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DDEPARTMENTEPARTMENT OFOF W WORKFORCEORKFORCE S SOLUTIONSOLUTIONS

UUNEMPLOYMENTNEMPLOYMENT I INSURANCENSURANCE T TAXAX S SYSTEMYSTEM MMODERNIZATIONODERNIZATION P PROJECTROJECT (UI T (UI TAXAX) ) WITHWITH

AADDITIONDDITION OFOF UI C UI CLAIMSLAIMS

PROJECT MANAGEMENT PLAN PROJECT MANAGEMENT PLAN (PMP)(PMP)

EXECUTIVE SPONSOR – NEIL MEONI, NMDWS DEPUTY SECRETARY

BUSINESS OWNER – CASANDRA ENCINIAS, UI BUREAU CHIEF

BUSINESS OWNER – ALICE DOMINGUEZ, CHIEF OF TAX UNIT Business Owner - Casandra Encinias (interim), Chief of the Claims Unit

PROJECT MANAGER – PAUL MCNALLY

ORIGINAL PLAN DATE: MAY 4, 2007REVISION DATE: NOVEMBER 17, 2010

REVISION: 4.0

PROJECT MANAGEMENT PLAN FOR UI TAX


REVISION HISTORY.............................................................................................................................................. 3

1.0 PROJECT OVERVIEW...................................................................................................................................... 4

1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT....................................................................................................51.2 FUNDING AND SOURCES...........................................................................................................................................6

FY07 & Prior........................................................................................................................................................7FY09 & Prior........................................................................................................................................................8

1.3 ASSUMPTIONS.......................................................................................................................................................81.4 CONSTRAINTS, DEPENDENCIES, AND RISKS..................................................................................................................9

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURE...........................................................................12

2.1 STAKEHOLDERS....................................................................................................................................................122.2 PROJECT GOVERNANCE STRUCTURE.........................................................................................................................13

2.2.1 Describe the organizational structure – Org Chart...................................................................................132.2.2 Describe the role and members of the project steering committee.........................................................142.2.3 Organizational Boundaries, interfaces and responsibilities.....................................................................15

2.3 EXECUTIVE REPORTING..........................................................................................................................................18

3.0 SCOPE......................................................................................................................................................... 18

3.1 PROJECT OBJECTIVES............................................................................................................................................183.1.1 Business Objectives..................................................................................................................................183.1.2 Technical Objectives................................................................................................................................19

3.2 PROJECT EXCLUSIONS............................................................................................................................................193.3 CRITICAL SUCCESS FACTORS...................................................................................................................................19

4.0 PROJECT DELIVERABLES AND METHODOLOGY.............................................................................................20

4.1 PROJECT MANAGEMENT LIFE CYCLE........................................................................................................................204.1.1 Project Management Deliverables...........................................................................................................224.1.1.a Project Management Deliverables Tax Sub-Project.............................................................................224.1.1.b Project Management Deliverables Claims Sub-Project........................................................................25Deliverable: 3.A.D.3 Project Management Planning and Administration........................................................254.1.2 Deliverable Approval Authority Designations..........................................................................................274.1.3 Deliverable Acceptance Procedure...........................................................................................................273.A.D.3 Project Management Planning and Administration.............................................................................30

4.2 PRODUCT LIFE CYCLE.......................................................................................................................................304.2.1 Technical Strategy...................................................................................................................................334.2.2.a Product and Product Development Deliverables – Tax Sub-Project......................................................424.2.2.B Product and Product Development Deliverables – CLaims Sub-Project...............................................573.A.D.4 - HW/SW Specifications for Agency Procurement...............................................................................57Deliverable: 3.B.D.3 Establish UI Claims Knowledge Repository......................................................................58Deliverable: 3.B.D.1 Integrate System Environment Planning Document........................................................58Deliverable: 3.C.D.1 Detailed System Requirements........................................................................................60Deliverable: 3.A.D.1 Detailed Project Workplan..............................................................................................61Deliverable: 3.A.D.3 Project Management Planning and Administration........................................................61Deliverable: 3.K.D.1 Integrated UI Claims Training Plan..................................................................................64Deliverable: 3.D.D.1 Architectural Design........................................................................................................65Deliverable: 3.A.D.5 - Installing and Configuring Equipment...........................................................................67Deliverable: 3.G.D.1.A Data Conversion Design and Development – Part 1.....................................................67Deliverable: 3.B.D.7 Establish Production Environment...................................................................................69Deliverable: 3.B.D.4 Establish Development/Conversion Environments...........................................................69Deliverable: 3.B.D.3 Establish Proof-of-Concept Environment.........................................................................70Deliverable: 3.I.D.1.A Integrated Test Plan, Part 1...........................................................................................70

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Deliverable: 3.F.D.1.A System Development and Configuration Documentation, Part 1..................................72Deliverable: 3.H.D.1 Conceptual and Logical Data Model................................................................................73Deliverable: 3.G.D.1.B Data Conversion Design and Development, Part 2.......................................................74Deliverable: 3.E.D.1 Detailed System Design...................................................................................................76Deliverable: 3.H.D.2 Data Management Design..............................................................................................77Deliverable: 3.B.D.5 Establish Integration/System Test/UAT/QA Environments..............................................78Deliverable: 3.I.D.1.B UI Test Plan....................................................................................................................78Deliverable: 3.B.D.6 Establish Training Environment.......................................................................................80Deliverable: 3.G.D.1.C Data Conversion Design and Development Part 3........................................................80Deliverable: 3.L.D.1.A Production System Implementation Plan......................................................................81Deliverable: 3.F.D.1.B System Development and Configuration Documentation.............................................82Deliverable: 3.J.D.1 Baseline Documentation...................................................................................................83Deliverable: 3.J.D.2 UI Claims Operations Documentation..............................................................................83Deliverable: 3.I.D.2 UI Claims Test Results.......................................................................................................85Deliverable: 3.K.D.2 Execute the Training Plan................................................................................................85Deliverable: 3.A.D.2 Project Reporting.............................................................................................................86Deliverable: 3.G.D.2 Data Conversion Results..................................................................................................87Deliverable: 3.L.D.1.B Production System Implementation Plan......................................................................88Deliverable: 3.L.D.2 Production System Implementation.................................................................................89Deliverable: Final Project/Contract Closeout Letter.........................................................................................904.2.3 Deliverable Approval Authority Designations..........................................................................................914.2.4 Deliverable Acceptance Procedure...........................................................................................................91

5.0 PROJECT WORK........................................................................................................................................... 93

5.1 WORK BREAKDOWN STRUCTURE (WBS) AND SCHEDULE ALLOCATION...........................................................................935.2 PROJECT BUDGET.................................................................................................................................................94

5.2.1 Professional Services................................................................................................................................945.3 PROJECT TEAM....................................................................................................................................................98

5.3.1 Project Team Organizational Structure....................................................................................................985.3.2 Project Team Roles and Responsibilities..................................................................................................98

5.5 STAFF PLANNING AND RESOURCE ACQUISITION..............................................................................................1055.5.1 Project Staff – Deloitte...........................................................................................................................1055.5.2 Project Staff – DWS................................................................................................................................1065.5.3 Non-Personnel resources.......................................................................................................................110

5.6 PROJECT LOGISTICS.......................................................................................................................................1145.6.1 Project Team Training............................................................................................................................114

6.0 PROJECT MANAGEMENT AND CONTROLS..................................................................................................115

6.1 RISK AND ISSUE MANAGEMENT............................................................................................................................1156.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V.........................................................................................1156.3 SCOPE MANAGEMENT PLAN................................................................................................................................1156.4 PROJECT BUDGET MANAGEMENT..........................................................................................................................1156.5 COMMUNICATION PLAN......................................................................................................................................1156.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)...................................................................................1156.7 QUALITY OBJECTIVES AND CONTROL............................................................................................................1156.8 CONFIGURATION MANAGEMENT.................................................................................................................1156.9 PROCUREMENT MANAGEMENT PLAN..........................................................................................................115

7. 0 PROJECT CLOSE......................................................................................................................................... 116

7.1 Administrative Close.................................................................................................................................1167.2 Contract Close...........................................................................................................................................116

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REVISION HISTORYREVISION HISTORY

RREVISIONEVISION N NUMBERUMBER DDATEATE CCOMMENTOMMENT

1.0 4/20/07 Initial PMP Version for Requirements Phase

1.0a 5/02/07 Fix document reference error and finalize for Requirements Phase.

2.0 10/2/09 Revised the PMP utilizing the DoIT template (template revision date 7/27/07) as the starting point for the new document. Initial Working Draft – Chris Neitzey. Incorporates internal team review comments.

2.0a 10/12/09 Incorporated Steering Committee comments on draft submittal as well as expanding the sections on 6.1 Risk and Issue Management; 6.3 Scope Management and 6.5 Communication Plan.

2.0b 10/13/09 Incorporating comments from Roy Chandler, Julie Lopez-Casaus and Casandra Encinias.

2.0c 10/14/09 Document sent for technical edit.

2.0d 10/16/09 Additional updates to org charts, project schedule and financial representation.

2.0e 10/21/09 Incorporation of final tech edits and additional comments from Ron Martinez, John Salazar and clarifications from the Steering Committee Meeting.

2.1 10/23/09 Final Document Delivered; no additional changes.

2.1a 10/27/09 Cleared highlights

2.2 RM 12/7/09 Updates

3.0 2/26/10 Updated during UITSM Implementation: Phase 0 – Contract Initiation

4.0 11/17/2010 Updated as a result of Amending Contract to Add Claims Sub-Project

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1.0 PROJECT OVERVIEW1.0 PROJECT OVERVIEW The Agency has undertaken the acquisition and implementation of new UI Tax and Claims Processing Systems as part of an overall modernization of the Agency’s UI system. These new systems replace current UI Tax and Claims systems. Acquisition and implementation requirements for a new system are described in RFP #00-631-00-05505 (‘Implementation RFP’).

The DWS UIT&CSM Project is structured in response to the Implementation RFP requirements and Statements of Work.

DWS’ selection of Deloitte to assist with the implementation of modernized UI Tax and Claims Systems establishes a project foundation based on the following:

NMDWS goals, objectives and requirements. This project continues the work completed in prior phases and described in the Implementation RFP. We use the work done to date as our launching point for the project. We begin with Requirements Validation and move quickly to Design.

Proven Solution. Deloitte’s uFACTS Solution Framework serves as the basis to deliver UI Tax and Claims modernization for NMDWS. The uFACTS Solution Framework has delivered UI Tax and Claims modernization results for other states that are consistent with DWS’ projects goals and objectives. Preliminary fit/gap analyses for both Tax and Claims requirements have been conducted and will be validated during the Define phase activities.

Proven Project Plan. The project’s detailed project plan is tailored to the project requirements and reflects that the Tax and Claims system modernization efforts will be managed as a common project with two parallel design, development and implementation tracks, one for Tax and one for Claims. This plan is based on project plan foundations that have been successfully executed on prior UI modernization projects in other states. The Tax track includes four Phases with two major deliverable deployment phases that result in a UI Tax System deployment.

o Phase 0 – Kickoff and Project Management Plano Phase 1 - Employer Self Service is deployed in 12 months from the project starto Phase 2 - Tax System Core functionality is deployed in 26 months from the

project start.o Phase 3 – Warranty and Maintenance Support includes 6 months of defect and

enhancement support that begins after acceptance of Phase 2

The Claims track includes three Phases with a single deployment of Claims functionality.

o Phase 0 – Kickoff and Project Management Plano Phase 1 – Claims functionality is deployed in 17 months from the project starto Phase 2 – Warranty and Maintenance Support includes 6 months of defect and

enhancement support that begins after acceptance of Phase 1

The project’s work products and deliverable are based on the Implementation RFP and delivered in an incremental manner consistent with the RUP-based methodology.

The project plan emphasizes knowledge transfer between Deloitte and DWS.

Proven Staff. The project is led by integration professionals with prior UI Tax and Claims modernization experience. The vendor team is comprised of staff familiar with UI

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Tax and Claims business processes and DWS’ .NET technology platform. DWS has committed knowledgeable business and technical staff to this project throughout its duration.

1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT1.1 EXECUTIVE SUMMARY- RATIONALE FOR THE PROJECT

Currently the Agency UI Tax Section maintains accounts, processes quarterly reports, receives contributions and makes refunds, deposits and draws down funds, carries out various other transactions, and reports on approximately 46,000 active employer accounts. As part of the UI Tax system, the Agency currently processes and maintains quarterly wage record information for millions of workers.

The UI Claims section provides unemployment benefits to constituents. These activities are driven through claim registration, recertification, benefit extension programs and transaction processing along with payment transactions to claimants through the state fiscal agent.

The Agency also provides re-employment and job-related services to employers, employees, veterans, disabled workers, migrant and seasonal workers, economic developers and planners. The operational programs consist of Unemployment Insurance, Labor Market Services; plus the Compliance Programs consisting of Labor Law and Public Works, and Unlawful Discrimination. These units manage twenty-eight (28) distinct training and employment programs and are supported by the Executive Policy and Administrative Support groups. The Agency headquarters is located at 401 Broadway NE, Albuquerque, NM 87102. The headquarters supports twenty-six (26) Workforce Development Centers located throughout the state.

To aid in the accomplishment of these duties, both the UI Tax and Claims systems currently use various manual and automated system processes, which have evolved over the years. The present “core” automated systems in use at the Agency features disparate and sometimes obsolete technologies operating well over volume capacity, require expensive and error-prone maintenance to function, ineffectively leverage agency resources and are no longer suitable for the task. Various manual processes are necessary because of system deficiencies.

The Agency is moving towards improved employer and claimant services while increasing UI staff efficiencies and reducing duplicative, redundant processes. By implementing modern system replacements, the Agency will also enable efficient, accurate, timely, and cost-effective program administration.

The Agency envisions serving its employer community through multiple channels that best fit their needs including deployment of an Internet-based employer self-service portal. Using this portal, employers will be able to complete transactions that currently require one or more telephone calls or paper document submissions to the Agency. For example, employers would be able to register, maintain their profiles, inquire about their accounts, file contribution and wage reports, make payments, and obtain forms and regulatory documents. They will be able to accomplish all of these twenty-four hours a day, seven days a week at their convenience.

The Agency envisions serving its claimant community through a consolidated and common online interface delivered thought the uFACTS system.

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The Agency would like to streamline business operations by simplifying current business processes and improve staff efficiencies and effectiveness. The Agency expects the new computer system will allow it to improve customer service to employers and claimants by providing more accurate and timely information through real-time transaction processing, immediate access to information and timely work task tracking.

A new system will support the vision of reduced dependence on paper and associated manual data entry, an Internet-based employer and claimant self service portal, and streamlined business operations.

The Agency has set forth the following business objectives for the UI Tax and Claims project:• Improved service to employers and claimants through Internet-based self service• Streamlined business processes through automation of manual functions• Reduced data entry through increased electronic filing• Redesigned problematic functions in current system• Retirement of the current system that is antiquated and difficult to maintain• Migration from a mainframe infrastructure that is very expensive to maintain

Errors will be significantly reduced with single data entry points, integration, and additional process automation. Management will benefit from a system that supports robust management reporting to demonstrate compliance to employer, claimant, Federal, and state Agency UI service requirements.

1.2 FUNDING AND SOURCES1.2 FUNDING AND SOURCES

Special Federal funds, known as Reed Act funds, have been appropriated by the legislature with a remaining amount of $9.08 million. The focus of these funds is specifically for the development of a new Unemployment Insurance Tax System that will address the problems with the current, outdated system. NMDWS is depending on additional federal funding for the implementation phase (American Recovery and Reinvestment Act (ARRA) funding). Initiation Phase has been completed, and the Planning Phase is in progress.

SOURCESOURCE PHASEPHASE AMOUNTAMOUNT ASSOCIATED ASSOCIATED RESTRICTIONSRESTRICTIONS

APPROVERSAPPROVERS

Reed Act Funds Initiation and Planning

$1.95 M Department of Workforce Solutions (DWS)

Reed Act Funds Implementation $9.01 M Must be spent by 6/30/12.

Department of Finance and Accounting (DFA)

Department of Information Technology (DoIT)

DWS

UI Modernization Implementation $16 M United States

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SOURCESOURCE PHASEPHASE AMOUNTAMOUNT ASSOCIATED ASSOCIATED RESTRICTIONSRESTRICTIONS

APPROVERSAPPROVERS

Funds (ARRA) and Closeout Department of Labor (USDOL)

New Mexico Office or Reinvestment and Recovery (NMORR)

DFA

DoIT

DWS

BUDGET – UI TAX

Comments: $11,030,200 (allocated for the project to date) - $1,528,476 (spent up through FY 09) = 9,501,724 available to spend from the Reed Act Funds; More will be needed to support the software vendor for the total project. That amount will be determined at the time the vendor is selected.

Description

FY07 & FY07 & PPRIORRIOR

FY08 FY09 FY10 Totals

Staff - Internal

Internal Personal Services and Benefits (200’s)

43,743 19,000 160,733 596,723 820,199

Consulting Services

Professional Services (300’s)

150,000 972,600 66,000 8,689,001 9,877,601

Hardware HW, supplies, travel, Allocated Costs (400’s)

56,000 31,585 28,815 216,000 332,400

Software n/a

TOTAL 249,742 1,023,185 255,548 9,501,724 11,030,200

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BBUDGETUDGET – UI C – UI CLAIMSLAIMS

Description

FY09 FY09 & & PPRIORRIOR

FY10 FY11 FY12 FY13&AfterTOTALS

IV&V

$100,000-$60,000 $40,000

$100,000

Consulting Services

PM

App Support Prof Services

$250,000

$135,000

$500,000

$900,000

$115,000

$400,000

$250,000

$900,000

Hardware $750,000 $750,000

Software $9,720,000$7,063,881.37 $2,655,745.21 $,9,720,000

GRT $681,000$380,000 $301,000 $681,000

1.3 ASSUMPTIONS1.3 ASSUMPTIONSAssumptions are planning factors that, for planning purposes, will be considered true, real, or certain.

The following assumptions are based on the UIT&CSM Project Modernization Approach and Strategy:

Number Description

1 Deloitte’s uFACTS serves as the base UI Tax and Claims solution

2 The proposed requirements matrix and SOW for the Tax and Claims initiatives serve as the baseline scope

3 Deloitte’s Playbook methodology serves as the basis for the project’s work breakdown structure

4 Project team meetings/ training will take place in Albuquerque, NM

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Number Description

5 This Project Management Plan serves as the Project Governance guide

6 The Detailed Project Plan maintained by Deloitte will include Deloitte tasks, activities, and resources. DWS tasks and activities will be tracked separately (by the DWS Project Manager)

7 Deliverable Acceptance is based on the process outlined in the SOW

8 The system will be built using the Microsoft .NET architecture.

9 The project team will cooperate with IV&V vendors, as outlined in the SOW

10 The Tax and Claims development and implementation sub-projects will be managed by a common joint project management team (Deloitte & DWS) under the governance of a single Executive Steering Committee.

1.4 CONSTRAINTS, DEPENDENCIES, AND RISKS1.4 CONSTRAINTS, DEPENDENCIES, AND RISKSThe following table outlines the NMDWS UIT&CSM Project constraints, dependencies, and risks.

C: Constraints – The constraints identified below are consistent with earlier versions of PMBOK that refer to the triple constraint of scope, schedule, and cost. The list below also recognizes DWS staffing as a constraint category.

D: Dependencies – Managing project dependencies is critical to timely implementation. Project Dependencies are a form of risk that is managed throughout the course of the project.

R: Risk – PMBOK defines risk as “An uncertain event or condition that, if it occurs, has a positive or negative effect on a project’s objectives.” The list below outlines risks identified during Phase 0 – Contract Initiation – Kick-off and Project Plan. Risks will be managed throughout the project following the process described in the PMP Risk Management Plan and include the following information:

o Description

o Probability

o Impact

o Assessment

o Mitigation Strategy

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o Contingency Plan

We have consolidated the list into a single table to minimize redundancy. The initial risk register will be included in the Phase 1 Risk Management deliverable.

The list is grouped in the broad categories of Funding, Staffing (Resources), Schedule, Technical, Business and Other. ‘Other’ is used to capture both miscellaneous items and items that fall into multiple categories.

Category Description C D R Comment

Funding Availability of funding for the project X X

Changes to external agency systems X X

Must spend $9.01M by June 30, 2010 X X Legislation has been introduced to modify the clause

Staffing (Resources)

Availability of key agency resources (Financial/ Business/ Technical/ Leadership)

X X FY end impacts financial staff availability

Key people leaving the project (attrition) X

Depth of team (size of team or Business/ Technical knowledge of team members)

X

Training and Knowledge transfer X

Legislative updates may impact the project staffing

X Changes to legacy systems may divert resources

Scheduling 12 month Phase 1 Tax System implementation

X

28 month Phase 2 Tax System implementation

Single Phase Claims System implementation. Timing will be coordinated with the UI Tax solution to deliver a synchronized release that integrates interfaces between systems.

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Phase 2 Tax and Phase 1 Claims common implementation date of 4/30/2012

DWS Fiscal Year End X

Technical Legacy System (Tax/ Claims) X X X Includes integration;

Knowledge and documentation of legacy systems (including interfacing systems) are limited

X

Legacy system infrastructure/ application support (.NET and J2EE)

X

Availability and quality of legacy data X X

Timely Acquisition of HW/SW X X X

Timeliness of decision between J2EE and .NET

X Decision has been made and communicated on 02/04/2010.

Platform decision (J2EE versus .NET), once made, cannot change

X

Business Peak period deployments X

Impact of legislative updates, rules, policies X X

Impact of customer behaviors (adoption) X

Staff HR policy (relating to staff re-positioning relating to business process changes resulting from implementation of the new system)

X Impacts organizational transition

Other Internal effort needed to address HB 144/ July 1 new rates

X X Potentially diverts DWS staff from project

Complexity of legacy fee processing X Relates to state fund

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Silent legislation (undefined or ambiguous business rules)

X Gray area undefined by legislation (e.g. dissolving of the state fund)

Impact of political change on leadership and direction

X

Availability of project workspace X X Deloitte space is scheduled to be available on March 1, 2010.

Inter-agency agreements with the New Mexico Tax and Revenue Department (TRD) for interfaces and integration

X X

Other (Non-TRD) external agency (interfaces and integration) and inter-agency agreements

X X Data sharing

Lack of support from executive sponsorship/ leadership or change of administration

X X

Ability of organization to adapt to new business processes and models (organizational change management and transition)

X X

Project cooperation with IV&V vendors X

Scope management X

2.0 PROJECT AUTHORITY AND ORGANIZATIONAL 2.0 PROJECT AUTHORITY AND ORGANIZATIONAL STRUCTURESTRUCTUREThe steering committee is the governing body for the project consisting of five primary members. The Project Managers (DWS UI Tax and Claims Project Manager and Deloitte) report their activities through the DWS Project Director, who reports to the steering committee.

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2.1 STAKEHOLDERS2.1 STAKEHOLDERSListed below are the key stakeholders for this project but not inclusive of all the internal and external stakeholders.

NAMENAME SSTAKETAKE ININ P PROJECTROJECT OORGRG TTITLEITLE

Neil Meoni Executive Sponsor NMDWS Deputy Secretary

Casandra Encinias Business Oversight NMDWS UI Bureau Chief

John Salazar Technical Oversight NMDWS Chief Information Officer

Ron Martinez Technical Oversight NMDWS Deputy Chief Information Officer

Clyde DeMersseman Legal Oversight NMDWS Legal Counsel

Donna TrujilloFinancial OversightAdministrative Oversight

NMDWS Chief Financial Officer

15 Business Units – as identified in the UI Tax Directory

Need to interface with the UI Tax System NMDWS See directory

Business Units – as identified in the UI Claims Directory

Need to interface with the UI Claims System NMDWS See directory

Payroll Services – as identified in the UI Tax Directory

Need to interface with the UI Tax System

See directory See directory

External Stakeholders as identified in the UI Tax Directory

See directory

2.2 PROJECT GOVERNANCE STRUCTURE2.2 PROJECT GOVERNANCE STRUCTURE2.2.1 D2.2.1 DESCRIBEESCRIBE THETHE ORGANIZATIONALORGANIZATIONAL STRUCTURESTRUCTURE – O – ORGRG C CHARTHART

This chart below represents the organizational structure for the governance of this project.

