Roles Responsibilities Matrix

APD Process
LEGEND: ROLES
A = Assists Primary
OSI APD Team County (APD Development Team) CWDA SAWS CWS/CMS CDSS
B = Backup for Primary PROCESS
P = Primary (Responsible for) BOX
on
WORK OSI APD Division Dept. SAWS CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS
Submitted FLOW Review Team Dept APD APD IT IT Support IT Program Fiscal County CWDA Project Management APD CWS/CMS PO Quality Operations PO CWS/CMS CDSS CDSS
RESPONSIBILITIES by DIAGRAM Coordinator Coordinator Preparer Procurement & Ops Division Rep Unit Council Liaison Approvals (PO & CDSS FMM) Coordinator PO Support Assurance (IT SME) SSC Branch Legal Fiscal
Process 1.0 - County Responsibilities

Identify a project or EDP purchase Cindy 1.0 P

Vatalaro
respective to their division and budget
allocation.
Identify department infrastructure needs, Cindy 1.0 P
Vatalaro
equipment, services and staffing needs for
budget and APD preparation.
Identify funding sources for above Cindy 1.0 P
Vatalaro
acquisition requests.
Analyze project charters, purchase Cindy 1.0 P
Vatalaro
requests, operating budgets and funding
sources to determine if an APD is necessary
under CFR 45.
Determine if an APD is necessary using an Tami 1.1 P
Tactacan
APD checklist provided by the State.
Prepare APDs for annual budgets and Cindy 1.2 P
Vatalaro/
projects based on based on County, State & Tami
Federal Regulations and State APD Service Tactacan
Level Agreements (SLAs).
Order IT equipment/services once APD is Cindy 1.3 P
Vatalaro
approved.
Enter and deploy equipment into inventory Cindy P
Vatalaro
systems referencing APD number.
Review APDs prepared by the divisions Cindy P
Vatalaro
under the department umbrella.
Submit APDs to the State for review. Cindy 1.2 P
Vatalaro

Monitor APDs and provide clarification to Cindy 1.4 P

Vatalaro
State findings (CWS/CMS Findings Report).

Review OSI APD Review Team response Tami 1.4 P

Tactacan
letter (approval or disapproval) to APDs and
take action as necessary.
Revise APDs as required by the OSI APD Tami 1.4 P
Tactacan
Review Team.
Track progress of State review of APDs. Cindy P
Vatalaro

Ensure that completion reports are Cindy P

Vatalaro
submitted at fiscal year end.
Monitor every departmental IT request for Cindy P
Vatalaro
purchase to ensure APD compliance.
Notify appropriate division and fiscal unit of Cindy P
Vatalaro
APD approval and authorization to
purchase.
Conducts monthly APD User Group Cindy P
Vatalaro
meetings to keep division staff apprised of
State and Department APD requirement
changes.
Write and prepare department policy and Cindy P
Vatalaro
guidelines for APD preparation.

03/31/2011 08:27:00 Page 1 of 7

 Roles Responsibilities Matrix
APD Process
LEGEND: ROLES
A = Assists Primary
OSI APD Team County (APD Development Team) CWDA SAWS CWS/CMS CDSS
B = Backup for Primary PROCESS
P = Primary (Responsible for) BOX
on
WORK OSI APD Division Dept. SAWS CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS
Submitted FLOW Review Team Dept APD APD IT IT Support IT Program Fiscal County CWDA Project Management APD CWS/CMS PO Quality Operations PO CWS/CMS CDSS CDSS
RESPONSIBILITIES by DIAGRAM Coordinator Coordinator Preparer Procurement & Ops Division Rep Unit Council Liaison Approvals (PO & CDSS FMM) Coordinator PO Support Assurance (IT SME) SSC Branch Legal Fiscal
Provide input to planning of long term EDP Cindy P
Vatalaro
projects and budget planning.
Ensure that purchases fall within budgetary Cindy P
Vatalaro
appropriations before authorizing approval
to expend funds.
Notify Department of General Services that Cindy P
Vatalaro
all procurement documents for new contract
executions need State review and approval.

