interchange                     Tracking System                                        System                                                                                                Control Log
                      Upload System                                                                          Reporting                                          Tracking System               System                Payable                                                                               System                   System                  System




                                                                                                                                                                               Integrated Financial Management System

This Conceptual Architecture diagram shows how an Integrated Financial Management System (IFMS) would replace existing systems. The diagram shows that the IFMS replaces these existing systems by placing the
replaced systems inside the gray IFMS box. The Conceptual Architecture diagrams assume that any future solution must be able to provide at least the functionality of the existing systems, in addition to the additional
functionality described in the proposed systems' feasibility studies




FINAL                                                                                                                                                                       November, 2003                                                                                                                                                 Page 44 of 104
Caltrans Integration Study                                                                                           Conceptual Architecture
4.9.6 ASSET MANAGEMENT “TO-BE” DIAGRAM
                                                                                           Integrated Financial Management System



     District 3                                                                                                                Non-Expendable                SVI / PCMS                      URS                 Land & Building                      TPRC
                        Various District
     Inventory                                                                                                                   Equipment                 Property Control             Vehicle Usage               System -                       Right of Way
                          Inventory        Surplus Sales                                                                         Database                     Inventory
    Management                                                                     RWPS                                                                                                   Reporting                  Special                       Management
                           Systems                                              Right of Way                                      System                       System
      System                                                                                                                                                                               System                 Transactions                       System
                                                                                  Property
                                                                                Management
       Tool and                                EBR                                System                                            AMI                       TRAMS                                                    AMI                            RWMIS
                          District 32        Electronic                                                                                                                                      RRS                                                   Right of Way
      Computer                                                                                                                     Asset                   Transportation                                             Asset
                          Equipment          Equipment                                                                                                                                    Rental Rates                                             Management
      Inventory                            Budget Request                                                                       Management                  Accounting                                             Management                       Information
                           System                                        ELMS                  IRWS                                                                                         System
       System                                 System                                                                             Inventory                    System                                                Inventory                         System
                                                                     Right of Way           Integrated
                                                                     Excess Lands          Right of Way
                                                                        System               System
                                                                                    CLMS
                                                                                                                                                                                             Surplus
                                                                                                                                                                                            Equipment


                                                                                         Numerous types of data loaded                                                                              Equipment
                                                                                          from ERP to DW. This will be                                                                              Owner Data
                                                                                                                                                                                                                                          Equipment
                                                                                        further defined in I&I deliverable.                                                                                 Job Shop Order File,            Sales
                                                                                                                                                                                                                                                           Rental
                                                                                                                                                                Equipment Use,                                                                             Rates
                                                                                                                                                                                   Vehicles                  Vehicle Master File
                                                                                                                                                                 Materials Use    Eligible for
                                                                                                                                             Bridge Inventory
                                                                                                                                                                                 Replacement
                                                                                                                                               & Condition                                                                         New Vehicle
                                                                                                                                                                                                                                   Requisition
       Online Analytical Processing &                                                                                                                                                                                                 Data
                                                                                                                                 BMS                                IMMS
           Business Intelligence                                                                                                                                                                           FA
                                                                                                                                                                 Integrated
            RWMIS                                                                                                               Bridge                                                                                                                 Rental Rate
                               TPRC                                                                                                                             Maintenance                               Fleet
         Right of Way                                                                                                         Management                        Management                                                                             Spreadsheet
                            Right of Way                                                                                                                                                                Anywhere
         Management                                                                                                             System                            System
                                                                                                                                                                                         Fleet                                      Rental Rates
          Information       Management                                                                                                                                                   Data

            System            System                                   Enterprise Data Warehouse
                                                                                                                                                                                                         Fuel Amount
                                                                                                                                   Traffic                                                                 & Cost
                                                                                                                                    Data                                                                     Data



                                                                                                                                  TSN
                                                                                                                                                                                                         Voyager
                                                                                                                              Transportation
                                                                                                                                                                                                        Credit Card                                     Zenworks
                                                                                                                                 System
                                                                                                                                                                                                         Company
                                                                                                                                 Network


This Conceptual Architecture diagram shows how an Integrated Financial Management System (IFMS) would replace existing systems. The diagram shows that the IFMS replaces these existing systems by placing the
replaced systems inside the gray IFMS box. The Conceptual Architecture diagrams assume that any future solution must be able to provide at least the functionality of the existing systems, in addition to the additional
functionality described in the proposed systems' feasibility studies




FINAL                                                                                              November, 2003                                                                                                            Page 45 of 104
Caltrans Integration Study                                Conceptual Architecture
4.9.7 BUDGETING, PROGRAMMING, AND FUNDS MANAGEMENT “TO-BE” DIAGRAM



                                                                                                                                                                    Federal Reimbursement $

                                                                                                                                                                        Notice of
       Online Analytical Processing & Business Intelligence                                                                                                     Federal Reimbursement $


      FPRS               EVRS                                                                                                           State                                                                                        FMIS
                                                           PMDW                                                                                                                    State Controller's
     Federal                               RBR                                                                                     Treasurer's                                                                                Fiscal Management
                      Earned Value                         Project                                                                                                                   Office (SCO)
    Projects                             Rail Bond                                                                                 Office (STO)                                                                               Information System
                       Reporting                        Management
    Reporting                            Reporting                                                                                                                                Positi
                         System                        Data Warehouse
     System                                                                                                                                                                         on
                                                                                                                                                                                    and
                                                                                                                                                                                  emplo                                                                                   Funds Estimate
                                                                                                                                                                                    yee                                                                                    Spreadsheet
                                                                                                                                                                                   data,
                                                                                                                                        TOPSS                                      FCC
                                                                                                                                                                                  codes                Personal
                                                                                                                              PTAS                                                                      Service                                                                                                                                  BMS
                                                                             FA                                                                                                                      Expenditures                                                                                                                                                                  District
                                                                                                                       Position Tracking                                                                                                                                                                                                        Bridge
                                                                            Fleet                                                                  Automated 8                                                                                                                                                         MPOs                                                      Scheduling
                                                                                                                          Automated                                                                                                                                       Cash Forecast                                                       Management
                                                                         An yw h e re                                                                                                                                                                                                                                                                                           Applications
                                                                                                                            System                                                                                                                                          Modeler                                                             System
                                                                                                                                                                                                                                                                                                                                                                                    Project Tasks,
                                                                                                                                                                                                                                                                                                                                                                                      Estimated
                                                                                                                                                                                                                                                                                                                                                                                      Resources
                                                                                                                                                                                                                                                                               BPMS
                      Enterprise Data Warehouse
                                                                                                                                                                                                                                                                                                                                                             Request Approval
                                                                                                                                                                                                                                                                                                                                                                to Proceed
                                                                                                                                                                                                                                                                                                                                                                 (E76 Data)         XPM
                                                                                                                                                                                       Notification of                                                                                                                                                                          Expert Project
                                                                                                                                                                                          Federal
                                                                                                                                                                                      Reimbursement $                                                                                                                                                                             Manager
                                                                                                                     RS&E
                                                                                               TSN                 Allocation
                                                                                           Transportation         Adjustments
                                                                                                                                                                                                                                                                                                                                                                                      PRSM
                                                                                                                                                                                                                                                                                                                                                  Bridge
                                                          Construction                        System                                                                                                                                              Federal
                                                                                                                                                                                                                                                                                                                              FTIP                 Data
                                                           Payment                                                                                                                                                                                  Aid                                  5 year                                                                                                                                                                               GIS
                                                             Data           RS&E
                                                                                              Network                                                                                                                                             Billing                            Fund Estimate
                                                                                                                                                                                                                                                                                                                             Project                                                                                 Project Tasks,
                                                                                                                                                                                                                                                   File                                                                    Description,                                                                             Estimated Hours
                                                                          Allocation
    Numerous types of data loaded            BID                         Adjustments                                                                                                                                         FMIS
                                                                                                                                                                                                                                                                                                                          Cost Estimate
                                                                                                                                                                                                                                                                                                                                                                                 Estimated Project
     from ERP to DW. This will be        Bid Opening                                                                                                                                                                         Edit
                                                                                                                                                                                                                                                                                                                                                                                  Support Costs
                                                                                                                                                                                                                             File
                                           System                                           Highway geometrics,                                          Automated
   further defined in I&I deliverable.                                                        traffic volumes,
                                                                                                                                        Personal
                                                                                                                                                         Governor's                                                                                                                                                                                                                                     Project Tasks,                          PS&E Cost Estimate,
                                                                                             and accident data                                                                                                                        Daily                                                                                                                                                             Milestone Dates                                                    Submittal
                                                                                                                                         Service        Budget Galley                                                                                                                                                                                                                                                                          Project Information and
                                                                                                                                                                                                                                     Project                                                                                                                                                                                                     External Constraints,
                                             iBID                                                                                         Hours
                                                                                                                                                                                                                                    Updates,                                                                                                                                                                                                  Maintenance Project Funds
                                                                                                                                                                                                                                                                                                                                                                                                                                                                           Database
                                                                                                                                                                                                                                    Obligation                                                          Milestones,
                                                                                                                                                                                                                                     Amount                                                          Estimated Costs
                                                                                                              Expenditures
                                                                                                               Database
                                                                                                                                                             Galley
                                                                                                                System                                      Postings
                                                                                                                                                                                                                                                                                                                                                                                                                                                PS&E Cost Estimate,
                                                                                                                                                                                                                                                                                                                                                                                                                                               Project Information and      AADD
                                                                                                                                                                                                                                                                                                                                                                                                                                                 External Constraints,
                                                                                                                                                                                                                                                                           Project                                                                                                                                                            Maintenance Project Funds    Database
                                                                                                                                                                                                                                                                           Update

                                                           CAS
                                                          Contract                                                Expenditures
                                                        Administration
                                                          System

                                                                                                                                                                                                                                                                                                                                              Local
                                                                                                                                                                                                                                                                                                                                                                  LP2000
                                                                                                                                                                                                                                                                                                                                           Assistance
                                                                                                                                                                                                                                                                                                                                                                   Local
                                                             CMS                                                                                                                                                                                                                                         IRWS                             FileMaker Pro
                                                                                                                                                                                                                                                                                                                                                               Programs 2000
                                                                                                                                                                                                                                                                                                      Integrated                           Databases
                                                                                                                                                                                                                                                                                                     Right of Way                                                                                                                                    AP                      ADS
                                                                                                                                                                                                                                                                                                                                                                                                                                                     Data                 Aeronautics
                                                                                                                                                                                                                                                                                                        System                                                          CTIPS
                                                                                                                                                                                                                                                                                                                                             FADS                                                                                                    Project               Database
                                                                                                                       Various                                                                                                                                                                                                                                        California                                                                Allocation Data
                                                                                                                                                     BMS                                                      ECR             PMCS                                                                                                                                                                                                                                          System
                                                                                             BAS                     Databases &                                                                                                                                                                                                          Federal Aid              Transportation
                                                                                       Budget Allocation           Spreadsheets for
                                                                                                                                                    Budget                                                Engineering         Project                         CADb                                      CLMS                              Data System               Improvement
                                                                                       Tracking System                Monitoring                   Monitoring                                            Cost Reporting    Management &                      District 4                                                                                            Project System
                                                                                                                     Expenditures                   System                                                  System         Control System


                                                                                                                                                  LPAMS                                                                                                                             EBR                                                                    CTIFS
                                                                                                                      CBARS                                                                                Highway                                            OET                                               PMDW
                                                                                                                                               Local Programs                                                              IT Procurement                                        Electronic                                                                                                                                                      Operation &                Fiscal
                                                                                                                   Current Billing                                                                        Maintenance                                       Operating                                           Project
                                                                                                                                               Accounting and                                                               & OE Tracking                                        Equipment                                                                                                                                                   Equipment Expenses
                                                                                                                                                                                                                                                                                                                                                                                                                                                                           Database
                                                                                                                    & Reporting                 Management
                                                                                                                                                                                                           Tracking                                         Expense            Budget Request                Management
                                                                                                                                                                                                                               System
                                                                                                                      System                      System                                                    System                                          Tracking              System                   Data Warehouse


                                                                                                                         TOMIS                   TRAMS                                                                                                      Division of          CAPITAL                                                     FPRS                 EVRS
                                                                                                                   Traffic Operations                                                                                                                                                                                                       Federal                                           RBR
                                                                                       Authorizations                                         Transportation                                                                                                Accounting              Capital                   OE Project                                       Earned Value                                                                                                   IMMS
                                                                                                                       Management                                                                                            EAS/COMS                                                                                                      Projects                                         Rail Bond
                                                                                         Database                 Information System           Accounting                                                                                                     Training           Allocations                  Database                     Reporting            Reporting                                                                                                  Integrated
                                                                                                                                                                                                                                                                                                                                                                                            Reporting
                                                                                                                    (In Development)             System                                                                                                      Tracking             Database                                                  System                System                                                                          Expenditures            Maintenance
                                                                                                                                                                                                                                                                                                                                                                                                                                                                          Management
                                                                                                                                                                                                                                                                                                                                                                                                                                                                             System



                                                                                                                                                                                                                     Integrated Financial        Management System




This Conceptual Architecture diagram shows how an Integrated Financial Management System (IFMS) would replace existing systems. The diagram shows that the IFMS replaces these existing systems by placing the
replaced systems inside the gray IFMS box. The Conceptual Architecture diagrams assume that any future solution must be able to provide at least the functionality of the existing systems, in addition to the additional
functionality described in the proposed systems' feasibility studies




FINAL                                                                                                                                                                                                               November, 2003                                                                                                                                                                                                    Page 46 of 104
Caltrans Integration Study                                                                                                           Conceptual Architecture

4.9.8      INVENTORY MANAGEMENT “TO-BE” DIAGRAM

                                                      Integrated Financial Management System

                                          SVS                      TRAMS
                                      Service and                                                                               STOCK
                                                                Transportation                Bill of Lading
                                     Supply Material                                                                            STOCK
                                      Management                 Accounting                      System
                                                                                                                                Program
                                        System                     System
                                    Working Stock                                                 PDIS
                                     Master File                                            Publications and
                                                                    SCOPE                     Document                     LREDP Log
                                                                                              Inventory
                                                                                               System




                                                                 Cost
                                                                Records
                                                                                               Item
                                                                                               Price
                                                                                                                                       Work In Process
                                                                                                                                        Transactions



                                                      Catalog
                                                       Item


                                          Equipment Use,                                      IMMS
                                           Materials Use                                   Integrated                                     FA
                                                                                          Maintenance              Fleet Data            Fleet
                                                                                          Management                                   Anywhere
                                                                                            System



                                                                                             Chemical
                                                                                              Usage




                                                                                          Department
                                                                                         of Pesticides


This Conceptual Architecture diagram shows how an Integrated Financial Management System (IFMS) would replace existing systems. The diagram shows that the
IFMS replaces these existing systems by placing the replaced systems inside the gray IFMS box. The Conceptual Architecture diagrams assume that any future solution
must be able to provide at least the functionality of the existing systems, in addition to the additional functionality described in the proposed systems' feasibility studies




FINAL                                                           November, 2003                                                       Page 47 of 104
Caltrans Integration Study                                                   Conceptual Architecture



5.0 CONCEPTUAL ARCHITECTURE – PROPOSED
    SYSTEM VIEWS
5.1 INTRODUCTION & APPROACH
This section presents the Conceptual Architecture from the viewpoint of the four proposed
systems:
    CMS – Construction Management System
    CLMS – Caltrans Land Management System
    CTIFS – California Transportation Infrastructure Funding System
    FMS – Financial Management System

Other proposed systems, which were not initially defined as part of the CIS scope, have been
included in the analysis because they share data and functionality with the integrated financial
management system and/or because of their overall significance to financial management.
These additional proposed systems include:
    BPMS – Budget Planning Model System
    UTPI – Universal Transportation Project Identifier
    PRSM – Project Resource and Schedule Management System

The purpose of the Conceptual Architecture is to describe future systems and how they relate
as an integrated whole, with integrated functions and data. As described in Section 2.1, a key
principle in effectively architecting an integrated solution is minimizing overlapping
functionality between systems and interfaces. If one system can perform a function, the
reasons for proposing two or more systems to perform the same function must be very
compelling.

To this end, the CIS team was chartered to look at financial functionality in the four proposed
systems and determine if it made sense for that functionality to reside in multiple systems. The
FMS FSR proposed an Enterprise Resource Planning (ERP) software solution with well-
documented functionality to meet its financial management needs. In order to identify overlap
among the proposed systems, the CIS team‘s approach was to compare the functionality of the
remaining proposed systems against the functionality provided by the proposed FMS software.

Since the primary activities of government organizations are centered on collecting and
spending money, most public sector implementations of ERP software have been financially
focused. However, in the private sector, ERP software is primarily used to manage the major
operations of organizations (e.g. manufacturing) and the financial functionality of the ERP is
secondary.




FINAL                                     November, 2003                               Page 48 of 104
Caltrans Integration Study                                                  Conceptual Architecture

As described in Section 4.3, the CIS team studied the 146 existing systems and the proposed
systems to determine the appropriate architecture components. These components include
generic Tier-1 ERP functionality, data warehouse, EAI and legacy and specialized systems.

The CIS team‘s approach to identifying overlap was to use generic ERP capabilities as a ―straw
man‖ against which to compare the required functionality of the other proposed systems. This
approach was chosen to show what functionality can be accommodated by a generic ERP.
Future CIS project deliverables will provide more information about integration and interfaces
as well as the recommended build sequence.

In preparing this report, the CIS team performed a detailed review of the proposed system
documentation, including the FSRs and APBJs. The functional requirements for each system
were extracted from the documentation, with the intent to provide full representation, at a
summary level, of the functionality identified in the FSR. This list of functional requirements
was supplemented with additional functionality identified in the Baseline Summary deliverable,
such as data, functions, and existing systems that are closely tied to those listed in the FSRs.
Reviewing the FSR requirements in conjunction with existing system functionality allows
additional integration opportunities to be considered. Using CMS as an example, this approach
included reviewing the functionality and data of existing systems that are involved in contract
estimation and contract bid selection. The BEES and BID systems currently handle some of the
contract data that will then be used by the proposed CMS. Other existing systems, such as the
GASB34 Prospective Reporting System, would use construction contract payment data from
the proposed system. Reviewing the proposed functionality in the FSRs in conjunction with the
existing system functionality documented in the Baseline Analysis facilitates the identification
of additional opportunities for integration of common data and common functionality.

Using the existing systems‘ functionality as a starting point can be somewhat misleading, since
a major problem with many of the existing systems is that they do not currently provide the
functionality Caltrans requires. However, the functionality of the existing system is used as a
baseline, since Caltrans does not want to lose any functionality with its proposed systems—it
wants to gain additional functionality. The Conceptual Architecture diagrams and matrices in
this deliverable assume that any future solution must be able to provide at least the
functionality of the existing systems plus the additional functionality described in the FSRs.
The proposed systems‘ functions (supplemented with existing system functions) were analyzed
against the common ERP capabilities described in Section 4.6. The details of the analysis are
presented in ERP Capabilities Matrices in Appendix B. Each proposed function is mapped to
the ERP functionality (module) that supports the proposed function. In the Standard Yes/No
columns in the matrices, each proposed function is identified as being either standard ERP
functionality or custom developed functionality. The identification of standard versus custom
was derived based on leveraging the experience of CIS Team members who have extensive
experience in implementing a variety of ERP applications. The mapping of functionality to
ERP functionality is performed down to the level of functional description available within the
source documentation (FSRs and APBJ) against generalized functionality definitions of
enterprise system modules (ERPs and data warehouse).