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2.2.2 D2.2.2 DESCRIBEESCRIBE THETHE ROLEROLE ANDAND MEMBERSMEMBERS OFOF THETHE PROJECTPROJECT STEERINGSTEERING COMMITTEECOMMITTEE

Steering Committee Member Name Role Agency

Neil Meoni, NMDWS Deputy Secretary Project Sponsor, Executive Business Owner

NMDWS

John Salazar, CIO Project Director, Technical Owner and Steering Committee Chair

NMDWS

Casandra Encinias, UI Bureau Chief Business Owner NMDWS

Clyde DeMesserman, Legal Counsel Legal Oversight NMDWS

Ron Martinez Technical Oversight NMDWS

Ken Ortiz Cabinet Secretary NMDWS

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Steering Committee Member Name Role Agency

Donna Trujillo Financial Business Owner NMDWS

2.2.3 O2.2.3 ORGANIZATIONALRGANIZATIONAL B BOUNDARIESOUNDARIES, , INTERFACESINTERFACES ANDAND RESPONSIBILITIESRESPONSIBILITIES

NMDWS is the overall responsible entity, with its collective representatives and organizational units, for the project. The NMDWS responsibilities include:

Requesting and securing project funding; Ensuring sufficient resources; Reviewing and approving commitments to other agencies and entities; Reviewing, approving, and supporting project management tools; Championing the project.

The Executive Sponsor is the person for the project with the highest level authority for the project. The responsibilities of the Sponsor include:

Adjudicate appeals relative to steering committee decisions; Appoint Committee and Team members; Attend executive requirements reviews and resolve requirements issues; Champion the project; Contribute to lessons learned; Support the project director and project manager; Ensure project staff availability, funding, and contract management; Ensure user and sponsor acceptance of Project Deliverables and Product Deliverables; Participate in planning sessions; Provide management review; Review/accept the initial risk assessment, management plan, project plan, and budget.

The Steering Committee provides governance over the direction and support of the project. The steering committee is chaired by the project director. The steering committee member responsibilities include:

Attendance and participation in steering committee meetings; Review and acceptance of deliverables; Review of project documents; Help to balance long term objectives with closer term project details; Review project funding and expenses; Champion the project; and, Contribute to lessons learned (both at the end of a certification gate as well as at the

end of the project). Approve changes to project plan, contract or deliverables.

The Agency Project Director’s primary responsibility is to provide leadership direction to the team and serve as the point of contact for agency leadership communication. The project director:

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Plans, directs, and oversees the project (including, that deliverables and functional requirements are achieved as defined in the SOW and subsequent project plans).

Reviews and resolves, or escalates project issues not resolved at lower levels. Directs State resources assigned to the project, serves as the primary liaison among the

project and the Executive Sponsor and Steering Committee, and escalates decisions and issues/risks, as needed.

Provides the agency project manager direction regarding the agency’s day-to-day project responsibilities.

Coordinates project-related issues with other related State efforts. Acts as Deloitte’s principle NMDWS interface. Coordinate assignment of temporary personnel to backfill for SMEs assigned to assist

with the Design and Implementation Phase of the Project.

The Agency Project Manager’s primary responsibility is to manage the project. The project manager:

Develops initial management and project plans and schedules; Establishes leadership for a coordinated project effort; Facilitates documentation of project assumptions, constraints, and critical success

factors; Contributes to lessons learned; Facilitates development of the initial risk assessment and ongoing risk management; Facilitates meetings; Ensures that project tasks are assigned and tracked to project schedules; Establishes and adheres to plans for project change, risk, communication and quality; Reports on project status; and Generates the Project Close Report

In addition, specific oversight activities for the project manager include: Certification Gates (ensure all documentation is in order) Ensure Agency personnel are available to support project as defined in individual

plans. Address any key actions that arise.

The Project Team Member is an important role in that it is the link between the vision and the reality of the project. Project Team members:

Attend and participate in meetings; Participate in the planning process; Complete tasks leading to completion and preparation of deliverables; Represent functional areas related to NMDWS business process and function; Report on progress and issues related to the project or individual tasks; Champion the project; and, Contribute to lessons learned.

The Budget Analyst supports the tracking and financial elements of the project. The primary roles would include:

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The key point of contact for questions or recommendations on budget items; Complete BARs as necessary: Review budget information – Budget and Program should be on the same page and

both agree on information being presented to the steering committee; Work with Financial Accounting Reporting unit as necessary for

information/reporting/etc.

The Stakeholder Community is comprised of individuals or organizations whose interest may be impacted by the execution or completion of the project. They may also exert influence over the project and its results. Key stakeholders include the performing organization (NMDWS): Sponsor, Steering Committee, Project Manager, and Project Team members. In addition to these internal resources named, there are other internal resources and various external resources

The UI Tax System Modernization Vendor is responsible for delivering the solution and services outlined in the Project Statement of Work, as outlined in the contract.

The Change Control Board (CCB) is comprised of project team members responsible for identifying, reviewing, and recommending changes to the project baselines.

The Board will meet on a periodic basis or whenever a key change or group of changes requires consideration. The UIT&CSM Project Manager will act as its facilitator and will serve as the focal point for consolidation and review of Change Requests and coordinating CCB meetings.

The CCB consists of the following DWS and Deloitte staff:• Project Managers• Tax Team Lead• Claims Team Lead• Quality Lead• Lead System Architect

Other individuals may participate in CCB actions at the discretion of the Board.

The role of the CCB is further described in the Scope Management Plan.

Independent verification and validation (IV&V) representation is key to the quality activities of a project. This role is discussed in Section 6.2 which describes the IV&V activities for the project. IV&V will be managed by the Department of Information Technology (DoIT) through an MOU with DWS. DWS is responsible for funding the project. DWS is issuing an RFP to award a multi-year contract for IV&V services.

2.3 EXECUTIVE REPORTING2.3 EXECUTIVE REPORTINGThe UIT&CSM project managers will report status monthly, in accordance with the Project Communication Plan.

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The project managers will assist the Project Director in preparing summarized status presentations for the Project Sponsor and Steering Committee.

There will be semi-monthly steering committee meetings which will serve as the requirement for monthly status reporting.

The steering committee meetings will be facilitated by the DWS Project Manager who will ensure the following: Meeting space is secured. Meeting notification is provided at least one week prior to the meeting. Meeting Agenda will be provided at least 24 hours prior to the meeting. Meeting materials will be provided in MS Word 2003 compatible documents,

including Power Point. Meeting materials to include status on major milestones, review of any high level

issues and risks, quality of deliverables as defined in the contracts; progress on deliverables and addressing any recommendations for actions.

Meeting Minutes will be distributed between 24-72 hours after the meeting.

3.0 SCOPE3.0 SCOPE

3.1 PROJECT OBJECTIVES3.1 PROJECT OBJECTIVESNMDWS has undertaken the implementation of a new UI Tax Processing System and UI Claims Processing System as part of an overall modernization of the NMDWS UI System. The new system will replace the corresponding legacy processes and systems with a common framework and technology solution.. Business and technical objectives are listed below:

3.1.1 B3.1.1 BUSINESSUSINESS O OBJECTIVESBJECTIVES

NNUMBERUMBER DDESCRIPTIONESCRIPTION

1 Improved service to employers and claimants through Internet-based self service

2 Streamlined business processes through automation of manual functions

3 Reduced data entry through increased electronic filing

4 Redesigned problematic functions in current system

3.1.2 T3.1.2 TECHNICALECHNICAL O OBJECTIVESBJECTIVES


1 Retirement of the current system that is antiquated and difficult to maintain

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2 Migration from a mainframe infrastructure that is very expensive to maintain to a web-based solution

3 Ensure there is adequate system documentation and that it is maintained.

4 Expand and leverage the skill-set of technical support personnel in their ability to support the system through adoption of a common technology for Tax and Claims automated systems.

5 Allow for adequate transition to operational support which includes instructional and on the job training.

Project scope is further defined by the UIT&CSM Project Statements of Work and Deloitte’s proposed requirements matrix response for the Tax and Claims Sub-Projects.

3.2 PROJECT EXCLUSIONS3.2 PROJECT EXCLUSIONSThe following is a list of items that will not be considered part of this project:

Interactive Voice Response (IVR) is not being replaced.

3.3 CRITICAL SUCCESS FACTORS3.3 CRITICAL SUCCESS FACTORSManaging the constraints, dependencies, and issues/risks, documented earlier, throughout the project are critical to the success of the project. Rather than restate these items here as Critical Success Factors, the items below serve as high-level post implementation success criteria.


1 Budget and Schedule Performance (on time, within budget)

Tax Phase 1 – ‘go-live’ 12 months Tax Phase 2 – ‘go-live’ 22 months on April 30,2012 Claims Phase 1 – ‘go live’ concurrently with Tax Phase 2 on April

30, 2012.

2 System quality (does it work as it is expected?)

3 Data integrity/ quality/ security

4 System response time and availability

5 Staff ownership/ knowledge transfer

6 Employer/ Agent / Claimant Adoption

7 Reduced manual effort

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8 Improved performance reporting

9 No External interfaces between Claims and Tax

10 Document management

11 Improved operation

12 Data conversion

4.0 PROJECT DELIVERABLES AND METHODOLOGY4.0 PROJECT DELIVERABLES AND METHODOLOGY

4.1 PROJECT MANAGEMENT LIFE CYCLE4.1 PROJECT MANAGEMENT LIFE CYCLEThe UIT&CSM Project Management Methodology (based on Deloitte’s PMM4 methodology) complies with:

The Project Management Institute (PMI) Project Management Body of Knowledge (PMBOK), and specifically, IEEE Std. 1058-1998, Standard for Software Project Management Plans, and IEEE Std. 1490-2003, IEEE Guide – Adoption of PMI Standard – Guide to the Project Management Body of Knowledge.

Software Engineering Institute (“SEI”) Capability Maturity Model Integration (“CMMI”) standards

A summary of the project management methodology is provided below, followed by a description of project management deliverables.

UIT&CSM PROJECT MANAGEMENT PHASESUIT&CSM PROJECT MANAGEMENT PHASES

SSUMMARYUMMARY

PHASEPHASE DESCRIPTIONDESCRIPTION

Plan Development Project Plan Development involves and maintains a workable method for accomplishing the business needs and objectives that the project was undertaken to address. This includes the activities conducted throughout the project that identify and reaffirm the processes, practices, procedures, resources, schedules, and deliverables that NMDWS needs or expects for successful completion of business goals and objectives.

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SSUMMARYUMMARY

Our project plan includes:

Activity Definition: Identifying and documenting the specific activities that we must perform to produce the deliverables identified in the Work Breakdown Structure (WBS).

Activity Sequencing: Identifying and documenting interactivity logical relationships.

Activity Duration Estimating: Taking information on project scope and resources and developing durations for input to schedules.

Schedule Development: Determining start and finish dates for project activities.

Schedule Control: Influencing the factors that create schedule change to see that we agree on changes, determine that the schedule has changed, and manage the actual changes when and as they occur.

Plan Development Project Plan Development involves and maintains a workable method for accomplishing the business needs and objectives that the project was undertaken to address. This includes the activities conducted throughout the project that identify and reaffirm the processes, practices, procedures, resources, schedules, and deliverables that NMDWS needs or expects for successful completion of business goals and objectives.

Our project plan includes:

Activity Definition: Identifying and documenting the specific activities that we must perform to produce the deliverables identified in the Work Breakdown Structure (WBS).

Activity Sequencing: Identifying and documenting interactivity logical relationships.

Activity Duration Estimating: Taking information on project scope and resources and developing durations for input to schedules.

Schedule Development: Determining start and finish dates for project activities.

Schedule Control: Influencing the factors that create schedule change to see that we agree on changes, determine that the schedule has changed, and manage the actual

PAGE | 22



SSUMMARYUMMARY

changes when and as they occur.

Closeout Project closeout processes include documenting the proposed processes for organizing an orderly and timely turnover of knowledge, project assets and final deliverables to NMDWS.

The proposed processes for delivering an orderly and timely turnover of knowledge, project assets, and final deliverables to NMDWS will necessarily involve a reconciliation of project deliverables. We will communicate the current status of each deliverable to NMDWS Project Management.

During contract closeout, a ‘lessons learned’ document is prepared consistent with DOIT standards.

4.1.1 P4.1.1 PROJECTROJECT M MANAGEMENTANAGEMENT D DELIVERABLESELIVERABLES

4.1.1.4.1.1.AA P PROJECTROJECT M MANAGEMENTANAGEMENT D DELIVERABLESELIVERABLES T TAXAX S SUBUB-P-PROJECTROJECT

The following project management deliverables are consistent with the Tax Sub-Project Statement of Work:

Deliverable: 1.A.D.1 Detailed Project PlanDescription: Work with the agency to provide a detailed project plan with fixeddeadlines and milestones associated with Phase 1 - Employer Self Service. This plan will take into consideration the agency holiday schedule, standard work hours, and the agency’s peak business cycles such as Quarterly Contributions Filing.

Deliverable: 1.A.D.2 Project Reporting (Provided Monthly)Description: Monthly status reports for Phase 1 will detail the current status of project, and reflect the project management activities completed during that month. Fifteen (15) status reports will be provided at a cost of $91,545, for a total not exceed amount of $1,373,178. The status report will include, as needed: Overall completion status of the project in terms of the State-approved project work plan

and deliverable schedule

Accomplishments during the period, including State staff/stakeholders interviewed, meetings held, JAD sessions and conclusions/decisions determined

PAGE | 23


Upcoming milestones, completed milestones, slipping milestones

Problems encountered and proposed/actual resolutions

What is to be accomplished during the next reporting period

Issues that need to be addressed

QA Status

Updated project timeline showing percentage complete, high-level tasks assigned, complete and remaining and milestone variance

Identification of schedule slippage and strategy for resolution

Deloitte staff assigned and their location and schedule

State resources required for activities during the next period

Resource allocation percentages, including planned versus actual by project milestone

Deliverable: 1.A.D.3 Project Planning and AdministrationDescription: This deliverable consists of the following Project Planning and Administration documents for Phase 1 - Employer Self Service: Modernization Approach and Strategy Communication Management Plan Risk Management Plan Quality Management Plan Human Resource Plan Knowledge Transfer Plan Project Archives/Repository Project Close-Out Process

Deliverable: 2.A.D.1 Detailed Project PlanDescription: Work with the agency to provide a detailed project plan with fixeddeadlines and milestones associated with Phase 2 - UI Tax System Core Functionality. This plan will take into consideration the agency holiday schedule, standard work hours, and the agency’s peak business cycles such as Quarterly Contributions Filing.

Deliverable: 2.A.D.2 Project Reporting (Billed Monthly)Description: Monthly status reports for Phase 2 will detail the current status of project, and reflect the project management activities completed during that month. Twenty-one (21) status reports will be provided at a cost of $98,084, for a total not exceed amount of $2,059,767. The status report will included, as needed: Overall completion status of the project in terms of the State-approved project work plan

and deliverable schedule

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QA Status





Resource allocation percentages, including planned versus actual by project milestone.

Deliverable: 2.A.D.3 Project Planning and AdministrationDescription: This deliverable consists of the following Project Planning and Administration documents for Phase 2 - UI Tax System Core Functionality: Modernization Approach and Strategy Communication Management Plan Risk Management Plan Quality Management Plan Human Resource Plan Knowledge Transfer Plan Project Archives/Repository Project Close-Out Process

Deliverable: Final Project/Contract Closeout LetterDescription: Letter that signifies contract completion and transfer of responsibilities.

4.1.1.4.1.1.BB P PROJECTROJECT M MANAGEMENTANAGEMENT D DELIVERABLESELIVERABLES C CLAIMSLAIMS S SUBUB-P-PROJECTROJECT

DDELIVERABLEELIVERABLE: 3.A.D.3 P: 3.A.D.3 PROJECTROJECT M MANAGEMENTANAGEMENT P PLANNINGLANNING ANDAND A ADMINISTRATIONDMINISTRATION

Deliverable: Due Date: Compensation:

3.A.D.3 Project Management Planning 11/26/2010 $388,785 (excludes

PAGE | 25


and Administration GRT)Description: This deliverable consists of updating Project Planning and Administration documents to integrate the UI Claims subproject:

Modernization Approach and Strategy Communication Management Plan Risk Management Plan Quality Management Plan Human Resource Plan Knowledge Transfer Plan Project Archives/Repository Project Close-Out Process

Task Item: Sub Task: Description: Produce Deliverable Project Management Planning and Administration for UI Claims

Produce Work Product Modernization Approach and Strategy for UI Claims

Refine proposed approach and strategy based on direct input from the Procuring Agency to allow for adjustment and modification where necessary to more fully reflect current legacy constraints and system dependencies, resources limitations and proposed milestones, potential issues and risks and other constraints and assumptions that are relevant to UI Claims.

Develop and document a Communication Management Planfor UI Claims

Communication management plan will identify the fundamental sponsorship activities, the target audiences, the messages to be communicated, the people who will do the communicating, the frequency of communication, and the media to be used for UI Claims.

This deliverable will serve as a formal document listing the project activities that are to be executed jointly by the New Mexico Department of Workforce Solutions (NMDWS) staff and Deloitte staff.

Develop and document a Risk Management Planfor UI Claims

Risk management plan will include project risks, risk analysis, and mitigation recommendations, activities, and procedures.

Risk management planning and a risk register process relevant to UI Claims will be documented.

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Develop and document a Quality Management Plan for UI Claims

Quality Management plan will document the methodology for maintaining quality of project requirements, designs, code, workmanship, documentation, project schedules and subcontractor(s) activities that are relevant for UI Claims.

The plan will address when and how corrective actions are logged, monitored, approved, and completed.

Develop and document a Human Resource Plan for UI Claims

Human Resource Plan will document the Contractor project organization including a resource plan defining roles and responsibilities for the Contractor and subcontractors involved in UI Claims.

Develop and document a Knowledge Transfer Plan for UI Claims

Knowledge Transfer Plan will document, instruct and prepare Procuring Agency personnel for post-production operating, monitoring and maintaining system activity and performance that is relevant for UI Claims.

This plan will include requirements for documented instruction, on-site training, time and resources to accomplish a transfer of knowledge to help Agency personnel operate and maintain UI Claims.

Develop and document a Project Archives/Repository for UI Claims

This document will contain references of repositories of project-related artifacts that include deliverables and work products, project standards, project organizational charts, and other business, functional, and design materials collected and created as part of the project that is relevant for UI Claims.

Develop and document a Project Close-Out Process for UI Claims

Project Close-Out Process will document the processes for delivering a set of final project management materials, products, tools and content that documents project outcomes and results.

Processes associated with the following will be included in this document:

final archival of project and project management artifacts

project lessons learned

PAGE | 27


hand off and location of completed project deliverables

other project assets and repositories used throughout UI Claims and required to maintain and operate the new system.

4.1.2 D4.1.2 DELIVERABLEELIVERABLE A APPROVALPPROVAL A AUTHORITYUTHORITY D DESIGNATIONSESIGNATIONS

Project deliverables are submitted to the DWS Project Manager for review and feedback/approval. The DWS Project Manager will assign a DWS ‘action owner’ to facilitate review of the deliverable. Sign-off and/or feedback by appropriate DWS staff serve as a recommendation to the DWS Deputy Secretary (Neil Meoni) and/or CIO (John Salazar), who have ultimate approval authority for project deliverables.

4.1.3 D4.1.3 DELIVERABLEELIVERABLE A ACCEPTANCECCEPTANCE P PROCEDUREROCEDURE

The following Deliverable Acceptance Procedure is documented in Exhibit B of the Contract:

Once the detailed project plan is approved by the State, the following sections detail the process for submission and review of deliverables during the life of the project/contract.

1) General When submitting a deliverable for review and acceptance, the vendor must produce one

(1) master (both soft and hard copy, where applicable) and two (2) additional hard copies, if requested and where applicable, to the State Project Manager as identified in the contract.

Once a deliverable is approved and accepted by the State, the vendor must provide a final updated and corrected electronic copy. The State may, at its discretion, waive this requirement for a particular deliverable.

The electronic copy must be provided in software currently utilized by the agency or provided by the vendor.

Deliverables will be evaluated by the State under Quality Assurance.

2) Deliverable Submission Prior to development and submission of each contract deliverable, the vendor will submit

a Deliverables Expectation Document (“DED”) containing a description of the format and content of each deliverable will be delivered to the State Project Manager for review and approval. The DED must contain, at a minimum, the following:

o Cover letter outlining the purpose of the deliverable;o A Table of Contents with a brief description of the content of each section;o Anticipated number of pages; ando Identification of anticipated appendices/exhibits.

The DED must contain an approval/rejection section that can be completed by the State. The DED will be returned to the vendor within a mutually agreed upon time frame.

PAGE | 28


Deliverables must be developed by the vendor according to the approved format and content of the DED for each specific deliverable. The DED is not an amendment of the Agreement, but is a roadmap for production of the deliverable.

At a mutually agreed to meeting, on or before the time of delivery to the State, the vendor must schedule and provide a walkthrough of each deliverable to be presented.

Deliverables must be submitted no later than 5:00 PM, per the approved contract deliverable schedule and must be accompanied by a deliverable sign-off form with the appropriate sections completed by the vendor.

3) Deliverable Review

General

The State’s review time begins on the next working day following receipt of the deliverable.

The State’s review time will vary by deliverable, and will be defined in the table at the end of this section or by Article 4 of the Agreement if not included in the table.

The State has up to five (5) working days to determine if a deliverable is complete and ready for review. Unless otherwise negotiated, this is part of the State’s review time.

Any subsequent deliverable, whose requirements are directly dependent upon a prior deliverable, will not be accepted for review until the previous deliverable has been accepted.

After review of a deliverable, the State will return to the vendor the project deliverable sign-off form (attached to the end of this Exhibit) with the deliverable submission and review history section completed.

Accepted

If the deliverable is accepted, the original deliverable sign-off form signed by the appropriate State representatives will be returned to the vendor.

Once the vendor receives the original deliverable sign-off form, the State can then be invoiced for the deliverable per the procedures set out in the Agreement.

Rejected - Comments/Revisions Requested by the State

If the State has comments and/or revisions to a deliverable, the following will be provided to the vendor:

The original deliverable sign-off form with an updated entry to the deliverable submission and review history section.

Attached to the deliverable sign-off form will be a detailed explanation of the revisions to be made and/or a marked up copy of the deliverable.

The State’s first review and return with comments will be completed within the times specified in the Agreement.

The vendor will have fifteen (15) days, unless otherwise mutually agreed to, for review, acceptance and/or rejection of the State’s comments, and resubmission of the deliverable.

PAGE | 29


A meeting (called by the vendor) to resolve outstanding issues must be completed within five (5) working days after completion of the vendor’s review or a mutually agreed upon time frame.

Agreements made during meetings to resolve issues must be documented and attached to the deliverable sign-off form. Any such Agreements are not Amendments to the Contract. Amendments to the Contract must follow the procedures set out in Article __ of this Agreement.

Once an agreement is reached regarding changes, the vendor must incorporate them into the deliverable for resubmission to the State.

All changes must be easily identifiable by the State. Resubmission of the deliverable must occur within fifteen (15) days or a mutually agreed

upon time frame of the resolution of any outstanding issues. The resubmitted deliverable must be accompanied by the original deliverable sign-off

form. The Vendor will have the opportunity to resubmit a deliverable to the Agency a minimum

of three times per Article 4(c) of the Agreement. During the re-review process, the State may only comment on the original exceptions

noted, unless changes to the deliverable cause new issues to arise. All other items not originally commented on are considered to be acceptable by the State,

unless changes to the deliverable cause new issues to arise. Once all revisions have been accepted, the original deliverable sign-off form signed by

the appropriate State representatives will be returned to the vendor. The vendor must provide one (1) updated and complete master paper, if applicable, and

associated electronic copy of each deliverable after approval and acceptance by the State. Once the vendor receives the original deliverable sign-off form, the State can then be

invoiced for the deliverable per the procedures set out in the Agreement.

The Agency review time (working days) for Project Management deliverables is outlined in the following table. A similar table is included in section 4.2.4 Deliverable Acceptance Procedure for product (system development life cycle methodology) deliverables.