Determine if an APD is dual cost allocated Tami 2.1 P

Tactacan
using a SAWS vs. CWS/CMS Criteria
Checklist.
Determine if an APD addresses all the data Tami 2.1 P
Tactacan
components using the APD Guideline
Checklist.
Submit all procurement documents to State Cindy P
Vatalaro
for review and approval.

Maintain all APDs and reconciliation reports Cindy P

Vatalaro
in one central location for auditing purposes.

Receive equipment/services and ensure Cindy P

Vatalaro
correct cost coding and receipt approval

At end of year, create completion report and Cindy P

Vatalaro
submit supporting invoices for each
purchase.
Reconcile actual costs against what was Cindy P
Vatalaro
requested in APD
Transfer any items not purchased into next Cindy P
Vatalaro
year APD if still needed

Prepare claims for appropriate programs Cindy P

Vatalaro
referencing approved APD claim numbers
Process 2.0 - OSI APD Review Team
Responsibilities
Review county requisition process. Pat Cruz P

Review APD solicitation documents and Pat Cruz 2.0

contracts to ensure they meet the Federal
requirements.
Pre-analyze all APD’s and supporting Tami 2.1 P A P P P P P
Tactacan
documentation using the necessary
checklists prior to submission to appropriate
processing office(s) (CWS/CMS and/or
SAWS).
Act as a central point of contact to the Tami 2.1 P
Tactacan
counties regarding the APD process.
Notify County APD Preparer of required Tami 2.1 P
Tactacan
changes to APDs.

03/31/2011 08:27:00 Page 2 of 7

 Roles Responsibilities Matrix
APD Process
LEGEND: ROLES
A = Assists Primary
OSI APD Team County (APD Development Team) CWDA SAWS CWS/CMS CDSS
B = Backup for Primary PROCESS
P = Primary (Responsible for) BOX
on
WORK OSI APD Division Dept. SAWS CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS
Submitted FLOW Review Team Dept APD APD IT IT Support IT Program Fiscal County CWDA Project Management APD CWS/CMS PO Quality Operations PO CWS/CMS CDSS CDSS
RESPONSIBILITIES by DIAGRAM Coordinator Coordinator Preparer Procurement & Ops Division Rep Unit Council Liaison Approvals (PO & CDSS FMM) Coordinator PO Support Assurance (IT SME) SSC Branch Legal Fiscal
Submit non-CWS/CMS APDs to SAWS Tami 2.3 P
Tactacan
Project Approvals for processing.
Submit CWS/CMS APDs to CWS/CMS PO Tami 2.4 P
Tactacan
for processing.
Submit dual cost allocated APDs to SAWS Tami 2.2 P
Tactacan
Project Approvals and CWS/CMS PO for
processing.
Monitor and track APD processing with Tami 2.6 P
Tactacan
appropriate processing office(s) (CWS/CMS
and/or SAWS).
Notify County APD Preparer of approved Tami 2.7 P
Tactacan
APDs with an Approval Letter
(cc: appropriate processing office(s)
(CWS/CMS and/or SAWS).
Notify County APD Preparer of disapproved Tami 2.8 P
Tactacan
APDs with a Disapproval Letter
(cc: appropriate processing office(s)
(CWS/CMS and/or SAWS).
Process 3.0 - CWS/CMS Project Office
Responsibilities
Provide CWS/CMS expertise as necessary Tami 1.2
Tactacan
to the County APD Preparer regarding APD
development.
Participate as an OSI APD Review Team Tami 2.1 P
Tactacan
Member expert in regards to CWS/CMS
APD format and content.
Review and approve CWS/CMS portion of Kristine 2.2 P
Dudley
dual cost allocated APD's (CWS/CMS &
non-CWS/CMS)
Notify the county its APD is received for Jo Anne 3.1 B P
Takashima
CWS/CMS review (includes providing APD
tracking number). Assumption: the APD
packet is complete.
Input and process APD documents in MTS Jo Anne 3.1 B P
Takashima
and task to SMEs (Ops IT, SSC, PO
coordinators, CWDA Liaison, CDSS
Program, CDSS legal, QA). If APD is
<$10,000, CDSS Program is not tasked.
Document all SMEs findings for each APD Jo Anne 3.1 P P P P P P at theP discretion of Branc
Takashima
in the MTS task record.
Analyze all APD Review 1 findings and Jo Anne 3.2 P
Takashima
determine State recommendations
(approval, return to County for modification
and re-submission, escalation) for the APD.