FINAL                                    November, 2003                               Page 49 of 104
Caltrans Integration Study                                                     Conceptual Architecture

The focus of this report is on common financial data and functionality. However, it is
impossible to look at financial functionality in isolation. Furthermore, as identified in the
findings of the Baseline Summary report, the integration of operational data and financial data
is key to resolving many of the current reporting issues. Consequently, this report includes
mapping of non-financial functionality where that functionality is closely related to financial
functions.

Each of the following sub-sections includes:
    An Overview of the proposed system.
    A ―To-Be‖ system diagram for the proposed systems. These diagrams show the proposed
     system, the existing systems that will be replaced by the proposed system. In addition, these
     diagrams show existing systems that are closely related to the proposed system.
    Summary of the mapping from the proposed system functionality to the common financial
     functions. The detailed mapping matrices are provided in Appendix B.
    Key points relating to the common functionality along with issues and concerns.

The information in these sub-sections will be further detailed in the List of Interface and
Integration Requirements deliverable, which is one of the next CIS project deliverables. This
deliverable will review the alternatives of how CMS, CLMS, and CTIFS can be integrated or
interfaced, and the pros and cons of each approach. This Conceptual Architecture deliverable
focuses on the integrated alternative, which is the preferred alternative from an enterprise
architecture standpoint. The List of Interface and Integration Requirements deliverable will
explore the interfaced alternative, recognizing that within the principles and constraints that the
department faces a fully integrated solution may not be achievable.

5.2 CMS – CONSTRUCTION MANAGEMENT SYSTEM
5.2.1   OVERVIEW
        The Division of Construction published the CMS FSR on June 12, 2001. The CMS FSR
        described a number of problems associated with the paper-intensive methods of current
        business processes as well as the inability of existing systems to meet evolving business needs.
        The CMS FSR proposed a solution that would provide improvements in construction
        management, dispute resolution, product quality, project and contract documentation, and
        contractor billing and payment.

        Due to the large sums associated with construction projects, the CMS FSR calls significant
        attention to the financial activities managed by the Division of Construction. The CMS FSR
        states that during the fiscal year 1999/2000 Caltrans paid construction contractors over $1.6
        billion on over 700 construction contracts. The total value of all contracts under construction at
        the time the FSR was written was over $4.2 billion.

        However, the financial aspects of the CMS FSR mask the main purpose of the system: to
        provide Caltrans‘ Resident Engineers with a system that would help them manage their daily
        activities. The Resident Engineer (RE) is the front-line role in the Division of Construction.
        During the pre-construction, construction, and post-construction phases, the RE and staff work


FINAL                                      November, 2003                                Page 50 of 104
Caltrans Integration Study                                                    Conceptual Architecture

        with the contractors on site every day to make sure the project is on schedule, within budget,
        and built according to the contract requirements. The RE manages progress and contract
        documentation, handles disputes with contractors, inspects the work to ensure it is built to
        quality and workmanship standards, and reports on labor compliance and disadvantaged
        business participation. Very little of the daily work performed by the RE is financial in nature,
        therefore very little of the functionality proposed in the CMS FSR was financial.

        In addition to these daily activities, the RE also determines how much contractors are paid each
        month for the work they have performed. The monthly progress payment to the contractor is
        the primary financial activity included in the CMS FSR. The majority of the functionality
        proposed in the CMS FSR is intended to facilitate the completion of the RE‘s daily activities,
        not merely processing the monthly progress payment. The daily activities of the RE includes
        taking action and recording data associated with the following:
              Quality Assurance / Inspection
              Contract Management / Compliance
              Diaries
              Progress Payments
              Notices of Potential Claim
              Contract Change Orders
              Extra work
              Dispute Review Boards
              Claims
              Arbitrations
              Material Testing
              Utilities
              Equipment
              Construction Zone Enhanced Enforcement Program (COZEEP)
              Safety Review
              Storm Water Pollution Prevention Plan (SWPPP)
              Field Construction Labs
              Labor Compliance
              Home Storage Permits
              Training
              Others

        The CMS functionality described in the FSR falls into four categories:


FINAL                                     November, 2003                                Page 51 of 104
Caltrans Integration Study                                                   Conceptual Architecture

           1. Pre-construction, which includes the start-up tasks that take place after the contract has
              been awarded to a contractor and before construction actually begins;
           2. Construction, which includes administering the contract during construction, collecting
              data to validate work item completion, ensuring safety, assuring quality, and calculating
              payment estimates;
           3. Post Construction, which includes calculating final contract payment, paying claim
              settlements and arbitration awards, and releasing retentions;
           4. Special Reporting, which includes reporting on project and contract progress to a
              variety of stakeholders—Division of Construction management, Caltrans management,
              the legislature, and regional transportation planning agencies.

        While CMS includes functionality that would be used in each of the four categories described
        above, the majority of the functionality would pertain to the RE‘s daily activities during the
        Construction Phase.

        The preferred solution documented in the FSR would be custom-developed by Caltrans IT staff
        using Caltrans‘ standard development tools: an Oracle database with Oracle Forms and Reports
        to develop the web-enabled front end. RE‘s would be able to access critical data in the field by
        using a mobile computing device.

        In order to identify CMS‘s place in the Conceptual Architecture, business requirements were
        taken from the CMS FSR and supplemented with the functionality of the existing construction-
        related systems evaluated during the Baseline Analysis. In the case of CMS, reviewing the
        functions that are closely tied to the CMS functions led to reviewing the systems that currently
        help support construction management functionality, such as the Office Engineer systems
        BEES and BIDS, which will pass contract data to CMS. These two sources (FSR and existing
        systems) provided a high-level list of functional requirements that the CMS system must
        support.

        As described in the introduction to Section 5, CIS team members experienced in implementing
        ERP systems in other organizations studied each of the CMS functional requirements. Based
        on this analysis, CMS‘s financial requirements can be provided by the Accounts Payable,
        Procurement, and Project/Grant Accounting functionalities of an ERP. ERP packages also
        provide additional functionality that could be customized to support the Division of
        Construction‘s business processes. This additional functionality would include Workflow,
        Document Management, and the ability to provide information to mobile computing devices.

        Note that this section of the report shows how CMS financial functionality maps to ERP
        functionality. As such, this section of the report has more significance if the IFMS system were
        to be implemented before, or at the same time as CMS, because there would be an opportunity
        for Caltrans to purchase a single ERP package and use it to provide both IFMS and CMS
        functionality. However, if CMS is to be implemented first, then there is greater reason for
        CMS and IFMS to be separate systems that share data to achieve integration of core financial
        functions. The CIS team understands that using an ERP to implement the construction financial
        functionality and non-financial functionality does not have widespread support within the
        department, and that many stakeholders have a strong preference to achieve integration of



FINAL                                     November, 2003                               Page 52 of 104
Caltrans Integration Study                                                  Conceptual Architecture

        financial transactions by using separate but interfaced/integrated systems. The Interface and
        Integration deliverable will focus on how to achieve the necessary integration of financial
        functionality of data by sharing data between two discrete systems. The section below
        describes how CMS functionality could be provided solely by an ERP.

5.2.2   SYSTEM DIAGRAM
        The following diagram shows how the financial functionality within CMS would be
        incorporated into the Conceptual Architecture. The CMS functionality, as described in the
        CMS FSR, would replace CAS, EWB, and the other construction systems. The CMS
        Conceptual Architecture diagram shows that CMS replaces these existing systems by their
        location inside the light-blue CMS box. Many of the systems the existing construction systems
        interface with (such as TRAMS and PETS) would be replaced by the IFMS, as shown by their
        placement inside the gray ERP box. This means that CMS would interface with IFMS to
        provide the same (or enhanced) functionality.

        Current systems that would not be replaced by the IFMS or CMS would interface with these
        proposed systems. These systems include BID, BEES, and the Office Engineer Project
        Database. At some point in the future, the Office Engineer may decide to replace estimating
        and bidding systems with a system that meets OE‘s needs, in which case IFMS, CMS and the
        replacement estimating and bidding systems would be interfaced.

        The IFMS would produce the tape containing claim schedule supporting data for both
        construction-related payments and other payments, which would be sent to the State
        Controller‘s Office. The CMS financial functions would be integrated/interfaced with the
        financial system. Non-financial functions may be implemented using the solution identified in
        the CMS FSR.




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  Online Analytical Processing &
       Business Intelligence
                                                                                Web-Based
                                                Planned Costs,                   Reports
               PMDW
                                                 Actual Costs
               Project
            Management
           Data Warehouse




                                                                                                                                           State Controller's
                                                                    Key Enter PS&E                      Key Enter Bid                            Office
                                                                    Document Data                           Data


    Enterprise Data Warehouse
                                           Milestones &
                                                                                                                                                                                      CUC
                                        Authorization Dates            Bid Item:                  Bidder, Subcontractor,
                                                                                                                                             Payment Data                        Construction Unit
                                                                    Number, Quantity,              Bid Item Unit Costs                                                            Cost System
 Programmed $                                                                                                                                   (tape)            Project
                                                                       Unit Cost                                                                                 Location                                                                  Bid Item
 for CO & COS,                                                                                                                                                                                                                            Description
                       Expenditures
 Estimated PYs,                                                                                                                                                                                                                   Bid Item
 Milestone Dates                                                                                                                                                                                                                 Description




                                                                                                                                                                                                                                                       BEES
                                                             Integrated Financial Management System                                                                                                                                                     Basic                                  Project                     BBA
                                                                                                                                                                                                                                                                                             Description,
                                                                                                                                                                                                                                                     Engineering                              Location,                 Bridge Bid
                                                                                                                                                                                                                                                     Estimating                             Bid Item Cost             Analysis System
                                                                                                                                                                                                          Project                                      System
                                              PMCS                                                 PETS                     PMDW                                                                        Description,
                                                                                                                                                                                                         Bid Item                                                                           Low, First, Second,
                                              Project                                             Payment                   Project                                                                       Costs                                                                                Third Bidders,
                                                                          CADb                     History               Management                                                                                                                                                           Subcontractors,
                                            Management                                                                                                                                                                                                                                      Bid Price, Item Cost
                                            and Control                                           System                Data Warehouse                                                                   Project Location
                                                                                                                                                                                                                                                                                 Low Bid
                                                                                                                                                                                                                                                                                Item Cost
                                                                                                                                                                                                                                                                                                                                             Bid Item
                                                                                                                                                                                                                                                         Project Description,                                                               Description
                                                ECR                       CATS                     FPRS                   GASB 34                                               Bid Item
                                                                                                                                                                                                                                                              Location,
                                            Engineering                                       Federal Projects           Prospective                                                                                                                        Bid Item Cost
                                                                          (Minor B
                                           Cost Reporting                Contracts)           Reporting System            Reporting
                    Winning Bids &                                                                                                                                                         Cost Data
                   Contract Item Data      Project & Site data                                                                                                                                                                                                                                                                                                  Bid
                                                                                                                                                                                                                                                                                                                                                             Item Cost
                                  TRAMS                                                                    Highway                    EVRS
                               Transportation                                     Final Utilization       Maintenance              Earned Value
                                                         Capital File
                                Accounting                                           Database Progress Tracking                     Reporting
                                  System                                                                                                                                                                               Project Info                                                   BID
                                                                                                 Estimates System                    System
                                                                                                                                                                                                                                                                                  Bid Opening
                                                                                                                                                                                                              Bid Status                                                            System

                                                   contract
                                                  CTI Pay             EWB                   payment
                                                                                          Bid Item
                                                                                     contract Unit
                                                   Construction Administration systems with data
                                           CurrentEstimate
                                                     data             data              data Financial Functions
                                                                                   Item Cost
                                                                                                 cost
                              CAS                            EWB     Contract DescriptionCCIS                       WCCP
                                                                                                                                                                                                                                                                                       iBid
                           Construction                   Extra Work   data          Construction                Construction                                                                                                         Project description, location
                                                                                                                                                                                                                                                                                                                                            Subcontractors
                                                                                                                                                                                                                                           Bid item unit cost,
                          Administration                     Billing                     Claim                     Contract                                                                                                             quantity and total cost
                                                                                                                                                                                                                                                                                                    Bid Item Description,
                             System                         System                    Information                 Payments                                                                                                                                                                              Bid Item Cost

                                                                                                                                                                                 Low Bidder's Bid,
                                                                                                                                                                                  Bid Item Costs

                                              Proposed Construction Administration Functions (Non-Financial)

                         Notice of Potential Claim                  Material Testing                              Safety Review
                         Dispute Review Boards                      Lease Space                                   SWPPP                                                                                                                                                                               Bid Item
                         Claims                                     Utilities                                                                                                         Prime Payment                                                          Final Utilization                                                  OE Item
                                                                                                                  Field Construction Labs                                                  Data                                                                 Database
                                                                                                                                                                                                                                                                                                     Description,
                                                                                                                                                                                                                                                                                                    Bid Item Cost               Database
                         Arbitrations                               Equipment                                     Home Storage Permits
                         Court Cases                                COZEEP                                        Training

                                                                                                                                                                                                                                                                                                                                                OE
                                                                                                                                                                                                                                                                                                                     DB Goal &             Disadvantaged
                                                                                                                                                                                                                                                                                                                    Contract Data             Business
                                                                 Construction Management System                                                                                                                                                                                                                                              Database
                                                                        (Major and Minor A Contracts)                                                                                                   Construction
                                                                                                                                                                            Payment                     Payment Web
                                                                                                                                                                             Data                         Reports


                                                                                                                 Source
                                                                                  Claims                      Contract Data                   Contract                                                                                                                                                        Ad Hoc
               Extra Work                                                          Data                                                      Transaction                                               Current Status of                                          Construction-
                                                                                                            (project initiation,                                            Extra Work                                                                                                                      Construction
                Bill Data                                                                                                                        Info                                                       EWBs                                                    Related
                                                                                                          emergency contracts)                                               Bill Data                                                                                                                        Reports
                                                                                                                                                                                                                                                                     Data
                                              Item Updates


                                                                                                                                                                                                       Ad Hoc                                                   Item Number,                                Contract Cost
           Key Enter EWB Data                Key Enter Item                 Key Enter Claims               Key Enter Major &             Key Enter Daily Diary              Claims                Construction Claim                                          Item Description,                             Data Report
                (via Web)                      Updates                           Data                      Minor A Contracts                    Data                         Data                     Reports                                                     Item Cost,
                                                                                                                                                                                                                                                               Project Location



This Conceptual Architecture diagram shows how an Integrated Financial Management System (IFMS) would replace existing systems. The diagram
shows that the IFMS replaces these existing systems by placing the replaced systems inside the gray IFMS box. The Conceptual Architecture diagrams
assume that any future solution must be able to provide at least the functionality of the existing systems, in addition to the additional functionality
described in the proposed systems' feasibility studies


5.2.3               FUNCTIONALITY MAPPING MATRIX
                    The table below summarizes the ERP modules that could be configured and customized to
                    accommodate the CMS financial functionality. The definition of ERP functionality by module
                    is presented in Section 4.6 Conceptual Architecture Component Definitions. Most of CMS‘s
                    financial functionality could be accommodated using standard ERP functionality, with the
                    exception of special reports, web forms, and the creation of the SCO data tape that supports
                    progress payment claim schedules. In general, the primary ERP functionality that could be
                    configured and customized to implement CMS‘s financial functionality is Procurement,
                    Project/Grant Accounting, and Accounts Payable, with Workflow and Document Management.
                    It is also important to note that the following table focuses on the financial functionality within
                    CMS rather than the non-financial aspects of day-to-day construction management performed
                    by the RE.




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        As described above (see the last paragraph in section 5.2.1) this section of the report shows
        how CMS financial functionality maps to ERP functionality and has more significance if IFMS
        is implemented before CMS.

         CMS                ERP                                      DESCRIPTION
    FUNCTIONALITY       FUNCTIONALITY
  Bid and Pre-Construction Phases
  Proposal and        Procurement          ERP Procurement functionality is capable of managing most
  Contract                                  pre-bid and bid needs.

                                            Standard procurement functionality provides bidder
                                            registration, bid document development, bid advertisement,
                                            amendment management, bid response management, and
                                            bid evaluation. Some customization would be necessary to
                                            evaluate design alternatives.


  Start-Up Tasks          Project/Grant    ERP functionality is capable of managing start-up tasks.
                           Accounting       Project Accounting functionality would record the completion
                          Accounts         of milestones during pre-construction as well as initiate
                           Payable          accounting transactions against the project budget. Accounts
                          Workflow         Payable functionality would be used during the payment of
                          Document         pre-construction expenses.
                           Management
                                            Workflow functionality would make project and contract-
                                            related information available to the RE and staff
                                            automatically when project-related triggers occur. Document
                                            management can be used as well to provide records to
                                            interested parties.


  Construction Phase
  Contract                Procurement      Procurement functionality provides the ability to initiate
  Inquiry/Updates         Project/Grant    contracts, make payments against contract items following
                           Accounting       the terms and conditions, and monitor contract progress.
                          Document         Data related to contracts would be available to Construction
                           Management       Management from inception to closeout.

                                            As contract-related activities initiate accounting transactions,
                                            these transactions would be recorded using the Project
                                            Accounting functionality.

                                            The Document Management functionality allows contract-
                                            related documents to be attached to the contract. For
                                            instance, deliverables submitted by contractors (like project
                                            schedules or labor compliance reports) could be linked to the
                                            contract.
  Contractor              Project/Grant    Workflow and Document Management functionality would
  Information              Accounting       allow contractors to enter information directly into CMS.
                          Workflow         Currently, contractors must fill out up to 37 different forms.
                          Document         The Workflow and Document Management functionality
                           Management       would need customization to meet Caltrans‟ needs.




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          CMS              ERP                                      DESCRIPTION
    FUNCTIONALITY      FUNCTIONALITY
  Daily                Project/Grant      Project Accounting, Workflow, and Document Management
  Diary/Inspection      Accounting         would work in conjunction to facilitate the collection of Daily
  Input/Update         Workflow           Diary information. Each Daily Diary could be a separate
                       Document           document managed by the system, with data in the diary
                        Management         available to the Project Accounting function to calculate and
                                           initiate payments against the contract.


  Test Products and   None                 No financial transactions are initiated as a result of
  Materials                                product/material testing.
  Billing/Payments       Project/Grant    Project Accounting functionality would be used to initiate
                          Accounting       payments against the contract. The RE would validate the
                         Accounts         work items completed (based on daily diary input into the
                          Payable          system) and calculate the payment amount. The RE would
                         Workflow         also validate the contractor‟s compliance with the terms and
                                           conditions of the contract (such as compliance with
                                           49CFR26.29). The system would automatically calculate
                                           retentions, if necessary.