DDELIVERABLEELIVERABLE N NAMEAME

AAGENCYGENCY RREVIEWEVIEW T TIMEIME (W(WORKINGORKING DDAYSAYS))

1.A.D.1 Detailed Project Plan 7

1.A.D.2 Project Reporting (Billed Monthly) 5

1.A.D.3 Project Planning and Administration 10

2.A.D.1 Detailed Project Plan 7

2.A.D.2 Project Reporting (Billed Monthly) 5

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AAGENCYGENCY RREVIEWEVIEW T TIMEIME (W(WORKINGORKING DDAYSAYS))

2.A.D.3 Project Planning and Administration 10

3.A.D.3 P3.A.D.3 PROJECTROJECT M MANAGEMENTANAGEMENT P PLANNINGLANNING ANDAND AADMINISTRATIONDMINISTRATION

10

4.2 PRODUCT LIFE CYCLE4.2 PRODUCT LIFE CYCLE The following table provides a summary of the UIT&CSM Project system development life cycle methodology (based on Deloitte’s Playbook methodology). Each of these system development lifecycle phases is executed for the project’s implementation phases:

Tax Sub-Project:

Phase 0 – Kickoff and Project Management Plan (follows the Project Management Methodology summarized earlier)

Phase 1 – Employer Self-Service (implementation phase) Phase 2 – Tax System Main (implementation phase) Phase 3 - Warranty and Support

Claims Sub-Project Phase 0 – Kickoff and Project Management Plan (follows the Project Management

Methodology summarized earlier) Phase 1 – UI Claims Functionality

Phase 3 - Warranty and Support

The following graphic summarizes the Playbook methodology and the relationship between project management (described earlier) and the product life cycle. A Summary table describes each phases.

PAGE | 31


EDD_UI _CCR-421b

SDLC Management

I teration X

Develop

• Application Architecture and Design

• Data Modeling

• Coding and Unit Testing

• Test Definition• Test Execution

• Go Live• Transition

• Requirements Engineering

Delivery Management

• Project Initiation• Project Planning• Estimation

• Project Monitoring and Control• Risk and Issue Management• Supplier Agreement Management

• Change Control• Decision Analysis and Resolution• Project Closure

Quality Management

• Quality Assurance • Metrics Collection Reporting• Deliverable Review

• Defect Prevention• Defect Management

Technical Management

• Configuration Management

• Hardware, Security, and Network Architecture

• Data Conversion

Project Management Activities spanning across the SDLC phases

UIT&CSM PUIT&CSM PROJECTROJECT S SYSTEMYSTEM D DEVELOPMENTEVELOPMENT L LIFEIFE C CYCLEYCLE P PHASESHASES

SSUMMARYUMMARY

PPHASEHASE DDESCRIPTIONESCRIPTION

Plan The purpose of the Project Planning process area is to create a consistent, coherent plan that can be used to guide both project execution and project control and monitoring. It establishes and integrates the work plan for delivering the project’s agreed solution with the various plans for managing and controlling the assorted facets of the project.

The scope of the Project Planning process area includes:

Establishing the project’s work plan

Establishing the project’s organization structure

Creating a consolidated project plan consisting of sub-plans for configuration management, QA, staff acquisition, non-labor resources, stakeholder involvement, communications, data management, metrics collection, and project monitoring and control

PAGE | 32


UIT&CSM PUIT&CSM PROJECTROJECT S SYSTEMYSTEM D DEVELOPMENTEVELOPMENT L LIFEIFE C CYCLEYCLE P PHASESHASES

SSUMMARYUMMARY

PPHASEHASE DDESCRIPTIONESCRIPTION

Define The purpose of this phase is to facilitate the development of quality software applications by working with Requirements Stakeholders to analyze and validate the business, user, and software (functional and non-functional) requirements for the development of the DWS Tax System. We perform the sequence of operations iteratively from the start of the project until requirements have stabilized.

The scope of the process covers the activities to:

Establish the business requirements

Plan the Requirements Engineering activities, including stakeholder involvement

Elicit and document requirements (user, functional, technical, and so on)

Analyze requirements to establish stronger understanding of the client’s needs and to facilitate a joint agreement of the project’s scope

Elicit and gather the applications functional and non-functional requirements (i.e., software requirements specification)

Verify and validate requirements

Develop baseline records of the application’s agreed requirements and scope

Establish requirements traceability

By combining business process reengineering (BPR) activities with the requirements definition and refinement work, we can begin focusing on process improvements and change management early in the project.

Design Upon establishing what your system does, we can begin design to demonstrate how it works. The Design phase describes the high level and detailed design processes. The Detailed System Design deliverable serves as the blueprint for development.

Develop The Develop phase describes the coding and the unit testing processes that address’ gaps’ and configuration of solution components that require little or no modification (‘fits’).

Test The Test phase describes the processes for test planning and executing the various types of testing on the project, including string, converted data, system, integration, performance, operational, user-acceptance, and deployment testing.

Deploy The Deploy phase describes the process used for transitioning the built and tested software into a production environment, along with training and final data conversion activities. We revisit previous phases to secure all inputs for ongoing maintenance and performance.

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4.2.1 T4.2.1 TECHNICALECHNICAL S STRATEGYTRATEGY

The UIT&CSM Technical Strategy is to deploy uFACTS using a .NET technology platform. By combining both the Tax and Claims components within one standardized architecture the agency will be better positioned to provide technical support.

uFACTS Claims System/Core Functionality includes the following functionality: Initial Claim / Recertification Claims Benefit Determinations Adjudication Benefit Payments Integration Services View and Maintain Claim Appeals Fiscal Reports Overpayments (transaction processing)

Through this component, the uFACTS Solution Framework provides:

Secure login, registration, and assignment of employer account numbers, and online reactivations

Real-time data validations (where requested) Real-time editing of wage data and adjustments Integrated workflow for complex employer scenarios (e.g., questionable registrations or

select wage adjustment) A facility for employer representatives to submit large data volumes without agency

intervention Collection of a wide array of employer demographic and account data (e.g., Reporting

Units, Power-of-Attorney Agreements, Owner/Officer Details, and Multiple Address Management).

The following table outlines uFACTS Tax Services features and Claims.

UUFACTS TFACTS TAXAX S SERVICESERVICES

FFEATURESEATURES DDESCRIPTIONESCRIPTION

Registering and Reactivating Employer Accounts

This process allows new employers, or those who have re-started their business, an opportunity to create a UI Employer Account. All the necessary data to validate business existence, generate a tax rate, submit correspondence, and collect the initial wage and/or tax report are collected during this process. The process eliminates staff intervention on most employer registrations and re-activations and only “pushes” select registrations (e.g., select industry types) or

PAGE | 34




complex activity (e.g., mergers) to staff if required by state rules.

A key benefit is the online generation of employer account numbers and rate calculations; this prevents the long waits often associated with employer registrations, and the delinquencies in wage filings that result. Additionally, this subcomponent includes employer self-service account creation/conversion for the new UI system.

We designed the process specifically for employer and third-party administrator conversion and new system adoption. It allows currently registered employers and agents to log on to the system, using an established security profile, and access their self-service account. The process displays current employer data, and asks employers to complete or update missing data. Upon completion, the employer will have established a permanent username and password, updated their account data, and initiated their self-service system.

Processing and Adjusting Wage and Tax Reports

This subcomponent provides employers, third-party representatives, and staff the ability to enter and submit individual wage records. The process:

Incorporates wage detail submission and record history, wage adjustments, exception and estimation handling, and multiple submission modes (zero wage, manual entry, copy-previous quarters, file upload, IVR, and Secure FTP – File Transfer Protocol). The uFACTS Solution Framework validates employer liability and type (e.g., contributory or reimbursable), produces online/real-time data edits and validations, collects 12th of the Month LMI data, and uses a state’s calculation rules to calculate the employer’s amount due upon submission.

Tracks taxable wages based on SSN; identifies employer rates, wage base carry-over (successions) scenarios, and penalty rates; and, incorporates intelligent adjustments, non-submission penalties/assessments, and wage transfers.

Allows employers of all sizes to manage their wage information efficiently, reduces submission errors, and improves accurate payment. The Wage Maintenance subcomponent also integrates tightly to the monetary re-determination subcomponent – facilitating monetary re-determinations based on employer or staff wage adjustments.

Enables staff to collect data in a timely fashion, accurately calculate taxes, and improve overall data management for both tax and

PAGE | 35




Claims processing.

Managing and Maintaining Employer Accounts

This subcomponent allows employers to maintain account information through contact with a customer-service representative or the employer portal website. The real-time access and maintenance capabilities for updating addresses, power of attorney agreements, owner/officer data, company status, merger or acquisition initiation, or other high-frequency business functions can significantly reduce staff intervention, and improve agency responsiveness and data accuracy. This reduces the workload of NMDWS staff and saves time.

The processes allow employers a real-time updating venue while eliminating significant data-entry tasks for staff. Additionally, the audit tracking elements allow for users to review historical activity and the users who performed the updates.

This process allows staff to provide more value-added services to employers.

Managing Employers’ Ratings and Claims Paid Charges

The ratings elements manages annual rate and fee calculations, individual ratings, rate modifications and recalculations, and experience history. Internal processing calculates employer tax rates based on legal criteria and administrative rules. Staff can modify and adjust the actuarial components to fit local regulations and experience, manage employer accounts and protests, and view historical data. The uFACTS Solution Framework provides a flexible approach to change rates and calculations as policy designates, add fees, and update employers experiencing unusual circumstances (e.g., assigning a new rate based on special protests or appeals).

The Claims Paid Charges component provides employers real-time views of Claims charged and integrates closely with Claims functionality, including non-monetary and monetary determinations and adjustments. In addition, the element provides: Calculation and billing information for reimbursable, federal, and

military employers

ETA 191 data; integrates with protest/appeals functionality

Employers real-time views to detailed charge information;

Employers or their representatives the ability to download Charge activity files for their own manipulation.

The broad features within this subcomponent provide employers

PAGE | 36




better information and access to data; they integrate detailed data from Claims and Financial Management information, and will enhance the NMDWS’ ability to manage issue inquiries for both claimants and employers.

Employer Self-Service Through user-level and role-based security, enables employers and third-party administrators to manage their UI business with no UI Staff intervention. Employers can designate multiple users and/or multiple third-party administrators (by unique role) to administer their account. Our proven self-service approach has significantly improved employer data and reduced staff intervention.

The approach allows NMDWS to provide service to employers and agents with fewer resources and allows staff to focus on more value-added or complex tasks.

Managing Employer Representatives

The subcomponent incorporates functionality that works with the distinct business situations of small (e.g., Certified Public Accountants) and large employer representatives (e.g., ADP, TALX, or Intuit).

The uFACTS Solution Framework allows employers, employer representatives, and/or NMDWS staff to electronically manage power of attorney and roles, client searches, bulk client rate management and review, Claims paid charge data, and client data downloads. Our solution allows them to manage multiple employer clients with a single sign-on, submit bulk wage detail and payment data, or simply manage individual employer accounts through self-service. In addition, the process provides bulk processing, produces error and confirmation files, and allows these bulk processors access without the need for magnetic media tapes, CDs, or paper files.

Our approach to third-party representatives includes close communication with the National Payroll Reporting Consortium, and a planned method for managing both the technical and political risks related to these high-volume constituents.

Administering Field Audits

This subcomponent provides an online function that integrates with the tax elements of the new UI System and maintains a high level of security for the agency. The process allows NMDWS to meet Federal Auditing requirements and perform other audit tasks as deemed necessary by the agency. This component includes functionality to select random and targeted audits; validate audit results for TPS accuracy; recalculate employer taxes and assess

PAGE | 37




penalties, fees and/or refunds; and report on performance.

uFACTS – Claims Services

The addition of the UI Claims as a project component will serve to replace a legacy system with inadequate performance with aging technological components and design architecture. The replacement UI Claims solution offers the following service capabilities.

Functional Area DescriptionInitial Claim and Recertification Claims

The Initial/Additional Claims subsystem includes the necessary functionality for supporting claimants, employers and UI Staff throughout the initial claim application process. The design of this subsystem will include customer-facing functionality that allows claimants to apply for existing types of program claims, including Regular Unemployment Compensation, Disaster Unemployment Assistance (DUA), Extensions, and Trade Readjustment Allowance (TRA). This functionality also includes the process for re-opening a benefit claim during the benefit year.

Benefit Determinations The purpose of this subsystem is to determine or re-determine claimant eligibility for Regular and Special UC program claims. The use cases in this subsystem will determine claimant monetary eligibility and calculate the WBA, MBA, initial claim balance, and effective dates. In addition, this subsystem will include the design for requesting and receiving out-of-state, federal, and military wages.

Adjudication This subsystem contains the functionality for creating and processing non-monetary issues. Issues can be created from a variety of sources including Initial and Continued Claims. After issue creation, uFACTS will generate fact finding to interested parties. Issues that cannot be auto-adjudicated will be routed through workflow to adjudicators for processing.

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Functional Area DescriptionBenefit Payments The Benefit Payments subsystem incorporates functionality to

determine continued weekly or bi-weekly eligibility as well as functionality to correlate payments with the proper program type. The Benefit Payment process also includes the calculation of payment based on monetary benefit entitlement, non-monetary holds, disqualifications and eligibility deductions, and deductions such as wages earned, child support and/or overpayment offsets, etc. The System will dispense payments (via direct deposit, debit card and paper warrants) and update the claimant benefit account to reflect payments and/or payment adjustments as well as the employer account Claims paid records. This subsystem also includes use cases related to the calculation and establishment of overpayments.

Integration Services This subsystem incorporates pieces of functionality that are global or used by multiple components within the system. Examples of this functionality: faxing and scanning, claimant search and correspondence search. This also includes components needed to integrate effectively with the UI Tax system.

View and Maintain Claim This subsystem describes the ability of the claimant to maintain information about his/her claim and overall benefit account through self-service. Staff can update claim or account information using the same screens and processes and can apply staff-only changes such as back-dating an effective date or changing a social security number. A claimant will only have access to their account through the authentication of their identity using a user ID and self-assigned password.

Appeals This subsystem supports the claimant and employer appeals needs of NMDWS. Claimant and employer appeals functionality will support creating case files that track appeals to completion and resolution, and then subsequently automatically update claimant and employer accounts. This functionality includes the capability for automatic scheduling and for processing both units of higher authority appeals.

Fiscal Reports Reporting Services contains the deployment of the accounting-related fiscal reports that are part of the base uFACTS system. Federal and other management reports are out of scope for Deloitte.

Overpayments This functionality enables the establishment of overpayments and offset from future payment or cash/check repayment by the claimant.

uFACTS .Net ArchitectureBuilt on a mature architecture, the uFACTS Solution Framework provides a solution that is based on the specific needs of the client, is maintainable and is adaptable. The uFACTS Solution Framework is based on a Service-Oriented Architecture and uses Deloitte’s Microsoft .NET 3.5 development framework to speed the modernization of an Unemployment Insurance system through adherence to common standards and use of productivity-enhancing tools.

Core components of the uFACTS Solution Framework .NET architecture include:

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Core Claims and Tax functionality

Secure web environment for online business

Robust business rules engine that supports change and simplified modification

Automated workflow to eliminate unwanted manual processes

Document management and imaging services for managing varied forms of content

Reporting features to support standard, off-peak queries and ad-hoc reporting

Telephony integration capabilities to support advanced and automated system access, anytime, from anywhere

Enterprise-level components that are used for internal uFACTS Solution Framework operations and available through published services to leverage business logic and information throughout the organization

Single integrated database and data structure

Built using the latest technology with a demonstrated track record, leveraging the right mix of performance optimizations as well as modularity.

The uFACTS Solution Framework application architecture is built using a component-based Service-Oriented Architecture, making it extensible, flexible and repeatable.

Underlying this Service-Oriented Architecture is a .NET development framework that allows the application to be customized to fit specific business needs, while leveraging widely accepted open source tools and leading third-party software products such as the following to provide key areas of functionality:

FileNet P8 for document management and workflow

Pitney Bowes Group1 or QAS for address validation

Microsoft Active Directory Server for authentication/authorization (other LDAP-compliant directory servers are also supported)

The uFACTS Solution Framework’s multi-tiered architecture consists of the following four major tiers:

Presentation Tier

Service Tier

Integration Tier

Information Tier

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Hardware and Software ArchitectureThe Visio diagrams below depict Deloitte’s proposed Hardware and Software Architecture for NMDWS’ production and non-production environments.

In the following diagrams the Production and Non-Production physical environments are depicted showing the breakdown of the physical hardware along with the logical regions they encompass. (Note: The proposed Proof of Concept environment will reside on Deloitte’s network for requirements validation sessions and design sessions in the early stages of the UI Tax Modernization project. Upon acquisition of the non-production hardware and software, the Proof of Concept Environment will be established at DWS.)

As desired by the State, the IBM x3650 Server is the predominant server platform of choice. The components of our solution have been mapped to these servers in such a way as to provide a highly available, scalable, fault-tolerant environment.

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4.2.2.4.2.2.AA P PRODUCTRODUCT ANDAND P PRODUCTRODUCT D DEVELOPMENTEVELOPMENT D DELIVERABLESELIVERABLES – T – TAXAX S SUBUB-P-PROJECTROJECT

The UIT&CSM Project Plan includes development, submission and review of the following product development deliverables based on the project’s Statement of Work. Based on the iterative nature of the Playbook methodology, some deliverables are submitted in more than one phase. For example, the Data Conversion Design and Development deliverable is submitted during the Define, Design, and Develop phases. The following table denotes the phase the deliverable is first submitted.

Playbook Phase: Define

Deliverable: 1.B.D.1 System Environment Configuration PlanDescription: Detailed server virtualization techniques and structures used, if any, to configure and maintain the following environments for Phase 1 – Employer Self Service: Proof-of-Concept Environment Development and Unit Test Environment Component Integration Test Environment System and Data Conversion Environment User Acceptance Test (UAT) Environment Quality Assurance (QA) Environment Training Environment Production Environment

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Deliverable: 1.B.D.2 Established Proof-of-ConceptDescription: Installation and configuration of the Proof-of-Concept Environment based on the specifications included in the approved System Environment Configuration Plan. uFACTS Knowledge Repository for Phase 1 - Employer Self Service will be installed in the Proof-of-Concept Environment.

Playbook Phase: Develop

Deliverable: 1.B.D.3 Established Development/Conversion EnvironmentsDescription: Installation and configuration of Phase 1 - Employer Self Service Development/Data Conversion Environments based on the specifications included in the approved System Environment Configuration Plan.

Playbook Phase: Test

Deliverable: 1.B.D.4 Established Integration/System Test/UAT/QA EnvironmentsDescription: Installation and configuration of Phase 1 - Employer Self Service Integration/System Test/UAT/QA Environments based on the specifications included in the approved System Environment Configuration Plan.

Playbook Phase: Deploy

Deliverable: 1.B.D.5 Established Training EnvironmentDescription: Installation and configuration of Phase 1 - Employer Self Service Training Environment based on the specifications included in the approved System Environment Configuration Plan.


Deliverable: 1.B.D.6 Established Production EnvironmentDescription: Installation and configuration of Phase 1 - Employer Self Service Production Environment based on the specifications included in the approved System Environment Configuration Plan.


Deliverable: 1.C.D.1 Detailed System Requirements

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Description: Detailed System Requirements confirming joint understanding of Phase 1 - Employer Self Service functional requirements, as described within the RFP, will be documented in this deliverable. This deliverable includes the following items: Functional Requirements Detailed System Requirements Validation and Fit Gap Analysis Detailed System Requirements Document Requirements Traceability Matrix

Playbook Phase: Design

Deliverable: 1.D.D.1 Architectural DesignDescription: Provides the high-level technical and system architectural design for Phase 1 - Employer Self Service. The design will identify and document how major UI modernization components are integrated, interfaced, and connected. The design will address various technical and system components, such as web and application services, security, data stores that make up the overall design. Primary architectural layers such as User Interface, Navigation, Business, Security, Data and others will be documented in this design document. This deliverable includes the following items: Reuse Analysis Software and Hardware High Level Design Network Impact Analysis High Availability and Backup and Recovery Plan


Deliverable: 1.E.D.1 Detailed System DesignDescription: Detailed system design showing how the finalized Phase 1 - Employer Self Service requirements will be implemented. This deliverable includes the following items: Detailed System Design for Each Component Report, Letter and Form Design Business Rule Design and Configuration System Interface Design Requirements Traceability Matrix


Deliverable: 1.F.D.1.A System Development and Configuration DocumentationDescription: Describes the configuration, construction, testing, and documentation of UI Tax modernization system components, artifacts, and interfaces for Phase 1 - Employer Self Service. Configuration of system parameters, modifications of existing modules and/or development of new modules as per the functional and detailed design requirements, and development, documentation and testing of system interfaces are also documented. This deliverable consists of the following System Development and Configuration Documentation for Phase 1 - Employer Self Service:

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Development Standards, Methodology, Tools and APIs System Installation and Configuration Instructions System Component and Source Code Repository Submission of 4/20/2010 includes Development Standards, Methodology, Tools and APIs, as they are finalized in the early stage of Phase 1 - Employer Self Service. Later submission of the same deliverable includes the remaining two work products from the above list.


Deliverable: 1.F.D.1.B System Development and Configuration DocumentationDescription: Describes the configuration, construction, testing, and documentation of UI Tax modernization system components, artifacts, and interfaces for Phase 1 - Employer Self Service. Configuration of system parameters, modifications of existing modules and/or development of new modules as per the functional and detailed design requirements, and development, documentation and testing of system interfaces are also documented. This deliverable consists of the following System Development and Configuration Documentation for Phase 1 - Employer Self Service: Development Standards, Methodology, Tools and APIs System Installation and Configuration Instructions System Component and Source Code Repository Submission of 12/10/2010 includes System Installation and Configuration Instructions, and System Component and Source Code Repository for Phase 1 - Employer Self Service. Earlier submission of the same deliverable included the remaining work product System Standards, Methodology, Tools and APIs from the above list.


Deliverable: 1.G.D.1.A Data Conversion Design and DevelopmentDescription: Generally, this deliverable consists of the following data cleansing and migration plan and processes to convert legacy UI Tax data from existing ProcuringAgency system environments to the new UI Tax modernization environment for Phase 1 - Employer Self Service: Data Conversion Plan Data Conversion System Design Data Conversion Component Inventory and Source Code Repository

Deliverable submitted on 4/20/2010 includes Data Conversion Plan and Data Conversion System Design. Later submission contains the Data Conversion Component Inventory and Source Code Repository.


Deliverable: 1.G.D.1.B Data Conversion Design and DevelopmentDescription: Generally, this deliverable consists of the following data cleansing and migration

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plan and processes to convert legacy UI Tax data from existing ProcuringAgency system environments to the new UI Tax modernization environment for Phase 1 - Employer Self Service: Data Conversion Plan Data Conversion System Design Data Conversion Component Inventory and Source Code Repository

Deliverable submitted on 12/10/2010 includes Data Conversion Component Inventory and Source Code Repository. Earlier submissions included the Data Conversion Plan and Data Conversion System Design.


Deliverable: 1.G.D.2 Data Conversion ResultsDescription: Data conversion and reconciliation results for Phase 1 - Employer Self Service including record counts, actual data conversion and staging files, and outstanding issues and tasks.


Deliverable: 1.H.D.1 Conceptual and Logical Data ModelDescription: Data design of Phase 1 - Employer Self Service. This deliverable includes the following items: Data Modeling Standards Conceptual Data Model Logical Data Model


Deliverable: 1.H.D.2 Data Management DesignDescription: Data design of Phase 1 - Employer Self Service. This deliverable includes the following items: Physical Data Model DDL and Initialization Database Scripts


Deliverable: 1.I.D.1.A UI Tax Test PlanDescription: Provides an integrated system test plan, user acceptance testing and issue resolution process for Phase 1 - Employer Self Service functionality. This deliverable includes the following items: UI Tax Master Test Plan and Strategy Test Tools

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Unit Test Planning System Integration Test Planning UAT and QA Planning

Deliverable submitted on 5/6/2010 includes UI Tax Master Test Plan and Strategy, Test Tools, and Unit Test Planning documents from the above list. Later submission of the same deliverable includes the remaining two documentations – System Integration Test Planning, and UAT and QA Planning.


Deliverable: 1.I.D.1.B UI Tax Test PlanDescription: Provides an integrated system test plan, user acceptance testing and issue resolution process for Phase 1 - Employer Self Service functionality. This deliverable includes the following items: UI Tax Master Test Plan and Strategy Test Tools Unit Test Planning System Integration Test Planning UAT and QA Planning

Deliverable submitted on 7/16/2010 includes refined UI Tax Master Test Plan and Strategy document and up-to-date Test Tools. In addition, it includes System Integration Test Planning, and UAT and QA Planning from the above list. Earlier submission of the same deliverable included the initial versions of UI Tax Master Test Plan Strategy document and projected Test Tools; earlier submission also included the Unit Test Planning for Phase 1 - Employer Self Service.


Deliverable: 1.I.D.2 UI Tax Test ResultsDescription: Documentation of test results and corrective actions based on System Integration testing of Phase 1 - Employer Self Service functionality. This deliverable includes the following items: System Integration Test Results UAT and QA Results


Deliverable: 1.J.D.1 Baseline DocumentationDescription: Context sensitive online help, online manuals, and online desk procedures that provides a comprehensive understanding of the new Phase 1 - Employer Self Service functionality from both a functional and technical perspective.

