County of Los Angeles
CHIEF EXECUTIVE OFFICE
.713 KENNETH HAHN HALL OF ADMINISTRATION
LOS ANGELES, CALIFORNIA 90012
(213) 97+1101
http://ceo.lacounty .gov

WILLIAM T FUJIOKA

Board of Supervisors
GLORIA MOLINA
First District

Chief Executive Ofcer

YVONNE B. BURKE
Second District
ZEV YAROSLAVSKY
Third District

DON KNABE
Fourth District

MICHAL D. ANTONOVICH
Fifth District

May 6, 2008

The Honorable Board of Supervisors
County of Los Angeles
383 Kenneth Hahn Hall of Administration
500 West Temple Street
Los Angeles, California 90012
Dear Supervisors:

PROBATION DEPARTMENT: AMENDMENT TO AGREEMENT BETWEEN THE
COUNTY OF LOS ANGELES AND CAPITA TECHNOLOGIES, INC. FOR PROVISION
OF A PROBATION CASE MANAGEMENT SYSTEM
(3 VOTES)

CIO RECOMMENDATION: APPROVE (X) APPROVE WITH MODIFICATION ( )
DISAPPROVE' ( )

SUBJECT

On January 17, 2006, following your Board's approval, County and Capita

Technologies, Inc. (Capita) entered into an agreement (Agreement) for the
development, implementation, maintenance and support of a Probation Case

Management System (PCMS). Subsequent to the execution of the Agreement and the

start of system development, the Probation Department experienced changes in the
business and strategic direction. The purpose of the proposed amend

mentis to modify

and expand the scope of work for the development of PCMS as a result of such
changes and to provide the Probation Department with extension options for
maintenance and support services. (Amendment 1).

"To Enrich Lives Through Effective And Caring Service"

The Honorable Board of Supervisors
May 6, 2008
Page 2

IT IS RECOMMENDED THAT YOUR BOARD:

1. Approve and authorize the Chief Probation Offcer to finalize and execute
Amendment No. 1 to the Agreement with Capita for the provision of PCMS,
sUbstantially similar to the attached Amendment (Attachment I), to modify and
expand the scope of work for the development of PCMS and add an option to

extend the term of the maintenance and support services to be provided by
Capita for up to two (2) years beyond the original contract term. This amendment
increases the contract total by $5,377,753, to a maximum County obligation of

$9,530,635.
2. Approve the attached Appropriation Adjustment (Attachment II) in the amount of
$300,000 for fiscal year (FY) 2007-08 to provide funding from Provisional

Financing Uses (PFU), to the Probation Department (Probation) for Services and
Supplies to fund the completion of the design specifcations document and the

development of intenaces with the Live Scan System and DNA Offender
Tracking System (DOTS).

PURPOSElJUSTIFICA liON OF RECOMMENDED ACTIONS:

The purpose of the recommended actions is to authorize the Chief Probation Officer to
finalize and execute Amendment No. 1 that modifies and expands the PCMS business

requirements resulting from the changes in the business and strategic direction of
Probation. The recommended actions also include approval for the Chief Executive
Office to transfer funds in the amount of $300,000 from PFU, Services and Supplies, to
Probation, Services and Supplies to continue funding PCMS for FY 2007-08. A request

for funding from PFU for FY 2008-09 wil be included in the Final Budget changes for

that year. Specifically, this wil fund the completion of the design specifcations
document and the development of interfaces with the Live Scan System and DOTS.
The Live Scan System wil send minors' pictures to PCMS where they wil be stored and
displayed for Probation staff to retrieve and view. The DOTS system currently manages
minors' DNA data for the County. An interface between PCMS and the DOTS systems

wil be developed to receive DNA data and update PCMS.