                                           Accounts Payable would initiate the payment process by
                                           sending claim schedule data to the State Controller‟s Office.
                                           Claim schedule functionality must be customized to meet the
                                           SCO‟s requirements.
  Payment                Project/Grant    Project Accounting functionality would be used to make
  Adjustments             Accounting       adjustments to payments. Labor compliance and other
                         Accounts         violations by the contractor would be recorded by the system.
                          Payable          When payments are due, penalties would be calculated
                         Workflow         based on the terms and conditions defined in the contract.
                         Document         Stop notices would be recorded in the system, so contractors
                          Management       who have liens filed against them will not be paid until the
                                           lien is removed.
  Post Construction Phase
  Post                Project/Grant       These functions work together to identify final payment and
  Project/Contract       Accounting        close out the construction contract. Claim settlements and
  Payment             Accounts            arbitration awards are made by creating an Accounts
                         Payable           Payable transaction, which is recorded against the project
                      General             using Project Accounting functionality. Late bills and extra
                         Ledger            work bills are recorded in a similar manner.
  Miscellaneous       Project/Grant       Project tasks and milestones associated with COZEEP,
  Processes              Accounting        safety reviews, environmental inspections, and other tasks
                      Accounts            are recorded using Project Accounting functionality.
                         Payable           Expenditures associated with these tasks are initiated using
                                           the Accounts Payable functionality.
  Project Reporting
  Reporting              All functions    Each ERP comes with standard reports available.
                                           Customized reports can be based on standard reports or
                                           written from scratch. In order to create the specific reports
                                           required by Caltrans, customization would be required.




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5.2.4   ISSUES AND CONSIDERATIONS

        During the development of this Conceptual Architecture, the following issues were identified
        and require particular attention prior to implementing of CMS and the IFMS.

        Construction Contract Management Functions
        Caltrans manages more than 700 construction contracts annually. Each of these individual
        contracts may also have many contract change orders (CCO) associated with it. Consistent with
        construction contracting methods used across state transportation departments, most contracts
        are defined by ―work items.‖ Each work item is a specific deliverable, regardless of the amount
        of labor, materials, or equipment necessary to complete the work item. However, some CCO‘s
        are defined based upon the amount of labor, materials, or equipment used to complete the work.
        To meet these requirements CMS must manage both types of contracts (and their variants) and
        calculate payments based on the terms in the contract.

        In addition, a contract may require multiple quantities of a single work item, with the work
        items distributed among different segments of the project. To comply with federal reporting
        requirements, Caltrans must be able to record the cost of each work item and associate it with
        the specific infrastructure element (bridge, highway segment, etc.) it was implemented in. To
        meet these needs CMS must provide the ability to associate specific contract deliverables
        (within CMS) with specific fixed assets (within IFMS).

        Construction Project Funding
        Project funding is extremely complex. An individual project may be eligible for funding from
        multiple federal programs, state appropriations, multiple local agencies, and even private
        individuals. In addition, while the project as a whole may have an overall fund split among a
        variety of sources, each individual work item may have its own unique fund split. For
        example, a project may have an overall fund split of 80% federal, 10% state, and 10% local; but
        one work item (or group of work items) may be paid for entirely by the local agency. In order
        to collect the right amount of money from all contributors, the funding of various project
        components (perhaps down to the contract item level) needs to be represented in the financial
        system. In addition, the federal government requires these funding details to be reported
        periodically. While an ERP package would probably need customization to manage the
        complexity of Caltrans‘ fund split requirements, this customization is required by the FMS
        project anyway. CMS must interface/integrate with the IFMS to provide sufficient detail to
        IFMS to support these financial reimbursement and reporting requirements. This subject will be
        expanded upon in the Integration/Interface deliverable.

        CMS Use in the Districts
        This Conceptual Architecture recommends that CADb be considered for inclusion within the
        scope of IFMS. CADb tracks budget allocations for each funding source, encumbrances,
        expenditures, and supplemental fund requests. However, CADb is also used to load Contract
        Transaction Input data into CAS. Prior to implementing IFMS and CMS, the needs of the
        districts for financial and construction-related functionality should be addressed and
        incorporated into the appropriate system.




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5.3 CLMS – CALTRANS LAND MANAGEMENT SYSTEM
5.3.1   OVERVIEW
        Caltrans Right of Way Division has conducted both an internal review, the September 2000
        Right of Way Business Process Review (BPR), and an external review in August 1999 by
        Bentley Transportation and Applied Geodynamics, Inc. Both reviews came to the same
        conclusion – significant improvements to business processes would result from using an
        integrated modern information system. On December 15, 2000 the Right of Way Program
        published a Caltrans Land Management System (CLMS) Feasibility Study Report (FSR)
        detailing the business needs requiring support by an ‗integrated modern information system‘,
        the problems it would solve and the resulting costs savings.

        The CLMS FSR states that for the 1999/2000 fiscal year the Right Way Division expended in
        excess of $229 million to acquire over 2,100 parcels. 727 PYs supported the parcel acquisition,
        performed Right of Way Engineering and managed nearly 1,700 rental accounts for tenants
        occupying parcels not currently needed for construction. These processes were supported by
        several non-integrated systems that were stated to cost the Department over $5.7 million
        annually in combined lost revenue and expenditures. The FSR states that another $10,063,876
        could be recovered as a one-time benefit to existing Right of Way Program areas.

        The Right of Way Division business requirements must support a broad range of functions –
        defining multiple right of way scenarios and their costs, appraising and acquiring parcels,
        relocating utilities, assisting displaced persons with relocation, collecting rent and maintaining
        parcels until required for construction, and the final selling of excess land not required for
        construction. These functions are currently only partially met by a several separate systems.
        The CLMS FSR wished to develop an integrated system that provided functionality available in
        the current systems and additional desired functionality as defined by the Right of Way users.

        In developing the Conceptual Architecture for the CLMS, business requirements were taken
        from the CLMS FSR and also extracted from Right of Way system descriptions developed
        during the CIS Baseline Analysis phase. The combination of these two sets of requirements
        created a complete list of high-level Right of Way business requirements, requirements
        currently met by the existing Right of Way systems and requirements desired for future
        systems. CIS team members possessing in depth ERP experience reviewed the requirements
        and determined that the Right of Way Program‘s main business processes could be supported
        by Procurement, Real Estate Management, and Fixed Assets functions of an ERP. These ERP
        functions could support the full life cycle of properties in the Right of Way Program from
        parcel purchase, excess land disposition, property rental, to rental property maintenance.

        The ERP also provides additional functionality as a standard part of its core functions. This
        additional functionality could enhance the Right of Way Division‘s business processes and
        includes the following functionality: purchase order processing for vendors performing rental
        property maintenance, work routing and approval (workflow), goods and service receipts,
        invoice verification and approval, statistics and vendor evaluation, confirmation, invoice and
        electronic settlements, vendor/bidder registration, bid/RFP development, bidder list creation
        and maintenance, solicitation document generation, bid/RFP advertisement, version


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        management (amendments and modifications), bid/RFP response management, bid evaluation,
        award of contract, negotiation, pricing, terms and conditions, contract monitoring and
        performance measurement, payment management, contract, fixed asset accounting, fixed asset
        inventory management, leasing, real estate lifecycle management, program/project
        management, real estate controlling, and rental management.




FINAL                                   November, 2003                            Page 59 of 104
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5.3.2      SYSTEM DIAGRAM
           The following diagram shows how the Conceptual Architecture would replace the existing
           Right of Way-related systems. The CLMS functionality implemented in the ERP system would
           replace IRWS, RWMIS, RWPS, ELMS, TPRC, RUMS, CLELR and ELI. (The original CLMS
           FSR excluded CLELR, ELI and the Right of Way Accounting Control Log.) Many of the
           systems the Right of Way systems interface with (TRAMS, ARS, and Right of Way
           Accounting Control Log) would be replaced with the ERP system as well. Current systems that
           would not be replaced by the ERP would interface with it, such as XPM and PMCS. While
           outside the financial scope of CIS, XPM may be eventually replaced by PRSM.



                                                                                                                                                  PRSM

                                                                                                                                                  XPM
                                                                                                                                              Expert Project
                                                                                                                          Manually Key          Manager
   Manually Key Data          Manually Key Data -         Manually Key Data                Manually Key Data              Data - Excess
     - Acquisition             Relocate Persons           - Relocate Utilities              - Property Mgt                 Land Sales


                                                                                        Rental Receipts, Service
                                    Displaced              Utility Co., State‟s
                                                                 Share of                      Contracts,                 Excess Land
                                     Persons
                                                                                        Maintenance Requests,              Disposition
                                   Agreements              Relocation Costs
                                                                                            Tenancy Data
                                                                                                                                           Milestones, Estimated
  Project Location, Parcel,                                                                                                                    Support Costs
     Appraisal Date/$,
     Acquisition Date/$
                                                                   Caltrans Land Management System

                                                                     CLMS Non-Financial Functions


                                                                                   Document                 Project
                                                         Real Estate
                                                                                  Management              Management
                                                         Functionality
                                                                                  Functionality           Functionality




                                                                         CLMS Financial Functions

                                                IRWS                    RWMIS                     RWPS                  ELMS
                                                                     Right of Way              Right of Way
                                             Integrated                                                              Right of Way
                                                                     Management                  Property
                                            Right of Way              Information              Management            Excess Lands
                                               System                   System                   System                 System


                                               TPRC                       RUMS                   CLELR                    ELI
                                            Right of Way            Right of Way             ROW Claim Log            Excess Land
                                            Management             Utility Relocation         & Excess Land             Interest
                                              System                     System              Reporting System          Reporting




                                                                                                                   TRAMS
                                                    Right of Way                      ARS
                                                                                                                Transportation
                                                     Accounting                     Accounts
                                                                                                                 Accounting
                                                    Control Log                    Receivable
                                                                                                                   System

                                                               Integrated Financial Management System



This Conceptual Architecture diagram shows how an Integrated Financial Management System (IFMS) would replace existing systems. The diagram
shows that the IFMS replaces these existing systems by placing the replaced systems inside the gray IFMS box. The Conceptual Architecture diagrams




FINAL                                                            November, 2003                                                           Page 60 of 104
Caltrans Integration Study                                                                                            Conceptual Architecture

assume that any future solution must be able to provide at least the functionality of the existing systems, in addition to the additional functionality
described in the proposed systems' feasibility studies


5.3.3      FUNCTIONALITY MAPPING MATRIX
           The table below summarizes the ERP modules that would be used to accommodate the CLMS
           functionality. The definition of ERP functionality by module is presented in Section 4.6
           Conceptual Architecture Component Definitions. In general, the primary ERP modules needed
           to implement CLMS are Real Estate, Procurement, Project/Grant Accounting, and Accounts
           Payable, with Workflow and Document Management being required to facilitate many
           processes. A more detailed matrix of CLMS functionality is provided in Appendix B.

                 CLMS                                   ERP
             FUNCTIONALITY                       FUNCTIONALITY                                     DESCRIPTION
           Estimate R/W                         Real Estate                   These three modules satisfy most Right of Way
           Property Needs                       Procurement                   requirements, although some customization is
                                                Project/Grant                 required.
                                                 Accounting
                                                                               An ERP allows projects and parcels to be defined, as
                                                                               well as their relationship.

                                                                               Integration of procurement information would assist in
                                                                               estimating Right of Way costs. Up to date, actual
                                                                               parcel costs for a particular area would lead to more
                                                                               accurate estimates when considering the purchase
                                                                               price of parcels to be acquired for future construction
                                                                               projects in the same area.

           Prepare Project                      Real Estate                   The report module, in addition to the modules used
           Report                               Procurement                   above, would be required to generate the Project
                                                Project/Grant                 Report. The report module would allow custom
                                                 Accounting                    generation of the Project Report and other reports.
                                                Reports

           Acquire R/W Area                     Real Estate                   Again, these three modules satisfy most Right of Way
           (parcels)                            Procurement                   requirements, although some customization is
                                                Accounts Payable              required.
                                                Workflow
                                                                               The workflow module would be required to satisfy the
                                                                               desire for electronic approvals during parcel
                                                                               acquisition and payment.

           Relocate Displaced                   Real Estate                   The real estate module would contain all occupant,
           Parties (Manage                      Workflow                      parcel, and property data. The workflow and
           Relocation                           Document                      document management modules would be required to
           Assistance                            Management                    track and generate statutorily required notices to
           Program)                             Project                       persons being relocated. The accounts payable
                                                 Management                    module would track relocation payments to displaced
                                                Accounts Payable              persons.

                                                                               The project management module would be required to
                                                                               define and monitor activities associated with relocating
                                                                               persons from acquired properties.




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Caltrans Integration Study                                                         Conceptual Architecture

              CLMS                    ERP
          FUNCTIONALITY           FUNCTIONALITY                             DESCRIPTION
        Relocate Utilities       Real Estate        'The process of relocating utilities would require
                                 Procurement        project/grant accounting functionality to track
                                 Accounts Payable   relocation activities and in some cases the associated
                                 Project/Grant      costs. If Caltrans must request and pay utility
                                  Accounting         companies to relocate utilities, these requests and
                                 Document           subsequent payments would be treated as a
                                  Management         procurement function. Projects needing to acquire
                                 Workflow           property rights prior to relocating utilities would require
                                                     project/grant accounting functionality to track the
                                                     activities, their completion and associated costs. If any
                                                     relocation activities are associated with a parcel, this
                                                     information would be contained in the real estate
                                                     module

                                                     Utility documents, such as Utility Agreements and
                                                     Letters to Utility Owners, would be generated and
                                                     managed with the document management module.

                                                     Utility relocation work would be routed to the
                                                     appropriate party with the workflow module.
        Manage Rental            Real Estate        A mature ERP real estate module would support this
        Property Tenants         Accounts           particular Right of Way function. The real estate
                                  Receivable         module is designed for managing properties, tenants
                                 Document           and lease agreements. The accounts receivable is
                                  Management         integrated to associate rental receipts to a particular
                                 Fixed Assets       property and tenant and accounts payable to process
                                 Workflow           refunds. Depending on how Caltrans wishes to
                                 General Ledger     implement the ERP, refunds would be processed
                                 Accounts Payable   through accounts receivable with a credit memo and
                                                     generating the residual through an accounts payable
                                                     check request. The document management module
                                                     supports creation of various notifications and the fixed
                                                     asset module tracks the status of the parcel (e.g.,
                                                     occupied, vacant, lease expiration.) The workflow
                                                     module supports actions as a result of lease expiration
                                                     and tenant delinquencies.

                                                     General ledger and accounts payable support
                                                     agreements and rental payments for the State as
                                                     lessee.

        Manage Rental            Real Estate        A mature ERP real estate module would support this
        Property (including      Procurement        particular Right of Way function. The real estate
        maintenance &            Fixed Assets       module is designed for managing properties, tenants
        service contracts)       Accounts Payable   and lease agreements. Integration with the
                                 Document           procurement module supports property maintenance
                                  Management         and the accounts payable modules support the
                                                     payment for those services. The document
                                                     management module supports all contract and
                                                     document creation and tracking.




FINAL                                       November, 2003                                    Page 62 of 104
Caltrans Integration Study                                                       Conceptual Architecture

               CLMS                   ERP
           FUNCTIONALITY          FUNCTIONALITY                          DESCRIPTION
        Clear & Demolish         Real Estate        This Right of Way function is primarily a project
        Structures Prior to      Procurement        management activity, determining what activity needs
        Construction             Workflow           to be done and when it is completed. Project and
                                 Project            parcel data would be contained in all listed modules.
                                  Management
                                 Accounts Payable
                                 Accounts
                                  Receivable
                                 Project/Grant
                                  Accounting
                                 Fixed Assets

        Sell Excess Land         Real Estate        This final Right of Way function is dependent upon
                                 Fixed Asset        parcel data previously entered into the real estate
                                 Accounts           module, updates the parcel status in the fixed asset
                                  Receivable         module and records the receipt of payment for the
                                 Document           parcel in the accounts receivable module. The
                                  Management         document management module tracks associated
                                                     excess land sales documents.

        Project                  Project            The inclusion of the project management module is
        Management                Management         dependent upon the Department‟s PRSM
                                 Project/Grant      implementation. Detailed Right of Way activities would
                                  Accounting         either be tracked in PRSM or the project management
                                 Real Estate        module. In either case, the project schedule would be
                                 Fixed Assets       loaded in the project/grant accounting module.
                                 Procurement        Subsequent expenditures, either external payments or
                                 Document           internal charges, would be applied to the project and a
                                  Management         particular activity. The remaining modules supply
                                 Workflow           information that is being managed, e.g., parcel,
                                                     relocated persons, utilities to be relocated, structures
                                                     to be demolished, property and tenants, and excess
                                                     land to be sold.

        Manage Project           Project/Grant      Right of Way project and project funding needs are
        Accounting                Accounting         essentially the same as the other Caltrans Divisions,
        information              Real Estate        with the exception of parcels. Funding and fund splits
                                 Reporting          must be associated with projects as well as parcels.
                                 Accounts Payable   The added complexity arises when fund splits for
                                 General Ledger     projects differ from the fund splits for a particular
                                                     parcel. For example, funds contributed by locals may
                                                     be applied to a particular parcel resulting in a fund
                                                     split differing from the project level fund split.


5.3.4   ISSUES AND CONSIDERATIONS
        During the Conceptual Architecture development the following issues were identified and
        require particular attention prior to implementing an ERP solution.

        CLMS alone, may be too small a project to warrant the use of an ERP
        The rationale for implementing CLMS as part of an ERP is based on the premise that the
        department, as an enterprise, will select and procure an ERP. To use a tier-1 ERP to implement


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        CLMS alone would likely be too expensive. The CIS financial strategic plan will further
        address, and quantify, these issues and the potential interim alternatives.

        Right of Way Property Management Functions – ERP Real Estate Module
        The Right of Way Division acquires 2,100 parcels annually and additionally manages 1,700
        rental accounts. Managing the rental accounts includes tracking rental units and tenants, billing
        tenants and maintaining the units. Most large ERP systems have Real Estate functionality as
        part of their solution. Rental billing and service contracts for rental unit maintenance could be
        performed in a limited way using the ERP Accounts Receivable and Procurement modules.
        However the addition of the Real Estate module more fully integrates this functionality in
        relationship to a property or ‗real estate‘.

        Additional Non-Financial ERP Functionality
        ERP functionality not usually included in a standard financial ERP implementation would be
        required to meet the Right of Way Division‘s business needs and includes records and
        Document Management, Workflow and Project Management modules. These additional
        modules would be required to process Certificate of Sufficiency for Hazardous Waste, 30 and
        90 days Notifications, filling of RAP forms, Standard Agreements and Notices. (These are
        examples of the forms used by Right of Way. Overall, they utilize hundreds of forms and most
        of them should be considered for inclusion in a document management system).

        Additional ERP functionality would also be required to meet all Right of Way functional needs,
        and includes Record/Case Structure Definition, Record Processing, Proxy and Substitution,
        Alert Functions, Exception, Escalation Handling, Information Classification, Search and
        Retrieval, Fees and Billing, Retention, Storage and Disposition Schedule as well as Integration
        with Computer Aided Design (CAD) and Geographical Information Systems (GIS).

        Managing Caltrans’ Right of Way Activities – ERP Project Management Module or
        PRSM
        Project Management functionality is important to the Right of Way division. The major
        departmental milestone for Right of Way is project certification. Nearly all Right of Way
        functions roll up to certification and are part of the critical path in Caltrans overall project
        management. If Right of Way has committed to certify a project on a specific date, they need to
        set internal deadlines for utility relocation, individual appraisals, acquisition, court actions,
        property management vacation, occupant displacement and demolition. If any one of these
        elements fails to meet it's deadline, the certification is in jeopardy. Although usually not
        critically related to the certification, even excess land disposal has a project management aspect
        to it, relating Caltrans‘ commitment to having the land sold to how they are proceeding in the
        steps toward that goal. For these reasons it is important that Right of Way be involved in the
        development of the Department‘s project management solution, whether that solution involves
        one or multiple systems.