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Deliverable: 1.J.D.2 UI Tax Operations DocumentationDescription: Context sensitive online help, online manuals, and online desk procedures that provides a comprehensive understanding of the new Phase 1 - Employer Self Service functionality from both a functional and technical perspective. UI Tax Operations Documentation for Phase 1 - Employer Self Service includes the following items: Updated Online Help Updated Desk Procedures and Reference Materials Updated Technical and Operational Documentation Cultural Change Management Plan


Deliverable: 1.K.D.1 Training PlanDescription: Phase 1 - Employer Self Service training plan and approach containing training courses and training materials, train-the-trainer, end-user and technical training. Training materials will reference appropriate system documentation and operating procedures.


Deliverable: 1.K.D.2 TrainingDescription: It includes installation of Training Data for Phase 1 - Employer Self Service training, User Training, Technical and Operations Training, and Knowledge Transfer Status Report. Specifically, this deliverable includes the following items for Phase 1 - Employer Self Service training: Training Data User Training Technical and Operations Training Knowledge Transfer Status Report


Deliverable: 1.L.D.1.A Production System Implementation PlanDescription: Phase 1 - Employer Self Service implementation plan and schedule describing the steps, tasks, schedules, and responsibilities for migrating approved UI Tax components into production. This deliverable includes the following items: Production System Implementation Plan Business Services Migration Inventory

Submission of 10/1/2010 includes the delivery of Production System Implementation Plan from the above list. Later submission includes the delivery of Business Services Migration Inventory.

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Deliverable: 1.L.D.1.B Production System Implementation PlanDescription: Phase 1 - Employer Self Service implementation plan and schedule describing the steps, tasks, schedules, and responsibilities for migrating approved UI Tax components into production. This deliverable includes the following items: Production System Implementation Plan Business Services Migration Inventory

Submission of 1/14/2011 includes the delivery of Business Services Migration Inventory from the above list. Earlier submission included the delivery of Production System Implementation Plan.


Deliverable: 1.L.D.2.A Production System ImplementationDescription: This is the first of two formal Software Deliverables and represents the completion of required activities to implement Phase 1 - Employer Self Service into production. This deliverable includes the following items: Production Site Preparation Production System Implementation Post Implementation Review Production System Support

Submission of 3/4/2011 includes completion of Production Site Preparation, Production System Implementation, and Post Implementation Review. Later submission of the same deliverable includes completion of Production System Support when it completes.


Deliverable: 1.L.D.2.B Production System ImplementationDescription: Production system support services of Phase 1 - Employer Self Service until the implementation of Phase 2 - UI Tax System Core Functionality. Generally, this deliverable includes the following items: Production Site Preparation Production System Implementation Post Implementation Review Production System Support

Submission of 11/22/2011 includes completion of Production System Support service. Earlier submission of the same deliverable included completion of Production Site Preparation, Production System Implementation, and Post Implementation Review from the above list.

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Deliverable: 2.B.D.1 System Environment Configuration PlanDescription: Detailed server virtualization techniques and structures used, if any, to configure and maintain the following environments for Phase 2 –UI Tax System Core Functionality: Proof-of-Concept Environment Development and Unit Test Environment Component Integration Test Environment System and Data Conversion Environment User Acceptance Test (UAT) Environment Quality Assurance (QA) Environment Training Environment Production Environment


Deliverable: 2.B.D.2 Established Proof-of-ConceptDescription: Installation and configuration of the Proof-of-Concept Environment based on the specifications included in the approved System Environment Configuration Plan. uFACTS Knowledge Repository for Phase 2 - UI Tax System Core Functionality will be installed in the Proof-of-Concept Environment.


Deliverable: 2.F.D.1.A System Development and Configuration DocumentationDescription: Describes the configuration, construction, testing, and documentation of UI Tax modernization system components, artifacts, and interfaces for Phase 2 - UI Tax System Core Functionality. Configuration of system parameters, modifications of existing modules and/or development of new modules as per the functional and detailed design requirements, and development, documentation and testing of system interfaces are also documented. This deliverable consists of the following System Development and Configuration Documentation for Phase 2 - UI Tax System Core Functionality: Development Standards, Methodology, Tools and APIs System Installation and Configuration Instructions System Component and Source Code Repository Submission of 7/9/2010 includes Development Standards, Methodology, Tools and APIs, as they are finalized in the early stage of Phase 2 - UI Tax System Core Functionality. Later submissions of the same deliverable include the remaining two work products from the above list.


Deliverable: 2.B.D.3 Established Development/Conversion Environments

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Description: Installation and configuration of Phase 2 - UI Tax System Core Functionality Development/Data Conversion Environments based on the specifications included in the approved System Environment Configuration Plan.


Deliverable: 2.B.D.4 Established Integration/System Test/UAT/QA EnvironmentsDescription: Installation and configuration of Phase 2 - UI Tax System Core Functionality Integration/System Test/UAT/QA Environments based on the specifications included in the approved System Environment Configuration Plan.


Deliverable: 2.B.D.5 Established Training EnvironmentDescription: Installation and configuration of Phase 2 - UI Tax System Core Functionality Training Environment based on the specifications included in the approved System Environment Configuration Plan.


Deliverable: 2.B.D.6 Established Production EnvironmentDescription: Based on the specifications included in the approved System Environment Configuration Plan, installation and configuration of Production Environment for Phase 2 - UI Tax System Core Functionality.


Deliverable: 2.C.D.1 Detailed System RequirementsDescription: Detailed System Requirements confirming joint understanding of Phase 2 - UI Tax System Core Functionality requirements, as described within the RFP, will be documented in this deliverable. This deliverable includes the following items: Functional Requirements Detailed System Requirements Validation and Fit Gap Analysis Detailed System Requirements Document


Deliverable: 2.D.D.1 Architectural DesignDescription: Provides the high-level technical and system architectural design for Phase 2 - UI Tax System Core Functionality. The design will identify and document how major UI modernization components are integrated, interfaced, and connected. The design will address various technical and system components, such as web and application services, security, data

PAGE | 52


stores that make up the overall design. Primary architectural layers such as User Interface, Navigation, Business, Security, Data and others will be documented in this design document. This deliverable includes the following items: Reuse Analysis Software and Hardware High Level Design Network Impact Analysis High Availability and Backup and Recovery Plan


Deliverable: 2.E.D.1 Detailed System DesignDescription: Detailed system design showing how the finalized Phase 2 - UI Tax System Core Functionality requirements will be implemented. This deliverable includes the following items: Detailed System Design for Each Component Report, Letter and Form Design Business Rule Design and Configuration System Interface Design Requirements Traceability Matrix


Deliverable: 2.F.D.1.B System Development and Configuration DocumentationDescription: Describes the configuration, construction, testing, and documentation of UI Tax modernization system components, artifacts, and interfaces for Phase 2 - UI Tax System Core Functionality. Configuration of system parameters, modifications of existing modules and/or development of new modules as per the functional and detailed design requirements, and development, documentation and testing of system interfaces are also documented. This deliverable consists of the following System Development and Configuration Documentation for Phase 2 - UI Tax System Core Functionality: Development Standards, Methodology, Tools and APIs System Installation and Configuration Instructions System Component and Source Code Repository

Submission of 9/23/2011 includes System Installation and Configuration Instructions, and System Component and Source Code Repository for Phase 2 - UI Tax System Core Functionality. Earlier submission of the same deliverable included the remaining work product System Standards, Methodology, Tools and APIs from the above list.


Deliverable: 2.G.D.1.A Data Conversion Design and Development

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Description: Generally, this deliverable consists of the following data cleansing and migration plan and processes to convert legacy UI Tax data from existing ProcuringAgency system environments to the new UI Tax modernization environment for Phase 2 - UI Tax System Core Functionality: Data Conversion Plan Data Conversion System Design Data Conversion Component Inventory and Source Code Repository

As the planning is done in the early phase of a project, deliverable submitted on 7/20/2010 includes Data Conversion Plan only. Later submission of the same deliverable includes the remaining two work products from the above list.


Deliverable: 2.G.D.1.B Data Conversion Design and DevelopmentDescription: Generally, this deliverable consists of the following data cleansing and migration plan and processes to convert legacy UI Tax data from existing ProcuringAgency system environments to the new UI Tax modernization environment for Phase 2 - UI Tax System Core Functionality: Data Conversion Plan Data Conversion System Design Data Conversion Component Inventory and Source Code Repository

Deliverable submitted on 2/22/2011 includes Data Conversion System Design. Earlier submission included the Data Conversion Plan and later submission contains the Data Conversion Component Inventory and Source Code Repository.


Deliverable: 2.G.D.1.C Data Conversion Design and DevelopmentDescription: Generally, this deliverable consists of the following data cleansing and migration plan and processes to convert legacy UI Tax data from existing ProcuringAgency system environments to the new UI Tax modernization environment for Phase 2 - UI Tax System Core Functionality: Data Conversion Plan Data Conversion System Design Data Conversion Component Inventory and Source Code Repository

Deliverable submitted on 9/23/2011 includes Data Conversion Component Inventory and Source Code Repository. Earlier submissions included the Data Conversion Plan and Data Conversion Component Inventory and Source Code Repository.


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Deliverable: 2.G.D.2 Data Conversion ResultsDescription: Data conversion and reconciliation results for Phase 2 - UI Tax System Core Functionality including record counts, actual data conversion and staging files, and outstanding issues and tasks.


Deliverable: 2.H.D.1 Conceptual and Logical Data ModelDescription: Data design of Phase 2 - UI Tax System Core Functionality. This deliverable includes the following items: Data Modeling Standards Conceptual Data Model Logical Data Model


Deliverable: 2.H.D.2 Data Management DesignDescription: Data design of Phase 2 - UI Tax System Core Functionality. This deliverable includes the following items: Physical Data Model DDL and Initialization Database Scripts


Deliverable: 2.I.D.1.A UI Tax Test PlanDescription: Provides an integrated system test plan, user acceptance testing and issue resolution process for Phase 2 - UI Tax System Core Functionality. This deliverable includes the following items: UI Tax Master Test Plan and Strategy Test Tools Unit Test Planning System Integration Test Planning UAT and QA Planning

Deliverable submitted on 8/26/2010 includes UI Tax Master Test Plan and Strategy, Test Tools, and Unit Test Planning documents from the above list. Later submission of the same deliverable includes the remaining two documentations – System Integration Test Planning, and UAT and QA Planning.


Deliverable: 2.I.D.1.B UI Tax Test Plan

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Description: Provides an integrated system test plan, user acceptance testing and issue resolution process for Phase 2 - UI Tax System Core Functionality. This deliverable includes the following items: UI Tax Master Test Plan and Strategy Test Tools Unit Test Planning System Integration Test Planning UAT and QA Planning

Deliverable submitted on 4/29/2011 includes refined UI Tax Master Test Plan and Strategy document and up-to-date Test Tools. In addition, it includes System Integration Test Planning, and UAT and QA Planning from the above list. Earlier submission of the same deliverable included the initial versions of UI Tax Master Test Plan Strategy document and projected Test Tools; earlier submission also included the Unit Test Planning for Phase 2 - UI Tax System Core Functionality.


Deliverable: 2.I.D.2 UI Tax Test ResultsDescription: Documentation of test results and corrective actions based on System Integration testing of Phase 2 - UI Tax System Core Functionality. This deliverable includes the following items: System Integration Test Results UAT and QA Results


Deliverable: 2.J.D.1 Baseline DocumentationDescription: Context sensitive online help, online manuals, and online desk procedures that provides a comprehensive understanding of the new Phase 2 - UI Tax System Core Functionality from both a functional and technical perspective.


Deliverable: 2.J.D.2 UI Tax Operations DocumentationDescription: Context sensitive online help, online manuals, and online desk procedures that provides a comprehensive understanding of the new Phase 2 - UI Tax System Core Functionality from both a functional and technical perspective. UI Tax Operations Documentation for Phase 2 - UI Tax System Core Functionality includes the following items: Updated Online Help Updated Desk Procedures and Reference Materials Updated Technical and Operational Documentation Cultural Change Management Plan

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Submission of 11/4/2011 excludes the Cultural Change Management Plan, relevant to Phase 2 - UI Tax System Core Functionality implementation. Earlier submission included the Cultural Change Management Plan for Phase 2 - UI Tax System Core Functionality.


Deliverable: 2.K.D.1 Training PlanDescription: Phase 2 - UI Tax System Core Functionality training plan and approach containing training courses and training materials, train-the-trainer, end-user and technical training. Training materials will reference appropriate system documentation and operating procedures.


Deliverable: 2.K.D.2 TrainingDescription: It includes installation of Training Data for Phase 2 - UI Tax System Core Functionality training, User Training, Technical and Operations Training, and Knowledge Transfer Status Report. Specifically, this deliverable includes the following items for Phase 2 - UI Tax System Core Functionality training: Training Data User Training Technical and Operations Training Knowledge Transfer Status Report


Deliverable: 2.L.D.1.A Production System Implementation PlanDescription: Phase 2 - UI Tax System Core Functionality implementation plan and schedule describing the steps, tasks, schedules, and responsibilities for migrating approved UI Tax components into production. This deliverable includes the following items: Production System Implementation Plan Business Services Migration Inventory

Submission of 8/5/2011 includes the delivery of Production System Implementation Plan from the above list. Later submission includes the delivery of Business Services Migration Inventory.


Deliverable: 2.L.D.1.B Production System Implementation Plan Description: Implementation plan and schedule of Phase 2 - UI Tax System Core Functionality describing the steps, tasks, schedules, and responsibilities for migrating

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approved UI Tax components into production. This deliverable includes the following items: Production System Implementation Plan Business Services Migration Inventory

Submission of 11/15/2011 includes the delivery of Business Services Migration Inventory from the above list. Earlier submission included the delivery of Production System Implementation Plan.


Deliverable: 2.L.D.2 Production System ImplementationDescription: This is the second of two formal Software Deliverables and represents the completion of required activities to implement Phase 2 - UI Tax System Core Functionality into production. This deliverable includes the following items: Production Site Preparation Production System Implementation Post Implementation Review Production System Support

Submission of 1/3/2012 includes completion of Production Site Preparation, Production System Implementation, and Post Implementation Review. Later submission of the same deliverable includes completion of Production System Support when it completes.

Playbook Phase: Warranty and Support

Deliverable: 3.2.D.1 Warranty and Maintenance and SupportDescription: Maintenance and Support service after successful implementation of New Mexico UI Tax System.

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4.2.2.B P4.2.2.B PRODUCTRODUCT ANDAND P PRODUCTRODUCT D DEVELOPMENTEVELOPMENT D DELIVERABLESELIVERABLES – CL – CLAIMSAIMS S SUBUB-P-PROJECTROJECT


3.A.D.4 - HW/SW S3.A.D.4 - HW/SW SPECIFICATIONSPECIFICATIONS FORFOR AAGENCYGENCY P PROCUREMENTROCUREMENT

11/19/2010 $97,196 (excludes GRT)

Description: Provide final hardware and software needed for UI Claims scope, identification of final version numbers, and assistance with obtaining quotes.

Task Item: Sub Task: Description: Develop HW/SW Purchase List

Development of HW/SW specifications for agency procurement

Contractor will identifying final hardware and software needed for UI Claims scope, and identification of final version numbers.

Contractor will provide assistance with obtaining quotes.

DDELIVERABLEELIVERABLE: 3.B.D.3 E: 3.B.D.3 ESTABLISHSTABLISH UI C UI CLAIMSLAIMS K KNOWLEDGENOWLEDGE R REPOSITORYEPOSITORY

Deliverable: Due Date: Compensation:3.B.D.3 Establish UI Claims Knowledge Repository

11/-19/2010 $388,785 (excludes GRT)

Description: Provide documentation identifying the availability of database containing all uFACTS Claims Use Cases and Supplemental Specification Documents and transfer of existing uFACTS .NET code to serve as the basis for NM UI Claims Requirements and Design Activities for project.

Task Item: Sub Task: Description: Establish uFACTS Claims Knowledge Repository

Establish Repository Contractor will establish a project document repository.

Contractor will deliver uFACTS Claims Knowledge Repository and Code Base, filter needed use cases,and supplemental specifications. ,

Establish and provide project staff access to the knowledge repository and ensure availability for subsequent project requirements and design activities.

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DDELIVERABLEELIVERABLE: 3.B.D.1 I: 3.B.D.1 INTEGRATENTEGRATE S SYSTEMYSTEM E ENVIRONMENTNVIRONMENT P PLANNINGLANNING D DOCUMENTOCUMENT


3.B.D.1 Integrate System Environment Planning Document

11/29/2010 $194,393 (excludes GRT)

Description: Update the UI Tax system environment planning document to include the UI Claims sub-project components listing detailed techniques and structures used, if any, to configure and maintain the project environments for UI Claims:

Task Item: Sub Task: Description: Produce Deliverable System Environment Configuration Plan for UI Claims

Produce Work Product System Environment Configuration Plan for UI Claims

Provide documented detailed server virtualization techniques and structures used, if any, to configure and maintain the environments for development and implementation of UI Claims including but not limited to:

Proof-of-Concept Environment Development and Unit Test

Environment Component Integration Test

Environment System and Data Conversion

Environment User Acceptance Test (UAT)

Environment Quality Assurance (QA)

Environment Training Environment Production Environment

Develop and provide Work Product Software Licensing and Distribution Plan for UI Claims

Develop and document software products and approach to cost effectively license necessary components in support of project requirements for UI Claims. The plan will include methods for distributing software upgrades and version releases to each of the established technical environments in a controlled fashion. The Software Licensing and Distribution plan will include the following: Software inventory Performance requirements Availability requirements Tools and scripts Security constraints

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Platform descriptions Data distribution and maintenance Graphical representation of software

distribution Software distribution method

Develop and document Work Product Component Migration and Management Plan for UI Claims

The plan will include the following: Component naming conventions and

standards Build validation and readiness

processes Methodology to capture and address

issues Processes for determining what will be

released as a part of each component baseline and/or enhanced version release

Method for maintaining synchronization with external system configurations and interfaces, such as the Agency UI legacy systems

Procedures, tasks and schedules for managing system migration and configuration

Other tools and data stores used in the component management and migration process.

This plan will be used to develop, implement, manage, and execute the approved Component Migration and Management Plan throughout the life of the project.

DDELIVERABLEELIVERABLE: 3.C.D.1 D: 3.C.D.1 DETAILEDETAILED S SYSTEMYSTEM R REQUIREMENTSEQUIREMENTS


3.C.D.1 Detailed System Requirements 11/29/2010 $485,981 (excludes GRT)

Description: Develop and document detailed System Requirements confirming joint understanding of UI Claims functional requirements. This deliverable includes the following items:

Detailed System Requirements Document

Task Item: Sub Task: Description: Produce Deliverable Detailed System

Produce Work Product Detailed System Requirements Validation and Fit

Outcome from the following UI Claims activities will be documented: Review and validate UI Claims

requirements

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Requirements for UI Claims

Gap Analysis for UI Claims

Detailed Requirements Fit Gap Analysis

Develop a Detailed System Requirements for UI Claims

Provide a Detailed System Requirements Document to include each functional area of UI Claims

Capture Procuring Agency feedback regarding detailed system requirements.

This detailed system requirements document will include documented changes and enhancements to the Contractor’s baseline system.

DDELIVERABLEELIVERABLE: 3.A.D.1 D: 3.A.D.1 DETAILEDETAILED P PROJECTROJECT W WORKPLANORKPLAN


3.A.D.1 Detailed Project Workplan 12/2//2010 $145,794 (excludes GRT)

Description: Provide a detailed project plan in in MS Project format with fixed deadlines and milestones associated with UI Claims, in collaboration with agency. This plan will take into consideration the agency holiday schedule, standard work hours, and the agency’s peak business cycles such as Quarterly Contributions Filing.

Task Item: Sub Task: Description: Produce Deliverable Detailed Project Workplan for UI Claims

Produce a Detailed Project Workplan for UI Claims

Develop a detailed project workplan for UI Claims with fixed deadlines and milestones that include the following: Project schedule including

tasks/activities/ activity duration/sequencing and dependencies

Project work plan for each deliverable, including a work breakdown structure

Completion date of each task Project milestones Entrance and exit criteria for specific

project milestones.

The Detailed Project Plan will be used to prepare a high-level integrated schedule and work plan to coordinate Procuring Agency resources and project personnel, as well as schedule joint meetings and activities to develop and implement UI Claims.

PAGE | 62


DDELIVERABLEELIVERABLE: 3.A.D.3 P: 3.A.D.3 PROJECTROJECT M MANAGEMENTANAGEMENT P PLANNINGLANNING ANDAND A ADMINISTRATIONDMINISTRATION


3.A.D.3 Project Management Planning and Administration

11/26/2010 $388,785 (excludes GRT)

Description: This deliverable consists of updating Project Planning and Administration documents to integrate the UI Claims subproject:

Modernization Approach and Strategy Communication Management Plan Risk Management Plan Quality Management Plan Human Resource Plan Knowledge Transfer Plan Project Archives/Repository Project Close-Out Process

Task Item: Sub Task: Description: Produce Deliverable Project Management Planning and Administration for UI Claims

Produce Work Product Modernization Approach and Strategy for UI Claims

Refine proposed approach and strategy based on direct input from the Procuring Agency to allow for adjustment and modification where necessary to more fully reflect current legacy constraints and system dependencies, resources limitations and proposed milestones, potential issues and risks and other constraints and assumptions that are relevant to UI Claims.

Develop and document a Communication Management Planfor UI Claims

Communication management plan will identify the fundamental sponsorship activities, the target audiences, the messages to be communicated, the people who will do the communicating, the frequency of communication, and the media to be used for UI Claims.

This deliverable will serve as a formal document listing the project activities that are to be executed jointly by the New Mexico Department of Workforce Solutions (NMDWS) staff and Deloitte staff.

Develop and document a Risk Management Planfor UI Claims

Risk management plan will include project risks, risk analysis, and mitigation recommendations, activities, and procedures.

PAGE | 63


Risk management planning and a risk register process relevant to UI Claims will be documented.

Develop and document a Quality Management Plan for UI Claims

Quality Management plan will document the methodology for maintaining quality of project requirements, designs, code, workmanship, documentation, project schedules and subcontractor(s) activities that are relevant for UI Claims.

The plan will address when and how corrective actions are logged, monitored, approved, and completed.

Develop and document a Human Resource Plan for UI Claims

Human Resource Plan will document the Contractor project organization including a resource plan defining roles and responsibilities for the Contractor and subcontractors involved in UI Claims.

Develop and document a Knowledge Transfer Plan for UI Claims

Knowledge Transfer Plan will document, instruct and prepare Procuring Agency personnel for post-production operating, monitoring and maintaining system activity and performance that is relevant for UI Claims.

This plan will include requirements for documented instruction, on-site training, time and resources to accomplish a transfer of knowledge to help Agency personnel operate and maintain UI Claims.

Develop and document a Project Archives/Repository for UI Claims

This document will contain references of repositories of project-related artifacts that include deliverables and work products, project standards, project organizational charts, and other business, functional, and design materials collected and created as part of the project that is relevant for UI Claims.

Develop and document a Project Close-Out Process for UI Claims

Project Close-Out Process will document the processes for delivering a set of final project management materials, products, tools and content that documents project outcomes and results.

Processes associated with the following

PAGE | 64


will be included in this document: final archival of project and project

management artifacts project lessons learned hand off and location of completed

project deliverables other project assets and

repositories used throughout UI Claims and required to maintain and operate the new system.

DDELIVERABLEELIVERABLE: : 3.K.D.1 I3.K.D.1 INTEGRATEDNTEGRATED UI C UI CLAIMSLAIMS T TRAININGRAINING P PLANLAN


3.K.D.1 Integrated UI Claims Training Plan

11/26/2010 $ 145,794 (excludes GRT)

Description: UI Claims training plan and approach document containing training courses, curriculum requirements, and training materials, train-the-trainer, end-user and technical training. Training materials will reference appropriate system documentation and operating procedures.

