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TITLE

DEPARTMENT OF WORKFORCE SOLUTIONSUNEMPLOYMENT INSURANCE TAX SYSTEM MODERNIZATION PROJECT (UI TAX)

1.A.D.3 Project Planning and Administration

Original Date:

04/30/10

Revision Date:

06/15/2010

Revision:

Version 1.1

NMDWS UITSM

15 June 2010

Page 18 of 101

Deliverable 1.A.D.3 - Project Planning and Administration.docx

Document Revision History

Date

Version

Responsible

Reason for Revision

04/30/2010

1.0

R. Daub

Final Version for DWS Submission

06/15/2010

1.1

P. Mukhopadhyay

Incorporated DWS Comments

Table of Contents

introduction - project planning and administration4

1.Modernization Approach and Strategy5

2.Communication Management Plan17

3.Risk Management Plan17

4.Quality management Plan35

4.1Deliverable Submission and Review Process35

5.Human Resource Plan38

6.Knowledge Transfer Plan41

6.1Purpose41

6.2Assumptions/Constraints41

6.3Overall Approach42

6.4Project Specific Activities and Tasks48

6.5Knowledge Transfer Tools and the uFACTS Knowledge Repository50

6.6Schedule56

7.Project Archives/Repository56

8.Project Closeout Process56

A.Appendix A – Monthly Status Template57

B.Appendix B – Weekly Status Template63

C.Appendix C – Employer (and Third Party Agent) Communication PlaN73

D.Appendix D – Sample Training Manual: Employer Registration89

E.Appendix E – Training Syllabus94

introduction - project planning and administration

This Project Planning and Administration deliverable applies the general project management processes and governance outlined in the Phase 0 Unemployment Insurance Tax System Modernization Project Management Plan to the activities and deliverables for Phase 1 – Employer Self Service. This deliverable provides phase-specific additional details and reflects the latest project planning at the outset of the phase. This deliverable includes the following sections:

Modernization Approach and Strategy – This section summarizes the project approach outlined in the Statement of Work and Phase 0 PMP, and highlights changes specific to Phase 1.

Communication Management Plan – This section complements the Communication Management Plan described in the Phase 0 PMP and highlights changes specific to Phase 1.

Risk Management Plan – This section complements the Risk Management Plan described in the Phase 0 PMP and highlights changes specific to Phase 1.

Quality Management Plan – This section complements the Quality Management Plan described in the Phase 0 PMP and highlights changes specific to Phase 1.

Human Resource Plan – This section complements the Human Resource Plan described in the Phase 0 PMP (Staff Planning and Resource Acquisition) and provides more detail specific to Phase 1.

Knowledge Transfer Plan – This section describes the Phase 1 Knowledge Transfer Plan, including training for DWS business and technical staff.

Project Archives/Repository – This section complements the Configuration Management section of the Phase 0 PMP and provides details specific to Phase 1.

Project Closeout Process – This section complements the Project Close section of the Phase 0 PMP and highlights changes specific to Phase 1.

While there have not been any significant changes to the Project’s Modernization Approach and Strategy, there are minor changes that are reflected in this deliverable. Additionally, this deliverable captures potential or pending changes, at the date of deliverable submission.

Examples of Phase 1 modifications include updates to the Modernization Approach and Strategy to address:

Consolidation of Phase 1/Phase 2 joint requirements management (JRM) sessions

Revisions to the Phase 1 (‘go-live’) implementation, based on the project start date

Updates to the Phase 1 deliverable submissions dates based on the implementation date and DWS constraints (requires an update to the Statement of Work – Change Order)

Modifications to the Technical Architecture that include modifying the database from DB2 to Oracle and replacing the proposed servers with blade servers.

1. Modernization Approach and Strategy

DWS’ Modernization Approach and Strategy is in response to the organization’s goals and objectives as stated in the Statement of Work and is based on Deloitte’s project approach that integrates our uFACTS Solution Framework with our Playbook system development life cycle (SDLC) methodology. This modernization approach and strategy has helped other Unemployment Insurance agencies achieve similar objectives. The Modernization Approach and Strategy is driven by the following processes and components:

Playbook Methodology – Provides the roadmap for the project’s work breakdown structure

Phase 1 Functional Scope – The functional scope in this document serves as the baseline, at the outset of Phase 1 (to be confirmed during the Define Phase Requirements Validation activities).

uFACTS Tax Services – Outlines the uFACTS functional modules to be deployed in support of the Phase 1 UI Tax business and supporting process requirements.

Phase 1 Technical Scope – The technical scope in this document serves as the baseline, at the outset of Phase 1. The technical scope includes the uFACTS .Net architecture and hardware/software architecture to support the new UITSM system and is based on DWS UITSM requirements.

uFACTS .NET Architecture – Outlines uFACTS technology architecture in support of the Phase 1 Functional Scope

Hardware and Software Architecture – Depicts the hardware and software architecture deployed for Phase 1

Schedule – Outlines the Phase 1 project schedule, based on the project start date

Playbook Methodology

In addition to Project Management, the UITSM Software Development Life Cycle (SDLC) includes the following phases:

Define - Our Define Phase activities focus on defining the technology infrastructure requirements (system environment configuration), establishing initial environments, confirming requirements, and performing Fit Gap Analysis for both Phase 1 and Phase 2.