        Currently project management schedules are distributed across multiple systems, primarily due
        to differing levels of detail being required by different divisions. A distinct subset of CLMS
        requirements is devoted to Right of Way project management – management of project
        activities as well as activities related to a parcel. While high-level Work Breakdown Structure



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        (WBS) elements are currently captured in XPM (and in PRSM in the future), more detailed
        WBS elements are required to manage the Right of Way activities.

        The proposed CLMS Conceptual Architecture shows integration with PRSM. Based upon the
        scope of PRSM two scenarios are possible: PRSM serves as Caltrans‘ sole project management
        tool and supports the detail required by the Right of Way Division, or PRSM integrates with
        the CLMS providing the high level WBS elements and CLMS provides the lower level WBS
        elements. The latter case would require that Project Management modules of the ERP be
        implemented to satisfy Right of Way project management needs. However, ERP Project
        Management functionality is not as extensive as the products being considered for PRSM.

        Project and Parcel Funding
        The Right of Way required relationships between project, parcel and fund may require
        customization depending upon the particular ERP solution. From a logical data perspective
        budgeted and actual costs may be allocated to projects and parcels by differing fund splits. In
        particular the fund split for individual parcels may be different from the project they are part of.
        For example, a project may have a fund split of federal 80%, state 10%, local 10% and parcel 1
        may be funded by federal 60%, state 20%, local 20% and parcel 2 may be funded by 50%
        federal and 50% local. The problem could be more severe if a single parcel could be split
        across projects; however, Right of Way has implemented a business rule requiring parcels to be
        assigned to one and only one project.


5.4     CTIFS – CALIFORNIA TRANSPORTATION INFRASTRUCTURE FUNDING SYSTEM
5.4.1   OVERVIEW
        The FSR for the California Transportation Infrastructure Funding System (CTIFS) describes an
        integrated system that encompasses programming, project implementation, and funds
        management to more fully meet current and projected business requirements.

        This new system must support Programming, Federal Resources and Local Assistance
        activities, which include the following high-level functions:

        Funds Management
        Each year FHWA notifies Caltrans of the Federal funds allocated to them in the Federal budget.
        In addition, throughout the year miscellaneous discretionary funds are made available to the
        State. The Federal Resource Office (FRO) is responsible for tracking the incoming dollars,
        allocating them to appropriate areas within Caltrans and adjusting accounts based on Federally
        mandated adjustments. The integrated system must support the following:
            Federal Funds Split and Management – Track incoming federal dollars, allocate them to
             the appropriate areas within Caltrans, and adjust accounts based on federally mandated
             adjustments. Allow for allocation of federal funds into State and local split.
            Budget Development – Support the process of estimating the needed budget authority
             and develop the budget. Support the forecasting process by providing program and
             project data to the forecasting tool.




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            Funds Usage Management – Serve as centralized ledger for federal funds management,
             interface to CBARS, and automatically make adjustments to fund balances, thus
             providing current information regarding funding availability. Track all activities
             performed on projects. Alert stakeholders of changes and adjustments. Track
             apportionment; obligation authority; status of prior year funds; projects and fund types
             approaching their time limits; programmed amounts in STIP, FSTIP, FTIP and
             approved Program Lists; monitor fund usage; support ability to move funds between
             different programs; support the Federal Funds reconciliation process.
            User Access and Reporting Needs – Support the process for allocating statewide
             CMAQ, RSTP and Regional TEA apportionment and sub-apportionment. Produce the
             annual CMAQ report. Support internal management reporting and legislatively
             mandated reporting. Allow users to monitor programs in the Approved Project List.
             Allow users to monitor programs not programmed by LAP.

        Programming
        Transportation programming is the public decision making process that sets priorities and funds
        projects envisioned in long-range transportation plans. It commits expected revenues over a
        multi-year period to transportation projects. Expected revenues available to the State are
        identified in the Fund Estimate (FE), which is updated every two years. Revenues from specific
        Federal programs are sub vented by the State to regional and local agencies for programming
        projects that are included in the Approved Program Lists (APL) for lump sum categorical
        programs. The specific funding level from the FE is set aside for the State Highway Operation
        and Protection Program (SHOPP). The remaining funding capacity identified in the FE is
        available for programming projects in the State Transportation Improvement Program (STIP).
        The STIP consists of the Inter-regional Transportation Improvement Program (ITIP) and the 48
        Regional Transportation Improvement Programs (RTIPs).

        The STIP and SHOPP projects in the urban area are combined with other local and regional
        projects in the urban areas to develop the Federal Transportation Improvement Programs
        (FTIPs) for the 16 MPOs. All other STIP, SHOPP, regional and local projects from the rural
        areas are combined with the FTIPs from the urban areas to develop the Federal Statewide
        Transportation Improvement Program (FSTIP). In addition, when disasters are declared,
        Emergency Relief planning occurs to ensure proper coordination of federal funding requests.
        The system must provide the following functionality:
            STIP Development – Support Districts during the ITIP nomination process, support
             RTPAs during the RTIP nomination process, and support the Division of Transportation
             Programming with the development of the STIP.
            SHOPP Development – Support the planning process; provide an automated process for
             generating the SHOPP; and provide an online, iterative review process.
            Federal and State Categorical Programs – Capture program specific eligibility criteria
             and application deadlines, allow program coordinators to advertise fund availability and
             electronically call for projects, provide a tool to allow local agencies to submit project
             applications, provide an on-line review process, provide on-line reporting, allow




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               program coordinator to add projects to the Approved Program List, and notify Local
               Agencies of changes.
            Federal Programs Development – Provide smaller MPOs with a tool to develop their
             FTIP, support larger MPOs by allowing them to download project data from their
             system, allow users to enter non-STIP/SHOPP mass transit and local project data.

        Project Implementation
        Once a project has been programmed, Caltrans and local agencies can begin project
        implementation. The integrated system will support the functionality to process scope, cost or
        schedule changes (amendments) to State and/or Federal programming documents, requests for
        allocations for State funding, and requests for Federal authorization to proceed with the project.
        The system must provide the following functionality:
            State Funded Projects – Support the amendment process, support allocation process,
             alert reviewers of project amendments and allocation requests, provide on-line review
             of requests, process delegated allocations, cross reference various project identifiers,
             track project splits and combines, track and report performance measures, track
             supplemental allocations.
            Federally Funded Projects – Support processing of amendments, support creation of
             Finance Letter, provide for entry of FNM076 request by local agencies and districts,
             provide tool for creation of agreements and supplements using templates, and ability to
             access covenants.
            Emergency Relief Projects – Capture preliminary estimate from District Local
             Assistance and/or District Maintenance offices, support consolidation of estimates for
             Federal funding letter, support fund allocation of Federal emergency relief funds, allow
             districts to enter Damage Assessment Form (DAF), interface to other Caltrans systems,
             track funding activities, and track/monitor timely use of funds.

        In addition to supporting Programming, Federal Resources and Local Assistance with Funds
        Management, Programming, and Project Implementation, the system must also support external
        and internal stakeholders.

        External Stakeholders:
            Federal Highway Administration (FHWA)
            Federal Transit Administration (FTA)
            California Transportation Commission (CTC)
            Regional transportation planning agencies RTPAs)
            Metropolitan planning organizations (MPOs)
            Cities, Counties, Transit Agencies (Local Agencies)
            Business, Transportation, and Housing Agency (BT&H)




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        Internal Stakeholders:
            Caltrans Districts
            Programming
            Planning
            Federal Resources Office, Budgets Program
            Local Assistance Program
            Local Programs Accounting
            Division of the Office Engineer
            Maintenance Program
            Accounting Service Center
            Mass Transit
            Rail
            Other Departmental Programs such as Roadway Rehabilitation, Landscaping,
             Structures, etc.

        The solution proposed in the CTIFS FSR would be to design and build an entirely new
        application to address the business requirements described in detail in the CTIFS FSR. The
        new application would utilize a relational database, preferably one that is compatible and
        integrates with the Oracle environment. The system should allow the various stakeholders to
        access the system through the Internet to both enter and retrieve data. The CTIFS FSR
        describes a new system to address business requirements in the areas of Funds Management,
        Programming, and Project Implementation. This new system would overlap the functionality
        of current CALTRANS systems: FADS, CTIPS, LP2000, and File Maker Pro Databases.

        There appears to be a high degree of overlap between the functionality required in the CTIFS
        FSR and the functionality provided by a number of Tier-1 ERP applications such that we
        recommend that Caltrans consider the option of utilizing ERP functionality, specifically the
        functionality found in the Budget Preparation, Fund Request, Project/Grant Accounting and
        General Ledger modules of a typical ERP to address the CTIFS requirements. Customization
        of the ERP would be required. The CTIFS requirements will require customization for reports,
        alerts, notifications, allocations, and fund splits.

5.4.2   SYSTEM DIAGRAM
        The following diagram shows how the Conceptual Architecture would replace the existing
        Budget, Programming and Funds Management related systems. The CTIFS functionality as
        described in the CTIFS FSR would be implemented in and around the ERP system to replace
        FADS, LP2000, CTIPS, and Local Assistance File Maker Pro Databases. Many of the systems
        that current Budget, Programming and Funds Management related systems interface with
        (Highway Maintenance Tracking System, PMCS, EVRS, LPAMS, CBARS) would be replaced



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        with the ERP system as well. Current systems that would not be replaced by the ERP would
        interface with it (IMMS, BMS, PRSM, and Office of Engineer Project Database.)




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                                                                                     IMMS             BMS
                                                                                  Integrated
                                                                                                                                                                                                         PRSM
                                                                                                     Bridge                       MPOs/                              Local
                                                                                 Maintenance
                                                                                                   Management                     RTPAs                             Agencies                            XPM
                                                                                 Management
                                                                                   System            System                                                                                         Expert Project                                      Online Analytical Processing &
                                                                                                                                                                                                      Manager                                               Business Intelligence

                                                                                                                                                                                                      PMCS
                                                                                                                                                                                                      Project
                                                                                                                                                                                                   Management &
                                                                                                                                      SHOPP & STIP           STIP & FSTIP                          Control System
                                                                                                                                      Projects Listing       Projects Listing


                                                                                                                                                                                                   Support $s (actuals),
                                                                                                                                                                       Request new projects,        Major milestones
                                                                                                                                                                            changes to                    Dates
                                                                                                                                                                         existing projects,
                                                                                                                                                                        finance letter data,                                Project Tasks,
                                                                                                                              Project                                       FNM76 data                                     Milestone Dates,
                                                                                  Emergency                               nomination data,                                                                                 Percent Complete
                                                                                  Relief (DAF)                             (RTIP & FTIP)
                                                                                                       Bridge
                                                                                                        Data




                                                                                                                                                                                                                                                          Enterprise Data Warehouse
                                                                                                       California Transportation Infrastructure Funding System

                                                              Request Approval
                                                                 to Proceed                                          CTIFS Programming Functions
                                     FMIS                        (E76 Data)
                              Fiscal Management                                                                                         CTIPS
                              Information System                      Project                                                         California
                                                                      Update
                                                                                                                                    Transportation
                                                                                                                                    Improvement
                                                                                                                                   Program System




                                                                                                                          CTIFS Financial Functions

                                                           Federal Aid                                                                  Local
                                                           Billing File                                        FADS                                                LP2000
                                                                                                                                     Assistance                                                                                   Numerous types of data loaded
                                                                                                            Federal Aid                                         Local Programs
                                                                                                                                    FileMaker Pro                                                                                  from ERP to DW. This will be
                                             Daily Project Updates,                                         Data System                                              2000
                                              Obligation Amount                                                                      Databases                                                                                   further defined in I&I deliverable.
                                                      FMIS Edit File




                                                                                                    BEES               TRAMS                            CBARS                        LPAMS
                                                                                                                                                                                  Local Programs
                                                                                                    Basic           Transportation                   Current Billing
                                                                                                                                                                                  Accounting and
                                                                                                 Engineering         Accounting                       & Reporting                  Management
                                                                                                  Estimating           System                           System                       System


                                                                                                                Integrated Financial Management System



This Conceptual Architecture diagram shows how an Integrated Financial Management System (IFMS) would replace existing systems. The diagram shows that the IFMS replaces these existing systems by
placing the replaced systems inside the gray IFMS box. The Conceptual Architecture diagrams assume that any future solution must be able to provide at least the functionality of the existing systems, in
addition to the additional functionality described in the proposed systems' feasibility studies




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5.4.3   FUNCTIONALITY MAPPING MATRIX
        The table below summarizes the ERP modules that would be used to accommodate the CTIFS
        related systems functionality. Definitions of each of the ERP modules and their capabilities are
        presented in Section 4.6. In general, the primary ERP modules needed to implement CTIFS are
        Budget Preparation, Fund Request, Project/Grant Accounting and General Ledger. A more
        detailed matrix of CTIFS functionality is presented in Appendix B.

    CTIFS FUNCTIONALITY     ERP FUNCTIONALITY                            DESCRIPTION
    Funds Management        Budget Preparation     The Budget Preparation, Project/Grant Accounting
    Processes               Project/Grant          and General Ledger modules will be needed to satisfy
                             Accounting             most of the functionality required in the Funds
                            General Ledger         Management area, although a low level of
                            Work Flow              customization should be required to address CTIFS
                            Reporting              FSR requirements in this area.

                                                    Work Flow would be used throughout to address
                                                    requirements to notify and alert stakeholders to
                                                    approvals and other changes in status. (In general,
                                                    Work Flow requires configuration rather than
                                                    customization.)

                                                    The ERP Reporting module would address specific
                                                    reporting requirements and this is where the majority
                                                    of customizations would be.
    Programming               Budget Preparation   The Budget Preparation module will be needed to
    Processes                 Fund Request         address the majority of the functionality required in the
                              Project/Grant        Programming area. A high level of customization can
                               Accounting           be anticipated to address the specific requirements in
                                                    the CTFIS FSR in this area.

                                                    Fund Request and Project/Accounting would also be
                                                    needed to address requirements in this area.

    Project                   Budget Prep          The Fund Request and Budget Preparation modules
    Implementation            Fund Request         will both be needed to address the majority of the
    Processes                 Project/Grant        functionality required in the Project Implementation
                               Accounting           area.
                              Work Flow
                                                    Work Flow would be used through to address
                                                    requirements to notify and alert stakeholders of
                                                    reviews and approvals.

                                                    The Project/Grant Accounting module would be
                                                    needed to supply any actual project expenditure and
                                                    revenue data

5.4.4   ISSUES AND CONSIDERATIONS
        During the development of this Conceptual Architecture, the following issues were identified
        and require particular attention prior to implementing an ERP solution.


        Funds Management


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        The Funds Management process starts with Federal Funds Split and Management. The ERP‘s
        Budget Preparation and Grant/Project Accounting modules will be needed in allocating federal
        funds into their state and local split and tracking the state and local split individual accounts.

        Budget Development will need to utilize the Budget Preparation module to support a number of
        functions in this area including: providing templates in which to enter budget requests, support
        import from forecasting tools, providing templates in which to prepare STIP Fund Estimate,
        and electronic submission of budget requests to Federal Resources. The modeling capabilities
        of the Budget Preparation module will be needed to provide Local Assistance with a
        sophisticated model to calculate expected workload. Project/Grant Accounting will be needed
        to provide project expenditure data needed to report budget to actual and to aid in
        reconciliation.

        The Funds Usage Management functionality of CTIFS requires the use of a number of ERP
        modules to address the requirements in this area. Funds Usage Management relies heavily on
        the functionality of Project/Grant Accounting to track activities performed on projects and
        identify projects approaching their expenditure limits. The General Ledger module will be
        needed to track apportionments, obligations and identify fund types approaching their
        expenditure limits. Work Flow will be utilized throughout to provide alerts and notifications to
        stakeholders. OLAP and Data Warehouse will be used to export data to forecasting tools and
        provide what if functionality for modeling. Budget Preparation module will be needed to
        identify programmed amounts in STIP, FSTIP, FTIP and Approved Program Lists and compare
        to obligation authority; produce multiyear plans by program; and revise funding estimates.
        Project/Grant Accounting and General Ledger modules will be needed to track budget
        authority, apportionments, obligation authority, allocation balances, and program balances and
        track by project, program, regional, and local agency levels; support moving funds between
        programs and track as Transfers, Exchanges, and Advanced Construction; and support Federal
        Funds reconciliation. General Ledger, Project/Grant Accounting, and Reporting modules will
        need to work together to address user access and report needs.

        Programming
        The Budget Preparation module will be needed to address requirements in the Programming
        process for STIP and SHOPP development. ERP Budget Preparation modules can address
        these requirements with only a reasonable amount of customization. The Budget Preparation
        module is needed to support the entry of nominee and/or candidate projects by designated
        users; permit prioritizations and revisions by only designated users; calculate and track
        allocations and splits; apply business rules and system edits; support electronic approval by
        designated users; maintain an audit trail of users who performed prioritization, revision and
        approval activities; store approved lists; and initiate new cycles. The Budget Preparation
        module will need to support these activities for a number of budgets.

        In addition, the Budget Preparation module will be needed to support programming of Federal
        and State Categorical Programs by enabling program coordinators to advertise fund
        availability, support on-line data entry of local agency project applications, enforce business
        rules and edits in the application, provide an on-line review process, and notify local agencies
        of changes to the Approved Project List.



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        The Budget Preparation module will also be needed to support Federal Programs development
        by providing smaller MPO web based template for developing FTIP. The template will need to
        access approved STIP and SHOPP projects, link to other Caltrans systems with approved
        federally funded projects, provide input of estimated allocations, provide for MPO to record
        their Boards approval, then route to Caltrans for review and approval. The Budget Preparation
        module will be needed to provide larger MPOs, with their own systems, the ability to interface,
        electronically record their Board's approval, and up-load to Caltrans for review and approval.
        The Budget Preparation module will also be needed to support developing the FSTIP.

        Project Implementation
        The Project Implementation process requires the Fund Request, Project/Grant Accounting and
        Budget Preparation modules to support the activities in this area.

        The Budget Preparation module will be needed to support Amendment, Allocations
        functionality for State Funded projects. Budget Preparation, Fund Request and Project/Grant
        Accounting modules will be needed to support Amendment, Authorization and Agreement
        functionality for Federally Funded projects.

        The Fund Request and Project/Grant Accounting modules will be needed to support Emergency
        Relief Projects functionality.

        ERP Solution
        The rationale for implementing CTIFS as part of an ERP is based on the premise that the
        department, as an enterprise, selects and procures an ERP. To use a tier-1 ERP to implement
        CTIFS alone may be too expensive an alternative. The CIS financial strategic plan will further
        address these issues and the potential interim alternatives.


5.5 FMS – FINANCIAL MANAGEMENT SYSTEM
5.5.1   OVERVIEW
        On October 1, 2001 the Financial Management System (FMS) team issued an Alternative
        Procurement Business Justification (APBJ) seeking approval from the Department of Finance
        (DOF) for a ‗business-based solution‘ to Caltrans‘ financial information need. The proposed
        solution would support more than 24,000 employees, an annual budget in excess of $10 billion
        and the Department‘s core business – transportation project delivery. The eventual solution
        would support both financial and project accounting.