Task Item: Sub Task: Description: Develop and document a Training Plan for UI Claims

Produce a Training Plan for UI Claims

Comprehensive Training Plan for UI Claims outlining the training approach for the UI Claims agency business user community as well as technical staff training and knowledge transfer. The training planwill include the following: Overall training strategy and approach

addressing agency business end-user, technical, and periodic UI Claims operational requirements

A logical grouping and listing of Procuring Agency staff roles to be trained describing training needs by staff UI Claims function and location

Training techniques Outline of specific training courses and

curriculum Classroom requirements, desktop and

software requirements, UI Claims system access requirements, required user training security profiles, class locations, schedules and other logistics

Knowledge transfer approach and content for training technical staff

PAGE | 65


supporting and operating technical UI Claims components

Overall training schedule that references all training to be provided including train-the-trainer, train end-users, and train technical staff

DDELIVERABLEELIVERABLE: : 3.D.D.1 A3.D.D.1 ARCHITECTURALRCHITECTURAL D DESIGNESIGN


3.D.D.1 Architectural Design 12/3/2010 $291,589 (excludes GRT)

Description: Provide a document that describes the preliminary technical and system architectural design for UI Claims. The design will identify and document how major UI modernization components are integrated, interfaced, and connected. The design will address various technical and system components, such as web and application services, security, data stores that make up the overall design. Primary architectural layers such as User Interface, Navigation, Business, Security, Data and others will be documented in this design document. This deliverable includes the following items:

Code and Hardware Reuse Analysis Software and Hardware Preliminary Design Network Impact Analysis High Availability and Backup and Recovery Plan Final Architectural Design

Task Item: Sub Task: Description: Design, develop, and document anArchitectural Design for UI Claims

Provide a Reuse Analysis for UI Claims document

Provide a technical reuse analysis that recommends how best to leverage existing resources. Resources to consider include existing physical servers, operating system software, storage area network, database software, application server software, middleware, data encryption software, disaster recovery and backup environments and other.

Provide a Software and Hardware High Level Design for UI Claims document

Provide a Software and Hardware High Level Design for UI Claims. The following items, relevant to UI Claims, will be included and/or presented for consideration: UI Claims modernization software and

hardware platforms Major software infrastructure

components and services and how they interact

PAGE | 66


Development tools and strategy used to develop the solution including patterns used in the architecture

How functionality and responsibilities of the system are partitioned and assigned to subsystems or components

Major supplementary specifications such as SSL security

Message standards Service oriented architecture, when

used, including business services, web services, business rules and discovery technologies

Security architecture including access management, roles-based authorization, access control, transport layer security and web services security

Critical technical constraints Provide a Network Impact Analysis for UI Claims document

Document results from network analysis.

Overall server and network impact resulting from integrated UI Tax and Claims operations will be analyzed.

The analysis will address the following areas: Network backbone connection and

capacity impact for the UI Claims system

Server backbone infrastructure and network impact and requirements related to other devices such as SANs, Load Balancers, routers, and switches

Network connections for workstations Network connections at local and

remote offices Provide a High Availability and Backup and Recovery Plan for UI Claims document

Document details of the backup and recovery components relevant to UI Claims.

Document installation requirements describing how UI Claims components will function to address and prevent downtime events.

PAGE | 67


This plan shall include: Failure scenarios, probability of

occurrence, impact, and duration and priority

Processes and procedures employed for failures of significance. This will include detailed tasks, sequencing, participant roles, escalation procedures, and operational procedures

Required repair and response times Contingency matrix Back-up frequency,

mechanisms/media, and data.Provide a Final Architectural Design document

After integration of agency approved changes to architectural design, contractor will deliver a final architectural design document.

DDELIVERABLEELIVERABLE: 3.A.D.5 - I: 3.A.D.5 - INSTALLINGNSTALLING ANDAND C CONFIGURINGONFIGURING E EQUIPMENTQUIPMENT


3.A.D.5 - Installing and Configuring Equipment

12/21/2010 $97,196 (excludes GRT)

Description: Installing and configuring the final hardware needed for UI Claims scope.

Task Item: Sub Task: Description: Production Installation and Configuration

Production Installation and Configuration

Vendor will collaborate with DWS and DOIT to deploy hardware into the Production environment needed for UI Claims scope.

DDELIVERABLEELIVERABLE: 3.G.D.1.A D: 3.G.D.1.A DATAATA C CONVERSIONONVERSION D DESIGNESIGN ANDAND D DEVELOPMENTEVELOPMENT – P – PARTART 1 1


3.G.D.1.A Data Conversion Design and Development – Part 1

12/24/2010 $194,393 (excludes GRT)

Description: Design and document a data cleansing and migration plan and processes to convert legacy UI Claims data from existing Procuring Agency system environments to the new UI Claims modernization environment for UI Claims:

Data Conversion Plan

PAGE | 68


Deliverable submitted includes Data Conversion Plan.

Later submission of the same titled deliverable includes the Data Conversion System Design and Data Conversion Component Inventory and Source Code Repository.

Task Item: Sub Task: Description: Data Conversion Design and Development for UI Claims

Design, develop, and document a Data Conversion Plan for UI Claims

Document a data conversion and cleansing strategy outlining steps to identify and remove inconsistencies and inaccuracies in existing data. I Include edit rules against existing data, data validation process, field mapping procedures, format consistency, handling of differences in field sizes, formats, and content, and migration of cleansed data to the new database.

The plan will describe and document methodologies and techniques used to accomplish the above for UI Claims data conversion.

When legacy system bridging is used for interim data access and validation, the data synchronization strategy will be documented for allowing both the existing and the new system to run concurrently with data integrity in both. This will include procedures to determine the data to be synchronized and the method of synchronization.

Contractor will rely on Procuring Agency project resources to complete legacy data extract procedures and processes.

Contractor will complete final data preparation and load procedures and processes.

Contractor will rely on Procuring Agency technical resources to code legacy data extract programs, work with business staff to initiate data cleansing and scrubbing procedures, and stage extracted legacy data for Contractor conversion and loading.

PAGE | 69


Contractor will assist the Procuring Agency in understanding UI Claims Modernization data conversion requirements.

Contractor will design and implement the data conversion system, identify and provide necessary data scrubbing and data transformation requirements, code data transformation and load procedures and processes, and schedule and complete final data conversion into the new system.

DDELIVERABLEELIVERABLE: 3.B.D.7 E: 3.B.D.7 ESTABLISHSTABLISH P PRODUCTIONRODUCTION E ENVIRONMENTNVIRONMENT


3.B.D.7 Production Environment Development

1/28/2011 $145,794 (excludes GRT)

Description: Document the installation and configuration of UI Claims Production Environment based on the specifications included in the approved System Environment Configuration Plan.

Task Item: Sub Task: Description: Deliver Production Environment for UI Claims

Develop a Production Environment for UI Claims

Based on the approved System Environment Configuration Plan, necessary software components will be installed and configured to establish the Production Environment for UI Claims.

DDELIVERABLEELIVERABLE: : 3.B.D.4 E3.B.D.4 ESTABLISHSTABLISH D DEVELOPMENTEVELOPMENT/C/CONVERSIONONVERSION E ENVIRONMENTSNVIRONMENTS


3.B.D.4 Establish Development/Conversion Environments

1/28/2011 $97,196 (excludes GRT)

Description: Document the installation and configuration of UI Claims Development/Data Conversion Environments based on the specifications included in the approved System Environment Configuration Plan.

Task Item: Sub Task: Description: Deliver Development/Data Conversion

Design, develop, and document a Development/Data

Based on the approved System Environment Configuration Plan, initial migration of software components will

PAGE | 70


Environments for UI Claims

Conversion Environments for UI Claims

establish the Development/Data Conversion Environments for UI Claims.

DDELIVERABLEELIVERABLE: 3.B.D.3 E: 3.B.D.3 ESTABLISHSTABLISH P PROOFROOF--OFOF-C-CONCEPTONCEPT E ENVIRONMENTNVIRONMENT


3.B.D.3 Establish Proof-of-Concept Environment

2/4/2011 $583,178 (excludes GRT)

Description: Develop and Document the installation and configuration of the Proof-of-Concept Environment based on the specifications included in the approved System Environment Configuration Plan.

Task Item: Sub Task: Description: Deliver Proof-of-Concept Environment with UI Claims System Core Functionality installed

Establish Proof-of-Concept Environment for UI Claims System Core Functionality

Install and configure the Proof-of-Concept Environment. Necessary software components will be installed to demonstrate a proof-of-concept of core of the Proposed UI Claims System Core Functionality. The established environment will be used during requirement fit gap analysis and other project analysis tasks and meetings to help project stakeholders and others to visually understand system components.

DDELIVERABLEELIVERABLE: 3.I.D.1.A I: 3.I.D.1.A INTEGRATEDNTEGRATED T TESTEST P PLANLAN, P, PARTART 1 1


3.I.D.1.A Integrated Test Plan, Part 1 2/4/2011 $97,196 (excludes GRT)

Description: Update the system test plan to include UI Claims for user acceptance testing and issue resolution process. This deliverable includes the following items:

UI Claims Master Test Plan and Strategy Test Tools Unit Test Planning System Integration Test Planning UAT and QA Planning

Deliverable submitted here includes UI Claims Master Test Plan and Strategy, Test Tools, and Unit Test Planning documents from the above list.

Later submission of the same titled deliverable includes an updated Plan with the remaining two documentations – System Integration Test Planning, and UAT and QA Planning.

PAGE | 71


Task Item: Sub Task: Description: UI Claims Test Plan for UI Claims

Design and develop updates for integrating UI Claims Master Test Plan and Strategy for UI Claims

Based on the available information, the UI Claims Master Test Plan and Strategy will include testing methods, test types, schedules, conditions, scenarios, expected outcomes, data files, and resources to be used to determine system readiness for UI Claims. The test strategy will include and/or consider the following: List of the high-level functional and

system features to be tested Scope of testing including components

to be tested or not tested, expected risks if any, test dependencies, such as availability of converted data and completed components, and other assumptions

A description or diagram of high-level architecture elements impacted by the testing

Test schedule and key milestones Test data, test conditions and

scenarios, and expected results Procuring Agency and Contractor

resources required for testing Testing strategy which includes testing

approach and types of tests Test Entry/Exit Criteria Defect tracking and resolution

methods and severity notation guidelines

Regression testing strategy that addresses the retesting of an area that has, in the past, been considered ready for the end user

Test Environments Test Tool Requirements and Usage

Design, develop, and document Test Tools for UI Claims

Provide a list of tools and products to be used for testing UI Claims functionality, describe how the tools will be used and by whom.

Include necessary products and procedures used to produce test conditions

PAGE | 72


and expectations, control test execution and scheduling, comparing actual outcomes to predicted outcomes, setting test preconditions, automating actual tests, capturing keystrokes, regression testing, volume testing, tracking defects, resolution, and retests, and other test results and reporting functions, whichever are applicable.

Design, develop, and document a Unit Test Plann for UI Claims

This plan will contain a documented process to unit test UI Claims functionality.

DDELIVERABLEELIVERABLE: 3.F.D.1.A S: 3.F.D.1.A SYSTEMYSTEM D DEVELOPMENTEVELOPMENT ANDAND C CONFIGURATIONONFIGURATION D DOCUMENTATIONOCUMENTATION, , PPARTART 1 1


3.F.D.1.A System Development and Configuration Documentation, Part 1

2/8/2011 $194,393 (excludes GRT)

Description: Document the configuration, construction, testing, of UI Claims modernization system components, artifacts, and interfaces for UI Claims System Core Functionality.

Document the configuration of system parameters, modifications of existing modules and/or development of new modules per functional and detailed design requirements, and development, documentation and testing of system interfaces.

This deliverable consists of the following System Development and Configuration Documentation for UI Claims System Core Functionality:

Development Standards, Methodology, Tools and APIs

This deliverable includes Development Standards, Methodology, Tools and APIs, as they are finalized in the early stage of UI Claims System Core Functionality.

Later submissions of the same deliverable with this same title include: System Installation and Configuration Instructions System Component and Source Code Repository

Task Item: Sub Task: Description: Development Document project Document project development standards

PAGE | 73


and Configuration Documentation for UI Claims System Core Functionality

Standards, Methodology, Tools and APIs relevant to UI Claims System Core Functionality

to be used in producing UI Claims modernization components for UI Claims System Core Functionality.

Standards and guidelines will include: coding standards for project development languages; diagram, model and graphics usage guidelines; online helpstandards; approach for component reuse; object model design, lifecycle, and memory management guidelines; transaction and data integrity standards including single and multi-phase commits; user interface and navigation standards; and other design frameworks and libraries used.

Methodology will include management, control, maintainability, and traceability of requirements throughout the software development lifecycle; provide built-in quality control and metrics.

Development toolset, programmer workbench, and Integrated Development Environment (IDE) to be used during the project will be documented.

This document will also contain standard API and framework structures used within the developed and configured system. Primary namespaces, UI Claims system WSDLs, and class and coding libraries as well as other code generator tools and templates will be identified, where appropriate.

DDELIVERABLEELIVERABLE: 3.H.D.1 C: 3.H.D.1 CONCEPTUALONCEPTUAL ANDAND L LOGICALOGICAL D DATAATA M MODELODEL


3.H.D.1 Conceptual and Logical Data Model

2/11/2011 $291,589 (excludes GRT)

Description: Document the data design of UI Claims. This deliverable includes the following items:

PAGE | 74


Data Modeling Standards Conceptual Data Model Logical Data Model

Task Item: Sub Task: Description: Conceptual and Logical Data Model for UI Claims

Design, develop, and document Data Modeling Standards for UI Claims

Data modeling standards to be used for UI Claims.

Design, develop, and document Conceptual Data Model for UI Claims

Conceptual data model of UI Claims based on requirements derived through the Detailed System Requirements process. It includes entity classes and relationships, primary attributes and associations as well as a data structure diagram.

Design, develop, and document Logical Data Model for UI Claims

Logical data model of UI Claims based on structures derived from the conceptual data model. Logical Data Model will include the data integration approach, an entity-relationship diagram as well as pertinent entity, primary keys, foreign keys, attribute and relationship data.

DDELIVERABLEELIVERABLE: 3.G.D.1.B D: 3.G.D.1.B DATAATA C CONVERSIONONVERSION D DESIGNESIGN ANDAND D DEVELOPMENTEVELOPMENT, P, PARTART 2 2


3.G.D.1.B Data Conversion Design and Developmen,t Part 2

2/25/2011 $291,589 (excludes GRT)

Description: Document the data cleansing and migration plan and processes to convert legacy UI Claims data from existing Procuring Agency system environments to the new UI Claims modernization environment for UI Claims System Core Functionality:

Data Conversion System Design

Later submission of the same deliverable includes the Data Conversion Component Inventory and Source Code Repository. A prior submission of this deliverable included the Datat Conversion Plan.

Task Item: Sub Task: Description: Data Conversion

Design, develop, and document Data

Document a data conversion and cleansing strategy outlining steps to identify and

PAGE | 75


Design and Development for UI Claims System Core Functionality

Conversion Plan for UI Claims System Core Functionality

remove inconsistencies and inaccuracies in existing data. I Include edit rules against existing data, data validation process, field mapping procedures, format consistency, handling of differences in field sizes, formats, and content, and migration of cleansed data to the new database.

Describe the methodologies and techniques used to accomplish the above for UI Claims System Core Functionality data conversion.

When legacy system bridging is used for interim data access and validation, the data synchronization strategy will be documented for allowing both the existing and the new system to run concurrently while preserving data integrity in both. This will include procedures to determine the data to be synchronized and the method of synchronization.

Contractor will rely on Procuring Agency project resources to complete legacy data extract procedures and processes, and the Contractor will complete final data preparation and load procedures and processes.

Contractor will rely on Procuring Agency technical resources to code legacy data extract programs, work with business staff to initiate data cleansing and scrubbing procedures, and stage extracted legacy data for Contractor conversion and loading.

Contractor will assist the Procuring Agency in understanding UI Claims Modernization data conversion requirements. Contractor will design, document, and implement the data conversion system, identify and provide necessary data scrubbing and data transformation

PAGE | 76


requirements, code data transformation and load procedures and processes, and schedule and complete final data conversion into the new system.

DDELIVERABLEELIVERABLE: 3.E.D.1 D: 3.E.D.1 DETAILEDETAILED S SYSTEMYSTEM D DESIGNESIGN


3.E.D.1 Detailed System Design 3/25/2011 $923,364 (excludes GRT)

Description: Detailed system design showing how the finalized UI Claims requirements will be implemented. These documents are specific to NMDWS custom requirements for the new UI Claims system. This deliverable includes the following items: Detailed System Design for Each Component Report, Letter and Form Design Business Rule Design and Configuration System Interface Design Requirements Traceability Matrix

Task Item: Sub Task: Description: Detailed System Design for UI Claims

Design, develop, and document adetailed System Design for Each Component of UI Claims

Provide a detailed system design specifications for each component of UI Claims that are modified or implemented.

The detailed system design will include the following sections: Common, integrated functionality Online screens and content flow User interface design for both internal

and external users Detailed business, policy, and

processing rules Case management and workflow Batch processes and program flow Reports, Letters, Forms, and

Correspondence Online Help System internal and external

interfaces.Design, develop, and document Report, Letter, and Form Design for UI Claims

Provide a list of report, letter, and forms to be used in UI Claims, containing pertinent information such as content, usage, production, security, retention, volume and frequency.

Design, develop, and Provide a list of business rules designed

PAGE | 77


document Business Rule Design and Configuration for UI Claims

and configured for UI Claims indicating where the rules are implemented, and necessary documentation and procedures for maintaining the rules and related tables.

Design, develop, and document System Interface Design for UI Claims

Provide an Interface design document for UI Claims including interface data specification, architecture, security and authentication, connectivity, operation, maintenance, frequency, source, target, and volume.

Design, develop, and document Requirements Traceability Matrix for UI Claims

Provide a Requirements traceability matrix covering UI Claims requirements.

DDELIVERABLEELIVERABLE: 3.H.D.2 D: 3.H.D.2 DATAATA M MANAGEMENTANAGEMENT D DESIGNESIGN


3.H.D.2 Data Management Design 4/15/2011 $194,393 (excludes GRT)

Description: Documents the data design of UI Claims. This deliverable includes the following items: Physical Data Model DDL and Initialization Database Scripts

Task Item: Sub Task: Description: Deliverable Data Management Design for UI Claims

Design, develop, and document Physical Data Model for UI Claims

Provide a Physical data model of UI Claims based on structures derived from the Logical Data Model. The Physical Data Model will include tables, columns, column properties, keys, data types, validation rules, database triggers, stored procedures, access constraints, indices, views, optimization to meet performance requirements, and security-related components.

Design, develop, and document DDL and Initialization Database Scripts for UI Claims

Provide a Data Definition Language (DDL) for initial database creation for UI Claims and associated database initialization scripts and documentation.

PAGE | 78


DDELIVERABLEELIVERABLE: 3.B.D.5 E: 3.B.D.5 ESTABLISHSTABLISH I INTEGRATIONNTEGRATION/S/SYSTEMYSTEM T TESTEST/UAT/QA E/UAT/QA ENVIRONMENTSNVIRONMENTS


3.B.D.5 Establish Integration/System Test/UAT/QA Environments

4/22/2011 $194,393 (excludes GRT)

Description: Document the installation and configuration of UI Claims System Core Functionality into Integration/System Test/UAT/QA Environments based on the specifications included in the agency approved System Environment Configuration Plan.

Task Item: Sub Task: Description: Integration/System Test/UAT/QA Environments for UI Claims System Core Functionality

Establish Integration/System Test/UAT/QA Environments for UI Claims System Core Functionality

Based on the agency approved System Environment Configuration Plan, necessary software components will be installed, configured and documented to establish the Integration/System Test/UAT/QA Environments for UI Claims System Core Functionality.

DDELIVERABLEELIVERABLE: 3.I.D.1.B UI T: 3.I.D.1.B UI TESTEST P PLANLAN


3.I.D.1.B UI Test Plan 5/13/2011 $194,393 (excludes GRT)

Description: Provide an integrated system test plan, user acceptance testing and issue resolution process for UI Claims System Core Functionality. This deliverable includes the following items: UI Claims Master Test Plan and Strategy Test Tools Unit Test Planning System Integration Test Planning for UI Tax and UI Claims UAT and QA Planning

Deliverable submitted here includes the remaining two documentation items – System Integration Test Planning, and UAT and QA Planning.

Task Item: Sub Task: Description: UI Claims Test Plan for UI Claims System Core

Design, develop, and document UI Claims Master Test Plan and Strategy for UI

Contractor will provide testing methods, test types, schedules, conditions, scenarios, expected outcomes, data files, and resources to be used to determine

PAGE | 79


Functionality Claims System Core Functionality

system readiness for UI Claims System Core Functionality. The test strategy will include and/or consider the following: List of the high-level functional and

system features to be tested Scope of testing including components

to be tested or not tested, expected risks if any, test dependencies, such as availability of converted data and completed components, and other assumptions

A description or diagram of high-level architecture elements impacted by the testing

Test schedule and key milestones Test data, test conditions and

scenarios, and expected results Procuring Agency and Contractor

resources required for testing Testing strategy which includes testing

approach and types of tests Test Entry/Exit Criteria Defect tracking and resolution

methods and severity notation guidelines

Regression testing strategy that addresses the retesting of an area that has, in the past, been considered ready for the end user

Test Environments Test Tool Requirements and Usage

-Produce Work Product Test Tools for UI Claims System Core Functionality

Provide a list of tools and products to be used for testing UI Claims System Core Functionality, describe how the tools will be used and by whom.

This includes necessary products and procedures used to produce test conditions and expectations, control test execution and scheduling, comparing actual outcomes to predicted outcomes, setting test preconditions, automating actual tests, capturing keystrokes, regression testing, volume testing, tracking defects,

PAGE | 80


resolution, and retests, and other test results and reporting functions, whichever are applicable.

.System Integration Test Plan

Contractor will design, develop and document a System Integration Test plan

UAT Plan Contractor will design, develop and document a UAT plan

QA Plan Contractor will design, develop and document a QA Plan

DDELIVERABLEELIVERABLE: : 3.B.D.6 E3.B.D.6 ESTABLISHSTABLISH T TRAININGRAINING E ENVIRONMENTNVIRONMENT


3.B.D.6 Establish Training Environment 5/20/2011 $97,196 (excludes GRT)

Description: Document the installation and configuration of UI Claims System Core Functionality Training Environment based on the specifications included in the approved System Environment Configuration Plan.

Task Item: Sub Task: Description: Training Environment for UI Claims System Core Functionality

Design, develop, and document a Training Environment for UI Claims System Core Functionality

Based on the agency approved System Environment Configuration Plan, necessary software components will be installed and configured to establish the Training Environment for UI Claims System Core Functionality.

DDELIVERABLEELIVERABLE: 3.G.D.1.C D: 3.G.D.1.C DATAATA C CONVERSIONONVERSION D DESIGNESIGN ANDAND D DEVELOPMENTEVELOPMENT P PARTART 3 3


3.G.D.1.C Data Conversion Design and Development Part 3

11/18/2011 $291,589 (excludes GRT)

Description: Document the data cleansing and migration plan and processes to convert legacy UI Claims data from existing Procuring Agency system environments to the new UI Claims modernization environment for UI Claims: Data Conversion Plan Data Conversion System Design Data Conversion Component Inventory and Source Code Repository

Deliverable submitted here includes the Data Conversion Component Inventory and Source Code Repository.

PAGE | 81


Task Item: Sub Task: Description: Data Conversion Design and Development for UI Claims

Design, develop, and document a Data Conversion Component Inventory and Source Code Repository for UI Claims

Provide references for conversion component inventory and source code repository that contains the necessary programs, scripts, instructions, and other components developed and required to complete the data conversion.

The inventory and library will identify and include program source code, version control information, dependencies, process test results, and other details for each data conversion process of UI Claims.

DDELIVERABLEELIVERABLE: 3.L.D.1.A P: 3.L.D.1.A PRODUCTIONRODUCTION S SYSTEMYSTEM I IMPLEMENTATIONMPLEMENTATION P PLANLAN


3.L.D.1.A Production System Implementation Plan

11/25/2011 $194,393 (excludes GRT)

Description: This document describes the UI Claims implementation plan and schedule describing the steps, tasks, schedules, and responsibilities for migrating approved UI Claims components into production. This deliverable includes the following items: Production System Implementation Plan Business Services Migration Inventory

Submission here includes the delivery of Production System Implementation Plan from the above list. Later submission includes the delivery of Business Services Migration Inventory.

Task Item: Sub Task: Description: System Implementation Plan for UI Claims

Design, develop, and document a System Implementation Plan for UI Claims

Identify key milestones, methods, processes, equipment and software requirements, staffing, deliverables, and success criteria necessary to move to production the UI Claims system.

The plan will also include all major activities involved in cut-over, final conversion, training, site preparation, interface initiation, and system deployment.