Design - Our Design Phase activities focus on architectural design and detailed system design (including data conversion).

Develop - Our Develop Phase activities focus on system configuration and custom development activities that are an outcome of Fit Gap Analysis, unit test, and establishing the Test and Data Conversion environments.

Test - Our Test Phase activities focus on establishing Test environments and performing integration, system, User Acceptance, and QA test activities.

Deploy - Our Deploy Phase includes the activities that culminate in the deployment of the new UI Tax System. Our focus is on training, documentation, and other implementation activities, up to and including system cut-over.

Post-Implementation Support - Post Implementation Support for Phase 1 includes production system support. The activities include preparing the following work products:

Production System Support

Batch processing operations

System backup and recovery operations

System monitoring, maintenance, and scheduling

Production software upgrades and releases

System table maintenance

Batch report, form, letter, and payment generation

Security operations and support

Other technical UI Tax production support processes (including system support facilitation procedures)

Details regarding how these SDLC phases incorporate the uFACTS Solution Framework are available in Deloitte’s UITSM Project proposal.

These SDLC phases integrate the project’s functional and technical scope, as described on the following pages.

Phase 1 - Functional Scope

Employer Self-Service (Phase 1) includes the following functionality in support of the requirements outlined in the DWS UITSM requirements provided during the RFP and proposal phases and validated through the requirements validation process in conjunction with the uFACTS Solution Framework’s Tax Services module requirements.

Registering and Reactivating Employer Accounts

Employer Registrations

Employer Self-Service Account Creation

Liability Determinations

Processing and Adjusting Wage and Tax Reports

File Quarterly Wage Reports

Adjust Wage and Tax Detail

Employer/Agent Make Payment

ACH Debit

View Employer Account — To be determined by analysis with DWS during JRM sessions and may include:

View Amount Due

View Current UI Tax Rate

View Demographic/Profile Data

View Agent/Third Party Administrator Access

This functionality is subject to minor evolution as an outcome of the Phase 1 JRM sessions. Material change to this scope is subject to the project’s change control process, as outlined in the Phase 0 PMP Scope Management Plan.

uFACTS – Tax Services

The uFACTS Solution Framework Tax Services module provides UI agencies with a proven solution. uFACTS helps agencies increase tax collections and improve trust fund solvency, increase wage data integrity, and provides employers a central location to manage their UI tax business.

The uFACTS Solution Framework Tax Services module includes a set of predefined system design artifacts, templates, and software architecture. The module allows UI staff, employers, and third-party representatives to register a new account, open an online/self-service account, submit and manage wage and tax data, and maintain a wide range of employer account data. The uFACTS Solution Framework provides common views and interfaces for employer and employer representative self-service, and staff processing. The detail that follows describes the Phase 1 components and subcomponents contained in the current uFACTS Solution Framework functions.

The following table outlines uFACTS Phase 1Tax Services features and benefits.

uFACTS Tax Services – Phase 1

Features

Benefits

Registering and Reactivating Employer Accounts

The Phase 1 process allows new employers an opportunity to create a UI Employer Account, and existing employers to create an online self-service account. During the new employer registration, the necessary data to validate business existence, generate a tax rate, and submit correspondence (via legacy interfaces) are collected. In addition, wage and/or tax report data also are collected during this process. The process eliminates staff intervention on most employer registrations and account activations and notifies users if an alternative approach to registration is necessary based on their business situation (i.e. mergers and acquisitions – this will be incorporated during Phase 2).

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. The process will collect and store the data necessary to manage new employer accounts both during Phase 1 and Phase 2.

The Self-Service Account Creation component is designed 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.

Phase 2 functionality will expand the base Registration Module to include employer re-activations and complex registrations requiring added staff intervention.

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, and Secure FTP – File Transfer Protocol). The uFACTS Solution Framework validates employer liability and type (i.e., 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. The process tracks taxable wages based on SSN; identifies employer rates, and penalty rates; and, incorporates intelligent adjustments, non-submission penalties/assessments, and wage transfers. The process 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.

The process enables staff to collect data in a timely fashion, accurately calculate taxes, and improve overall data management for both tax and benefits processing.

Phase 1 will incorporate the necessary processing and calculation functionality to collect, process and calculate and store history for wage filings. Appropriate interfaces between the claims system, TRD (data pushing of required elements), and legacy components will be assessed and designed during the JADs.

Managing and Maintaining Employer Accounts

This subcomponent allows employers to maintain and view basic account information through contact with a customer-service representative or the employer self-service website. Phase 1 will incorporate a series of views and/or simple updates (i.e., addresses, owner/officers, and work locations) on select high-frequency account elements. This information and updates will reduce the workload of NMDWS staff and save time.

A basic account profile view, minor account updates (to be determined at the close of JRMs), and data views will be provided in Phase 1. Detailed views, profile updates, and general account information will be central elements to the Phase 2 implementation.