Email MTS/APD deficiency findings to the Jo Anne 3.3 P

Takashima
county contact (a call to the county for
simple clarification is also an option).

03/31/2011 08:27:00 Page 3 of 7

 Roles Responsibilities Matrix
APD Process
LEGEND: ROLES
A = Assists Primary
OSI APD Team County (APD Development Team) CWDA SAWS CWS/CMS CDSS
B = Backup for Primary PROCESS
P = Primary (Responsible for) BOX
on
WORK OSI APD Division Dept. SAWS CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS
Submitted FLOW Review Team Dept APD APD IT IT Support IT Program Fiscal County CWDA Project Management APD CWS/CMS PO Quality Operations PO CWS/CMS CDSS CDSS
RESPONSIBILITIES by DIAGRAM Coordinator Coordinator Preparer Procurement & Ops Division Rep Unit Council Liaison Approvals (PO & CDSS FMM) Coordinator PO Support Assurance (IT SME) SSC Branch Legal Fiscal
Analyze all APD Review 2 findings and Jo Anne 3.2 P
Takashima
determines next steps (recommend
approval, disapproval, conditional approval
based upon minor corrections to be made
by County, escalation for management
resolution of outstanding issues.). If
disapproval is recommended, escalate the
APD must be escalated to management.

Make a decision or escalate APD Review 2 Jo Anne 3.2.1 (new P

Takashima
findings to FMM (senior management) for -use
issue resolution. decision
diamond)
Process revised APD documents as revised Jo Anne 3.1 B P
Takashima
by the counties.
Prepare the APD package and transmittal Jo Anne 4.3 (box P B
Takashima
letter prior to APD submission to ACF, and needed prior
submits all to CDSS Support for signature to this one)
and submission to ACF.

Review ACF responses to APDs and Jo Anne 4.4.1 (new P

Takashima
develop strategies to resolve or address -use
ACF issues. decision
diamond)
Prepares APD disapproval or approval Jo Anne 3.4 & 3.5 B P
Takashima
letters.
Task disapproval or approval letter to Jo Anne 3.4 & 3.5 B P
Takashima
reviewers.
Reviewers of the APD disapproval or Jo Anne 3.4 & 3.5 P P P P P P P
approval letter provide feedback/corrections. Takashima

Process 4.0 - CDSS (CWS/CMS Branch,

Legal & Fiscal) Responsibilities
CDSS has the authoritity to create new Tami
Tactacan
policies (input from all stakeholders is
considered).
CDSS Legal to participate as an OSI APD Tami 2.1 P
Tactacan
Review Team Member expert in regards to
County, State and Federal regulations.

CDSS Fiscal to participate as an OSI APD Tami 2.1 P

Tactacan
Review Team Member expert in regards to
cost allocation data format and accuracy.

CWS/CMS Support notifies CDSS Fiscal to Tami 4.1 P

Tactacan
review APDs over $10,000 (CWS/CMS
Branch gives CWS/CMS the authority to
approve anything under $10,000).