        Prior to the APBJ creation in October 2001, the Department completed a Business Process
        Review (BPR) in January 2001. This BPR documented process flows and business
        requirements for Accounting Operations, Financial Management Information Reporting,
        Budgetary Control and Monitoring, Procurement, Warehousing and Property Control functions.
        The APBJ makes it clear that while some business processes could be reengineered, the real
        financial problems are a result of the numerous, antiquated financial systems.

        The problems requiring remedy were stated as follows:


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            Timely financial information is difficult to provide to Caltrans customers and
             stakeholders
            Financial information is inaccessible to Caltrans customers and stakeholders
            Financial information is inaccurate due to redundant systems
            Financial management information systems are inflexible and can not readily address
             new or changing reporting requirements

        Since 1983 the primary Caltrans financial system has been TRAMS, a system consisting of
        over 1,200 programs and written in outdated technologies such as COBOL, CICS and RAMIS.
        These outdated technologies make it extremely difficult to find qualified persons to implement
        and debug any desired upgrades. As a result of these difficulties single TRAMS fields have
        been used to capture multiple data structures resulting in even more complex coding structures
        and edit checks. Contributing even more inaccuracies in the financial picture are the many
        shadow and checkbook systems developed as "workarounds" to the TRAMS system.

        In addition to systems limitations causing difficulty in financial management and reporting,
        legislative changes have created reporting requirements that were not anticipated in the
        TRAMS systems. Senate Bill 45 (SB45) increased the role and financial authority for local
        jurisdictions in planning and programming highway projects. In addition Assembly Bill 1012
        (AB1012) states, ―The Department needs to update its information management systems to
        modern standards that reflect current public and private practices in technology‖.

        To address the current financial system limitations and anticipate future business needs, the
        FMS APBJ identified three potential solutions:
            Alternative 1: Upgrade existing Department financial management systems
            Alternative 2: Replace existing systems with one or more components of a Commercial
             Off the Shelf (COTS) Enterprise Resource Planning (ERP) solution
            Alternative 3: Replace existing systems by transferring CalSTARS to the Department

        The FMS APBJ chose Alternative 2 as the preferred solution and believed the COTS ERP
        would offer numerous tangible and intangible benefits, including ―increased accuracy,
        reliability and timeliness of data, improved accessibility and relevancy of data, higher levels of
        service to internal and external customers, improved decision making, and application of best
        business practices and enhanced ability to manage the Department‘s programs and resources‖.
        This preferred solution was estimated to cost approximately $45 million and would require a
        Budget Change Request (BCR) to cover the cost. The FMS APBJ and BCR have both received
        agency approval but were denied by the Department of Finance (DOF) pending the
        recommendations of this Caltrans Integration Study (CIS).

        The CIS Conceptual Architecture also supports an ERP solution and notes in Section 5.5.4
        where fundamental customization would be required to the core ERP financial functions, such
        as addressing project splits and combines and fund splits (functionality that is currently




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        satisfied with the existing EA structure.) Additional customization would be required for
        California specific processes, such as interfaces with the State Controllers Office (SCO).

5.5.2   SYSTEM DIAGRAM
        The proposed FMS diagram is located in Section 4.5 and all existing systems to be integrated
        into FMS are identified in Section 4.5.

5.5.3   FUNCTIONALITY MAPPING MATRIX
        The FMS APBJ contained an extensive list of business requirements that were subsequently
        updated and refined in October 2003. ERP specialists compared these business requirements to
        standard ERP modules functionality and the mapping is summarized in the matrix below. The
        detailed list of business requirements and the associated ERP module are located in Appendix
        A.

              FMS           ERP FUNCTIONALITY                            DESCRIPTION
          FUNCTIONALITY
         General Ledger        General Ledger    Of the 41 FMS General Ledger requirements, 36 are
                                                  considered to be standard ERP General Ledger
                                                  functionality.

                                                  The remaining 5 requirements customization associated
                                                  with the Expenditure Authorization (EA) concept, for
                                                  example splitting a transaction across multiple program
                                                  and funds and again splitting across funds to be billed for
                                                  reimbursement.

         Accounts            Accounts Payable    Of the 80 FMS Accounts Payable requirements, 4 were
         Payable             Procurement         not standard ERP Accounts Payable functionality.

                                                  Customization would be required for claim schedule
                                                  special handling designation, calculation of BOE refund
                                                  payments (sales and use tax), invoice dispute
                                                  notifications and electronic receipt of invoices.

                                                  Nearly 25% of the requirements would also require the
                                                  Procurement module to be implemented.

         Office Revolving    Accounts Payable    Of the 32 FMS Office Revolving Fund requirements, 2 are
         Fund                                     not standard ERP Accounts Payable functionality and
                                                  would require customization: creation of a claim schedule
                                                  face sheet, and providing online claim preparation for
                                                  stolen personal property.




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              FMS          ERP FUNCTIONALITY                              DESCRIPTION
         FUNCTIONALITY
        Accounts            Accounts              Of the 96 FMS Accounts Receivable requirements, 7
        Receivable           Receivable            were not standard ERP Accounts Receivable functionality
                            Project/Grant         and would require customization. Examples include
                             Accounting            printing bills in „multiple‟ formats and preparing contact
                            Workflow              statistics for staff evaluations.

                                                   The ERP Project/Grant Accounting functionality would be
                                                   required to bill other local and state agencies.

                                                   The ERP Workflow functionality would be required to help
                                                   automate and speed-up Accounts Receivable tasks.
        Procurement –       Procurement           Of the 145 FMS Purchasing requirements, 10 were not
        Purchasing                                 standard ERP Procurement functionality and would
                                                   require customization. Examples include allowing users to
                                                   define queries for duplicate orders and distribute
                                                   Purchase Orders based upon user-defined rules; create
                                                   Form 42; supporting CalCard; and automatic generation
                                                   of RFQ/Bid/Notice prior to quote expiration.

        Procurement –       Fixed Assets          All 98 FMS Property Control requirements were
        Property Control    Project/Grant         considered standard functionality of the ERP Fixed Asset
                             Accounting            functionality.
                            Inventory
                            Procurement           Additional ERP Project/Grant Accounting and Inventory
                            Accounts Payable      functionality would be required for tracking equipment
                                                   assembly in progress, recording the completion of
                                                   assembly in progress and re-categorizing the asset upon
                                                   completion of assembly.

                                                   Procurement and Accounts Payable functionality would
                                                   be required verify that the description of the asset
                                                   delivered corresponds to the description on the receiving
                                                   report.

        Procurement –       Inventory             Of the 78 FMS Inventory requirements, 37 were
        Inventory            Management            considered standard ERP Inventory functionality requiring
                            Document              no customization. The remaining 41 requirements could
                             Management            be met by implementing the ERP Inventory and
                                                   Document Management functions, again requiring no
                                                   customization.

        Budgets –           Budget Prep           Of the 22 FMS Budget Development requirements, 2 are
        Budget              Workflow              considered non-standard functionality – tracking BCP
        Development                                development and the application of differing percentages
                                                   to cost amounts for particular time periods.

                                                   The ERP Workflow functionality would be required for
                                                   baseline budget preparation, editing, approval status,
                                                   review, finalization, submission, and distribution both
                                                   internally and externally.




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              FMS         ERP FUNCTIONALITY                            DESCRIPTION
         FUNCTIONALITY
        Budgets –          Budget Prep         All 27 FMS Forecasting and Projections requirements
        Forecasting and    OLAP                would require the ERP Budget Prep functionality and 7 of
        Projections                             those requirements would need ERP OLAP functionality.

                                                Customization would be required for nearly 35% of the
                                                FMS requirements in order to do the following: budget
                                                simulation including projections by fund source/type and
                                                seasonal changes, SHA & TRA cash flow analysis to
                                                determine current SHA cash balance, automatic link
                                                between FE and Cash Balance models, and the ability to
                                                adjust the Obligation Authority (OA) and AC variables to
                                                simulate the impact of changes in OA, AC, and AC
                                                Accrual on Fund balances.

                                                As mentioned under the General Ledger section,
                                                customization would be required for the EA.
        Budgets –          Budget Prep         Of the 15 FMS Allocations requirements, 11 would be
        Allocations        General Ledger      satisfied by a combination of both the ERP Budget Prep
                           Project/Grant       and General Ledger functionality. The remaining 4
                            Accounting          requirements would need the ERP Project/Grant
                                                Accounting functionality.

                                                Customization would be required for 3 of the
                                                requirements, including allocation and tracking of funds
                                                into State and local split, and producing the California
                                                Transportation Commission (CTC) allocations.
        Budgets –          Budget Prep         Of the 45 FMS Controls and Monitoring requirements, 36
        Controls and       General Ledger      would be satisfied with the ERP General Ledger and
        Monitoring         Project/Grant       Budget Prep modules. 9 requirements would also need
                            Accounting          the Project/Grant Accounting functionality.

                                                Customization would be required for 6 of the requirements
                                                and includes developing and distributing appropriated
                                                resources based on preliminary control totals deducting
                                                contingency or hold back reserve amounts (contingency
                                                amounts varying by program); identifying programmed
                                                amounts for the upcoming fiscal year in the STIP, FSTIP,
                                                SHOPP, FTIP and Approved Program Lists; tracking
                                                appropriations from the Governor's budget against
                                                updates from deficiency notices, ACRs (section 28s), and
                                                federal change processes; producing and tracking
                                                allocations for local, rail and mass transit assistance; and
                                                recording and tracking California Transportation
                                                Commission (CTC) extensions.




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              FMS            ERP FUNCTIONALITY                           DESCRIPTION
          FUNCTIONALITY
         Budgets – Grants    Project/Grant        Of the 38 FMS Grants requirements, 19 would be
                              Accounting           satisfied with the ERP Fund Request, Project/Grant
                             Fund Request         Accounting and General Ledger functionality and require
                             General Ledger       no customization.
                             Budget Prep
                                                   An additional 4 FMS requirements would be satisfied with
                                                   the ERP Project/Grant Accounting and General Ledger
                                                   functionality and require no customization.

                                                   An additional 14 FMS requirements would be satisfied
                                                   with the ERP Project/Grant Accounting functionality and
                                                   require minimal customization.

                                                   The remaining FMS requirement would be satisfied with
                                                   the ERP Project/Grant Accounting and Budget Prep
                                                   functionality and would require no customization.

         Systems General                           Of 57 FMS General ERP requirements, 56 would be
                                                   satisfied with ERP capability and would require
                                                   customization to place all department forms online and
                                                   allow for updates.
         Interface                                 Interfaces would generally require customization.
         Reporting                                 Reports would generally require customization.

5.5.4   ISSUES AND CONSIDERATIONS
        During the development of this Conceptual Architecture, the following issues were identified
        and require particular attention prior to implementing an ERP solution.

        Fund Splits, Expenditure Authorization (EA)
        The EA currently serves multiple functions – project identifier, mechanism for splitting
        transactions across multiple funds and programs (appropriations) and as a mechanism for
        defining which federal funds should be billed for reimbursement. These three distinct
        requirements would be satisfied by the ERP Project/Grant Accounting functionality. However,
        the actual fund split would require customization to further split a single transaction into the
        Federal funds to be billed for reimbursement. This customization is equivalent to the EA U-
        Line.

        The ERP Project/Grant Accounting functionality would address the current unmet need to use
        funds in a particular order. For example, a local agency may want to use their Demo money
        first (up to$10,000), then switch to TCRP funding (up to $30,000) then fund the remainder of
        the project with CMAQ.

        Universal Transportation Project Identifier (UTPI)
        Prior to the ‗To-Be‘ state there will continue to exist multiple systems each retaining their
        unique project identifier. Even after the eventual ERP implementation there will be project
        identifiers generated in stakeholder systems. In both cases, tracking the original project budget
        to project expenditures will require the UTPI system to track a project before it becomes a




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        project within the jurisdiction of Caltrans. (The problem of uniquely identifying a
        transportation project is more fully detailed in the following section titled ―UTPI.‖)

        Budgeting and Funds Management
        Budgeting and Funds Management at Caltrans covers a wide range of estimating functions,
        from fund estimates or expected revenues, to the Governor‘s Budget appropriations, to the
        allocation of an appropriation to divisions and districts, to the ‗programming‘ of a
        transportation project. Budgeting functionality is required for two proposed systems, CTIFS
        and BPMS. Caltrans‘ budgeting and funds management needs are addressed with these two
        proposed systems.

5.6 OTHER SYSTEMS
5.6.1 BPMS – BUDGET PLANNING MODEL SYSTEM
5.6.1.1 Overview
            The Budget Planning Model System, which incorporates the requirements of both the
            Fund Estimate (FE) model and the Cash Balance (CB) model, will forecast SHA revenues
            and expenditures for the purpose of estimating funds available for planning and funding
            future transportation projects (the EE) as well as providing ongoing estimates of cash
            balance needs in the SHA to ensure sufficient funds are available to meet expenditure
            commitments (the CB).

             Caltrans develops FE for the State Transportation Improvement Program (STIP) that is
             adopted by the California Transportation Commission (CTC) every odd-numbered year.
             The FE provides an annual estimate of all Federal and State funds expected to be available
             for programming in the subsequent STIP. It summarizes the anticipated annual revenue
             and expenditures for current and future years and identifies revenues available for
             programming by county.

             The FE is calculated for several funds, but the State Highway Account (SHA) is the main
             source of funding for California‘s Highway Transportation Program and is in turn funded
             by:
                 Federal Highway Trust Funds
                 Use Fuel Tax (Diesel)
                 Motor Vehicle Fuel License Tax (Gasoline)
                 Motor Vehicle Weight Fees
                 Miscellaneous Revenues
                 Rentals of State Property
                 Investments

             The purpose of BPMS is to replace the current Fund Estimate Model and Cash Balance
             Model, which consist of Excel spreadsheets (with a few Access databases) running on
             networked PCs. These stand-alone spreadsheets and databases require significant



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            amounts of re-keying of Division provided data. The BPMS FSR proposed solution will
            be tailored to the specific requirements of Caltrans and its transportation stakeholders.

            The Conceptual Architecture recommends that BPMS receive data that has been loaded
            from the Data Warehouse, which receives data from the Budget Preparation, Project/Grant
            Accounting, and General Ledger modules of the ERP.

5.6.1.2 System Diagram
             The following diagram shows how BPMS functionality as described in the BPMS FSR
             would be implemented outside the ERP system to replace the Fund Estimate and Cash
             Balance models.




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                                                                                                 Project
                                                                                               Resource &
           Budget
                                                         Districts                              Schedule                          FHWA
           Division                                                                            Management
                                                                                                 System




      Key Enter Revenue                             Key Enter Expense
          Estimates                                     Estimates                                                               Actual
                                                                                                 Actual                     Reimbursements
                RevenueEstimatesinclude:
                                                                                                Expenses
                 Motor Vehicle Weight Fees
                 Use Fuel Tax                                  ExpenseEstimatesinclude:
                 Motor Vehicle Fuel License Tax                 Plans, Allocations, Programming
                 Federal Trust Funds                            StateOperations
                 Rental Revenue                                 SHOPP
                 InvestmentRevenue                              Local Assistance
                 MiscellaneousRevenue                           STIP



                 Revenue                           Expense
                 Estimates                         Estimates


                                                      Integrated Financial Management System


                                                                                                                                             California
                                  Budget                                    General                         Project/Grant                 Transportation
                                Preparation                                 Ledger                           Accounting               Infrastructure Funding
                                  Module                                    Module                             Module                         System




                                                                                                                 Budget
                                                                                                                 Division


                                                     Programmed $,                                                                       5 year Fund Estimate
                                                       Allocated $,
                                                        Planned $,                                          Key Enter "What If"
                                                    Actual Revenues                                             Variables
                                                   Actual Expenditures
                                                    Project Schedules
                                                                                                            "What If" variables


                                                                                                                      Budget Planning Model System
                                                                                                                                   FundEstimate




                                                                                                                   Fund Estimate                   Cash Balance
                                         Enterprise Data Warehouse                                                    Model                           Model




                                       Online Analytical Processing &
                                                                                                                                                   24 month Cash
                                           Business Intelligence                                                   5 Year Fund
                                                                                                                                                  Balance Estimate
                                                                                                                     Estimate




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5.6.1.3 Functionality Mapping Matrix
            The table below summarizes the ERP modules that would be used to support the
            BPMS functionality. Definitions of each of the ERP modules and their capabilities
            are presented in Section 4.6. In general, the primary ERP modules needed to
            implement BPMS are Budget Preparation, General Ledger, Project/Grant
            Accounting and Data Warehouse. A more detailed matrix of BPMS functionality is
            presented in Appendix B.

         BPMS FUNCTIONALITY               ERP FUNCTIONALITY                    DESCRIPTION
    User defined templates for             Budget            The Budget Preparation module of an ERP
    entry of plans, allocations and         Preparation       provides strong support in this area.
    programming for SHOPP,                                    Typically, data entry templates are configured
    STIP, and Local Assistance.                               rather than programmatically developed thus
                                                              reducing the amount of customization
    User defined templates for                                required to address requirements in this area.
    Budget Division to enter the
    estimates for various revenues
    such as Federal Trust Fund,
    fuel taxes, weight taxes, etc.

    Process project expenditure            Project/Grant     A primary purpose of Project/Grant
    and revenue transactions                Accounting        Accounting is to process and track project and
                                                              grant related project expenditures from
                                                              inception through the life of the project. This
                                                              is an area where standard functionality will
                                                              adequately address the BPMS requirements.

    Store historical expenditure           Data Warehouse    The Data Warehouse is a repository for
    and revenue forecasts and                                 historical expenditure and revenue data and
    actual data                                               various versions of budgets

    Access changes in forecasts
    without re-keying

    Enter variables, assumptions           OLAP              The Online Analytic Processing (OLAP)
    and changes to OA and AC                                  module is a flexible, robust tool for analysis,
    into models                                               estimating and modeling. It integrates very
                                                              tightly with a Data Warehouse both retrieving
    “What If” capability                                      data and storing data. The Fund Estimate
                                                              and Cash Balance models, currently
    Access historical expenditure                             developed in MS Excel, could be developed in
    and revenue forecasts and                                 OLAP, which would resolve the current
    data                                                      problems caused by Excel become
                                                              overloaded and crashing. However, a
    Account for differences in cash                           significant amount of customization would be
    and accrual accounting                                    required to develop the models in OLAP.

    Link results of Fund Estimate
    to Cash Balance

    Produce Fund Estimate and
    Cash Balance forecasts




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5.6.1.4 Issues and Considerations
             Although BPMS will be a separate system, the following components will be
             needed to provide data for the BPMS:
             ERP -Budget Preparation,
             ERP - Project/Grant Accounting, and
             Data Warehouse

            The ERP is the original source for BPMS data. The ERP‘s Budget Preparation and
            Project/Grant Accounting functionality will provide data to the Data Warehouse,
            which will provide data to BPMS.

            The ERP‘s Budget Preparation functionality also includes user defined data entry
            templates into which Districts can enter plans, allocations and programming for
            SHOPP, STIP, and Local Assistance. User defined data entry templates would be
            needed so that Budget Division can enter the estimates for various revenues such as
            Federal Trust Fund, fuel taxes, and weight taxes.