PAGE | 82


DDELIVERABLEELIVERABLE: : 3.F.D.1.B S3.F.D.1.B SYSTEMYSTEM D DEVELOPMENTEVELOPMENT ANDAND C CONFIGURATIONONFIGURATION D DOCUMENTATIONOCUMENTATION


3.F.D.1.B System Development and Configuration Documentation

12/9/2011 $874,766 (excludes GRT)

Description: Describes the configuration, construction, testing, and documentation of UI Claims modernization system components, artifacts, and interfaces for UI Claims. Configuration of system parameters, modifications of existing modules and/or development of new modules as per the functional and detailed design requirements, and development, documentation and testing of system interfaces are also documented. This deliverable consists of the following System Development and Configuration Documentation for UI Claims: Development Standards, Methodology, Tools and APIs System Installation and Configuration Instructions System Component and Source Code Repository This submission includes System Installation and Configuration Instructions, and System Component and Source Code Repository for UI Claims. Earlier submission of the same deliverable included the remaining work product System Standards, Methodology, Tools and APIs from the above list.

Task Item: Sub Task: Description: Development and Configuration Documentation for UI Claims

Design, develop, and document a System Installation and Configuration Instructions relevant to UI Claims

Document the steps and tasks required to install, configure, and implement UI Claims components. Include application build scripts and configuration instructions, Scripts, files, documents and other associated repositories required to build, package, deploy and fully implement the UI Claims will be provided.

Specifically, this deliverable will provide information on the following items so that the Procuring Agency staff is able to perform installation,configuration, and deployment of UI Claims components: How UI Claims modernization

applications are bundled and packaged An inventory of all installation and

configuration scripts, instructions, tools and plug-ins used

How to generate application deployment descriptor and configuration files, as applicable

Documented dependencies and code

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generation Methods for achieving integration

including test processes on check-in Use of repositories to manage libraries,

versioning, and installationDesign, develop, and document a System Component and Source Code Repository relevant to UI Claims

Provide a detailed inventory and listing of UI Claims components. The inventory shall identify each item and its logical grouping, current test status, source code location and library, last modified and compiled date, and current version control information. The inventory and source code library will include customized and modified components/processes constructed for UI Claims purposes.

DDELIVERABLEELIVERABLE: 3.J.D.1 B: 3.J.D.1 BASELINEASELINE D DOCUMENTATIONOCUMENTATION


3.J.D.1 Baseline Documentation 2/3/2012 $48,598 (excludes GRT)

Description: Provide context sensitive online help, online manuals, and online desk procedures that provides a comprehensive understanding of the new UI Claims functionality from both a functional and technical perspective.

Task Item: Sub Task: Description: Baseline Documentation for UI Claims

Design, develop, and document a Baseline Functional and Technical Documentation for UI Claims

Baseline functional and technical documentation will include online help and desk procedures, system and user reference manuals, and other useful operational documentation already in place.

DDELIVERABLEELIVERABLE: : 3.J.D.2 UI C3.J.D.2 UI CLAIMSLAIMS O OPERATIONSPERATIONS D DOCUMENTATIONOCUMENTATION


3.J.D.2 UI Claims Operations Documentation

2/3/2012 $48,598 (excludes GRT)

Description: Provide context sensitive online help, online manuals, and online desk procedures that provide a comprehensive understanding of the new UI Claims functionality from both a functional and technical perspective. This is an As-

PAGE | 84


Delivered update to the Baseline functional and technical documentation. UI Claims Operations Documentation for UI Claims includes the following items: Updated Online Help Updated Desk Procedures and Reference Materials Updated Technical and Operational Documentation Cultural Change Management Plan

Task Item: Sub Task: Description: UI Claims Operations Documentation for UI Claims

Design, develop, and document a Updated Online Help for UI Claims

Online help to system users, which is context-sensitive and accessible by search. Online help will match the final New Mexico system and will include tutorials, procedural directions, feature descriptions and applicable reference material for both internal and external users.

Design, develop, and document a Updated Desk Procedures and Reference Materials for UI Claims

Online desk procedures tailored to the implemented solution. It will provide a comprehensive set of desk procedures to facilitate business transaction processing using the new system. Reference material shall include descriptions of application commands, keyboard functions, user interface controls, correspondence and form generation, error messages and actions, and an application glossary.

Design, develop, and document a Updated Technical and Operational Documentation for UI Claims

Relevant aspects of operations, hardware, software, network, and database references, batch processing, system technical operation, back-up and recovery procedures, system table maintenance, system administration, security administration, interface operations, and other system specific operations including the use of system/data-related tools required to supportUI Claims.

Design, develop, and document a Cultural Change Management Plan for UI Claims

This plan will detail how current and appropriate business processes, supportservices, and functional roles will be transferred to the new production environment without interruption or degradation.

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DDELIVERABLEELIVERABLE: : 3.I.D.2 UI C3.I.D.2 UI CLAIMSLAIMS T TESTEST R RESULTSESULTS


3.I.D.2 UI Claims Test Results 2/17/2012 $291,589 (excludes GRT)

Description: This document provides test results and corrective actions based on System Integration testing of UI Claims functionality. This deliverable includes the following items: System Integration Test Results UAT and QA Results

Task Item: Sub Task: Description: Produce Deliverable UI Claims Test Results for UI Claims

Design, develop, and document a System Integration Test Results for UI Claims

System integration test results include results from integration testing of UI Claims.

Design, develop, and document results for performance, load, and stress testing UI Claims

Test results from performance testing, load testing and stress testing of UI Claims.

Design, develop, and document UAT and QA Test Results for UI Claims

The User Acceptance Test (UAT) and Quality Assurance (QA) will be conducted by theProcuring Agency with assistance from the Contractor.

Results from UAT and QA testing of UI Claims functionality, and necessary corrective actions will be documented.

DDELIVERABLEELIVERABLE: : 3.K.D.2 E3.K.D.2 EXECUTEXECUTE THETHE T TRAININGRAINING P PLANLAN


3.K.D.2 Execute the Training Plan 3/2/2012 $194,393 (excludes GRT)

Description: Document the completion of installation of Training Data for UI Claims training, User Training, Technical and Operations Training, and Knowledge Transfer Status Report. This deliverable includes the following items for UI Claims training: Training Data User Training Technical and Operations Training

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Knowledge Transfer Status Report

Task Item: Sub Task: Description: Training for UI Claims

Design, develop, and document delivery of Training Data for UI Claims

Installation of training data for UI Claims training.

Design, develop, and document a User Training for UI Claims

Conduct and train internal Procuring Agency trainers on UI ClaimsFunctionality of the UI Claims System.

Design, develop, and document a Technical and Operations Training for UI Claims

Conduct training on UI Claims to technical and system operations staff.

Design and develop a Knowledge Transfer Status Report for UI Claims

Knowledge Transfer Status report including the following items: Contractor personnel delivering the

knowledge transfer Course evaluation results Procuring Agency personnel receiving

the knowledge transfer Knowledge transfer delivery method; Date delivered Practice opportunities

DDELIVERABLEELIVERABLE: : 3.A.D.2 P3.A.D.2 PROJECTROJECT R REPORTINGEPORTING


3.A.D.2 Project Reporting 3/12/2012 (Final Date)

Monthly, due the 5th of each month: December 5, 2012 thru, April 5, 2012

17 reports X $85,000

$1,445,000 (Total Amount) (excludes

GRT)

Task Item: Sub Task: Description: Submit Monthly Project Status Report

Perform Project Planning and Measurement and Control Activities

The Monthly Project Status Report provides the regular, periodic report of project activity, and represents the execution of Project planning and

PAGE | 87


measurement and control activities by the PMO staff.

Description: Monthly status reports will detail the current status of project, and reflect the project management activities completed during that month. The status report will include, as needed:

Overall completion status of the project in terms of the State-approved project work plan and deliverable schedule






QA Status





Resource allocation percentages, including planned versus actual by project milestone

DDELIVERABLEELIVERABLE: : 3.G.D.2 D3.G.D.2 DATAATA C CONVERSIONONVERSION R RESULTSESULTS


3.G.D.2 Data Conversion Results 3/12/2012 $194,393 (excludes GRT)

Description: Provide data conversion and reconciliation results for UI Claims including record counts, actual data conversion and staging files, and outstanding issues and tasks.

Task Item: Sub Task: Description: Data Conversion Results for UI Claims

Document Data Conversion Results for UI Claims

For UI Claims, the data conversion results document procedures and processes executed to convert legacy data, data conversion schedule, conversion and reconciliation results including record counts, locations of data conversion and staging files, and outstanding issues.

PAGE | 88


DDELIVERABLEELIVERABLE: : 3.L.D.1.B P3.L.D.1.B PRODUCTIONRODUCTION S SYSTEMYSTEM I IMPLEMENTATIONMPLEMENTATION P PLANLAN


3.L.D.1.B Production System Implementation Plan

3/19/2012 $97,196 (excludes GRT)

Description: Provide the UI Claims implementation plan and schedule describing the steps, tasks, schedules, and responsibilities for migrating approved UI Claims components into production. This deliverable includes the following items: Production System Implementation Plan Business Services Migration Inventory

This submission includes the delivery of Business Services Migration Inventory from the above list.

Earlier submission included the delivery of Production System Implementation Plan.

Task Item: Sub Task: Description: System Implementation Plan for UI Claims

Design, develop, and document a Business Services Migration Inventory for UI Claims

Define how business processes of UI Claims and support services will be transferred to the new production environment.

The migration inventory will include the following: Identification of business processes

and services that will be converted or migrated to the new production environment

List of supporting products and processes required for transition and ongoing support of the business

Identification of tasks and processes that require an interface with another agency or system to continue effective processing

Identification of ownership, roles, responsibilities, tools, conversion and schedules for each task and process to be migrated

Strategy and rollout schedule for initiating/commencing Procuring Agency staff and resources onto the production environment during initial implementation startup and transition to new system tasks and services

Maintenance and planned status of any

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decommissioned legacy data, database(s) and associated systems

DDELIVERABLEELIVERABLE: : 3.L.D.2 P3.L.D.2 PRODUCTIONRODUCTION S SYSTEMYSTEM I IMPLEMENTATIONMPLEMENTATION


3.L.D.2 Production System Implementation

4/23/2012 $291,589 (excludes GRT)

Description: Document the completion of required activities to implement UI Claims into production. This deliverable includes the following items: Production Site Preparation Production System Implementation Post Implementation Review Production System Support

Task Item: Sub Task: Description: Production System Implementation for UI Claims

Design, develop, and document a Production Site Preparation for UI Claims

Establish and coordinate production site preparation.

Contractor will ensure that necessary equipment, software, network connectivity, interfaces, power, data storage and conversion, and other required components are in place prior to production cut-over.

Contractor will monitor relatedtasks and resources to ensure that all production site and environment preparations are ready and completed in accordance with specifications and cut-over plans.

Completion of Work Product Production Site Preparation will be delivered in form of a letter confirming that all of the required activities are performed.

Design, develop, and document a Production System Implementation for UI Claims

Execute the approved production system cut-over and implementation plan and related procedures according to established schedules and timelines.

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Contractor will coordinate actual data conversion, system start-up, and business and systems operations.

Completion of Work Product Production System Implementation will be delivered in form of a letter confirming implementation of UI Claims.

Design, develop, and document a Post Implementation Review for UI Claims

Post Implementation Review verifies completion of deployment activities and determines if business sites are operating as expected.

Post Implementation Review reportprovides the following information: Overview of implementation results Summary of data cleanup activities Summary of data conversion activities Identification of business sites

implemented Count of users trained by location Description of major issues

encountered, resolutions completed, and corrective action plans for outstanding issues

Comparison of planned and actual implementation schedule

Summary of end-user and technical feedback regarding system usage and processing post implementation

Lessons learned

DDELIVERABLEELIVERABLE: F: FINALINAL P PROJECTROJECT/C/CONTRACTONTRACT C CLOSEOUTLOSEOUT L LETTERETTER


Final Project/Contract Closeout Letter 9/18/2012 $7,944.00Description: This letter presents formal notification of the completion of all contractual obligations by Deloitte.

Task Item: Sub Task: Description: Produce Final Project/Contract Closeout Letter

This deliverable represents formal notification of the completion of all contractual obligations by Deloitte.

The letter should contain information regarding current status of the system,

PAGE | 91


description of warranty work completed since the last monthly report.

4.2.3 D4.2.3 DELIVERABLEELIVERABLE A APPROVALPPROVAL A AUTHORITYUTHORITY D DESIGNATIONSESIGNATIONS

Deliverable approval authority designation for product development deliverables is consistent with the deliverable approval authority designation for project management deliverables described in Section 4.1.2.

4.2.4 D4.2.4 DELIVERABLEELIVERABLE A ACCEPTANCECCEPTANCE P PROCEDUREROCEDURE

The deliverable acceptance procedure for product development deliverables is consistent with the procedure described in Section 4.1.3.

The following table outlines the Agency review time for product development deliverables:


AAGENCYGENCY R REVIEWEVIEW TTIMEIME (W (WORKINGORKING DDAYSAYS))

1.B.D.1 System Environment Configuration Plan 5

1.B.D.2 Established Proof-of-Concept 5

1.B.D.3 Established Development/Conversion Environments 5

1.B.D.4 Established Integration/System Test/UAT/QA Environments 5

1.B.D.5 Established Training Environment 7

1.B.D.6 Established Production Environment 10

1.C.D.1 Detailed System Requirements 10

1.D.D.1 Architectural Design 10

1.E.D.1 Detailed System Design 15

1.F.D.1 System Development and Configuration Documentation 10

1.G.D.1 Data Conversion Design and Development 7

1.G.D.2 Data Conversion Results 5

1.H.D.1 Conceptual and Logical Data Model 5

1.H.D.2 Data Management Design 7

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1.I.D.1 UI Tax Test Plan 7

1.I.D.2 UI Tax Test Results 10

1.J.D.1 Baseline Documentation 5

1.J.D.2 UI Tax Operations Documentation 7

1.K.D.1 Training Plan 7

1.K.D.2 Training 10

1.L.D.1 Production System Implementation Plan 5

1.L.D.2 Production System Implementation 15

2.B.D.1 System Environment Configuration Plan 5

2.B.D.2 Established Proof-of-Concept 5

2.B.D.3 Established Development/Conversion Environments 5

2.B.D.4 Established Integration/System Test/UAT/QA Environments 5

2.B.D.5 Established Training Environment 7

2.B.D.6 Established Production Environment 10

2.C.D.1 Detailed System Requirements 10

2.D.D.1 Architectural Design 10

2.E.D.1 Detailed System Design 15

2.F.D.1 System Development and Configuration Documentation 10

2.G.D.1 Data Conversion Design and Development 7

2.G.D.2 Data Conversion Results 5

2.H.D.1 Conceptual and Logical Data Model 5

2.H.D.2 Data Management Design 7

2.I.D.1 UI Tax Test Plan 7

2.I.D.2 UI Tax Test Results 10

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2.J.D.1 Baseline Documentation 5

2.J.D.2 UI Tax Operations Documentation 7

2.K.D.1 Training Plan 7

2.K.D.2 Training 10

2.L.D.1 Production System Implementation Plan 5

2.L.D.2 Production System Implementation 15

3.2.D.1 Warranty and Maintenance and Support 10

UI Claims Deliverables Acceptance Procedure

DELIVERABLE NAME

AGENCY REVIEW TIME (WORKING DAYS)

3.A.D.4 Assistance with Finalizing HW/SW Purchase Orders 153.B.D.3 Established Claims Knowledge Repository (Letter) 103.A.D.3 Updated Project Planning and Administration 73.K.D.1 UI Training Plan 53.B.D.1 Updated System Environment Planning Document 153.C.D.1 Detailed System Requirements 103.A.D.1 Detailed Project Plan (mpp) 73.D.D.1 Architectural Design 103.A.D.5 Assistance with Installing and Configuring Equipment 73.G.D.1.A Data Conversion Design and Development 73.B.D.2 - Deliver uFACTS .NET Claims Code 53.B.D.7 Established Production Environment (Letter) 53.B.D.4 Migration to Development/Conversion Environments (Letter) 53.B.D.3 Established Proof-of-Concept (Letter) 53.I.D.1.A Updated Unit Test Plan 73.F.D.1.A System Development and Configuration Documentation 103.H.D.1 Conceptual and Logical Data Model 63.G.D.1.B Data Conversion Design and Development 73.E.D.1 Detailed System Design 10 3.H.D.2 Data Management Design 73.B.D.5 Migration to Integration/System Test/UAT/QA Environments (Letter) 53.I.D.1.B UI Test Plan 53.B.D.6 Migration to Training Environment (Letter) 73.G.D.1.C Data Conversion Design and Development 7

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3.L.D.1.A Production System Implementation Plan 63.F.D.1.B System Development and Configuration Documentation 103.J.D.1 Baseline Documentation 53.J.D.2 UI Claims Operations Documentation 73.I.D.2 UI Claims Test Results 103.K.D.2 Training 103.A.D.2 Project Reporting (allocated across 17 months) 53.G.D.2 Data Conversion Results 53.L.D.1.B Production System Implementation Plan 53.L.D.2 Production System Implementation 153.2.D.1 Warranty and Maintenance and Support 10Final Project/Contract Closeout Letter 5

5.0 PROJECT WORK5.0 PROJECT WORK

5.1 WORK BREAKDOWN STRUCTURE (WBS)5.1 WORK BREAKDOWN STRUCTURE (WBS) AND SCHEDULE AND SCHEDULE ALLOCATIONALLOCATIONThe Detail Project Plan, documented in MS Project, includes the UIT&CSM Project work breakdowns structure and schedule, as known during the Phase 0 – Contract Initiation – Kickoff and Project Management Plan. A summary Gantt Chart, describing high-level activities and timeline is provided below. The WBS includes activities, tasks, work products, milestones, and deliverables.

Key dates/milestones include:

Project Start Date – Phase 0: February 1, 2010

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Phase 0 - Project Kick-off: March 3, 2010

Phase 1 – ‘Employer Self-Service’ Implementation (‘go live’): February 28, 2011

Phase 2 – ‘Tax System Main’ Implementation (‘go live’): December 19, 2011

Phase 3 – Warranty and Maintenance Support Begins: December 20, 2011

Project Closeout: January 2, 2013

The detailed MS Project plan can be found using the following link:

https://er39.deloitteonline.com/eRoom/DTTAME93/NewMexicoDWSProjectPortal/0_1b22c

Note, a valid user name and password for the DWS Project Portal are required to access this link.

5.2 PROJECT BUDGET5.2 PROJECT BUDGET5.2.1 P5.2.1 PROFESSIONALROFESSIONAL S SERVICESERVICES

The table below documents the initial/planning project costs from April, 2007 through February, 2010. Additionally, column ‘GRP’ row ‘G’ is updated to include the budget for professional services, based on DWS’ contract with Deloitte. A subsequent table is provided that outlines Deloitte’s deliverable-base fees.

The information in these tables represents DWS’ third party, professional services fees and internal DWS costs as of February, 2010.

GRP Period Activity Description Vendor Selected

Total Budget

A Apr '07 toNov '07

UI Tax Requirements Definition Tier $ 959,642

B April '07 to Nov '07

UI Tax Requirements Phase IV&V

PDS $ 50,000

C June '08 toAug '08

2008 - Requirements Definition (FMB)

Tier $ 48,000

D May ‘09 toJan '10

2009 SW Vendor Selection RFP Contract

Davenport $ 25,000

E Oct '09 toJan '10

2009 Contract for RFP -- Implementation Phase IV&V and PM

Davenport $ 25,000

Aug '09 to Feb '10

2009-2010 Procurement Phase PM Contract

POD (Neitzey) $ 78,642

Initial / Planning Total $ 1,186,284

F Jan '10 to

Dec '122010 IV&V Contract - Implementation Phase

TBD $ -

PAGE | 96

https://er39.deloitteonline.com/eRoom/DTTAME93/NewMexicoDWSProjectPortal/0_1b22c


G Jan '10 toDec '12

2010 - 2012 SW Vendor for Implementation Phase

TBD $ 17,164,722

Jan '10 toDec '12

2010 PM Contract - Implementation Phase

TBD $ -

Implementation Total $ 17,164,722Total Contracts $ 18,351,006

NMDWS Salaries and Claims

(as of 6/30/09) $ 275,051

NMDWS training, software, Hardware, Travel, Allocations (as of 6/30/09)

$ 175,652

Total Internal Expenses $ 450,703

Total Project $ 18,801,709

The Project Budget for implementation services is based on the following deliverable-based fixed-fee schedule (excludes third party Project Manager and IV&V costs):

DDELIVERABLEELIVERABLE N NAMEAME PPRICERICE

1.B.D.1 System Environment Configuration Plan $257,471

1.A.D.1 Detailed Project Plan $171,647

1.B.D.2 Established Proof-of-Concept $1,544,825

1.A.D.3 Project Planning and Administration $386,206

1.F.D.1 System Development and Configuration Documentation $128,735

1.G.D.1 Data Conversion Design and Development $300,382

1.B.D.3 Established Development/Conversion Environments $128,735

1.I.D.1 UI Tax Test Plan $128,735

1.D.D.1 Architectural Design $171,647

1.C.D.1 Detailed System Requirements $429,118

2.B.D.1 System Environment Configuration Plan $171,647

2.A.D.1 Detailed Project Plan $171,647

2.B.D.2 Established Proof-of-Concept $1,029,878


1.B.D.4 Established Integration/System Test/UAT/QA Environments $171,647

1.B.D.5 Established Training Environment $85,824

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1.H.D.1 Conceptual and Logical Data Model $128,735

2.A.D.3 Project Planning and Administration $429,118

1.H.D.2 Data Management Design $214,559

2.D.D.1 Architectural Design $257,471

1.E.D.1 Detailed System Design $429,118

2.B.D.3 Established Development/Conversion Environments $171,647


1.B.D.6 Established Production Environment $85,824

1.L.D.1 Production System Implementation Plan $85,824

2.C.D.1 Detailed System Requirements $514,942

1.K.D.1 Training Plan $85,824

1.J.D.1 Baseline Documentation $85,824



1.J.D.2 UI Tax Operations Documentation $171,648

1.A.D.2 Project Reporting (Billed Monthly) $1,373,178

1.I.D.2 UI Tax Test Results $171,648

1.K.D.2 Training $42,912


1.G.D.2 Data Conversion Results $42,912

2.H.D.1 Conceptual and Logical Data Model $171,647


2.H.D.2 Data Management Design $257,471

1.L.D.3 Production System Implementation $42,912

2.B.D.4 Established Integration/System Test/UAT/QA Environments $171,647

2.E.D.1 Detailed System Design $514,942


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2.K.D.1 Training Plan $128,735

2.B.D.5 Established Training Environment $171,647



2.B.D.6 Established Production Environment $85,824

2.J.D.1 Baseline Documentation $85,824

2.I.D.2 UI Tax Test Results $257,472

2.J.D.2 UI Tax Operations Documentation $171,648

2.A.D.2 Project Reporting (Billed Monthly) $2,059,767

2.K.D.2 Training $85,824



2.G.D.2 Data Conversion Results $85,824

Final Implementation Project/Contract Closeout Letter


3.2.D.1 Warranty and Maintenance and Support

Final Project/Contract Closeout Letter

Total Services Deliverables $ 17,164,722

DELI VERABLE NAME PRICE3.A.D.4 Assistance with Finalizing HW/SW Purchase Orders $ 97,196 3.B.D.3 Established Claims Knowledge Repository (Letter) $ 388,785 3.A.D.3 Updated Project Planning and Administration $ 388,785 3.K.D.1 UI Training Plan $ 145,794 3.B.D.1 Updated System Environment Planning Document $ 194,393 3.C.D.1 Detailed System Requirements $ 485,981 3.A.D.1 Detailed Project Plan (mpp) $ 145,794 3.D.D.1 Architectural Design $ 291,589 3.A.D.5 Assistance with Installing and Configuring Equipment $ 97,196 3.G.D.1.A Data Conversion Design and Development $ 194,393

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3.B.D.2 - Deliver uFACTS .NET Claims Code $ 680,374 3.B.D.7 Established Production Environment (Letter) $ 145,794 3.B.D.4 Migration to Development/Conversion Environments (Letter) $ 97,196 3.B.D.3 Established Proof-of-Concept (Letter) $ 583,178 3.I.D.1.A Updated Unit Test Plan $ 97,196 3.F.D.1.A System Development and Configuration Documentation $ 194,393 3.H.D.1 Conceptual and Logical Data Model $ 291,589 3.G.D.1.B Data Conversion Design and Development $ 291,589 3.E.D.1 Detailed System Design $ 777,570 3.H.D.2 Data Management Design $ 194,393 3.B.D.5 Migration to Integration/System Test/UAT/QA Environments (Letter) $ 194,393 3.I.D.1.B UI Test Plan $ 194,393 3.B.D.6 Migration to Training Environment (Letter) $ 97,196 3.G.D.1.C Data Conversion Design and Development $ 242,991 3.L.D.1.A Production System Implementation Plan $ 145,794 3.F.D.1.B System Development and Configuration Documentation $ 485,981 3.J.D.1 Baseline Documentation $ 48,598 3.J.D.2 UI Claims Operations Documentation $ 48,598 3.I.D.2 UI Claims Test Results $ 242,991 3.K.D.2 Training $ 194,393 3.A.D.2 Project Reporting (allocated across 17 months) $ 1,457,944 3.G.D.2 Data Conversion Results $ 194,393 3.L.D.1.B Production System Implementation Plan $ 97,196 3.L.D.2 Production System Implementation $ 291,589 3.2.D.1 Warranty and Maintenance and Support $ - Final Project/Contract Closeout Letter

TOTAL w/ retinage $ 9,719,626

TOTAL EXPENDITURES Jan – Dec 2011 Jan – Oct 2012 Deloitte $9,360,000.40Professional Services $441,818.18 $368,181.82 $810,000.00Project Management $122,727.27 $102,272.73 $225,000.00IV&V $49,090.91 $40,909.09 $90,000.00Hardware/Software $750,000.00 $750,000.00 Subtotal $8,427,517.73 $3,167,108.85 $11,235,000.40 Retainage $1,096,962.66 TOTAL w/ Retainage $12,331,963.05

5.3 PROJECT TEAM5.3 PROJECT TEAM5.3.1 P5.3.1 PROJECTROJECT T TEAMEAM O ORGANIZATIONALRGANIZATIONAL S STRUCTURETRUCTURE

The project team organization structure is presented below.