03/31/2011 08:27:00 Page 4 of 7

 Roles Responsibilities Matrix
APD Process
LEGEND: ROLES
A = Assists Primary
OSI APD Team County (APD Development Team) CWDA SAWS CWS/CMS CDSS
B = Backup for Primary PROCESS
P = Primary (Responsible for) BOX
on
WORK OSI APD Division Dept. SAWS CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS
Submitted FLOW Review Team Dept APD APD IT IT Support IT Program Fiscal County CWDA Project Management APD CWS/CMS PO Quality Operations PO CWS/CMS CDSS CDSS
RESPONSIBILITIES by DIAGRAM Coordinator Coordinator Preparer Procurement & Ops Division Rep Unit Council Liaison Approvals (PO & CDSS FMM) Coordinator PO Support Assurance (IT SME) SSC Branch Legal Fiscal
CDSS Fiscal reviews and approves State of Tami 4.2 P
Tactacan
California APDs that are over $10,000 prior
to submitting APDs to the Federal Funding
Partners.
CWS/CMS Support submits CDSS Tami 4.3 P
Tactacan
approved APDs to the ACF.
CWS/CMS Support notifies the OSI APD Tami 4.4 P
Tactacan
Review Team of ACF APD disapprovals.
CWS/CMS Support notifies the OSI APD Tami 4.5 P
Tactacan
Review Team of ACF APD approvals.
CWS/CMS Support tasks CDSS Fiscal to Jo Anne 4.1 P
Takashima
review APDs as necessary.
CDSS CWS/CMS Support receives county Ann Chehak P
APD including ongoing/multiple revisions to
county APD.
CDSS CWS/CMS Support reviews all Ann Chehak P
sections of the APD to ensure the county
request is in line with the CWS/CMS
SACWIS project and does not jeopardize
California's eligibility for federal funds and
does not duplicate existing functionality or
includes development of an external system
that duplicates existing functionality.

CDSS CWS/CMS Support ensures the cost Ann Chehak P

allocation methodology conforms to the
County Wefare Department Cost Allocation
Plan and as necessary, request or research
information regarding the equipment or
services requested to verify reasonableness
of the plan.

CDSS CWS/CMS Support coordinates Ann Chehak P

information with other CDSS units, program,
or outside agencies.
CDSS CWS/CMS Support reviews Ann Chehak P
benefiting programs to determine
reasonableness of the study, survey or
computer-generated statistics identifying the
ratio of SACWIS to NON-SACWIS costs.

CDSS CWS/CMS Support reviews the Ann Chehak P

procurement documents for conformance
with state and federal regulations.
CDSS CWS/CMS Support compiles and log Ann Chehak P
all CDSS comments into database and
Management Tracking System. Correspond
with the CWS/CMS Project Office.

CDSS CWS/CMS Support forwards the Ann Chehak P

County APD for CDSS Fiscal review.

03/31/2011 08:27:00 Page 5 of 7

 Roles Responsibilities Matrix
APD Process
LEGEND: ROLES
A = Assists Primary
OSI APD Team County (APD Development Team) CWDA SAWS CWS/CMS CDSS
B = Backup for Primary PROCESS
P = Primary (Responsible for) BOX
on
WORK OSI APD Division Dept. SAWS CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS
Submitted FLOW Review Team Dept APD APD IT IT Support IT Program Fiscal County CWDA Project Management APD CWS/CMS PO Quality Operations PO CWS/CMS CDSS CDSS
RESPONSIBILITIES by DIAGRAM Coordinator Coordinator Preparer Procurement & Ops Division Rep Unit Council Liaison Approvals (PO & CDSS FMM) Coordinator PO Support Assurance (IT SME) SSC Branch Legal Fiscal
CDSS CWS/CMS Support responds to Ann Chehak P
county questions in preparation of their
APDs.
CDSS CWS/CMS Support researches, Ann Chehak P
analyzes, and responds to inquiries
regarding the cost allocation methodology,
benefiting programs, SACWIS/NON-
SACWIS, and program and policy issues
identified by control agencies, program
and/or county staff.

CDSS CWS/CMS Support participates in Ann Chehak P

conferences and meetings with the county.