Managing Employers’ Ratings and Benefits Paid Charges

The ratings elements manages annual rate and fee calculations, individual ratings, rate modifications and recalculations, benefits paid charging, experience history, and related elements will be managed during Phase 2. In order to appropriately manage Wage and Tax calculations, rate and fee information elements will be stored and potentially viewable during Phase 1.

Rate factors will be used for tax calculations and will be pulled from the legacy application.

Employer Self-Service

The Phase 1 implementation will establish the Common and Administrative Services necessary to manage user-level and role-based security; this will enable employers and third-party administrators to manage the Phase 1 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 foundation for Self-Service will be built during Phase 1 and re-visited as it pertains to added functionality for full implementation during Phase 2.

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, benefits paid charge data, and client data downloads.

As a part of the Common and Administrative Services, Phase 1 will build the framework for managing third party representatives and their security access. The solution allows agents 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; these elements will be provided during the Phase 1 deployment.

Additionally, the uFACTS Solution Framework supports the features listed above with the following capabilities:

Secure login

Real-time data validations (where requested)

Real-time editing of wage data and adjustments

Transaction tracking

A facility for employer representatives to submit large data volumes without agency intervention

Employer demographic and account data (e.g., Reporting Units, Power-of-Attorney Agreements, Owner/Officer Details, and Multiple Address Management).

Phase 1 - Technical Scope

The UITSM Technical Strategy is to deploy uFACTS using a .NET technology platform for the Phase 1 Employer Self Service functional scope.

uFACTS .NET Architecture

The uFACTS Solution Framework is based on a Service-Oriented Architecture and utilizes 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:

UI 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:

Pitney Bowes Group1 for address validation

Crystal Reports 2008 for queries and reports

Microsoft Active Directory Server for authentication/authorization

Hardware and Software Architecture

The architecture of the UITSM System is composed of both Non-Production and Production regions.

The non-production environment is comprised of the following physical environments:

Development Environment – A deployment region hosting the application

Test Environment – Another deployment region hosting the application, used for testing

Project Environment – An environment that hosts the project servers

Developer and Unit Test Environment – This includes developer laptops that are installed with required development software tools.

The Development and Test Environments each contain their own set of physical servers. Within each environment there are four logical environments. For example, the two physical application servers within the development region will have four instances of the .NET application running. This maximizes the usage of the physical servers and provides the number of logical regions required by the project.

The Development and Test Environments contain several logical regions.

The Development Environment has the following logical regions:

Component Integration Test

System Test

Data Conversion

Proof of Concept (POC)

The Test Environment has the following logical regions:

User Acceptance Test (UAT)

Training

Quality Assurance

Performance Testing

There are many components commonly shared between the Development and Test Environments. The environments share a common network, firewalls, BigIP load balancer, routers, switches and a backup solution. In addition, they share common web servers (presentation tier), fax servers, FTP servers and a HP C7000 blade center chassis.

The Phase 1 Production hardware architecture includes:

Web servers

Application servers

Active Directory servers

Batch servers

Database servers

Monitoring server

FTP servers

Fax servers

SAN (Storage Area Network)

NAS (Network Attached Storage)

The Phase 1 Development and Test Environments are modeled after production. Additionally, a Project Server is included to host Microsoft Team Foundation Server.

The hardware and software configuration for these environments is described in the Phase 1 System Environment Configuration Plan deliverable.

Project Schedule

The Phase 1 Detailed Project Plan (deliverable 1.A.D.1), documented in MS Project, includes the UITSM Project work breakdown structure and schedule. A summary Gantt Chart, describing high-level activities and timeline is provided below. The WBS includes activities, tasks, work products, milestones, and deliverables.

This project schedule is based on the schedule outlined in the PMP and includes modifications based on input from DWS regarding the impact of the project implementation schedule on its business cycle.

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Key Phase 1 milestones/dates include:

Completion of Fit-Gap Analysis (Phase 1 and 2) – 6/18/10

Completion of System Design (Phase 1 - Employer Self-Service) – 7/16/10

Completion of System Development (Phase 1 - Employer Self Service) – 12/24/10

Completion of UAT (Phase 1 - Employer Self Service) – 2/4/11

Completion of Training (Phase 1 - Employer Self Service) – 2/25/11

Production Release (go-live) – 2/28/11

Completion of Phase 1 – 1/9/12

2. Communication Management Plan

The Phase 1 Communication Management Plan is consistent with the Communication Management Plan described in the Phase 0 PMP.

Modifications to the Phase 0 Communication Management Plan include modification to the Monthly Status Report template and inclusion of a Weekly Status Report template.

As communication with Employers is critical to the success of Phase 1, an Employer (and Third Party Agent) Communication Plan is included. This plan serves as a roadmap for DWS and requires coordination with the project team and the agency’s Public Information Officer (PIO).

Monthly Status Report Template

Please refer to Appendix A – Monthly Status Report template.

Weekly Status Report Template

Please refer to Appendix B – Weekly Status Report template.