            The Project/Grant Accounting module is the primary ERP module which tracks
            project related expenditure and revenue reimbursement data. Actual expenditures
            and revenue reimbursements would need to be interfaced into Project/Grant
            Accounting from PRSM and FHWA and processed in Project/Grant Accounting.

            BPMS Will Use Data From The Data Warehouse
            The Data Warehouse module is the repository for all types of data and is an
            excellent repository of historical information. Revenue and expenditure forecasts
            entered into the ERP Budget Preparation module and expenditure and revenue data
            processed in the ERP Project/Grant Accounting would need to be extracted from
            these systems and stored in the Data Warehouse. This data would then be available
            to the BPMS system for use in developing the Fund Estimate and Cash Balance
            projections. The resulting Fund Estimate and Cash Balance projections would need
            to be stored back into the Data Warehouse for use in the future.

            Alternative BPMS Solution – Use OLAP
            An OLAP system provides tight integration with the Data Warehouse and robust
            modeling capabilities. If Caltrans decides not to buy and customize a specialized
            budget system, Fund Estimate and Cash Balance models could be developed using
            an OLAP system, which would provide the functionality required for BPMS.

5.6.2 UTPI – UNIVERSAL TRANSPORTATION PROJECT IDENTIFIER
5.6.2.1 Overview
            For over a decade, uniquely identifying a transportation project has been recognized
            as a fundamental Caltrans problem. Beginning in 1992, a series of task forces and
            projects have been assigned to solve this problem. Lack of a single project identifier
            makes tracking a project throughout its lifecycle a tedious, difficult and often times
            impossible task. Assembly Bill 1012 (AB1012) provided the impetus to conduct a


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           Business Process Study in January 2001 to create a ―Universal Transportation
           Project Identifier‖ (UTPI). The scope of this particular project went beyond
           Caltrans‘ needs and included local jurisdiction‘s and the California Transportation
           Commission‘s needs. The UTPI Business Process Study recommended a three level
           (or phased) approach for UTPI implementation. Level 1 was defined as a cross
           reference database system, not replacing current systems, but tracking projects as
           identified in the many stakeholder systems; Level 2 was to be a relational data
           warehouse system allowing users to query detailed transportation project
           information originating from multiple sources; and Level 3 was to include the
           integration of the UTPI methodology into existing and future systems and be built
           upon Level 1 and Level 2.

           In August 2002 the Department completed a FSR for the ―Universal Transportation
           Project Identifier (UTPI) Level One Project.‖ The FSR sought to implement the
           Level 1 solution and fulfill the following objectives:

            Respond rapidly to questions regarding project management information

            Eliminate the need for labor intensive efforts to identify and locate all project
             data for a specific project

            Provide convenient access for all authorized persons to a cross-reference that
             identifies and locates all project data for any specific project

           According to the UTPI FSR, the following objectives noted above could be satisfied
           by the proposed system if the following two functional requirements were met:

            Provide a database or inventory that identifies and locates specific essential
             project data for all active transportation projects in California

            Provide authorized users the capability to access a cross-reference that identifies
             and locates all project data for any specific project

           When the ‗To-Be‘ state is ultimately achieved, most financial functions will reside
           in a COTS ERP and the problem of uniquely identifying a project will be greatly
           minimized. At this point a project ―budget‖ and project ―expenditures‖ will both
           reside within the same integrated system and share a common identifier. Business
           rules will determine when changes to a project budget or contract require the
           creation of a new project. Clearly defined rules will dictate how project budgets and
           expenditures are split or combined into new project budgets and expenditures.
           Caltrans can deliver accurate, consistent ‗budget vs. actual‘ reports only by
           rigorously following clearly defined "split and combine" rules.

           The UTPI methodology would still be required if Caltrans wished to provide a
           mechanism to track project definitions and identifiers originating outside Caltrans‘
           jurisdiction.


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            The UTPI methodology would also be required during the transition from the
            current ‗As-Is‘ state to the ‗To-Be‘ state and would roughly follow the three levels
            as originally defined in the UTPI BSR: relate the multiple project identifiers, relate
            project identifiers and project data, and incorporate UTPI into new systems.

5.6.2.2 Issues and Considerations
             Tracking Project Splits and Combines – More Than Just Project ID’s
             Tracking project splits and combines entails more than simply tracking the
             relationship between projects – project A splits into project B and project C – it
             requires tracking the associated funds and activities (or WBS). The fundamental
             business question being asked is ‗what did my project actually cost?‘ The answer
             may require a detailed listing of the actual funds consumed by the project and the
             activities those funds were expended on. To answer such questions requires a level
             of data granularity not currently available.

            Solution Must Accommodate Differing/Contrary Business Needs
            Currently, projects are initially defined in broad terms with a simple narrative and a
            gross estimate of project cost. After being approved for inclusion in a transportation
            planning document (either STIP or SHOPP), additional funds are programmed or
            made available to further define the project‘s scope, schedule and costs. Prior to
            expending funds on support or capital, the CTC must establish and approve the
            project budget. At this point the project may have several identifiers (MPO id,
            PPNO, CTIFS id and EA) and several fund sources identified. Between this point
            and final project completion the different project stakeholders have different and at
            times contrary requirements. The local agency may wish to track the project as
            originally defined and the expenditure of funds it contributed towards specific
            activities on the project. At the same time, Caltrans and the construction contractor
            strive to complete the project as quickly and efficiently as possible. While the
            Resident Engineer (RE) on the job site is tasked with ensuring construction proceeds
            according to schedule and the project‘s plans and specifications, s/he is not tasked
            with tracking the expenditure of funds against particular activities. At the point of
            actual construction, these two needs would need to be addressed.

             UTPI – Potential Business Process Changes
            Transactions are currently posted to Expenditure Authorizations that automatically
            split a transaction across multiple funds. If stakeholders wish to track expenditure of
            ‗their‘ funds on a particular activity, Caltrans would need to split a transaction out
            by project, activity (WBS) and fund. The UTPI concept easily supports project
            splits and combines, however, the business reasons must be clearly defined before
            implementing business process changes that would change the fund split concept
            from an automatic process to a process requiring transactions to be split by activity
            (WBS), fund, or a contributor defined category.




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5.6.3 PRSM – PROJECT RESOURCE AND SCHEDULE MANAGEMENT
5.6.3.1 Overview
            The Department conducted a Business Process Review (BPR) in 1997 and noted
            that virtually all State Departments of Transportation and large engineering firms
            such as Bechtel, Parsons Brinckerhoff, etc. utilized scheduling tools to support the
            project planning, scheduling and tracking of critical deadlines, activities, resources
            and budgets. Caltrans concluded that it must improve its ability to track project
            management information, including task start and end dates, percent of task
            complete and resources expended. In March 1999 Caltrans created the Project Cost
            and Schedule Management Feasibility Study Report (FSR) in an attempt to improve
            its project management information by replacing the Capital Project Program‘s
            project scheduling tool XPM with a new project scheduling system. Again in April
            2000 another FSR was submitted and approved for the XPM replacement, PRSM, a
            Commercial Off-the-Shelf (COTS) solution. Due to increases in PRSM‘s costs, a
            Special Project Report was submitted for PRSM in August 2002. Currently the
            functional requirements for this project are being reviewed to determine the
            minimum set of requirements needed to meet the project objectives.

            The Capital Project Program develops and builds State highway improvements with
            one quarter of its appropriated funds being used for Capital Outlay Support
            (environmental studies, design, right of way activities and construction
            management) and the remaining funds for Capital Outlay (payments to construction
            contractors, property owners and utility companies for utility relocation). The
            primary function of the current system, XPM, is to track the project‘s schedule and
            the resources of approximately 10,000 Capital Outlay Support PYs to effectively
            deliver those scheduled projects. The proposed system, PRSM, would provide XPM
            functionality as well as additional functionality including resource leveling,
            reporting by SB45 component, and time entry by project tasks for Capital Outlay
            Support personnel.

            State Highway project costs are divided into five broad categories:
                1. State employee labor costs, incurred by 11,000 State employees.
                2. Architectural and Engineering (A&E) consultant labor costs. The
                   Department‘s A&E consultant workforce averages about 1,000 people.
                   A&E consultants address short-term fluctuations in the Department‘s
                   workload and provide specialized services. Therefore the A&E workforce
                   can fluctuate considerably from year to year and season to season.
                3. Other support costs (travel, equipment, office supplies, etc.)
                4. Construction capital outlay, paid to private construction contractors.
                5. Right of Way capital outlay, used to purchase real property, relocate utilities
                   and address similar costs of clearing the land through which the Department
                   builds State Highways.

            PRSM will address only:
               1. The scheduling and resourcing of the first two categories (State employees
                  and A&E), and



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                  2. Time reporting for the first category (State employees).

             As PRSM will be a COTS system, the software will presumably be designed to
             meet the general needs of project delivery organizations. However these needs are
             not limited to the two items that that PRSM will address. It is therefore reasonable
             to assume that the PRSM COTS will have a latent ability to address some of the
             needs that will not be addressed by the initial PRSM implementation.

             It would be unwise to attempt to use these latent abilities during the initial PRSM
             implementation, as this would expand the scope of PRSM and increase the
             complexity of the implementation. It would be useful, however, to investigate how
             the latent abilities might be used to address some of the needs of other projects such
             as CMS and CLMS. This would best be done concurrently with the implementation
             of PRSM, when the COTS are known.

             The Conceptual Architecture as displayed in Section 4.5 shows PRSM being
             interfaced or integrated with the Integrated Financial Management System. The List
             of Interface and Integration Requirements deliverable will address this interface in
             greater detail.

5.6.3.2 Issues and Considerations
             Duplicate Time Entry – TOPSS and PRSM
             The PRSM FSR proposes that all Capital Support employees enter all time
             information into PRSM (e.g., sick, leave, jury). This duplication of functionality is
             desirable from a project management perspective, (e.g. budget and actuals within
             the same system), but may create integration issues. This issue will be studied
             during the next Interface and Integration phase of CIS and a recommendation will
             be made. Either recommendation, time entry into TOPSS/ERP or PRSM, will
             require an integration of data or functionality to ensure that accurate financial data is
             available on timely basis in the ERP and that actual labor time or expenditures is
             available to PRSM for project management.

             Project Management –Availability to users outside of the Project Management
             Division
             Project related activities are currently handled within a multitude of Division
             specific systems at a WBS level below the WBS level 7 proposed by PRSM. For
             example, Right of Way tracks activities below WBS level 7 and even tracks
             activities at a level below the project – the parcel. Distinct activities associated with
             acquiring a parcel are tracked and managed. Based upon the scope of PRSM, two
             scenarios are possible: 1.) PRSM serves as Caltrans‘ sole project management tool
             and supports the detail required by the Right of Way Division, 2.) or PRSM
             integrates with CLMS with PRSM providing the high level WBS elements and
             CLMS providing the lower level WBS elements. The later case would require that
             Project Management modules of the ERP be implemented to satisfy Right of Way
             project management needs.




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            Project Costs & Reporting – Legislatively Defined Categories
            There are unresolved Project Cost and Reporting issues that must be addressed,
            especially regarding SB45. Both PRSM and the ERP must be able to capture and
            report costs by SB45 component: either project approval & environmental
            documentation support, project development support, right of way support,
            construction support, right of way capital, or construction capital. Regardless of
            whether time entries occur in PRSM or the ERP, Capital Outlay Support costs must
            be available by the appropriate Caltrans WBS and the SB45 support component or
            any future legislatively defined category.

            Earned Value Reporting
            PRSM functionality will include earned value reporting and requires the following
            data to do so: planned costs, actual costs; planned schedule/milestone and actual
            schedule/milestone. In the case of calculating a project‘s Capital Support earned
            value, all data would originate and reside within PRSM with the exception of actual
            costs and resource cost rate. As stated earlier, time could be entered into PRSM or
            TOPSS/ERP but must be available to PRSM to calculate a project‘s earned value at
            a particular point in time. If earned value were to include the project‘s full scope,
            including Capital Outlay Support and Capital Outlay components, integration
            would be required between such systems as PRSM, the ERP and CMS.

5.6.4 IBID
5.6.4.1 Overview
            The Office Engineer is in the process of finding a replacement for the existing BID
            legacy system. The replacement system is called iBID. To define the
            requirements for iBID the Office Engineer is performing up-front planning
            incorporating analysis of Office Engineer business processes, re-engineering
            opportunities, and functional system requirements. OE has issued a Request For
            Information (RFI) to solicit input from industry vendors (19 commercial vendors
            who sell bidding systems for the construction industry) about process practicality
            and hidden risks. RFI responses will be used to help guide the development of the
            final re-engineered process. The targeted industry vendors who received the RFI
            were identified as those companies having either:

              (1) An owner bidding system (tracking the state, county or city‘s distribution of
              bids and addendums to contractors and the logging and summarization of
              contractor bids); or,

              (2) A contractor bidding system (distributing bid packages to selected
              subcontractors and logging responses).

            The type of system that Caltrans needs to support its contract bidding requirements
            fits into category 1. While most ERP systems provide contract bidding
            functionality, it is intended to support category 2. Therefore the Conceptual
            Architecture as displayed in Section 4.5 shows iBID being interfaced or integrated
            with the Integrated Financial Management System, rather than being replaced by



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            IFMS. The List of Interface and Integration Requirements deliverable will address
            this interface in greater detail.

            Further support for the recommendation to use a specialized system for iBID
            includes a survey conducted by Connecticut DOT to see what software other state
            DOT‘s used to do their highway construction contract bidding. None of the states
            responding to the survey indicated that they use an ERP product to do their highway
            construction contract bidding. The results of the Connecticut DOT survey (which
            was conducted in 2002 with 32 state DOTs responding) included:
               21 state DOTs use an AASHTO product,
               7 state DOTs use in-house developed programs,
               1 state DOT had certified 3 commercial estimating programs for electronic bid
                  submittal (Niche Software, The Construction Link, and Lugs International)
               3 state DOTs had not implemented electronic bidding (including California)

5.6.4.2 Issues and Considerations
             Data will be passed from iBID to CMS and IFMS after contract award
             The iBID system will support the contract bidding process up to the point of
             contract award. The CMS system will support the business process from the point
             after the contract has been awarded. Therefore, CMS is essentially picking up
             where iBID finishes. IBID will also send summary information about the contract
             award to IFMS, to provide a contract shell against which construction payments will
             be made. IBID has no interest in contracts after they have been awarded. Passing
             data from iBID to CMS and IFMS is an acceptable architectural approach.
             However, it will be important that the iBID, CMS, and IFMS teams work together
             to help ensure that there are common definitions for the data that is being passed
             between them. A further discussion of the relationships between iBID, CMS, and
             IFMS will be provided in the Integration/Interface deliverable.




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6.0 SYSTEMS WITH NO REQUIRED INTEGRATION OR
  INTERFACES

This section discusses those existing systems identified as not requiring integration or interfaces
with the proposed Conceptual Architecture, including the rationale for categorizing the system as
such.

6.1 INTRODUCTION
As previously discussed in Section 4.9, to support the development of an enterprise view of
financial information systems, the project team mapped the key functionality of each of Caltrans‘
existing systems to those functions available in modern ERP applications. This mapping resulted
in a small number of specialized systems whose functionality cannot be absorbed by the
implementation of ERP. These systems currently do not rely on data from any financial system.
Similarly, information generated from these systems does not serve as input to any of the
existing financial systems.

Based on the Conceptual Architecture, the following seven (7) existing systems were identified
as systems that do not require integration or interfaces with the proposed Conceptual
Architecture:
    Automated Governor‘s Budget Galley
    CBAS – Contract Boilerplate Assembly System
    CCS – Centralized Conference Section
    DBE Database
    PIN Interface
    VISA Download
    Zenworks

Each of these systems is discussed in more detail below.

6.2 LIST OF SYSTEMS
6.2.1 AUTOMATED GOVERNOR’S BUDGET GALLEY
      This is a tool that assists Budgets staff in preparing the Governor‘s Budget Galley. Staff
      manually input changes to fund conditions, program detail, and allocations to the tool.
      As changes are made, the tool ensures all spreadsheet cells tie together for the galley
      postings. Staff uses a printout from the tool to make hand written changes to the galley
      documents. These changes are then forwarded to the Department of Finance for ultimate
      inclusion in the Governor‘s budget.

        This process occurs infrequently (only during the annual budget development process)
        and impacts a small number of users within Caltrans. The Galley posting process



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        requires manual updates specific to the peculiarities of the California budget, which do
        not fit with typical ERP functionality and do not justify automation.

6.2.2 CBAS – CONTRACT BOILERPLATE ASSEMBLY SYSTEM
      CBAS was designed as a tool to be used by contract analysts in the writing of Invitations
      for Bid (IFBs), Request for Proposals (RFPs), and the subsequent contract. CBAS is a
      collection of Microsoft Word templates and utilizes the Word macro language to
      assemble all text within the body of the contract, excluding those areas unique to each
      contract, such as the Scope and Description of Services. This system currently does not
      rely on data from any financial system. Similarly, information generated from these
      systems does not serve as input to any of the existing financial systems, therefore, no
      interface or integration is required.

6.2.3 CCS – CENTRALIZED CONFERENCE SECTION
      The CCS System is used to manage the workload of Caltrans‘ Centralized Conference
      Section and produce management reports. The Section coordinates meeting planning and
      booking activities for Caltrans statewide. The Section negotiates with providers for
      meeting space, hotel, and food service rates. The CCS system was developed to meet the
      Section‘s unique needs and does not overlap with other systems.

        The CCS system‘s role in financial processes is limited. The CCS system records EAs,
        encumbrance amounts, meeting space costs, and other relevant financial information.
        This financial data is used as reference material when reconciling the Section‘s American
        Express statement and submitting it for payment. No data of any sort is imported to or
        exported from any other system. The Section gathers all of the paper invoices that
        document the expenditures recorded on the statement and verifies that there are no
        conflicts. The Section then fills out a Receiving Record to document that the goods and
        services itemized on the statement were actually received. The Receiving Record
        includes the District, EA, special designation code, object code, and encumbrance code
        data relevant for each statement line item. The Receiving Record, the American Express
        statement, and the invoices are bundled and provided to the Office of Accounts Payable
        for payment. OAP then manually keys the payment transaction into the financial system;
        the payment bundle will be sent through the claim schedule process for payment through
        the State Controller‘s Office.

        Although financial aspects of CCS (Invoice/Receipt processing) can be automated in an
        integrated financial system (proposed architecture), CCS includes specialized Conference
        Management functions that are not within the scope of a standard ERP application.

6.2.4 DBE DATABASE
      The Disadvantaged Business Enterprise (DBE) Database is a system that tracks DBE and
      Disadvantaged Veteran Business Enterprises (DVBE) vendors, who have applied to the
      state for certification through the California Unified Certification Program (CUCP).

        Civil Rights staff key enters vendor information from the Uniform Certification
        Application. After performing the process to determine certification, the Civil Rights



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        staff key enters the certification status into the database. Upon certification the vendor
        receives a unique certification number that is tracked in the system.

        New certification and renewed certification data is posted to the DBE website for inquiry
        by other divisions. There is a federal mandate that requires DBE certifications be kept in
        a standalone database, therefore this is system is not a candidate for integration with the
        IFMS.