CDSS CWS/CMS Support reviews the draft Ann Chehak P

cover letters (drafted by CWS/CMS Project
Office) for those APDs that require Federal
approval and a CDSS official signs the
letter.
CDSS CWS/CMS Support answers all Ann Chehak P
questions and concerns from the Federal
Agency.
CDSS CWS/CMS Support participates in Ann Chehak P
negotiations with the federal government for
approval of the state/county request.
CDSS CWS/CMS Support, Legal and Fiscal Ann Chehak P P P
participate in conference calls with the
CWS/CMS Project Office to address the
State's response to Federal concerns
regarding an APD.
CDSS CWS/CMS Support reviews Ann Chehak P P
approve/denial letter drafted by CWS/CMS
Project Office. Compile and log all CDSS
comments into database and Management
Tracking System. Correspond with the
CWS/CMS Project Office.

CDSS CWS/CMS Support reviews and Ann Chehak P

comments on County APD Completion
Reports. Compile and log all CDSS
comments into database and Management
Tracking System II. Correspond with
CWS/CMS Project Office.

CDSS CWS/CMS Support & Legal Ann Chehak P P

documents, escalates and/or reviews draft
policy interpretations for federal/state laws
and regulations that impact the county APD
review process.
Participate in APD related training activities Ann Chehak P P P
to the counties or other entities as
requested.

03/31/2011 08:27:00 Page 6 of 7

 Roles Responsibilities Matrix
APD Process
LEGEND: ROLES
A = Assists Primary
OSI APD Team County (APD Development Team) CWDA SAWS CWS/CMS CDSS
B = Backup for Primary PROCESS
P = Primary (Responsible for) BOX
on
WORK OSI APD Division Dept. SAWS CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS PO CWS/CMS
Submitted FLOW Review Team Dept APD APD IT IT Support IT Program Fiscal County CWDA Project Management APD CWS/CMS PO Quality Operations PO CWS/CMS CDSS CDSS
RESPONSIBILITIES by DIAGRAM Coordinator Coordinator Preparer Procurement & Ops Division Rep Unit Council Liaison Approvals (PO & CDSS FMM) Coordinator PO Support Assurance (IT SME) SSC Branch Legal Fiscal
Process 5.0 - ACF Federal Funding
Partner Responsibilities
Review and approve State of California Tami 5.1
Tactacan
CWS/CMS APDs for Federal Funding.
Notify CDSS CWS/CMS Support/Branch of Tami 5.2
Tactacan
disapproved APDs with an Disapproval
Letter.
Notify CDSS CWS/CMS Support/Branch of Tami 5.3
Tactacan
approved APDs with an Approval Letter.

Process 6.0 - SAWS Project Approvals

Responsibilities
Provide SAWS expertise as necessary to Tami 1.2 A
Tactacan
the County APD Preparer regarding APD
development.
Participate as an OSI APD Review Team Tami 2.1 P
Tactacan
Member expert in regards to non-CWS/CMS
APD format and content.
Review and approve SAWS portion of dual Kristine 2.2 P
Dudley
cost allocated APD's (CWS/CMS & non-
CWS/CMS)
Review and approve State of California Tami 6.1 P
Tactacan
Non-CWS/CMS APDs for Federal Funding.

Determine if an APD needs Federal Tami 6.1 P

Tactacan
approval.
Notify the OSI APD Review Team of SAWS Tami 6.2
Tactacan
APD disapprovals.
Submit SAWS approved APDs to Tami 6.3
Tactacan
appropriate Federal Funding Partner(s).
Notify the OSI APD Review Team of SAWS Tami 6.4
Tactacan
Federal Funding Partner APD approvals.

Process 7.0 - SAWS Federal Funding

Partners Responsibilities
Review and approve State of California Tami 7.1
Tactacan
CWS/CMS APDs for Federal Funding.
Notify SAWS Project Approvals of Tami 7.2
Tactacan
disapproved APDs with an Disapproval
Letter.
Notify SAWS Project Approvals of approved Tami 7.3
Tactacan
APDs with an Approval Letter.

03/31/2011 08:27:00 Page 7 of 7