The scope of work to be provided by Capita under the current terms of the Agreement
includes the development of a web-based PCMS, interfaces, data conversion. training,
an allocation for optional professional services and a one-year option for maintenance

and support upon County's election. To date, Capita has complied with all contract
deliverable requirements and met all deliverable deadlines. Changes in Probation's
business practices necessitating this Amendment include the adoption of evidence
based practices (ESP) and automated compliance with Title IV-E, accounting for

The Honorable Board of Supervisors

May 6, 2008
Page 3

additional PCMS functionality, such as system intenaces and reports, including

tutorials. .

performance indicators used to measure and report outcomes, as well as training and

This Amendment No. 1 also provides for professional services to be provided by Capita

for any unanticipated consulting services and softare modifications and up to two (2)
additional years of maintenance and support services, all upon County's election. The
Department anticipates being in production by September 2008.

Capita wil continue to provide the required services under the Agreement as it currently
stands and wil provide the additional services provided for by this Amendment No. 1
effective upon its execution by the parties following your Board's approvaL. The current
County maximum obligation under the Agreement is $4,152,882, fUlly funded by net
County cost (NCC) .and includes: $2,966,016 for the development and implementation

of PCMS; $890,266 for a one-year option for maintenance and support to commence,
upon County's election, upon completion of the 3-month warranty period; and $296,600
in pool dollars for County elected professional services.

This Amendment NO.1 wil increase the contract amount by a total of $5,377,753 and

includes the following amounts: $1,285,533 for PCMS development and

implementation; $146,662 for the first year of maintenance and support; $1,163,893 for
a second option year of additional maintenance and support; $931,115 for the third
option year of additional maintenance and support; and $1,850,550 for additional funds
set aside for optional professional services to be used at the County's election..
The allocation for optional professional services wil be used to interface with the

Department's future automated medical records system, additional forms and reports,
additional training, and other contingencies. This Amendment No.1, if approved, wil
increase the County maximum obligation for the term of the Agreement, including the
services added by this Amendment, to a total amount of $9,530,635. Approval of this

Amendment No. 1 wil ensure successful completion of PCMS implementation in

accordance with Probation's new business and strategic direction and system
maintenance for up to three (3) years.

Implementation of Strateoic Plan Goals
The recommended Board action is consistent with Countywide Strategic Plan Goal 3:
Organizational Effectiveness, as it ensures that service delivery systems are effcient,
effective and goal-oriented; and Goal 4: Fiscal Responsibility, as it strengthens the
County's fiscal capacity.

The Honorable Board of Supervisors
May 6, 2008
Page 4

FINANCIAL IMPACT/FINANCING:

The Probation Department plans to utilize $5,377,753 from the monies available in the

PFU budget originally earmarked for facility improvements for County buildings.
Currently $11.5 milion is in PFU earmarked for Probation of which $5.4 millon wil be
utilzed for the PCMS project.
For FY 2007-08, the $300,000 Appropriation Adjustment (Attachment II) wil transfer

funds from PFU to Probation and provide spending authority to the Probation
Department. Funding for the Agreement will be net County cost (NCC). The proposed
contract includes provisions for non-appropriation of funds and budget reductions.

FACTS AND PROVISIONS/LEGAL REQUIREMENTS:
All terms and conditions, including information technology (IT) provisions, included in
the existing Agreement will continue to apply to the Agreement following execution of

the proposed Amendment No.1.
County Counsel has reviewed this Amendment No. 1 and approved it as to form.

The County's Chief Information Offcer has reviewed Amendment No. 1 and its award
recommendation as indicated on the attached analysis (Attachment III). In compliance
with the Chief Information Officets guidelines, Probation wil utilize the Information

Technology Tracking System (ITIS) to monitor the project status and contractor's
performance.
CONTRACTING PROCESS:
For the period from March 15,2004 through April
30, 2005, Capita provided services for
$300,000 under a competitively bid Information Technology Support Services Master
Agreement (ITSSMA) work order to complete the first component of PCMS, which

consisted of gathering business and technical requirements for system design. The
ITSSMA work order was supplemented by $900,000 and was extended through
October 6, 2005 to allow for the continuation and completion of the system design.

Due to the size and scope of the project, a formal Board Agreement was negotiated with
Capita and presented to the Board for approvaL. On November 15, 2005, your Board
authorized the Chief Probation Officer to finalize and execute a sole source Agreement
with Capita for the completion of PCMS development and implementation, estimated at

18 months, and one year of optional maintenance and support to be provided by
Contractor upon County's election.