6.2.5 PIN INTERFACE
      The Purchasing Information Network (PIN) system belongs to the Department of General
      Services (DGS). The PIN Interface is the online functionality that allows staff from the
      Division of Procurement and Contracts (DPAC) to create a Purchase Estimate (PE) for
      those purchase requests that exceed the department‘s authorized contract delegation
      dollar amount. DGS will process a PE into a PO and issue it on behalf of Caltrans.

        Although procurement information could be interfaced from the ERP to PIN, since DGS
        is the owner of this system, new interfaces to systems external to Caltrans were not
        included within the scope of the Conceptual Architecture.

6.2.6 VISA DOWNLOAD
      The purpose of this system is to provide VISA statement data to Equipment Shops before
      the VISA statement arrives in the mail.

        The user downloads a VISA statement file from FirstBank to the desktop PC through a
        dial-up connection. The VISA statement is loaded into the VISA Download database.
        (This is the same file that is loaded into PCARS.) VISA Download verifies that the
        statements are for valid cardholders by looking up cardholders in a separate FoxPro
        database. R&R Report Writer connects to the VISA Download database, formats the
        data, and prints VISA statements in PDF format. The PDF statements are sent to the
        Equipment Shops via email.

        The statements printed from VISA Download look identical to the VISA statements that
        the shops will receive in the mail about 7 – 10 days later. The purpose of providing the
        printed statements is to give the Equipment Shops 7 – 10 days more time to gather
        documentation for claim schedules, minimizing the risk of paying the VISA bill late and
        paying a late fee.

        This system is the precursor to PCARS. PCARS was developed to eliminate the VISA
        Download system and facilitate the reconciliation of VISA purchases to the bank
        statement. The reason the Equipment Shops continue to use VISA Download rather than
        PCARS is twofold: 1) the Division of Equipment‘s FleetAnywhere system records
        vendor numbers differently than PCARS and 2) users would prefer not to enter their
        CalCard purchases into two systems (PCARS and FleetAnywhere).

        This system converts electronic Visa files to PDF files, a function that is not within the
        scope of a standard ERP application.



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6.2.7 ZENWORKS
      Zenworks is a dynamic discovery tool used for IT Network and workstation management
      of both software and hardware that is attached to the network. There is not any input or
      output to the system in the traditional sense of end user or system interactions, therefore,
      no interface or integration is needed.




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7.0 APPENDICES

7.1 APPENDIX A – ERP FUNCTIONAL MATRIX FOR EXISTING SYSTEMS
To support the development of an enterprise view of financial information systems, the project
team mapped the key functionality of each existing system to those functions available in Tier-1
ERP applications. This exercise involved analyzing the current process diagrams and templates
developed as part the Baseline Summary (Deliverable #8) as well as leveraging the experience of
project team members who have implemented various ERP systems over the years.

In the Standard Yes/No columns in the matrices, each function is identified as being either
standard ERP capability or custom-developed functionality. The identification of standard
versus custom was derived based on leveraging the experience of CIS Team members who have
extensive experience in implementing a variety of ERP applications.

The Functionality Mapping Matrix is the result of this analysis. The matrix is not included
within this document due to its size, but is available upon request.




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7.2 APPENDIX B - ERP FUNCTIONAL MATRIX FOR PROPOSED SYSTEMS
To support the development of an enterprise view of financial information systems, the project
team mapped the key functionality of each proposed system to those functions available in
COTS ERP applications. This exercise involved analyzing the FSRs/BPRs/APBJs
documentation developed for each system while also leveraging the experience of project team
members who have implemented various ERP systems over the years.

In the Standard Yes/No columns in the matrices, each proposed function is identified as being
either standard ERP capability or custom-developed functionality. The identification of standard
versus custom was derived based on leveraging the experience of CIS Team members who have
extensive experience in implementing a variety of ERP applications.

The Functionality Mapping Matrix is the result of this analysis. The matrix is not included
within this document due to its size, but is available upon request.




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7.3 APPENDIX C – PROPOSED SYSTEMS “AS-IS” DIAGRAMS
                                                                                                                                                                                                             Caltrans Integration Study
                                                                                                                                                                                                        Current Construction System Diagram
                                                                                                                                                                                                                       DRAFT

                                                                                                                                                                            Daily Diary Data                                                                                                           Key Enter Daily
                                                                                                                                                                                                                                                                                                         Diary Data

                                                                                                                                                                                                                                                                              Source
                                                                                                                                                                                                                                                                           Contract Data
                                                                                                                                                      Daily Diary                                                                         Key Enter Major &              (project initiation,
                                                                                                                                                                                                                                          Minor A contracts            emergency contracts)                  Contract
                                                                                                                                                                                                                                                                                                           Transaction
                                                                                                                                                                                                                                                                                                               Info
                                                                                                                                                                                                                                                Source
                                                                                                                                                                               Daily Diary Data                                             Contract Data
                                                                                                                                                                                                                                          (project initiation,
                                         Web-Based                                                                                                                                                                                      emergency contracts)
                                          Reports                                                                                                                                                                         Contract
                                                                                                                                                                                                                        Transaction                                                                     CADb                                                Ad Hoc
                                                                                                                                                                                                                                                                                                                               Construction-              Construction
                                                                                                                                                                                                                            Info                                                                    District 4 Data                                                                            Extra Work
                                                                                                                                                                                            Key Entry of CTI                                                                                                                     Related                    Reports
                                                                                                                                                                                                                                                                                                    Collection and                                                                                                    Key Enter EWB Data
                                                                                                                                                                                                                                                                                                                                   Data                                                         Bill Data                   via Web
                                                                                                                                                                                                                                                                                                      Reporting
                                                                                                                                                                                                                                                                                                                                                                                                                        (by contractors)
                                        Planned Costs,
                                         Actual Costs
                                                                                                                                                        TRAMS
                                                                                                                                                                                                                                                                                                                                                                                                                           Construction
                                                                                                                                                     Transportation                           Changes, Personnel,                                                                                                                                                                                  Extra Work               contractors
                                                                                          Expenditures                                                                                                                                                                Contract Data
                                                                                                                                                       Accounting                           Payment Transaction Data                                                                                                                                                                                Bill Data                 use file
                                                                                                                                                                                                                                                                    (project initiation)                              Extra Work
       EVRS                               PMDW                                                                                                          System                                                                                                                                                                                                                                                            transfer (FTP)
                    Programmed $,                                                                                                                                                                                                                                                                                      Bill Data
   Earned Value                           Project
                    Milestone Dates   Management Data                                                                                                                             Expenditure Data,                                                                                    Contract
 Reporting System                                                                          Programmed $ for CO & COS,
                                        Warehouse                                                                                                                               Payment Transactions                                                                                 Transaction                                                      EWB
                                                                                           Estimate PYs, Milestone Dates                                                                                                                                                                 Info                                                      Extra Work
                                                                                                                                                                                                                                                                                                                                                                                                                       Current Status of
                                                                                                                                                                                                                                                                                                                                                      Billing                                    Extra Work                 EWBs
                                                                                                                                                       PMCS
                                                                                                                                                                                                                                                                                                                                                     System                                       Bill Data
                                                                                                                                                       Project
                                         Milestones &                                                                                              Management and
                                                                                                                                                                                                                                                                                         Extra Work
                                      Authorization Dates                                                                                              Control
                                                                                                                                                                                                                                                                                          Bill Data
                                                                                                                                                                                             Project Description,
                                                                             Key Enter Bid Data                                                                                                    Location                                                                                                      Contract                             iCAS                                                                 Ad Hoc
                                                                                                                                                                                                                                                                                                                   Data
                                                                                                                                                                                                                                                                                                                                                                                                     Claims           Construction Claim
                                                                                          Bidder, Subcontractor,                                                                                                                                                                                                                                                                                      Data                Reports
                                              OE                                            Bid Item Unit Costs
                                       Project Database                                                                                                                                                                                                                                                                                               CCIS
                                                                                                                                                                                     Low Bidder's Bid                                                                                                 Contract                                    Construction
                                                                                                                                                                                                                                            CAS
                                                                Low , First, Second, Third                                                                                            Item Unit Costs                                                                                                   Data                                           Claim
                                                                                                                                                                                                                                 Construction Administration
                                                              Bidders, Subcontractors, Bid                                                                                                                                                                                                                                                         Information                                                             Highw ay
                                                                                                                                             Project                 Project                       Work Item                               System                                                                                                                                                  Progress
                                                                           Price                                                                                                                                                                                                                                                                                                                                         Maintenance
                                                                                                                                           Description,             Location                      Description                                                                                                                                                                                      Estimates
                                                                                                                                                                                                                                                                                                                                                                                                                       Tracking System
                                                                                                                                            Location                                        Work Item
                                                                  Bid Item                                                                                                                  Unit Cost
                                       OE Item Database                                                  BID                                                                                                                                                                                                        Payment Data
                                                                    Data                                                                                                                                                                                                          Major & minor
                                                                                                     Bid Opening                                      Bid Item                                                                                                                                                         (tape)
                                                                                                                                                                                                                                                                              contract expenditures
                                                                                                                              Bid Item                Unit Cost
                                                                                                                             Description                                     CUC                                                                                                                                                                                                                    Claims
                                                                    Subcontractors                                                                                     Construction Unit                                                                                                                                                                                                                               Key Enter Claims
                                                                                                                                                                                                                                                                                                                                                                                                     Data
                                                                                                                                                                             Cost                                                                                                                                                                                                                                             Data
                                      OE Disadvantaged                                                          Project Description,                                       System                                                                                                                                       ECR                                                                                            (Districts & HQ)
                                                                                                                                                                                                                                                                                            Payment
                                         Business                                                              Location, Bid Item Unit                                                                                                                                                                            Engineering Cost                   SCO
                                                                                                                                                                                                   Project Description, Location,                                                             Data                   Reporting
                                         Database                                                              Costs and Quantities                                                                                                                                                                                                             State Controller
                                                                                                                                                     Bid Item                                            Bid Item Unit Cost,
                                                                                                     Low Bid Item                                   Description                                       Quantity and Total Cost
                                                                                                        Cost                                                                                                                                                                                                          FPRS
                                                                                                                                 BEES
                                                                                                                                                                                                                                                                                                                 Federal Projects
                                                                          Bid Item                                         Basic Engineering                                                                                                                                                   Payment
                                                                                                                                                                                                                                                                                                                 Reporting System
                                                                      Number, Quantity,                                        Estimating                                                                                                                                                        Data
                                                                         Unit Cost
                                                                                                                                                                                                     Item Number,
                                                                                                                                                                                                  Item Description,                                                                                                    PETS
                                                                                                                                                               Bid Item
                                                                                                                                                                                                       Item Cost,                                                                                                 Payment History
                                                                                                                                                              Description
                                                                                                                         Bridge: Description,                                                      Project Location                                                                                                   System
                                                                                                                        Location, Bit Item Costs
                                             Key Enter PS&E
                                             Document Data                                 For Bridges: Low , First,
                                                                                                                                                                         Item Updates
                                                                                           Second, Third Bidders,
                                                                                             Bid Item Unit Costs                                                                                                                                                    Payment
                                                                                                                                                                                                           Contract Cost                                              Data                Infrastructure
                                                                                                                                                                                                                                                                                                                                                                                                                                   Legend
                                                                                                                                 BBA                                                                                                              Contract
                                                                                                                             Bridge Bid                                                                     Data Report                                                                     Asset Data
                                                                                                                                                                                                                                                 Schedules
                                                                                                                           Analysis System                                                                                                                                                                                                                         A square, w hite rectangle                                     A rounded, w hite rectangle
                                                                                                                                                                                                                                                                     Excel
                                                                                                                                                                                                                                                                  spreadsheet                                                                    SYSTEM            represents a Caltrans                        Organization      represents an external
                                                                                                                                                                         Key Enter Item
                                                                                                                                                                                                                                                                                                                                                                   Information System                                             organization or stakeholder
                                                                                                                                                                           Updates
                                                                                                                                                                                                                                                                                                                                                                                                                                                                    SYSTEM

                                                                                                                                                                                                                                Payment          CAPITAL                                    GASB 34                                                                A square, w hite rectangle                                     A square, green rectangle
                                                                                                                                                                                                                                                    Capital         Payment
                                                                                                                                                                                                                                  Data                                                     Prospective                                           SYSTEM            w ith gray shadow represents                  SYSTEM           represents a reporting system                    Gray shapes indicate
                                                                                                                                                                                                                                                 Allocations          Data                  Reporting                                                              a system that supports CMS                                     or data w arehouse                               systems, documents, or
                                                                                                                                                                                                Payment Estimate                                 Database                                                                                                                                                                                                                          manual inputs that are
                                                                                                                                                                                                    Report                                                                                                                                                                                                                                                        Key Enter Data   replaced by the proposed
                                                                                                                                                                                                                                                                                                                                                                   A w hite "keyboard"                                                                                             CMS system
                                                                                                                                                                                                                                       Payment                                                                                                                                                                   Document         A w hite "document"
                                                                                                                                                                                                                                         Data                    Final Utilization                                                                                 represents a manual input to a
                                                                                                                                                                                                                                                                                                                                                                                                                                  represents a paper report         Document
                                                                                                                                                                                                                                                                    Database                                                                   Key Enter Data      system

                                                                                                                                                                                 Construction                                            WCCP
                                                                                                                                                                                Payment Web                   Payment                     Web                                                                                                                      A solid line indicates an                                      A dotted line indicates a
                                                                                                                                                                                   Reports                                            Construction
                                                                                                                                                                                                                Data                                                                                                                               Data            electronic flow of data                         Data           manual input of data from one
                                                                                                                                                                                                                                        Contract
                                                                                                                                                                                                                                       Payments                                                                                                                    betw een systems                                               system to another




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                                                                                                                  Caltrans Integration Study
                                                                                                          "As Is" R/W System Relationship Diagram
                                                                                                                                                                                                                                                                                                               CLELR
                                                                                                              District, EA,                                                                                                                                                                              Right of Way Claim
              CTIPS        Programmed $                                                                          Parcel,                                                                                                                                                                                         Log
             California     (entered into           PMCS                                                        Location                                                                                                                                                                                   & Excess Land
          Transportation                                                                        EA,                                                                                                                                                                                                       Reporting System
                           both systems     Project Management &                               Parcel,
           Improvement       manually at        Control System              EA,               Location
          Project System    time of CT C                                   Parcel,
                                 vote)                                    Location


                                                                                                                                                                                                                                                                                                            Right of Way
                                                  District, EA,                                                                     EA, Certification                                                                                                                                                        Accounting
                                                     Parcel,                                                                              Date,
                                                                                                           RUMS                     Relocation Costs
                                                                                                                                                                                                                                                                                                            Control Log
                                             Location, Milestones,
            Estimated                          Estimated Capital                                Right of Way Utility Relocation
             Project                            Outlay (?) Costs                                           System
          Support Costs

                                                                                                                                                                                                              Airspace,
                                                                                                                                                                              RW PS                           Propertie
                                                                                                                                                             Right of Way Property Management System              s
                                                                                                                                                                                                              Airspace,                                                                                         FMIS
                                                                                          Parcel, Contract                                                                                                                                                                                               Fiscal Management
                                                                                                                                                                                                              Propertie
                                                                                            Award Date,
                                                                                         Displaced Persons
                                                                                                                                                                                                                   s                                                         TPRC                        Information System
                                                                                Parcel
                                                                                  s                                                                                                                                                                                       Right of Way
              XPM          Milestones,               IRW S                       Data                                                                                                                                                                                     Management
          Expert Project    Estimated       Integrated Right of Way                                                                                                                                                                                                         System
            Manager           Costs                  System
                                                                         Parcels                                                                                                                                                                                                                              Federal
                                                                         Acquired                                                                                                                                                RW MIS                                                                   Reimbursement $
                                                                                                                                                                                           Daily Deposit                       Right of Way                 Production
                                                                                                                                                                          AP T rans         Summary                                                             &
                                                                                                                                                             AR                                                                Management                    Workload
                                                                                                                                                                       (AR off-set due
                                                                                                                                                        T ransactio
                                                                                                                                                                      to maintenance
                                                                                                                                                                                                                                Information                    Data
                                                                                                              AP                                        n - Rental
                                                                                                                                                                        performed by                                              System
                                                                                                         T ransactio                                     Invoices
                                                                                                               n                                                          tenants)
                                                                                                                                                                                               ARS
                                                                                                                                                                                                                                                                                                          State Treasurer's
                                                                                                                                                                                             Accounts                                                                                      Checks           Office (STO)
                                                                                                                                                                                            Receivable                                                                                     Cleare
                                                                                                                                                                                                                                          Excess
                                                                                                                                                                                                                                                                                              d
                                                                                                                                                                                                                                           Land
                                                                                                                                                                                                                                           Sales                 Excess
                                                                                                                                                                                               Interest                                                           Land
                                                                                                                                                                                                                                                                 Sales                                       Notification of
                                                                                                                                                                                           T ransactions                                                                                                Federal Reimbursement
                                                                                                                                                                                                                                                                             Capital
                                               AP T ransaction -                                                                                                                                                                                                                                                    $
                                                                                                                                                                                                                                                                             Outlay
                                            Acquisition Invoice Form
                                             & Federal Participation                                                                                                                                                                             ELMS                       Support
                                                                                                                                                                                                                                          Right of Way Excess             Expenditures
                                                 Memorandum                                                                                                                                      ELI
                                                                                                                                                                                                                          Timesheet          Lands System
                                                                                                                                                                                             Excess Land
                                                                                                                                                                                                                             Data
                                                                                                                                                                                         Interest Reporting                                                                                               State Controller's
                                                                                                                                                                                                                                                                                                            Office (SCO)

                                                                                                                                                                                             1098 Data
                                                                                                                                                                                                File                                                                                        Electroni
                                                                                                                                                                                                                                                Parcel
                                                                                                                                                                                                                                                                                                c                                Claim
                                                                                                                                                                                                                                              Acquisition
                                                                                                                                                                                                                                                   $                                         Claim              EFT             Schedule
                                                                                                                                                                                         Internal Revenue                                                                                   Schedul           Paymen               s
                                                                                                                                                                                              Service                                                                                           e                 t
                                                                                                                                                                                                                                                                                                                File




                                                                                                                                                                       TRAMS




                                                                                                                                                                      Legend
                                                                                          A square, w hite rectangle                                          A rounded, w hite rectangle                                             A solid line indicates an
                                                                       SYSTEM             represents a Caltrans                      Organization             represents an external                           Data                   electronic flow of data
                                                                                          Information System                                                  organization or stakeholder                                             betw een systems

                                                                                          A square, yellow                                                    A rounded, yellow rectangle
                                                                                                                                                                                                                                      A dotted line indicates a
                                                                                          rectangle indicates that a                                          indicates that an organization
                                                                       SYSTEM                                                        Organization                                                             Data                    manual input of data from one
                                                                                          system is located more                                              is located more than once on
                                                                                                                                                                                                                                      system to another
                                                                                          than once on the diagram                                            the diagram
                                                                                                                                                               A square, blue rectangle                                               A dotted line w ith tw o arrow s
                                                                                          A square, red rectangle
                                                                       SYSTEM                                                           SYSTEM                 indicates that the system                                              indicates a manual input of
                                                                                          indicates that no action/                                                                                            Data
                                                                                                                                                               w ill be interfaced w ith                                              data into tw o systems at the
                                                                                          changes to the system
                                                                                                                                                               ERP/DW                                                                 same time