Employer (and Third Party Agent) Communication Plan

Please refer to Appendix C – Employer (and Third and Party Agent) Communication Plan

3. Risk Management Plan

The Phase 1 Risk Management Plan is consistent with the Risk Management Plan described in the Phase 0 PMP.

This plan includes the Phase 1 Risk Register, including risk mitigation strategies at the time of deliverable submission.

The Risk Register will be reviewed bi-monthly throughout Phase 1, at the beginning of each SDLC phase, and as needed based on project events that may necessitate a review.

The register includes the following information:

Risk Title – indicates the name of the risk

Risk No. – Sequential assigned number

Risk Type – indicates the type of risk (e.g. Project Management, External, Organizational etc.)

Risk Status – indicates ‘open’ or ‘closed’ risk

Risk Probability – based on a scale of 1-10, using the percentage of likelihood of the risk occurring

Risk Impact –based on a scale of 1-10 (with ‘1-Negligible’, ‘5-Material’, ‘7-Significant’, and ’10-Catastrophic’), it indicates the impact of the risk on the project.

Risk Assessment – The Product of Risk Probability and Risk Impact (‘Risk Score’) is used to determine ‘green – no action required, periodically review’, ‘yellow – monitor closely, mitigation plan required’, and ‘red – immediate action required’ assessment. The table that maps Risk Score to the Risk Assessment color scheme is included in the PMP.

Risk Description – describes the risk to the project

Risk Mitigation Plan – Describes the risk mitigation plan identified/implemented by the Project Office (with input from the Steering Committee) to minimize the risk to the project.

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Title

Risk No.

Risk Type

Status

Risk Probability

Risk Impact

Risk Assessment

Description

Risk Mitigation Plan

Lack of Funding

1

2 - Project Management

Open

3

10 - Catastrophic

Yellow - monitor closely; mitigation plan required

Project funding should be monitored throughout the course of the project.

Approved funding currently satisfies project requirements. DWS PM monitors spend plan vs. project budget. Contingency fund alternatives to be reviewed.

Inability to Change External Agency Systems

2

4 - External

Open

5

7 - Significant


Implementation of a new UI tax system may require changes to external agency system (e.g. TRD)

Interface requirements have been reviewed. Specific agency interfaces needs further review.

Must Spend $9.01M by June 30, 2010

3

3 - Organizational

Closed

Legislation has been introduced to modify this funding clause.

Legislation has addressed this risk.

Lack of Availability of Key Agency Resources

4

3 - Organizational

Open

7

7 - Significant

Red - immediate action required (including mitigation plan)

Key agency resources include: Financial, Business, Technical and Leadership. FY end impacts financial staff availability.

PMP outlines staffing expectations. DWS PM will monitor staff availability.

Key People Leave the Project

5

3 - Organizational

Open

5

7 - Significant


Attrition may result in key staff leaving the project.

Project Management will work with leadership to understand their plans for staff transition. Specifically, understanding succession planning for key project team members.

Lack of team depth (ability to backfill key team members)

6

3 - Organizational

Open

4

7 - Significant


Size of DWS team resources or Business/Technical SMEs is limited.

Deloitte ui subject matter expertise can help offset loss of key agency team members.

Lack of Training and Knowledge Transfer

7

3 - Organizational

Open

5

8


Effective training and knowledge transfer is critical to DWS self-sufficiency.

Knowledge Transfer Plan is part of Planning and Administration deliverable. Additionally, a Training Plan is a separate deliverable. Plans and execution will be tracked carefully with periodic updates to the Steering Committee.

Note: Plans have been executed at other UI agencies successfully.

Legislative Updates May Limit Project Staffing

8

3 - Organizational

Open

3

2

Green - no action required; periodically review

Legislative updates may divert resources to address legacy system modifications

Anticipated legislative changes did not occur. This risk will be periodically reviewed to revisit potential changes.

Limitation of Legacy Systems

9

1 -Technical

Open

5

5 - Material


Legacy system contraints may impact integration with new UI tax system

Limitations are not identified at this time and will be better understood during the Design phase. To be revisited.

Knowledge and Documentation of Legacy Systems Are Limited

10

1 -Technical

Open

7

6


Limited knowledge of legacy system may impact integration of these systems with the new UI tax system

Legacy team's track record suggests that they can support changes, but the lack of documentation and detailed knowledge of the system has the potential to impact the project schedule.

Limited staff to support new and legacy System (infrastructure and app)

11

1 -Technical

Open

7

4


Limited infrastructure support resources may impact deployment of the new UI tax system

Infrastructure and Support resource requirements to support the project must be identified, tracked, and reported if this limitation becomes an issue.

Poor Availability and Quality of Data

12

1 -Technical

Open

7

5 - Material


Legacy data may impact integration with legacy systems, data conversion effort, and implementation of the new UI Tax system.

Data Conversion activities have begun and will identify red/yellow flags as they proceed.

Delayed Acquisition of HW/SW

13

1 -Technical

Open

10

9


Timely purchase of HW/SW is essential for keeping the project on schedule.

Initial procurement is in progress, but has been delayed due to several architecture shifts after the SOW.