The Honorable Board of Supervisors
May 6, 2008
Page 5

IMPACT ON CURRENT SERVICES (OR PROJECTS):

This Amendment No. 1 wil allow Probation to continue implementation of the longrange objective to enhance its abilit to better manage all aspects of the Probation case
management tasks and processes and ensure completion of the development and
installation of PCMS as a mechanism to reach such objective.

CONCLUSION

Upon approval by your Board, it is requested that the Executive Officer/Clerk of the
Board return three (3) adopted stamped Board letters to Ms. Yolanda Young, Probation
Department, Contract Management Division, Director, 9150 East Imperial Highway,
Downey, CA 90242.
Respectflly submitted,

Reviewed by:

72

WILLIAM T FUJIOKA ~ -

Chief Executive Offcer
WTF:SRH:RDC
RBT:YV:yjf

Attachments (3)
c: Chief Administrative Offcer

County Counsel
Agreement.Capila.bl

RICHARD SANCHEZ

Interim Chief Information Offcer

cia ANALYSIS
AMENDMENT TO AGREEMENT WITH CAPITA FOR A
PROBATION CASE MANAGEMENT SYSTEM (PCMS)

CIO RECOMMENDATION: I: APPROVE D APPROVE WITH MODIFICATION
D DISAPPROVE
Contract Type:

D New Contract
D Sole Source Contract

I: Contract Amendment

D Hardware Acquisition

New/Revised Contract Term: Base Term: 30 Months

D Contract Extension

D Other

# of Option Months 36

Contract Components:
D Hardware

D. Software

D Telecommunications

I: Professional Services

Project Executive Sponsor: Robert Tavlor. Chief Probation Officer

Bud et Information:
Y-T-D Contract Ex enditures
Re uested Contract Amount
A re ate Contract Amount

$1,997,486
$5,377,753
$9,530,635

Project Background:
Yes No

D
D

I:

~

I: D

Is this project legislatively mandated?
Is this project subvented? If yes, what percentage is offset?
Is this projecVapplication applicable to (shared use or interfaced) other
departments? If yes, name the other departmènt(s) involved. Interfaces include
Sheriff's LiveScan and County's DNA On-Line Tracking System (DOTS) and
Juvenile
Automated Index (JAI).

Strategic Alignment:
Yes No

I:
I:
I:
I:
I:

D
D
D
D
D

Question

Question

Is this project in alignment with the County of Los Angeles Strategic Plan?
Is this project consistent with the currently approved Department Business
Automation Plan?

Does the project's technology solution comply with County of Los Angeles IT

Directions Document?
Does the project technology solution comply with preferred County of Los Angeles
IT Standards?
This contract and/or project and its milestone deliverables must be entered into the
Information Technology Tracking System (lTIS).

cia Analysis

Page 2 of 5
Project/Contract Description:

The Probation Department (Probation) is requesting authorization for the Chief Probation
Offcer to finalize and execute Amendment No.1 to the Agreement with Capita Technologies,
Inc. (Capita) to develop a Probation Case Management System (PCMS) for juveniles. The
Amendment wil provide for the development of additional functionality needed to meet
changes in Probation's business requirements for case management, including evidence

based practices (EBP), and automated compliance with Title IV-E. The Amendment wil also
add three additional years (two years of which are at the County's option) of maintenance and
support services and increase the contract maximum obligation by $5,377,753 from

$4,152,882 to $9,530,635.

Background:
Capita was originally selected via the County's Information Technology Support Services
Master Agreement (ITSSMA) to develop requirements for a PCMS. In January 2006, a sole
source Agreement with Capita to develop a PCMS was executed following approval by your
Board. The contract scope included delivery to Probation of the following PCMS application
components:
. Enterprise-wide portal architecture and centralized registry

. Juvenile institutions functionality
. Juvenile community probation case management functionality
. Interface to a centralized document repository

Sinct3 the inception

of

the PCMS de~elopment project,Probati~n has adopted newbusiness

strategies, êspeciallyEBP, thatreq'uirethe developiient-ofadditional case management
system functionality, including interfaces and reporting.