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5.3.2 P5.3.2 PROJECTROJECT T TEAMEAM R ROLESOLES ANDAND R RESPONSIBILITIESESPONSIBILITIES

Description Specific TasksDWS Project Director

The Project Director acts as Deloitte’s principle NMDWS interface.

The NMDWS Project Director is responsible for planning, directing, and overseeing the project, and seeing that deliverables and functional requirements are achieved as defined in the SOW and subsequent project plans.

The Project Director is also responsible for the management of State resources assigned to the project, serves as the primary liaison among the project and the Project Sponsor and Steering Committee, and escalates decisions and issues, as needed.

The Project Director coordinates project-related issues with other related State efforts, reviews and resolves project issues not resolved at lower levels, and directs the project management functions.

Deloitte Project Director

The Deloitte Project Director has ultimate responsibility for oversight and delivery of the scope of work specified in the contract.

The Deloitte Project Director works collaboratively with the NMDWS Project Director to monitor project status, resolve issues, provide resources for the project, and interact with the NMDWS UI Modernization Project Steering Committee.

The Deloitte Project Director meets with the NMDWS Project Director to prepare for Steering Committee meetings or to address specific issues. We provide the NMDWS Project Director with summarized project status information, supported by draft materials, with the assistance of the NMDWS Project Managers, for presentation to the Steering Committee.

We also include the NMDWS Project Director as the first level in any escalation of project issues to the Steering Committee for the Director’s information and recommendations.

DWS Project Manager

The NMDWS Project Manager(s) is accountable to the NMDWS Project Director for project

The NMDWS Project Manager(s) manages the contract for development and integration of the NMDWS UI Tax System Modernization. The NMDWS Project

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management activities. Manager(s) manages NMDWS staff assigned to support the project, testing of software deliverables, and acceptance process for deliverables.

The NMDWS Project Manager(s) plans, guides, and oversees the day-to-day internal activities that support the project, and assists in the development of the master project schedule and other project management plans.

The NMDWS Project Manager(s) also assists Deloitte’s Project Manager with overseeing, tracking, and reporting the day-to-day activities of the project, and coordinates to identify, escalate, and/or resolve issues, risks, and changes, as appropriate.

Deloitte Project Manager

The Deloitte Project Manager, in concert with the NMDWS Project Manager, manages the day-to-day operations of the NMDWS UI Tax System Modernization Project.

The Deloitte Project Manager is responsible for:

• Delivery of the NMDWS UI Modernization solution and deliverables that meet NMDWS’ acceptance criteria

• Delivery of the project on schedule and within budget as defined in the contract, project charter, and project work plan

• Management of our consulting resources and other aspects of contract delivery

• Management of the process outlined in the PMP

Tax Team Lead (Deloitte and DWS)

The Tax Team Lead manages the functional aspects of the system so that the new system addresses NMDWS’ requirements and business process needs in accordance with the system development lifecycle methodology. The Tax Team Lead is responsible for the overall business design of the system. This role provides day-to-day management of the Business Architecture team, which is responsible for defining and verifying requirements and providing functional testing support.

The Tax Team Lead is responsible for providing input to project planning and tracking, providing status reporting, supporting project management plans (issue, risk), and assisting with the delivery of the project on schedule and within budget. The Tax Team Lead works closely with the Software Development Manager, NMDWS Business subject matter experts (SMEs), and other project teams to confirm that we correctly interpret and translate business requirements into a functional and integrated UI System. The NMDWS Tax Team Lead works side by side with the Deloitte Tax Team Lead to share team leadership responsibilities, share business and industry knowledge, transfer knowledge of the uFACTS Solution Framework, and gain knowledge and proficiency for the project’s development methodology and system technologies.

• Lead the Business Architecture team to accomplish the project’s goals and objectives on time and within budget.

• Support the Project Manager by providing input and updates to the project plan, providing status reports, and participating in project management plans (scope change, issue, risk, quality).

• Lead analysis and planning across business functions

• Coordinate communications, meetings, and interaction with NMDWS Business SMEs to gather, clarify, and confirm business requirements as needed.

• Identify, define, and monitor business standards and approaches.

• Provide insight into existing business processes and advice on achieving anticipated business Claims.

• Define and implement a process to assign a weighted value to each business requirement included within scope.

• Participate in the development of the general and detailed systems design for each release, including the as-is systems assessment, to-be systems assessment, gap analyses, and business process reengineering.

• Develop an archival and retrieval strategy that provides for efficient use of NMDWS resources and supports business continuity.

• Facilitate the definition of service level requirements for critical business functions.

• Provide resources and oversight to develop thorough integration and system test scenarios.

• Provide resources to participate in functional testing activities.

• Oversee the creation of functional system documentation.

• Assist with planning of post-implementation support.

• The Deloitte team is responsible for mentoring NMDWS staff and providing knowledge transfer in Business Architecture methodology and tools throughout the project.

Business Analysts: Data Analyst, Business Analyst, Business Rules Analyst (Deloitte and DWS)

Business Analysts provide UI business analysis and knowledge, assist with the definition of functional requirements and design, and assist with functional testing. Business Analysts work

Business Analysts:

• Work closely with the NMDWS SMEs to identify and confirm the system requirements and translate them into general and detailed designs that

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collaboratively with NMDWS SMEs and other end users, business management, and the project technical team to design a system that supports required business processes effectively and efficiently. Each analyst has one to several areas of assigned functionality.Business Analysts lend support to the Business Functional Leads in fulfilling the vision, direction, and objectives of the NMDWS UI Modernization Project. They are expected to understand NMDWS’ business practices and how these practices are supported through the proposed development methodology for design, documentation, training, and project management. The NMDWS Business Analyst works side by side with the Deloitte Business Analyst to share business and industry knowledge, transfer knowledge of the uFACTS Solution Framework, and gain knowledge and proficiency for the project’s development methodology and system technologies.

guide the development of the UI System.

• NMDWS Business Analysts provide input into NMDWS requirements. Deloitte Business Analysts provide input to UI best practices and uFACTS Solution Framework business functionality.

• Assist in identifying common requirements among program areas.

• Develop thorough integration and system test scenarios.

• Perform data cleansing (NMDWS responsibility).

• Perform integration and system testing.

• Assist in providing presentations to staff and outside groups to promote the system by explaining changes, progress, conversion, and implementation strategies and timeframes.

• Create system and end-user documentation.

• The Deloitte team is responsible to mentor NMDWS staff and provide knowledge transfer in Business Analyst responsibilities throughout the project.

DWS Business Subject Matter Experts

Participation of SMEs is vital to a project implementation. While some of NMDWS’ Business SMEs work full time on the project team, we will need others throughout the project to participate in design sessions, clarify requirements, and perform user acceptance testing (UAT). The NMDWS management team coordinates time needed with NMDWS Business SMEs.

• Provide input into the process of defining business requirements and opportunities for business process reengineering through requirement validation sessions and best practices discussions.

• Assist with detailed design through formal and informal working sessions.

• Assist in gap analysis activities.

• Provide the project team with program documentation (as needed).

• Assist in documentation and deliverable reviews as they pertain to business requirements and design.

• Assist in identifying common requirements among program areas.

• Perform user acceptance testing

• Participate as trainers and, where appropriate, assist in the development and deployment of training programs.

• Provide presentations to staff and outside groups to promote the system by explaining changes, progress, conversion, and implementation strategy and timeframes.

Training Lead (Deloitte and DWS)

The Training Lead is responsible for development and delivery of NMDWS UI Modernization training. The Training Lead works with the peer NMDWS Training Lead to develop the Training Strategy and leads the Train-the-Trainer program. This role also provides oversight to the development of training materials and to the delivery of end-user training. The NMDWS Training Lead works side by side with the Deloitte Training Lead to lead training activities and to gain knowledge and proficiency for the project’s training methodology, tools, and techniques.

• Assist with development of the training strategy.

• Manage the design and development of training materials, including end-user documentation.

• Define the procedures for the Train-the-Trainer program.

• Work with NMDWS UI Tax System Modernization Project Office Managers to identify end-user trainers.

• Implement the Train-the-Trainer program, confirming the training and readiness of NMDWS trainers.

• Oversee training delivery.

• Assist with knowledge transfer and skill assessments.

• The Deloitte team is responsible for mentoring NMDWS staff and providing knowledge transfer in training processes and techniques throughout the project.

Training Analysts (Deloitte and DWS)Trainer/Training Developer (includes Computer-Based Training Developer), Training Administrator

The Training Analysts are responsible for developing training materials and training NMDWS end-user trainers. They follow training material guidelines and develop the content of

• Develop classroom training materials.

• Deliver Train-the-Trainer classes.

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end-user training. They also act as trainers to train end-user trainers in system business processes so that they become proficient in teaching those business processes to end users. The NMDWS Trainer/Training Developer works side by side with the Deloitte Trainer/Training Developer to gain knowledge and proficiency for the project’s training methodology, tools, and techniques.

• The Deloitte Trainer/Training Developer supports the NMDWS Trainer/Training Developer in the delivery of training.

• Training Administrators is primarily engaged to schedule personnel and training and assist the trainers as needed.

• The Deloitte team is responsible for mentoring NMDWS staff and providing knowledge transfer in training processes and techniques throughout the project.

Quality/Testing Lead (Deloitte and DWS)

The Quality (QA)/Testing Lead assists the QA Manager in designing and implementing Quality Management processes (CMM Level 4) and testing procedures. The QA/Testing Lead verifies the quality of processes, work products, and deliverables throughout the project. The NMDWS QA/Testing Lead works side by side with the Deloitte QA/Testing Lead to implement project quality processes and to gain knowledge and proficiency for the project’s QA methodologies.The QA/Testing Lead is also responsible for overall test management, including defining the testing strategy, defining testing procedures, and overseeing functional and technical testing phases. The QA/Testing Lead is responsible for managing and monitoring the test environments, including the setup and population of the various test regions. The NMDWS QA/Testing Lead works side by side with the Deloitte QA/Testing Lead to lead the project’s testing efforts and to gain knowledge and proficiency for the project’s QA and testing methodologies.

• Create a detailed testing strategy for the NMDWS UI Modernization Project.

• Help develop and administer the project’s Quality Management Plan.

• Develop detailed testing processes and procedures

• Oversee the development of test cases, test scenarios, and test scripts.

• Work with other project teams to identify testing resources.

• Coordinate project testing phases, including development of testing schedules, progress reports, tracking, and metrics.

• Oversee defect tracking and management.

• Assist the QA Manager with the development and administration of the project’s Quality Management Plan.

• Oversee the quality of project processes, work products, and deliverables.


• The Deloitte team is responsible for mentoring NMDWS staff and providing knowledge transfer through the QA/Testing Lead responsibilities throughout the project.

Testing Analyst (Deloitte and DWS)

The Testing Analyst is responsible for supporting the QA/Testing Lead in developing test plans, preparing test environments, supporting testing phases, and managing testing and retesting within the project. The Testing Analyst provides input into test automation strategies and implements test automation on the project. The Testing Analyst also oversees adherence to testing policies and procedures. The NMDWS Testing Analyst works side by side with the Deloitte Testing Analyst to support testing management and to gain knowledge and proficiency for the project’s testing methodologies.

• Provide input to test automation strategies.

• Prepare test environments.

• Assist with test phase management and regression testing

• Analyze test results.

• Coordinate defect tracking and resolution.

• Verify that testing documentation is thorough and complete.

• The Deloitte team is responsible for mentoring NMDWS staff and providing knowledge transfer in testing processes and techniques to promote business effectiveness and overall team progress throughout the project.

Lead System Architect (Deloitte and DWS)

The Lead System Architect is the project’s lead technical resource. This role is responsible for the identification, design, integration, and implementation of the technical platform upon which the application resides. This role is responsible for designing and developing a complete and thorough system architecture that provide integration of infrastructure components, and for planning for system performance, reliability, and flexibility.The Lead System Architect also leads the technology team and is accountable for the day-to-day management of the team. This role is

• Lead the Technology team to accomplish the project’s goals and objectives on time and within budget.


• Plan and prioritize software functionality within the realm of business and customer requirements.

• Define the system’s technical architecture, including requirements for and integration of servers, data storage, networking, interfacing with external third parties, web access, document management integration, security, and telecommunications.

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responsible for providing project planning and tracking, providing status reporting, supporting project management plans (issue, risk), and assisting with the delivery of the project on schedule and within budget.The NMDWS Application Architect works side by side with the Deloitte Lead System Architect to share team leadership responsibilities, gain an understanding of the technical infrastructure design, and gain knowledge and proficiency to support the project’s technical infrastructure.

• Address overall system technical requirements for the UI System (Archival/Retrieval and Business Continuity, Data Interchange, Data Processing, Document and Content Management, Workflow, Help, Performance, Printing, Queries, Security, Transaction Audit, web Services).

• Present design and functionality based on supplied functional and technical specifications and requirements.

• Create web services and methods.

• Adhere to applicable systems architecture standards.

• Assist with procurement of the system’s hardware and software.

• Oversee the installation and configuration of system hardware and software (with NMDWS approval and assistance as required).

• Participate in the development of the general and detailed systems design for each release, including the as-is systems assessment, to-be systems assessment, and gap analyses in each technical area.

• Oversee the installation and verification of required project tools (e.g., uFACTS Solution Framework and Rational Suite).

• Develop plans for and oversee the establishment and maintenance of the system’s technical infrastructure, including required system environments (development and unit test, component integration test, system and user acceptance test, training, and production).

• Oversee the creation of system documentation.

• Plan and oversee the development of the system’s security infrastructure.

• Assist with the planning and execution of performance testing.

• Monitor system performance.

• Establish standards, protocols, and procedures for technical components.

• Provide criteria for measuring performance in the areas of response time, concurrency, system performance, impact on network performance, and schedule maintenance.

• Provide implementation support.

• Maintain documentation supporting consistency of applications and components with respect to the organization’s architectural direction.

• Mentor development team members.

Technology ArchitectsUI Technical Framework, Interfaces/Messaging, Applications, Security, Document Management

The project’s Technology Architects are responsible for specific technical components of the application and the integration of these components with the other architecture components. The Technology Architects report to the Lead System Architect and bring deep technical knowledge of specific architecture components. The Architects design, develop, maintain, monitor, and evaluate specific aspects of the technical platform and provide needed guidance on those aspects. They work closely together to design and build a highly integrated technical platform.For example, the Security Architect is responsible for understanding NMDWS’ security requirements, confirming that security requirements are included in the system design, and effectively deploying the security infrastructure. The uFACTS Technical Framework Architect is responsible for the overall installation and use of uFACTS design artifacts and code. The uFACTS Architect is an expert in the technical framework being

• Work as a team to design and develop a thorough and complete technical infrastructure that meets NMDWS System requirements.

• Provide technical guidance in the project’s technical components.

• Help architect a system that uses the advantages and strengths of each architecture component.

• Understand the NMDWS technical environment and use of particular technologies.

• Develop, configure, test, and support the system’s technical infrastructure, including (but not limited to) integration of servers, data storage, networking, interfacing with external third parties, web access, Document Management integration, security, and telecommunications, in required environments (development and unit test, component integration test, system and user acceptance test, training, and production).

• Adhere to applicable systems architecture standards.

• Create system documentation.

• Establish standards, protocols, and procedures for technical components.

• Provide implementation support

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proposed and is responsible for integrating this framework into the overall technical landscape.NMDWS Architects work side by side with Deloitte Architects to understand the system’s technical architecture and configuration and to gain knowledge and proficiency for architecture design, implementation, monitoring, and support.

Infrastructure Lead

The Infrastructure Lead provides leadership and guidance to the project’s infrastructure staff. The Infrastructure Lead is ultimately responsible for assisting NMDWS with deployment of the NMDWS UI Modernization technical environment. The Infrastructure Lead is accountable for the day-to-day activities of the Infrastructure staff, provides project planning and tracking and status reporting, supports project management plans (issues, risks, etc.), and is responsible to assist with the delivery of the project on schedule and within budget. The NMDWS Infrastructure Lead works side by side with the Deloitte Infrastructure Lead to understand the system’s technical environment.

• Install, configure, test and support the system’s technical infrastructure, including (but not limited to) integration of servers, data storage, networking, web access, backup and recovery, batch, security, and telecommunications in required environments.

• Adhere to applicable system architecture standards.

• Establish and maintain appropriate quality control systems for the system’s technical infrastructure.

• Validate that system’s technical infrastructure adheres to relevant security standards and policies.

• Direct the preparation and execution of computer operations production procedures.

• Monitor system’s technical infrastructure performance.

• Plan and direct optimum utilization of computer equipment and associated hardware.

• Develop and implement system procedures to improve infrastructure resources and improve their availability.

• Create system documentation.

• Establish standards, protocols and procedures for technical components.


Database Designer (DBA)

The Database Designer Database Administrator (DBA) is responsible for installation and configuration of the database management system. The DBA is responsible for leading the logical and physical database design; determining the content, internal structure, sizing, indexing, maintainability and availability, and access strategy for the database; implementing security control procedures; and confirming ongoing optimization of the database.The DBA works closely with other team leads to confirm availability of appropriate data environments, features, and functions throughout the project lifecycle. NMDWS DBAs work side by side with Deloitte DBAs to design, build, and support the systems database instances and to gain knowledge and proficiency for database management.

• Install and configure the database management system.

• Design the logical and physical database.

• Design an integrated data model.

• Provide a strategy for data integrity.

• Perform physical database build and verification in support of required project environments.

• Provide support for the system database instances.

• Follow configuration management/application change management procedures.

• Develop system documentation.

• Monitor database performance and provide recommendations for data access efficiency improvements.

• Provide implementation database support.

Data Conversion Lead

The Data Conversion Lead is responsible for managing data conversion for the existing systems. The Data Conversion Lead works with NMDWS legacy system staff, the project Technical Architect (Technical Lead), and the technical and data conversion teams to coordinate and execute the overall approach to data conversion and legacy system decommissioning. The Data Conversion Lead is responsible for creating a data conversion and

• Develop a detailed data conversion strategy and plan that:o Defines the source for each data elemento Provides a gap analysis method and an associated action plan to address

gapso Includes data cleansing recommendations and scheduleo Defines testing requirementso Defines a strategy for data synchronization until legacy systems are retiredo Provides for minimal disruption of ongoing business activitieso Includes conversion or loading of required data currently stored in various

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migration strategy for the project. This includes identification of methods of collecting, cleaning, preparing, and loading the legacy application data into the system.The Data Conversion Lead implements any automated conversion tools necessary, determines how to warehouse legacy data that do not need to be converted, and documents the overall conversion and legacy system decommissioning approach. The NMDWS Data Conversion Lead works side by side with the Deloitte Data Conversion Lead to effectively design and manage the migration of legacy system data to the new NMDWS UI Modernization system and to retire associated legacy systems.

media (e.g., paper, microfiche, image and sequel server, spreadsheets, other standalone systems)

• Lead data cleansing activities.

• Develop detailed plans for conversion testing and verification.

• Develop and implement the plan for production system conversions and verification.

Software Development Lead (Lead Developers)

The Software Development Lead is responsible for the development of the system’s application code according to standards and in support of defined application requirements. The Software Development Lead directs a team of developers in the technical design, development, and unit testing of functionality. The Software Development Lead provides day-to-day management of the Software Development team.This role is responsible for input to project planning and tracking, status reporting, support for project management plans (issue, risk), and assisting with the delivery of the project on schedule and within budget. The NMDWS Software Development Lead works side by side with the Deloitte Software Development Lead to share team leadership responsibilities and to gain knowledge and proficiency for the project’s development methodology and system technologies.

• Lead the Software Development team to accomplish the project’s goals and objectives on time and within budget.

• Support the Project Manager by providing input and updates to the project plan and status reports and participating in project management plans (scope, issue, risk).

• Interface primarily with the NMDWS UI Modernization System Engineer.

• Work with the Sr. Software Architect to design a system and deliver the NMDWS UI Modernization solution.

• Work closely with the Business Architecture team and the NMDWS Technical SMEs to understand the needs and translate them into a functioning system.

• Manage the software development staff, interacting with the Quality and Testing teams.

• Confirm that the development team follows configuration management procedures.

• Oversee the development of system components that fulfill the requirements established by the NMDWS user community, following system, development, and usability standards.

• Review NMDWS and State standards for application development. Incorporate these standards into the NMDWS UI Modernization System development standards.

• Deliver system components that adhere to the project development standards, use efficient code, and are thoroughly tested.

• Oversee the creation of application documentation.

• Oversee system support and maintenance after production implementation.


Technology Analysts/DevelopersLegacy Interface/Conversion, Framework Modification, Interactive Voice Response (IVR), Reports, Interfaces

The Technology Analysts/Developers design, program, and modify software-programming applications and software components. They write code, complete programming, and unit test software components assigned to them. They are responsible for analyzing and resolving problems identified during testing activities and providing post-implementation development support.Technology Analysts/Developers also create and update system documentation. NMDWS Application Developers work side by side with Deloitte Application Developers to design, build,

• NMDWS Application Developers complete training in the methodologies, standards, and technical products proposed.

• Work closely with the Business Architecture team and the NMDWS SMEs to understand UI business needs and translate them into a functioning system.

• Develop detailed technical designs and specifications for application components, including batch and online application components (e.g., conversion, interfaces, reports, workflows, scanning and imaging, and IVR).

• Develop application components and customize off-the-shelf products, as necessary, to meet requirements.

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and support the system’s software components; learn methodologies, standards, and technical products, and gain application development knowledge and proficiency.

• Adhere to application development standards.

• Perform unit testing for development and/or configured components.

• Create documentation for application components.

• Debug programming problems identified during project testing phases.

• Follow configuration management/application change management procedures.

• Provide pre- and post-implementation support.

• The Deloitte team is responsible for mentoring NMDWS staff, providing knowledge transfer in Application Development methodology, and providing development skills and standards throughout the project.

NMDWS Technology Subject Matter Experts

NMDWS core technical experts are essential to the project’s progress. These resources are involved in helping the project team to understand the NMDWS technical environment in detail, to understand legacy systems’ data structures, helping verify the technical architecture, and helping understand the environment so that decisions can be made during system design that impact other components of the agency. Other groups of NMDWS Technical Experts provide support to the project team by installing tools, providing legacy system documentation, or providing team members with network access.

• Perform system configurations based on detailed Deloitte specifications and instructions.

• Perform environment configurations based on detailed Deloitte specifications and instructions.

• Perform any server related installations and configurations based on detailed Deloitte specifications and instructions.

• Address network issues, including, but not limited to, tuning firewalls based on detailed Deloitte specifications and instructions.

• Provide legacy system technical and functional documentation.

• Provide network access to project team members.

5.5 STAFF PLANNING AND RESOURCE ACQUISITION5.5 STAFF PLANNING AND RESOURCE ACQUISITION5.5.1 P5.5.1 PROJECTROJECT S STAFFTAFF – D – DELOITTEELOITTE

Deloitte has assembled a qualified group of individuals to help NMDWS meet its UIT&CSM project objectives. The following Key Staff will provide leadership throughout the project:

Project Director – Scott Malm

Project Manager – Dennis Wenzel

Tax Lead – Harpreet Kaur

Business Analyst – Bernt Peterson

Business Analyst – Brahma Mishra

Training Specialist – Josh Kunin-Goldsmith

Quality/Testing Lead – Partha Mukhopadhyay

Lead System Architect – Mrinal Shaw

These key resources will be supported by Deloitte staff with the appropriate business, technology (.Net) and project management experience.