Changes to Platform Decision

14

1 -Technical

Open

9

8


If the decision to proceed with a .NET architecture changes, it will significantly impact the project.

Further changes to the architecture may result in project Change Orders with impact to the project costs and project schedule.

Adverse Impact of Legislative Update, Rules, Policies

15

3 - Organizational

Open

3

5 - Material


Changes that result in modifications to UI tax business rules may impact the project

No known changes in the pipeline. To be periodically reviewed.

Resource Constraint due to HB144 / July 1 New Rates

16

3 - Organizational

Open

3

2


New rates, scheduled for July 1, potentially divert DWS staff from the project

Rate change will take place as part of normal, annual business cycle, greatly reducing the project risk.

Deployment of Complex Legacy Fee Processing

17

3 - Organizational

Closed

3

3 - Marginal


2010 legislation resolved/removed the complexity issue.

Silent Legislation (regarding State fund) impacting project schedule

18

3 - Organizational

Open

2

1 - Negligible


Certain business rules are not well defined in legislation (i.e., dissolving the state fund)

Legislative outcome and policy decisions give specific definition to business rules regarding the State fund.

Negative impact of Political Change on Leadership/Direction

19

3 - Organizational

Open

5

5 - Material


There will be leadership change, impact is to be determined.

Availability of Project Workspace

20


Closed

3

5 - Material


Spring office space availability

Lack of Agreements with TRD for Interfaces and Integration

21


Open

5

7 - Significant


New agreements will be necessary to support a revised DWS-TRD interface/integration

Until an Agreement is in place, there is the potential for significant risk to the project schedule and cost (potential Change Order).

Inability to reach Agreements on data sharing with non-TRD

22


Open

5

5 - Material


Data sharing agreements will be necessary to align with new data sharing capabilities

Periodically monitor.

Lack of Support from Executive Sponsor/Leadership

23

3 - Organizational

Open

2

7 - Significant


Executive Sponsor and Agency leadership is essential for project success.

To-date leadership support has been high.

Organization Resistance to Adapt to the New Business Process

24

3 - Organizational

Open

3

7 - Significant


Changing business processes and models typically presents challenges

Continue to Monitor; Leadership direction can help mitigate risk

Ineffective Collaboration with IV&V Vendors

25


Open

5

7 - Significant


DWS plans to select a new IV&V vendor. Transition to the new vendor may present challenges.

There needs to be mutually agreed upon requirements and processes defined by the IV&V for them to perform their function and report accurately to Stakeholders.

Inability to manage scope

26


Open

4

8


Requirements management and JAD process and initial JRM/JAD activities to-date demonstrate a process that diligently manages scope.

Title

Risk No.

Description

Risk Type

Status

Risk Probability

Risk Impact

Risk Assessment

Risk Mitigation Plan

Lack of Funding

1

Project funding should be monitored throughout the course of the project.


Open

3

10 - Catastrophic


Approved funding currently satisfies project requirements. DWS PM monitors spend plan vs. project budget. Contingency fund alternatives to be reviewed.

Inability to Change External Agency Systems

2

Implementation of a new UI tax system may require changes to external agency system (e.g. TRD)

4 - External

Open

5

7 - Significant


Interface requirements have been reviewed. Specific agency interfaces needs further review.

Must Spend $9.01M by June 30, 2010

3

Legislation has been introduced to modify this funding clause.

3 - Organizational

Closed

Legislation has addressed this risk.

Lack of Availability of Key Agency Resources

4

Key agency resources include: Financial, Business, Technical and Leadership. FY end impacts financial staff availability.

3 - Organizational

Open

7

7 - Significant


PMP outlines staffing expectations. DWS PM will monitor staff availability.

Key People Leave the Project

5

Attrition may result in key staff leaving the project.

3 - Organizational

Open

5

7 - Significant


Project Management will work with leadership to understand their plans for staff transition. Specifically, understanding succession planning for key project team members.

Lack of team depth (ability to backfill key team members)

6

Size of DWS team resources or Business/Technical SMEs is limited.

3 - Organizational

Open

4

7 - Significant


Deloitte ui subject matter expertise can help offset loss of key agency team members.

Lack of Training and Knowledge Transfer

7

Effective training and knowledge transfer is critical to DWS self-sufficiency.

3 - Organizational

Open

5

8


Knowledge Transfer Plan is part of Planning and Administration deliverable. Additionally, a Training Plan is a separate deliverable. Plans and execution will be tracked carefully with periodic updates to the Steering Committee.

Note: Plans have been executed at other UI agencies successfully.

Legislative Updates May Limit Project Staffing

8

Legislative updates may divert resources to address legacy system modifications

3 - Organizational

Open

3

2


Anticipated legislative changes did not occur. This risk will be periodically reviewed to revisit potential changes.

Limitation of Legacy Systems

9

Legacy system contraints may impact integration with new UI tax system

1 -Technical

Open

5

5 - Material


Limitations are not identified at this time and will be better understood during the Design phase. To be revisited.