Project Justification/Benefits:

Capita has met Probation's requirements to date for PCMS project deliverables. The
Amendment to add additional system functionaliy is driven by the adoption of new Probation
business strategies, which are intended to reduce recidivism among minors. This Amendment

supports:
. Modifying the software that has been delivered to date in order to add new data fields to

system forms and database, as well as developing new reports, to meet new tracking and

reporting requirements;
. Developing new system interfaces to the DNA On-line Tracking System (DOTS) and

LiveScan System;
. Increasing pool dollars for future system enhancements, including developing interfaces to

the planned Probation Electronic Medical Records System (PEMRS), and developing
additional required forms and reports. Also, these pool dollars wil be used to acquire
additional training and meet potential future regulatory changes;

CIO Analysis
Page 3 of 5

. Providing for a total of three years of system maintenance and support; and

. Accounting for the Department's future plans to develop the skils among its in-house IT

staff to provide internal maintenance and support for PCMS after the third year of
operation, so that payments to Capita for maintenance and support will not be needed after
the third year of operations.
Project Metrics:

PCMS wil satisfy some federal Department of Justice (DOJ) recommendations and will allow
for measurement results of the programs and services utilzed in the supervision of minors
under the care of the Probation Department. PCMS wil provide the Deputy Probation Officer
(DPO) assessments of minors' needs with automatic generation of case plans and tracking of
program results, including tracking of education, which wil improve the care and rehabiltation
of minors, all of which wil ultimately result in a lower recidivism rate. This recidivism rate wil
be tracked in PCMS via performance indicators such as PCMS Performance Counts! reports
and PCMS Juvenile Outcomes and Performance Indicators that have been identified at an
overall department leveL. The PCMS also addresses specific areas for the Juvenile Field
Services, Juvenile Special Services, Detention Services, Residential Treatment Services

(Camps), and Placement Services Bureaus. The System wil be able to measure this

performance and many other metrics in order to help the Probation Department make informed
decisions and be more cost effective, while improving services. In addition, PCMS wil provide

the abilty to easily share data with other departments or agencies to improve data sharing.
Impact On Service Delivery Or Department Operations, If Proposal

Is Not Approved:

If the project does not move forward as approved, Probation will be less able to implement its
new business strategy, such as evidence-based practices. This may result in less effective
probation case management outcomes.

Alternatives Considered:
The sole source amendment approach was chosen because of Capita's familarity with the
current business requirements and system, their successful performance on the current
contract, the significantly reduced time needed to complete the additional development of the
system and their abilty to move the PCMS into production deployment by modifying the
existing Capita agreement.
Project Risks:

Project risks are similar to those faced by other projects for the development and deployment

of a mission-critical operational system. Three key project risks in particular have been
identified:

1. Changing Business Requirements/Scope - Continual changes are being requested in
order to meet Probation's strategic goals and legislative changes. Probation is moving to

CIO Analysis
Page 4 of 5

ESP throughout all functions of supervision/detention/camps, which involves significant
efforts to develop better assessments that wil automatically develop the case plan.
Moreover, new requirements may result from the Probation camp redesign called for by the
DOJ/CWLA audit.
2. Resource Availabilty - The Technical Project Team is very small and has a limited

number of dedicated project members. Technical Project Team members are also
responsible for maintaining nine (9) production applications that will be replaced by PCMS.

3. End-User Training - PCMS will replace four (4) major juvenile systems in a one-time
(versus a phased) implementation approach. Approximately 3,500 - 4,000 users from

Juvenile Halls, Camps, and the 'Field' will need to be trained on the use of PCMS. The
challenge is to provide the number of trainers needed, find the locations to train, and
formulate a plan enabling the Department to train this high number of users as close to the
implementation date as possible to increase training effectiveness.

Risk Mitigation Measures:
General risk mitigation measures to be deployed by Probation include:

Leadership and support for the new case management business processes and associated

system functions by Probation executive management;
Use of industry-standard project management techniques by the County and Capita;
- Appropriate project management resources; and

Clearly defineddeliv(3rable acceptance criteria, system testing, user training classes,
resources and schedule.