The Deloitte team also includes subcontractor resources from the following organizations:

Revenue Solutions Inc (RSI). RSI brings key knowledge and solution expertise in data conversion, tax accounting, tax compliance, field audit and collections — particularly as it relates to UI modernization.

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CSG. CSG has significant experience in UI and Workforce Development and their staff understands UI, Labor Exchange, WIA, and related workforce programs.

POD. POD brings direct knowledge of DWS through a series of recent projects.

5.5.2 P5.5.2 PROJECTROJECT S STAFFTAFF – DWS – DWS

DWS is providing the following staff to support the system implementation effort:

• 1 project manager full time equivalent (FTE)

• 3 developer FTEs

• 1.5 project management staff FTEs (technical)

• 1.5 project management staff FTEs (business)

• .65 legacy developer FTEs (interfaces/data conversion)

• .65 legacy technical SME FTEs

• .5 infrastructure support FTEs (server, DBA)

• 3 business SME FTEs (from 15 functional areas)

• 3 business UAT FTEs (from 15 functional areas)

• 1 trainer FTE

The following chart has been prepared to assist DWS with its staff planning:

PPROJECTROJECT R ROLEOLE RROLEOLE D DESCRIPTIONESCRIPTION FORFOR NMDWS NMDWS RRESOURCEESOURCE

NMDWS NMDWS RRESOURCEESOURCE

((CANDIDATESCANDIDATES))

NMDWS NMDWS RRESOURCEESOURCE RREQUIREMENEQUIREMENTT

Project Director The NMDWS Project Director is responsible for planning, directing, and overseeing the project, and seeing that deliverables and functional requirements are achieved as defined in the SOW and subsequent project plans. The Project Director is also responsible for the management of State resources assigned to the project, serves as the primary liaison among the project and the Project Sponsor and Steering Committee, and escalates decisions and issues, as needed.The Project Director coordinates project-related issues with other related State efforts, reviews and resolves project issues not resolved at lower levels, and directs the project management functions. The Project Director acts as Deloitte’s principle NMDWS interface.

Project Director An individual with the ability to interact with Project Sponsor and Steering Committee to address project issues and risks, provide some UI subject matter expertise and has some prior exposure to project management.

Project Manager The NMDWS Project Manager(s) manages the contract for development and integration of the NMDWS UI Tax System Modernization. The NMDWS Project Manager(s) manages NMDWS staff assigned to support the project,

Project Manager Prior project management experience or exposure to project

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testing of software deliverables, and acceptance process for deliverables.The NMDWS Project Manager(s) is accountable to the NMDWS Project Director for project management activities. The NMDWS Project Manager(s) plans, guides, and oversees the day-to-day internal activities that support the project, and assists in the development of the master project schedule and other project management plans. The NMDWS Project Manager(s) also assists Deloitte’s Project Manager with overseeing, tracking, and reporting the day-to-day activities of the project, and coordinates to identify, escalate, and/or resolve issues, risks, and changes, as appropriate.

management methods and techniques.

Lead System Architect The Lead System Architect is the project’s lead technical resource. This role is responsible for the identification, design, integration, and implementation of the technical platform upon which the application resides. This role is responsible for designing and developing a complete and thorough system architecture that provide integration of infrastructure components, and for planning for system performance, reliability, and flexibility. The Lead System Architect also leads the technology team and is accountable for the day-to-day management of the team. This role is responsible for providing project planning and tracking, providing status reporting, supporting project management plans (issue, risk), and assisting with the delivery of the project on schedule and within budget. The NMDWS Application Architect works side by side with the Deloitte Lead System Architect to share team leadership responsibilities, gain an understanding of the technical infrastructure design, and gain knowledge and proficiency to support the project’s technical infrastructure.

Legacy Technical SME

An individual who has familiarity or experience with multi-tier architectures. Ideally this individual will eventually assume responsibility for the new UI Tax System architecture.

Business Architecture Team Lead (Domain Lead -Tax)

The Business Architecture Team Lead manages the functional aspects of the system so that the new system addresses NMDWS’ requirements and business process needs in accordance with the system development lifecycle methodology. The Business Architecture Team Lead is responsible for the overall business design of the system. This role provides day-to-day management of the Business Architecture team, which is responsible for defining and verifying requirements and providing functional testing support. The Business Architecture Team Lead is responsible for providing input to project planning and tracking, providing status reporting, supporting project management plans (issue, risk), and assisting with the delivery of the project on schedule and within budget. The Business Architecture Team Lead works closely with the Software Development Manager, NMDWS Business subject matter experts (SMEs), and other project teams to confirm that we correctly interpret and translate business requirements into a functional and integrated UI System. The NMDWS Business Architecture Team Lead works side by side with the Deloitte Business Architecture Team Lead to share team leadership responsibilities, share business and industry

Project Management Staff – Business

Knowledge of UI Tax and project team leadership experience or demonstrated ability to lead work teams.

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knowledge, transfer knowledge of the uFACTS Solution Framework, and gain knowledge and proficiency for the project’s development methodology and system technologies.

QA/Test Lead The Quality (QA)/Testing Lead assists the QA Manager in designing and implementing Quality Management processes (CMM Level 4) and testing procedures. The QA/Testing Lead verifies the quality of processes, work products, and deliverables throughout the project. The NMDWS QA/Testing Lead works side by side with the Deloitte QA/Testing Lead to implement project quality processes and to gain knowledge and proficiency for the project’s QA methodologies.The QA/Testing Lead is also responsible for overall test management, including defining the testing strategy, defining testing procedures, and overseeing functional and technical testing phases. The QA/Testing Lead is responsible for managing and monitoring the test environments, including the setup and population of the various test regions. The NMDWS QA/Testing Lead works side by side with the Deloitte QA/Testing Lead to lead the project’s testing efforts and to gain knowledge and proficiency for the project’s QA and testing methodologies.

Project Management Staff – BusinessBusiness UAT

Knowledge of UI Tax. Previous testing experience preferred, not required.

Software Development Team Lead

The Software Development Lead is responsible for the development of the system’s application code according to standards and in support of defined application requirements. The Software Development Lead directs a team of developers in the technical design, development, and unit testing of functionality. The Software Development Lead provides day-to-day management of the Software Development team. This role is responsible for input to project planning and tracking, status reporting, support for project management plans (issue, risk), and assisting with the delivery of the project on schedule and within budget. The NMDWS Software Development Lead works side by side with the Deloitte Software Development Lead to share team leadership responsibilities and to gain knowledge and proficiency for the project’s development methodology and system technologies.

Project Management Staff – Technical

Prior software development experience. Previous software team leadership experience preferred or demonstrated ability to lead work teams.

Data Conversion Lead The Data Conversion Lead is responsible for managing data conversion for the existing systems. The Data Conversion Lead works with NMDWS legacy system staff, the project Technical Architect (Technical Lead), and the technical and data conversion teams to coordinate and execute the overall approach to data conversion and legacy system decommissioning. The Data Conversion Lead is responsible for creating a data conversion and migration strategy for the project. This includes identification of methods of collecting, cleaning, preparing, and loading the legacy application data into the system. The Data Conversion Lead implements any automated conversion tools necessary, determines how to warehouse legacy data that do not need to be converted, and documents the overall conversion and legacy system decommissioning approach. The NMDWS Data Conversion Lead works side by side with

Project Management Staff – Technical Project Management Staff – Business

Knowledge of NMDWS existing UI Tax business and knowledge of legacy systems data architecture (not necessarily one person).

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the Deloitte Data Conversion Lead to effectively design and manage the migration of legacy system data to the new NMDWS UI Modernization system and to retire associated legacy systems.

Training Specialist (Lead)

The Training Lead is responsible for development and delivery of NMDWS UI Modernization training. The Training Lead works with the peer NMDWS Training Lead to develop the Training Strategy and leads the Train-the-Trainer program. This role also provides oversight to the development of training materials and to the delivery of end-user training. The NMDWS Training Lead works side by side with the Deloitte Training Lead to lead training activities and to gain knowledge and proficiency for the project’s training methodology, tools, and techniques.

Trainer Prior training experience and/or knowledge of UI Tax business.

Business Analyst/Functional Test Analyst

Business Analysts provide UI business analysis and knowledge, assist with the definition of functional requirements and design, and assist with functional testing. Business Analysts work collaboratively with NMDWS SMEs and other end users, business management, and the project technical team to design a system that supports required business processes effectively and efficiently. Each analyst has one to several areas of assigned functionality. Business Analysts lend support to the Business Functional Leads in fulfilling the vision, direction, and objectives of the NMDWS UI Modernization Project. They are expected to understand NMDWS’ business practices and how these practices are supported through the proposed development methodology for design, documentation, training, and project management. The NMDWS Business Analyst works side by side with the Deloitte Business Analyst to share business and industry knowledge, transfer knowledge of the uFACTS Solution Framework, and gain knowledge and proficiency for the project’s development methodology and system technologies.The Testing Analyst is responsible for supporting the QA/Testing Lead in developing test plans, preparing test environments, supporting testing phases, and managing testing and retesting within the project. The Testing Analyst provides input into test automation strategies and implements test automation on the project. The Testing Analyst also oversees adherence to testing policies and procedures. The NMDWS Testing Analyst works side by side with the Deloitte Testing Analyst to support testing management and to gain knowledge and proficiency for the project’s testing methodologies.

Business SMEBusiness UAT

Knowledge of UI Tax, preferably including knowledge of NMDWS business rules. Experience documenting requirements and design specifications preferred.

Technical Analyst/Architect

The project’s Technology Architects are responsible for specific technical components of the application and the integration of these components with the other architecture components. The Technology Architects report to the Lead System Architect and bring deep technical knowledge of specific architecture components. The Architects design, develop, maintain, monitor, and evaluate specific aspects of the technical platform and provide needed guidance on those aspects. They work closely together to design and build a highly integrated technical platform.

Legacy Developer (Interface/Data Conversion) Legacy Technical SME

Previous IT experience as a developer or architect.

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For example, the Security Architect is responsible for understanding NMDWS’ security requirements, confirming that security requirements are included in the system design, and effectively deploying the security infrastructure. The uFACTS Technical Framework Architect is responsible for the overall installation and use of uFACTS design artifacts and code. The uFACTS Architect is an expert in the technical framework being proposed and is responsible for integrating this framework into the overall technical landscape.NMDWS Architects work side by side with Deloitte Architects to understand the system’s technical architecture and configuration and to gain knowledge and proficiency for architecture design, implementation, monitoring, and support.

Developer The Technology Analysts/Developers design, program, and modify software-programming applications and software components. They write code, complete programming, and unit test software components assigned to them. They are responsible for analyzing and resolving problems identified during testing activities and providing post-implementation development support. Technology Analysts/Developers also create and update system documentation. NMDWS Application Developers work side by side with Deloitte Application Developers to design, build, and support the system’s software components; learn methodologies, standards, and technical products, and gain application development knowledge and proficiency.

.NET Developer Previous developer experience and/or training with the project’s development platform (.NET)

Training Analyst The Training Analysts are responsible for developing training materials and training NMDWS end-user trainers. They follow training material guidelines and develop the content of end-user training. They also act as trainers to train end-user trainers in system business processes so that they become proficient in teaching those business processes to end users. The NMDWS Trainer/Training Developer works side by side with the Deloitte Trainer/Training Developer to gain knowledge and proficiency for the project’s training methodology, tools, and techniques.

Trainer Previous training experience and/or UI Tax knowledge.

5.5.3 N5.5.3 NONON-P-PERSONNELERSONNEL RESOURCESRESOURCES

This section includes software and hardware resources to deploy the new UI Tax System. These tables are subject to change during subsequent phases of the project.

The following table outlines third-party software necessary to deploy the new UIT&CSM system.

TTHIRDHIRD-P-PARTYARTY S SOFTWAREOFTWARE QQTTYY

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TTHIRDHIRD-P-PARTYARTY S SOFTWAREOFTWARE QQTTYYMicrosoft

Office Professional Plus 25

Visio 2007 Pro 5

Visual Studio Professional 2008 15

MS OPS 49

Windows Server 2003 Standard 7

Windows Server 2008 CALs 25

Windows Server 2008 Standard 61

SQL Server CALs 26

TFS Server CALs 26

IBM AIX

IBM AIX (OS license included with hardware) 4

IBM PowerHA 5

IBM DB2

IBM DB2 Reporting DB 1

IBM DB2 Transactional DB 4

IBM Tivoli

Tivoli Monitoring - Intel 150

Tivoli Monitoring - AIX 11

Tivoli Monitoring (users) 5

IBM FileNet

P8 Content Manager, Business Process Manager, Fax Server, Capture, ADR 1

FileNet Installation 1

IBM Rational

Rational ClearQuest - named user 29

Rational Functional Tester- floating user 3

Rational Performance Tester - named user 69

Rational Requisite Pro - named user 37

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TTHIRDHIRD-P-PARTYARTY S SOFTWAREOFTWARE QQTTYYRational Rose XDE 25

Rational Policy Tester Accessibility Edition Resource 1

SAP

Crystal Reports Server 2008 - packs of 5 concurrent users 3

Crystal Reports 2008 (Visual Advantage) 15

ScaleOut

SessionServer Data Center 10 Servers Edition 1

UC4

Operations Manager Agent Scheduler- Agent 10

Operations Manager Master/Agent 3

Operations Manager User Interface 1

Symantec

End Point Antivirus 80

Pitney Bowes Group 1

Universal Addressing Module (3 million addresses/year) 1

DOC1 Designer (5 copies) 1

DOC1 Generate, with DCS (6 processors, Dev/Test/Prod) 1

Installation T&M DOC1 and DCS 100

Installation Address Cleansing and Standardization 1

GlobalSCAPE

Secure FTP EFT Server with SSH and reporting and auditing (for Windows) 3

Embarcadero

Rapid SQL Developer Pro for DB2 19

DBArtisan Pro for DB2 2

Computer Associates

ERwin Data Modeler 4

Adobe

Acrobat Standard 5

Dreamweaver CS4 10

Captivate 2

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TTHIRDHIRD-P-PARTYARTY S SOFTWAREOFTWARE QQTTYY

Robohelp 1

AltSoft XMLToPDF

Xml2PDF Server 2009 Light (.NET API) 1

LLBLGen Pro 20

EnterpriseDT edFTP/Net pro client

Team Developer License + Lifetime Updates/Support + Source Code License 1

Freedom Scientific JAWS 1

The following table outlines hardware components necessary to deploy the new UIT&CSM system.

Function / Description Non

-Pro

duct

ion

Prod

uctio

n

IBM p6-570 - 32 Core - 64GB RAM - Onboard Administrator - 6 Hard drives per server – Part # 9117-1883 - 8 NICs per server - Part # 9117-5767 - 4 – FC connections to SAN and cables - I/0 Chassis

4 4

HMC Console for IBM p6-570 1 1

IBM x3650 Server - 2 CPU, Dual-core, Intel Xeon 3.0 GHz - 4GB RAM - RAID 1 - 300GB - Onboard AdministratorFileNet Fax Server- Prod –(2)Crystal Reports – Prod – (2)WAS Deployment Manager Production – (1) FileNet Fax Server – Non-Prod – (1)Crystal Reports – Non-Prod – (2)Project Server– (1)Project Database Server– (1)

20 22

IBM SAN Hard Drives145 GB Hard Drivesfor NMDWS’s existing IBM 2105-800 SAN

- 8

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Function / Description Non

-Pro

duct

ion

Prod

uctio

n

Brooktrout Fax Boards - 4 port, 4 channel TR1034 (with a 12 RJ45 phone cables)

1 2

Lenovo Desktops for FileNet - Intel Core 2 Duo, 2.4Ghz - 2GB RAM - 320 GB hard drive - 19” high resolution monitors - Windows XP Professional - Mouse and keyboard

1 1

Scanning Workstations 1 2

FileNet Enterprise Manager Workstations 1 1

Kodak Scanners i610SCSI-2 to SCSI-2 cable -1Kofax SCSI EH-0650-1000 adapters -1

1 -

Kodak Scanners i810SCSI-2 to SCSI-2 cable -2Kofax SCSI EH-0650-1000 adapters -2

- 2

Hardware Rack - 42U - 3 PDU’s - KVM, mouse and rack mounted LCD monitor

2 4

5.6 PROJECT LOGISTICS5.6 PROJECT LOGISTICSThe project team will be physically located at:

121 Tijeras AveSuite 100Albuquerque, NM 87102

Accepted deliverables will be stored on the UIT&CSM Project Management Site and controlled using Microsoft Team Foundation Server.

Project information, including deliverables (as appropriate) will be made accessible to project stakeholders via:

1) The UIT&CSM Project Portal website: https://er39.deloitteonline.com/eRoom/DTTAME93/NewMexicoDWSProjectPortal

2) The DWS agency website: http://www.dws.state.nm.us/

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http://www.dws.state.nm.us/


5.6.1 P5.6.1 PROJECTROJECT T TEAMEAM T TRAININGRAINING

At this time, no team training is anticipated.

6.0 PROJECT MANAGEMENT AND CONTROLS6.0 PROJECT MANAGEMENT AND CONTROLS

6.1 RISK AND ISSUE MANAGEMENT6.1 RISK AND ISSUE MANAGEMENTPlease refer to Attachment A – UIT&CSM Risk and Issue Management

6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&V6.2 INDEPENDENT VERIFICATION AND VALIDATION - IV&VPlease refer to Attachment B – UIT&CSM IV&V

6.3 SCOPE MANAGEMENT PLAN6.3 SCOPE MANAGEMENT PLANPlease refer to Attachment C – UIT&CSM Scope Management Plan

6.4 PROJECT BUDGET MANAGEMENT6.4 PROJECT BUDGET MANAGEMENTPlease refer to Attachment D – UIT&CSM Project Budget Management

6.5 COMMUNICATION PLAN6.5 COMMUNICATION PLANPlease refer to Attachment E – UIT&CSM Communication Plan

6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)6.6 PERFORMANCE MEASUREMENT (PROJECT METRICS)Please refer to Attachment F – UIT&CSM Performance Measurement

6.7 QUALITY OBJECTIVES AND CONTROL6.7 QUALITY OBJECTIVES AND CONTROLPlease refer to Attachment G – Quality Objectives and Control

6.8 CONFIGURATION MANAGEMENT6.8 CONFIGURATION MANAGEMENTPlease refer to Attachment H – Configuration Management

6.9 PROCUREMENT MANAGEMENT PLAN6.9 PROCUREMENT MANAGEMENT PLANPlease refer to Attachment I – Procurement Management Plan

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7. 0 PROJECT CLOSE7. 0 PROJECT CLOSEProject Close processes include documenting the proposed processes for organizing an orderly and timely turnover of knowledge, project assets and final deliverables to DWS.

The objective of the Project/Contract Close-Out is to bring the project to its conclusion consistent with the SOW and participant expectations. This includes documenting the proposed processes for organizing an orderly and timely turnover of knowledge, project assets, and final deliverables to NMDWS. We cross reference the activities to the Project Schedule. It also includes obtaining engagement acceptance, performing final transition activities, and formally ending the engagement (closing out the project plan).

The closeout plan will also include appropriate retention of assets by parties consistent with the SOW, terms and conditions, and Deloitte document retention standards.

7.1 A7.1 ADMINISTRATIVEDMINISTRATIVE C CLOSELOSE

Project documentation of the deliverables is reviewed with their acceptance to confirm that NMDWS has documented their acceptance of the contractually agreed upon deliverables per the standards in the contract. Deloitte and NMDWS will identify documentation discrepancies and resolve them before we deliver the final “Lessons Learned” document.

This reconciliation step is necessary to provide NMDWS with the concrete basis for project closeout. We include within this reconciliation the details regarding the turnover of knowledge, project assets, and final delivery of those items included in the discrepancy list. We will assume that NMDWS has received and accepted items not on the discrepancy list.

7.2 C7.2 CONTRACTONTRACT C CLOSELOSE

Contract close is similar to administrative close in that it involves product and process verification for contract close.

The last step in the project closeout is to formally close the project by obtaining engagement acceptance. This step is a follow-up to the reconciliation step and “Lessons Learned” deliverable.

We then perform the remaining final transition activities and formally close the project plan. A final invoice is processed pursuant to contractual provisions.

The UIT&CSM Project Closeout Report will follow the DOIT template, as documented on the following page.

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Project Closeout Report

Project Name Date

Executive Sponsor Lead Agency

Project Manager Agency Code

PPROJECTROJECT D DESCRIPTIONESCRIPTION (P(PROVIDEROVIDE AA BRIEFBRIEF DESCRIPTIONDESCRIPTION ANDAND PURPOSEPURPOSE FORFOR THISTHIS PROJECTPROJECT))

SSCHEDULECHEDULE ANDAND B BUDGETUDGET

Planned Start Date Actual Start Date

Planned End Date Actual End Date

Planned Cost: (Budget) Actual Cost: (Total)

Professional Services

Professional Services

Hardware Hardware

Software Software

Network Network

Other Other

AAPPROPRIATIONPPROPRIATION H HISTORYISTORY (I(INCLUDENCLUDE ALLALL F FUNDINGUNDING SOURCESSOURCES, , EE..GG. F. FEDERALEDERAL, S, STATETATE, C, COUNTYOUNTY, M, MUNICIPALUNICIPAL LAWSLAWS OROR GRANTSGRANTS))

Fiscal Year

Amount Funding Source(s)

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SSCOPECOPE V VERIFICATIONERIFICATION

RREQUIREMENTSEQUIREMENTS R REVIEWEVIEW YYESES NNOO EEXPLANATIONXPLANATION/N/NOTESOTES

Were the project objectives (expected outcomes) accomplished?

Were all Deliverables submitted and accepted?

Did the IV&V vendor verify that all deliverables met the requirements?

Have all contracts been closed?

Have all final payments been made (i.e., invoices paid)

Has adequate knowledge transfer been completed?

TTRANSITIONRANSITION TOTO O OPERATIONSPERATIONS: : (D(DESCRIBEESCRIBE AGENCYAGENCY PLANPLAN TOTO MIGRATEMIGRATE PROJECTPROJECT SOLUTIONSOLUTION TOTO PRODUCTIONPRODUCTION. I. INCLUDENCLUDE D DOOIT IT IMPACTIMPACT IFIF DIFFERENTDIFFERENT THANTHAN PREVIOUSPREVIOUS REPORTREPORT))

MMAINTENANCEAINTENANCE/O/OPERATIONSPERATIONS

YYESES NNOO EEXPLANATIONXPLANATION/N/NOTESOTES

Are there recurring maintenance/operational costs for the product/service? $ per Year

Are there any recommended enhancements or updates? (Attach comments)

Funding source for maintenance/operational costs? (Describe)

BBUSINESSUSINESS P PERFORMANCEERFORMANCE M MEASURESEASURES (C(COMPLETEOMPLETE FORFOR ALLALL PHASESPHASES))

CCOMMENTSOMMENTS::

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PPHASESHASES CCOMPLETIONOMPLETION D DATEATE GGOALSOALS/O/OBJECTIVESBJECTIVES AAMOUNTMOUNT RRESULTSESULTS

Initiation: $

Planning: $

Implementation: $

Closeout: $

LLESSONSESSONS L LEARNEDEARNED

IT SIT SYSTEMYSTEM A ANALYSISNALYSIS

On this document, or as an attachment, provide a summary response, including changes, to the following IT infrastructure topics relating to this project:

Describe or estimate this project’s impact on the Enterprise/DoIT infrastructure.

o Hardware

o Network (Include Diagram)

o Software / Applications

o Where is this system hosted?

If not hosted at DoIT Data Center what is your strategy to host at DoIT Data Center: (When, Why?)

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DoIT Migration Collaboration

Summarize your collaboration with DoIT on moving this project from initialization through close (full production). Identify points of contact, dates of discussions, and results

Provide Application Architecture Schematic

BBUSINESSUSINESS C CONTINUITYONTINUITY S STRATEGYTRATEGY

On this document, or as an attachment, provide a summary response, including changes, of your business Continuity Strategy.

Emergency and Disaster Management

Business Resumption

Operational Recovery Planning

Security Strategy (Application and Data Security Process, Plan, or Standard)

Project Sign OffThe signatures below certify that this project has been completed in accordance to the specified budget, schedule, scope, and achieved the intended outcome.

SSTAKEHOLDERSTAKEHOLDERS NNAMEAME: : SSIGNATUREIGNATURE DDATEATE

Executive Sponsor(or Designee)

Lead Agency Head(or Designee)

CIO IT Lead

Project Manager

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