Knowledge and Documentation of Legacy Systems Are Limited

10

Limited knowledge of legacy system may impact integration of these systems with the new UI tax system

1 -Technical

Open

7

6


Legacy team's track record suggests that they can support changes, but the lack of documentation and detailed knowledge of the system has the potential to impact the project schedule.

Limited staff to support new and legacy System (infrastructure and app)

11

Limited infrastructure support resources may impact deployment of the new UI tax system

1 -Technical

Open

7

4


Infrastructure and Support resource requirements to support the project must be identified, tracked, and reported if this limitation becomes an issue.

Poor Availability and Quality of Data

12

Legacy data may impact integration with legacy systems, data conversion effort, and implementation of the new UI Tax system.

1 -Technical

Open

7

5 - Material


Data Conversion activities have begun and will identify red/yellow flags as they proceed.

Delayed Acquisition of HW/SW

13

Timely purchase of HW/SW is essential for keeping the project on schedule.

1 -Technical

Open

10

9


Initial procurement is in progress, but has been delayed due to several architecture shifts after the SOW.

Changes to Platform Decision

14

If the decision to proceed with a .NET architecture changes, it will significantly impact the project.

1 -Technical

Open

9

8


Further changes to the architecture may result in project Change Orders with impact to the project costs and project schedule.

Adverse Impact of Legislative Update, Rules, Policies

15

Changes that result in modifications to UI tax business rules may impact the project

3 - Organizational

Open

3

5 - Material


No known changes in the pipeline. To be periodically reviewed.

Resource Constraint due to HB144 / July 1 New Rates

16

New rates, scheduled for July 1, potentially divert DWS staff from the project

3 - Organizational

Open

3

2


Rate change will take place as part of normal, annual business cycle, greatly reducing the project risk.

Deployment of Complex Legacy Fee Processing

17

3 - Organizational

Closed

3

3 - Marginal


2010 legislation resolved/removed the complexity issue.

Silent Legislation (regarding State fund) impacting project schedule

18

Certain business rules are not well defined in legislation (i.e., dissolving the state fund)

3 - Organizational

Open

2

1 - Negligible


Legislative outcome and policy decisions give specific definition to business rules regarding the State fund.

Negative impact of Political Change on Leadership/Direction

19

3 - Organizational

Open

5

5 - Material


There will be leadership change, impact is to be determined.

Availability of Project Workspace

20

Spring office space availability


Closed

3

5 - Material


Lack of Agreements with TRD for Interfaces and Integration

21

New agreements will be necessary to support a revised DWS-TRD interface/integration


Open

5

7 - Significant


Until an Agreement is in place, there is the potential for significant risk to the project schedule and cost (potential Change Order).

Inability to reach Agreements on data sharing with non-TRD

22

Data sharing agreements will be necessary to align with new data sharing capabilities


Open

5

5 - Material


Periodically monitor.

Lack of Support from Executive Sponsor/Leadership

23

Executive Sponsor and Agency leadership is essential for project success.

3 - Organizational

Open

2

7 - Significant


To-date leadership support has been high.

Organization Resistance to Adapt to the New Business Process

24

Changing business processes and models typically presents challenges

3 - Organizational

Open

3

7 - Significant


Continue to Monitor; Leadership direction can help mitigate risk

Ineffective Collaboration with IV&V Vendors

25

DWS plans to select a new IV&V vendor. Transition to the new vendor may present challenges.


Open

5

7 - Significant


There needs to be mutually agreed upon requirements and processes defined by the IV&V for them to perform their function and report accurately to Stakeholders.

Inability to manage scope

26


Open

4

8


Requirements management and JAD process and initial JRM/JAD activities to-date demonstrate a process that diligently manages scope.

15 June 2010

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15 June 2010

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4. Quality management Plan

This section complements the Quality Objectives and Controls described in section 6.7 of the project Management Plan (PMP) and provides additional detail specific to Phase 1.

4.1 Deliverable Submission and Review Process

The Deliverable Submission and Review Process is outlined in the SOW, Exhibit B – Deliverable Interaction for Contract file.

The following Deliverable Submission and Review steps are intended to complement that SOW and provide additional details that reference to tools and techniques introduced in Phase 1 (i.e, the DWS Project Portal eRoom).

1) Deliverable Expectation Documents (DEDs) are prepared by Deloitte for each deliverable. The DED outlines the acceptance criteria for the deliverable and includes a Review and Acceptance page to help facilitate DWS’ review process and provide formal Acceptance or feedback.

2) Each Deliverable prepared by Deloitte will be submitted to DWS in accordance with the Statement of Work and posted in the DWS Portal, Phase 1 - Deliverables folder. Deloitte will submit the Deliverable with the DED and a cover letter.

3) The Phase 1 Deliverables Tracking Spreadsheet in the aforementioned folder documents the DWS staff designated as lead reviewer(s) and additional assigned staff to review the deliverable (a link to the spreadsheet is provided below). Note, DWS is responsible for tracking its review of project deliverables.

4) A walk-thru of each deliverable will be conducted.

5) DWS will either provide formal acceptance of the deliverable or feedback using the Review and Acceptance page of the DED within the timeframe outlined in the SOW and included in the following table.