Probation wil employ the following measures to mitigate the specific risks identified above:
. Changing Business Requirements/Scope - With the contract amendment Probation wil
expand the original scope to respond to the more critical changes identified. Any other

changes wil be identified as out of scope. Out of scope requests will be documented in
order to determine the feasibility of implementing them as part of maintenance, following
deployment. Deployment is currently planned for 03 2008.
. Resource Availabilty - Probation has identified approximately 35 - 40 personnel from

other units to assist in project tasks, including testing and training. Probation has also
identified project team members and analysts from other units that can work overtime.

cia Analysis

Page 5 of 5

. User Training - Probation IT is working closely with the end-user training office in this

effort. There are already tasks in progress where potential training sites are being
identified. Laptops have been purchased for the satellte training classes and Probation IT
is currently testing for wireless access to PCMS. The Training office is working to identify
which users need to attend training closer to the implementation date and which users can
be trained much earlier or later. Approximately 35-40 Probation personnel wil act as

trainers and wil provide post-implementation support.

Financial Analysis:
This Amendment wil increase the contract maximum obligation by $5,377,753, from
$4,152,882 to $9,530,635. The Amendment costs are identified in the table below.

Description
Development & Implementation Services
Contract Pool Dollars
Maintenance & Support

Total

Amount
1,285,533
1,850,550

$

...

2,241,670
5,377,753

$

The Department represents that funding for this Amendment is included in Probation's current

and future operating budgets.
CIO Concerns:

None.

CIO Recommendations:
My Office recommends Board approval of the Amendment to the current Agreement.

CIO APPROVAL
Date Received: 4/17/2008

Prepared by:

John Arnstein

Date:

Approved:
Date:
P:\Drafts\CIO BRD ANALYSIS - Capita PCMS 4-17-08.doc

g

Attachment II
PINK

BOARD OF
SUPERVISORS
OFFICIAL COpy

76R 352M 11/83

COUNT OF LOS ANGELES
DEFT'S.
NO.

REQUEST FOR APPROPRIATION ADJUSTMENT
DEPARTEI' OF ProbatIon

APRIL.

060
2008

10

AUDITOR-CONTOLlER.
THE FOL.L.OWlNG APPROPRIATION ADJUSTMEN IS DEEMED NECESSARY BY THIS DEPARMEN. WILl YOU PL.E REPORT AS TO

AND AVAILAL.E BAU'CES AND FORWARD TO THE CHIEF ExCl1VE OFFCER FOR HIS RECOMMENDATION OR ACTION.

ACCOUNTING

ADJUSTMENT REQUESED AND REAONS THEREFOR

FY 2007-08/

3 - VOTES/
SOURCES
/P~9.visi~al fÍnangig Us~-: CoK~ '$,,~

USES
..~obation Support.Servic~s

A01-BS-2000-13749-13758

A01-PB-2ÓOO-17ÖOO-17100
, Services and Supplies

/Services and Supplies

$300,000

. $300,000/

APPROPRIATION DECREASE

INCREASE APPROPRIATION

JUSTIFICATION
./ This appropriation adjustment Is needed to transfer funds from the Provisional Financing Uses to provide funding to the
Probation Department to modify and expand the scope of work for the development of a Probation Case Management

System and to provide extension options for maintenance and support services.

~ /
d Corser, Man;ger - CEO

CHIEF ExECUTIVE OFFICER'S REpORT

REFERRED TO THE CHIEF
ExECUTIV OFFICER FOR -

ACTION

BY~i

( RECOMMENDATION

AUDITOR-ONTROL.R

NO. JJ 3

+U 1'7

APPROVED AS REQUESTED

V AS REVISED

~_ lit 200g

f) ~L2
20

APPROVED CA REVISED):
BOARD OF SUPERISORS

20 ct

SEND 6 COPIES TO THE AUDITOR-CONTROLLER

~ExECUTE OI'ER

BY

DEP COUNT CLERK