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                                                                                                              Caltrans Integration Study
                                                                                                   Current Programming/Budgeting System Diagram


                              Notice of
                              Federal
                                                           State Treasurer's                 Federal
                                                                                         Reimbursement $                                                                                                                             MPOs
                          Reimbursement $                    Office (STO)


                                                                                                                FMIS
                                                                                                                Fiscal
         State Controller's
                                                                                                            Management
           Office (SCO)                                                                                                                                                                                                                                                                                                              Forecasts
                                                                                                             Information                                                                                                              FTIP
                                                                                                               System                                                                                                                Project
                                                                                                                                                                                                                                   Description,
                                                                     Federal                                                                                                                                                      Cost Estimate
                                                                       Aid
                                                                      Billing
                                                                                                                                                                                                                                                                                                                                       BPMS
                                                                       File                                                                                                                                                                                       Amount Available
                                                                                                                                                                                                                                                                  for Programming
                                                                                                                                                                                                                                                                                                                    Funds Estimate                 Cash Forecast
                  Notification of                                                                                                                                                                                                                                 Amount Already                                     Spreadsheet                     Modeler
                     Federal
                                                                                                                                                                                                         BMS
                                                                                                                                                                                                        Bridge                                                     Programmed
                 Reimbursement $
                                                                                                                                                                                                      Management
                                                   FMIS                                                                                                                                                 System
                                                    Edit
                                                    File
    Personal
    Service                                                                                                                                                                  CTIFS
  Expenditures

                                                                                                                                                        Local Assistance
                                                                                                                                                         FileMaker Pro
                                                            Daily                                                                                                                                                                                                                              Highway
                                                                                                                                                           Databases
                                                           Project
                                                           Updates                                                      Daily
                                                                                                                                                                                                                                                              Allocations                    Maintenance
                                                                                                                       Project                                                                                                                                                             Tracking System
                                                                                                   Request Approval    Update
                                                                                                      to Proceed                                                   Project                       Bridge
                                                                                                      (E76 Data)                                                    Data                          Data


                                                                                                                                    Project       Project
                                                                                                                                    Update,        Data
                                                                                                                                   Obligation
                                                                                                                                    Amount                                                             Project                              CTIPS                   Programmed $
                                                                                                                                                                                                                                                                                                                                       BEES
                                                                                                             FADS                                                               LP2000               Description,                          California             (entered into both                           Project                  Basic
                                                                                                         Federal Aid Data                                                    Local Programs         Programmed $                        Transportation                 systems                               Description,            Engineering
                                                                                  Appropriation-                                                                                                                     Allocation
                                                                                                             System                                                               2000                                                   Improvement              manually at time of                       Bid Item Cost            Estimating
                                                                                      Level                                                                                                                          Requests
                                                                                                                                                                                                                                        Project System                CTC vote)                                                        System
                                                                                   Adjustments

                                                                                                                                                            Programmed $,
                                                        CBARS                                                                                                Obligated $,
                                                      Current Billing                                                                                       Encumbered $
                                                   & Reporting System                Final
                                                                                                      RTL Date
                                                                                    Voucher                                                                                Expenditures
                                                                                     Data
                                                                                                                                      LPAMS
                                                                                                                                                                            (view only)
                                                                                                                                   Local Programs                                                                                                 Estimated
                                                                                                                                   Accounting and                                                                                                  Project
                                                                                                               Federal              Management                                                                                                     Support
                                                                                                              Obligated               System                                                                                                        Costs
                                                                                                               Amount/                                                                                                                                                                          PMCS
                                                                                                             Authorization
                                                                                                                 Date                                                                                                                                                                           Project
                                                                                                                                                                                                       Project                                                                               Management &
                                                                                                                                                                                                   Milestone Dates                                                                           Control System


                                                                                                           Office Engineer                                                                                                                                                  Programmed $
                                                                                                                Project                                                                                   SHOPP Award $
                                                                                                              Database                                                      Project Tasks,
                                                                                                                                                                       Project Milestone Dates


                                                                                                                                                                                                          Programmed $
                                                                                                                                   EA
                                                                                                                                  Table                                                                                                                         PRSM
                                                                                                                                           AP                                       EVRS                                                                                                       District
                                                                                                                                          Trans                                  Earned Value                   Project Tasks,               XPM              Project Tasks,
                                                                                                                                                                                                                                                                Estimated                    Scheduling
                                                             AR                                                                                                                   Reporting                    Estimated Hours           Expert Project
                                                            Trans
                                                                                                                                                    Milestone Dates
                                                                                                                                                                                                                                           Manager             Resources                     Applications
                                                                                                                                                                                   System                                                                                                   (shadow systems)



                                                                                                                                                                                  Expenditure
                                                                                                                                                                                     Data                                                                                                                                                           Revenues &
                                                                                                                                                                                                                                                                                                                                                    Expenditures


           BMS                      Expenditure
          Budget                       Data
         Monitoring                    Appropriation
          System                          Data                                                                        TRAMS
                                                                                                              Transportation Accounting
                                                                                                                Management System




                                                                                                                                                                                   Legend

                                                                                                                                                                                                                                                               A light blue rectangle with
                                                                                                   A square, white rectangle                                                       A rounded, white rectangle
                                                                                                                                                                                                                                                               dashed lines represents a
                                                                                SYSTEM             represents a Caltrans                                    Organization           represents an external                                         SYSTEM
                                                                                                                                                                                                                                                               proposed Caltrans
                                                                                                   Information System                                                              organization or stakeholder
                                                                                                                                                                                                                                                               Information System


                                                                                                                                 A solid line indicates an                                                        A dotted line indicates a
                                                                                                              Data               electronic flow of data                                    Data                  manual input of data from one
                                                                                                                                 between systems                                                                  system to another




FINAL                                                                                                                                                  November, 2003                                                                                                                                                 Page 98 of 104
Caltrans Integration Study                                                  Conceptual Architecture


7.4 APPENDIX D – GUIDING PRINCIPLES INTERVIEW TEMPLATE




                          Caltrans Integration Study (CIS)
Conceptual Architecture – Guiding Principles Discussion Topics
                                        September 2003
PURPOSE:
To gather Guiding Principles and constraints that will be used to provide context and direction for the
development of the CIS conceptual architecture. Constraints are factors that limit how the architecture
is designed. ―Guiding Principles‖ are factors important to the enterprise with which the architecture
must align. Together these provide context, guidance and the high-level framework for the
development of the architecture. The recommendations and decisions with the conceptual architecture
will trace back to these Guiding Principles and constraints.

Topics/Agenda:
   1. Overview of CIS scope and purpose of conceptual architecture
   2. Questions and answer discussion
   3. Wrap-up – confirm key points from notes.


Many of these questions are open ended and high level to help elicit the individual‘s viewpoint.

1. Department Vision:
   In your view, what is the Department‘s Vision for the financial system of the future?

2. Funding:
   In your view, how and to what degree does the current budget crisis impact the department‘s ability
   to implement new systems and in particular the proposed systems (FMS, CMS, CTIFS, CLMS).




FINAL                                  November, 2003                           Page 99 of 104
Caltrans Integration Study                                                  Conceptual Architecture

3. Additional Constraints:
   In your view, what additional constraints should we take into account in developing the Conceptual
   Architecture?

4. Order of Functional Implementation:
   Do you have an opinion on the order in which financial functionality (A/R, A/P, GL, Procurement,
   Asset MGMT, Inventory, Budgets) would be implemented? Please explain the rationale behind
   your viewpoint.
   Do you have an option on the order in which you would implement proposed systems (FMS, CMS,
   CLMS, PRSM (project budgeting/expenditure monitoring), or CTIFS)? Please explain the
   rationale behind your viewpoint.

5. Financial Reporting:
   In our baseline findings, we found there are many issues relating to financial reporting. In your
   view, how important is financial reporting? We are aware that there have been several previous
   data warehouse initiatives within the department. Do you have an opinion on the success and
   lessons-learned from these projects? Please explain.

6. Existing Systems:
   In your opinion, are there any systems (such as those listed below) that are ―off limits‖ meaning
   that should not be fully replaced?
             TOPSS
             IMMS
             FA
             PISA
             PRSM(proposed)
             BPMS(proposed)
             Other?

7. Duplicate Functionality:
   Both CLMS and CMS contain accounts receivable (A/R) and accounts payable (A/P) functionality;
   in your opinion, is it okay that these proposed systems contain the detailed information and pass
   the summary to the ERP, or should all A/R and A/P functions be contained within the financial
   ERP? Do you foresee making this happen? Please explain.

8. Change Management:
   ERP‘s are implemented in various ways – one end of the spectrum is to have no customization and
   adapt your business processes to the system; the other end of the spectrum is to first design how
   you want to do business, then adapt the software to your business needs. Do you have an opinion
   on the preferable approach, and if so what are the factors involved?


FINAL                                    November, 2003                             Page 100 of 104
Caltrans Integration Study                                                    Conceptual Architecture


7.5 APPENDIX E - SYSTEM ACRONYMS
 System Acronym                                         Description

   A&E Database   Architecture and Engineering Database
       ADS        Aeronautics Database System is the airports inventory system
       AMI        Asset Management Inventory
      ARPS        Automated Remittance Processing System
       ARR        Accounts Receivable Reconciliation. The Cobol portion of the Accounts receivable
                  System (ARS) performs invoice reconciliation between the ARS & TRAMS systems.
         ARS      Accounts Receivable System. Processes the majority of Caltrans‟ accounts
                  receivables: billing, collection, invoice & installment bill processing, invoice aging,
                  queries & reporting.
         AVL      Active Vendor Listing reports vendors doing business with the Department
         BAS      Allocation Tracking System provides report of statewide budget allocations
         BBA      Bridge Bid Analysis System is used as a tool in estimating new bridge development
                  by accessing past records of installed bridges (PISA subsystem)
        BEES      Basic Engineering Estimating System is a subsystem of Project Information System
                  & Analysis (PISA). The PISA systems track the detail of project costs through the
                  estimating, bidding, & progress pay phases.
         BFI      Bulk Fuel Invoices Payment System performs pre-audit steps by matching records,
                  calculating discounts, and preparing TRAM batch input documents
         BID      Bid Opening System facilitates verification of bids returned by construction firms for
                  contracts advertised & administered by the Department (PISA)
         BMS      Budget Monitoring Systems is an ad hoc reporting tool for allocations, expenditures,
                  & encumbrances.
         BMS      Bridge Management System
        CADb      District 4 data collection and reporting for the District Construction Program
        Capital   Capital Allocations Database records approved allocation for all capital outlay projects
        CAPS      Caltrans Accounts Payable System tracks invoices submitted from vendors &
                  generate checks to vendors. It also interfaces with SCO & includes document
                  management.
         CAS      Construction Administration System supports construction contract administration
                  by tracking contract items, CCOs, funding, contractor payments, etc., and initiates a
                  voucher to the State Controller to pay contractors for contract work completed.
        CATS      Contract Administration & Tracking Systems tracks contracts & provides canned or
                  ad hoc reports.
        CBARS     Current Billing & Reporting System captures federally eligible costs from TRAMS for
                  billing to the Federal Highway Administration
        CBAS      Contract Boilerplate Assembly System will process all MVS Word form templates
                  used by contract analysts. Depending on the contract type & based on the information
                  set up in the configuration file, CBAS will build a contract with all required clauses
                  automatically.
        CCIS      Construction Contract Information System tracks individual disputes throughout life
                  of contract.
         CCS      Centralized Conference Section
        CDPOS     Contract Delegation Purchase Order System creates purchase orders and purchase
                  estimates.
        CFPIS     Completed Federal Project Inventory System tracks the status of the final voucher
                  and project close-out activities
        CLELR     Right of Way Claim Log and Excess Land Transactions Reporting System
        CLMS      Construction Land Management System
         CLS      Accounts Payable Control Log System



FINAL                                   November, 2003                                 Page 101 of 104
Caltrans Integration Study                                                   Conceptual Architecture

 System Acronym                                        Description

      CMS         Construction Management System
    COMS / EAS    Capital Outlay Monitoring System/Expenditure Authorization System expedites,
                  track & processes expenditure authorizations and encumbrance posting.
     COSOAR       Capital Outlay Support Overhead Assessment Rates provides SB45 rate calculation
                  and generates entries to TRAMS (replacement system in development)
        CSTS      Contracts Status Tracking System
        CTIFS
        CTIPS     California Transportation Improvement Project System is the single data source for
                  MPO/STIP data statewide. MPOs & Caltrans staffs enter project information for
                  processing with the CTC & FHWA.
         CUC      Construction Unit Cost System maintains contract item descriptions & contract item
                  cost data
        DCP       SCO Daily Direct Claims Paid System
        DPRS      Duplicate Payment Reporting System designed to detect the possibility of duplicated
                  payments that may have been paid to a vendor
         DTS      Direct Transfer System
        PMDW      Project Management Data Warehouse maintains XPM (project management) &
                  timesheet information, operating file and EA table information
         EBR      Electronic Equipment Budget Request System is used to order replacement fleet
                  vehicles. It tracks and reports budget dollars available for generating an equipment
                  order.
         ECR      Engineering Cost Reporting System provides project-to-date expenditures from
                  TRAMS data
         ECS      Equipment Charge Statement Application generates a billing charge statement to
                  customers for the rental of fleet vehicles
         EDI      Electronic Data Interchange is the front end processor for PUBS for electronic utility
                  bills
        EFTD      Electronic Fund Transfer Database tracks enrollment application and payment
                  information
         ELI      Excess Land Interest Reporting System creates yearly 1098's for Excess Land
                  payments
        EPTS      Encroachment Permits Tracking System tracks permit receipt and approval process.
        EVRS      Earned Value Reporting System
        EWB       Extra Work Billing allows construction contractors to submit extra work bills
                  electronically and provides automated entry and data edits
         FA       Fleet Management manages highway equipment maintenance & usage
        FADS      Federal Aid Data System transmits project data to FHWA's FMIS system for state and
                  local projects to be funded with federal funds
      FPRS        Federal Projects Reporting System
     GASB 34      GASB 34 Prospective Process - FY 02/03 (in development)
       GIS        GIS
       iBID       iBID (proposed)
      ICRS        Independent Contractor's Reporting System
      IMMS        Integrated Maintenance Management System tracks purchases, material usage,
                  equipment usage, physical inventory, and enables expenditures analysis
        IRWS      Integrated Right of Way System tracks & manages acquisitions of property for
                  highway projects
         LDS      Labor Distribution System tracks labor costs & benefits
        LP2000    Local Programs 2000 supports local assistance fund management and project
                  implementation




FINAL                                  November, 2003                                 Page 102 of 104
Caltrans Integration Study                                                    Conceptual Architecture

 System Acronym                                        Description

        LPAMS     Local Programs Accounting and Management System tracks Local Assistance
                  project status and appropriation dollars. Electronically submits new and supplemental
                  EAs to EAS/COMS and financial transactions to TRAMS
        NOW       No Warrant System transfers funds electronically
         NZ       Net Zero System backs out previously expended costs at the Program level
        OAR       Overhead Assessment Reimbursement and Billing System generates reports and
                  transactions for overhead assessment. Creates overhead charges that feed into
                  TRAMS on reimbursement projects. Overhead on labor only.
         OET      Operating Expense Tracking Is used by a few districts to track contracts, purchase,
                  and payment information
        PARR      Payroll Account Receivable & Reporting System tracks payroll expenditures based
                  on information received from the SCO and tracks payroll receivables. Generates
                  TRAMS batch input documents for manual input.
        PCARS     Purchase Card Accounting and Requisition System electronically matches VISA
                  card receipts and statements for verification and payment
        PCU       Private Car Usage (also known as Private Car Mileage Reporting System) reports
                  information
        PDIS      Publications and Document Inventory System
        PETS      Progress Estimate Tracking System collects data from PISA and CASPAU and
                  displays data on the Internet
        PMCS      Project Management and Control System tracks project from initial study through the
                  Construction Phase
     PMS / TSN    Pavement Management System is the portion of TSN that stores & tracks information
                  collected from the field on pavement condition
         PSH      PETS Special Handling
        PTAS      Position Tracking Automated System
        PUBS      Paper Utility Bills System processes Caltrans‟ paper-based (as opposed to
                  electronically delivered) utility bills
        PUSV      Personal Use of State Vehicles reports personal use vehicles and relocation taxable
                  fringe benefits
        RBR       Rail Bonds/TCI Reporting System downloads expenditures from TRAMS and reports
                  status on Propositions 108 and 116
        RFS       Revolving Fund System reconciles Caltrans‟ revolving fund
        RPS       Reportable Payment System collects and sends 1099 data to FTB
        RRS       Rental Rates System maintains rental rate for all Caltrans equipment based on actual
                  costs. Generates charges to users of Caltrans fleet. Includes use on projects that are
                  federally reimbursable. Generates reports of American Petroleum Institute-API credit
                  card purchases.
        RUMS      Right of Way Utility Relocation System tracks utility relocations on Caltrans right of
                  way
        RWMIS     Right of Way Management Information System produces monthly and ad-hoc
                  reports
        RWPS      Right of Way Property Management System is the inventory & billing system for
                  property owned by Caltrans
         SAL      Salary Advance Monitoring System
         SB45     SB 45 Mainframe Overhead Calculation (in development, will replace COSOAR)
        SCATS     Service Contracts Automated Tracking System monitors contract balance and
                  payments made
         SCH3     Schedule 3 Reconciliation (in development)
        SCOPE     SCOPE
          SLB     Signals and Lighting Billing tracks signals & lighting costs and billings/receipts from
                  locals.



FINAL                                   November, 2003                                 Page 103 of 104
Caltrans Integration Study                                                 Conceptual Architecture

 System Acronym                                      Description

       SPEA       Single Project Expenditure Authorization
      STOCK       Stock System records material transfers from warehouse to Maintenance Units
       SUBS       Statewide Utility Billing System processes electronic bills from utility companies
     SVI/PCMS     Property Control Inventory System tracks HQ expendable & nonexpendable
                  equipment & creates files used for reporting
         SVS      Service and Supply Material Management System maintains inventories of materiel
                  & supplies at numerous district locations throughout the State & at OPAC's central
                  warehouse
        TAMS      Travel Advance Monitoring System tracks travel advances issued by DOA
        TBUS      Telephone Billing Upload System
        TERP      TEC: Reportable Payment Reporting System downloads TRAMS data for W-2 reporting
                  of travel expense reimbursement
         TMS      Transportation Management System Database
        TOMIS     Traffic Operations Management Information System (planned) will track production
                  rates, expenditures, and personnel information
        TOPSS     Transportation Operation and Project Support System contains personnel
                  information, time and leave balances, certification, licensing
        TPRC      Right of Way Management System tracks workload production
        TPRX      Right of Way Excess Lands Systems contains inventory of excess lands (also known
                  as ELMS)
        TRAMS     Transportation Accounting System
         TSN      Migration of Legacy (TASAS, Traffic Volumes, State Highway Inventory) to Oracle
         UNC      Uncleared FAE 8 Transactions
         URS      Vehicle Usage Reporting System tracks state vehicle usage
         VISA     VISA Download from the bank for reports
        WCCP      Construction Contract Payments. A report from Accounting's data posted on the
                  Internet displaying contractor payment information.
        XPM       Expert Project Manager tool provides scheduling and resource leveling capabilities.




FINAL                                 November, 2003                               Page 104 of 104

								
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