6) DWS can provide additional feedback details in the Deliverable (‘track changes on’) and post the Deliverable in the DWS Portal, Phase 1 – ‘Deliverables – DWS Feedback’ folder.

Phase 1 Employer Self-Service Deliverables

The following table outlines Phase 1 Employer Self-Service deliverables and the agency review time (working days).

A detailed table, outlining deliverable due dates and fees (per deliverable) can be found at the following link:

https://er39.deloitteonline.com/eRoom/DTTAME93/NewMexicoDWSProjectPortal/0_a6d8

(Note: access to this file requires access, User Name/Password, to the DWS UITSM Project Portal eRoom)

Deliverable Name

Agency Review Time (Working Days)

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

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

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

5. Human Resource Plan

The Human Resource Plan for Phase 1 is consistent with section 5.5 Staff Planning and Resource Acquisition of the PMP.

In addition to the Key Staff outlined in the PMP, the following Deloitte staff are assisting with Phase 1:

Andrew Yonan – Business Analyst

Bob Daub – Project Management Analyst

Lisa Newell – Business Analyst

Lynnette Stern – Business Analyst

Pamela Nichols – Budget Analyst

Phil Tackett – Business Analyst

Siva Sambasivam – uFACTS Architecture

Srinivas Kurra – Data Conversion/Interfaces Analyst

Anil Gosu – Technical Analyst

Tim McCracken – Technical Analyst

Subcontractor resources, in addition to those indicated in the PMP, include:

Marcus Zerio (RSI) – Business Analyst

Ankit Shah (POD) – Technical Analyst

Additional Deloitte staff will be added to the Phase 1 team based on the skill set requirements determined by the Fit/Gap Analysis activities.

DWS Steering Committee members include:

Ken Ortiz – Cabinet Secretary

Neal Meoni – Executive Sponsor

Ron Martinez – Deputy CIO

Casandra Encinias – Business Owner

Clyde DeMersseman – Legal Counsel

John Salazar – CIO

Donna Trujillo – Financial Business Owner

DWS project leadership includes:

Julie Lopez-Casaus – IT Business Analyst (Interim Project Manager)

Roy Chandler – IT Technical Lead

Alice Dominquez – Chief of Tax Unit

Willard Hunter – Staff Manager, Tax

Additional DWS staff assisting the project as either team members or SMEs (subject matter experts) includes:

Name

Role

Andrea Chavez

Procurement

Angelique Fritts

Examiner III, Accounts

Art Montoya

IT Security

Carrie Moritomo

Public Information Officer

Cassandra Encinias

UI Bureau Chief

Cindy Brindley

Budget Manager

Cleo Vargas

Legal Section

Daniel Vigil

Network

Deborah Treppiedi

IT Apps Dev 2

Denise Garcia

Supervisor, Accounts

Diana Tanner

Subject Matter Expert, Data Validation

Dolores Garcia

Subject Matter Expert, Federal Reports

Dolores Montoya

District I Supervisor

Edwin Jaramillo

Operations Manager

Elizabeth Jackson

IT Apps Dev 1

Frances Rossberg

Staff Manager, Claims

Gabe Cisneros

IT Business Analyst

Gary Garcia

District III Supervisor

Jeff Daugherty

IT Apps Dev 2

Jennifer Clark

IT Apps Dev. 2

John Hudson

IT Generalist 2

John Jolley

IT Apps Dev. 3

John Marquez

IT Apps Dev. 3

Jules Dubois

IT Apps Dev 3

Ken Hudzick

A/O II-IT

Lisa Castillo

Supervisor, Status

Lugie Gonzales

Examiner III, Status

Lydia Rael

Adjudicator

Meredith Rivera

Financial Specialist AO/A

Michelle Doran

Economist

Nicole Mirabal

Examiner II, Status

Phillip Zamora

Network

Roy Padilla

IT Apps Dev 3

Ruben Rodriquez

Quality Assurance

Steve Montoya

Supervisor

Terry Davenport

RFP Contractor

Tim Cummings

IT Apps Dev 3

Valerie Longley

Accounts

These are the project team resources in the Phase 1 Human Resource Plan at the time of deliverable submission. Project resources are subject to change during the course of Phase 1.

6. Knowledge Transfer Plan6.1 Purpose

The purpose of the Unemployment Insurance Tax System Modernization Knowledge Transfer Plan is to help DWS achieve self sufficiency in its use of the new system. Effective knowledge transfer and training makes the difference between a system that is accepted and used effectively to help DWS achieve its business and technology objectives.

Our goal is to have fully trained DWS teams take ownership of their activities as quickly as possible. Given that this is a critical part of project implementation, we start by keeping in mind the key success factors.

To achieve this goal we have prepared a pragmatic plan that leverages successful practices from other UI modernization projects. This approach differentiates between IT and business staff. Because these users have differing skills and roles on the system, knowledge transfer and training is customized to meet the needs of the audience, requiring an assessment of the staff’s skills and preparedness. This assessment results in a tailored plan that promotes team interaction, uses a variety of training methods geared to the learning needs of the adult learner, and incorporates the principles of adult education to enhance and enliven the learning process. Our multi-pronged approach recognizes that different users and different people learn in different ways.

6.2 Assumptions/Constraints

The UITSM Project Knowledge Transfer Plan is based on the following Assumptions/Constraints:

1. For each skill to be learned DWS will identify target resources and Deloitte will assign resources responsible to transfer the knowledge.

2. DWS and Deloitte will work jointly to identify the Phase 1 knowledge to be transferred.

3. DWS and Deloitte will work jointly to identify the best way to deliver the knowledge.

4. DWS will make resources that are in need of knowledge transfer available.

5. Prerequisite knowledge for DWS staff includes a basic level of how to operate PCs; technical staff are familiar with basic IT industry practices; and business staff are familiar with legacy DWS business processes.

6. The uFACTS Solution Framework, including the uFACTS Knowledge Repository, serves as the framework for this plan.

7. Phase 1 Employer Self Service includes the following business functionality:

· Employer Registration

· Wage Detail and Tax Reporting

· Payment Processing (ACH Debit)

· Employer Account Maintenance Views

· Common and Administrative (i.e., Security Profiles)

8. Employer knowledge transfer will be addressed through periodic communications, training manuals, and computer-based training modules. Manuals and CBT materials may be made available through DWS’ website.

9. A Phase 1Training Plan will be provided as a separate deliverable.

10. A separate Knowledge Transfer Plan will be included in the Phase 2 Planning and Administration deliverable.

6.3 Overall Approach

The figure below depicts our multi-pronged approach.

Our approach to knowledge transfer combines formal training classes and/or CBT (using Captivate or similar tool) with on-the-job training and mentoring. Each of the following knowledge transfer activities is discussed in greater detail in subsequent sections:

Mentoring

Formal In-Class Training

Computer-Based Training

Informal Training and Support

This knowledge transfer approach has been used with great success on prior UI modernization projects.

Mentoring

Mentoring is used throughout the entire project with technical and senior support staff where these variations are significantly more common than with the general end-user population. As part of our approach, we assign a Deloitte team member to each DWS application developer participating on the project. The mentor is responsible for guiding key staff through individual skills development plans. We use a combination of techniques to support our mentoring program. The following table identifies some of these techniques.

Mentoring Techniques for Successful Transfer of Critical Information

Mentor Activities

Results

System Implementation Involvement

Involvement by DWS resources in the following system implementation activities provides hands-on experience in a scaffolded learning environment:

Development environment and processes

Architecture and frameworks

Database

Application build and deployment processes

Environment setup (test, training, pre-production, production)

Use case realization

System audit and error logging

Security

System administration and maintenance

Troubleshooting

Early involvement in system development leads to complex schema development, resulting in robust individual and overall knowledge transfer.

Frequent One-on-One Review Sessions

Frequent review sessions provide us an opportunity to evaluate progress; mentor provides direction that keeps the developer on course and minimizes frustration.

Parallel Project Assignments

Multiple participants receive the same coding assignment for a release; the goal is to code identical to the code for an actual release. Review sessions demonstrate how the resulting code compares to the live project.

Live Project Assignments

Assignments are designed to hone the skills of the participant; results include actual components or work products associated with the release. Frequent reviews by mentor provide direction and support.

Peer Reviews

Reviews are designed to examine each work product for quality and adherence to coding standards. Assists in helping to drive consistency across program modules for all releases; practices are common to overall approach to industry standards.

For example, as appropriate, and as determined by the individualized approach, DWS resources will participate with their Deloitte mentors in requirements analysis, system design, and development of the system architecture. These activities may be followed by formal and informal workshops that review the supporting infrastructure, architecture, and routine maintenance activities. The knowledge transfer approach specifically associated with mentoring may also include assignment of specific project activities to allow hands-on experience for key staff members in order to accelerate the individual and overall knowledge transfer process.

Formal In-Class TrainingPhase 1 Employer Self-Service (in-scope)

Custom classroom training for DWS users is designed for each implementation phase. Custom training typically includes classes for business or IT personnel on specific topics. It consists of lecture, lab work, and take-away training materials. Self-training materials, such as Help Screens within the system, and Quick Reference/User Guides are developed to support the user while participating in the formal training or are to be leveraged by the user at his or her convenience when additional instruction is required after completing formal training.

Clients designate trainers who continue to play a role in transitioning users to the new system. The trainers play a pivotal role in the success of our approach. The DWS Trainer position requires versatility, education on the modules, and mastery of required learned techniques to enable the trainer to train others.

In preparing our formal in-class training approach, we focus on effectiveness and efficiency as well as scheduling. It is pertinent to take on-the-job opportunities to learn the value of your new system. While real-life, on-the-job experience helps staff directly apply the lessons learned, a just-in-time approach provides end-user training just prior to when it is needed. For maximum impact the curriculum for each trainer aligns closely with the phased functional release schedule. When possible, given the constraints of the end-user population, we provide formal train-the-trainer sessions within 10 working days prior to the end-user sessions delivered by the DWS trainers.

Training delivery includes activities such as preparing and printing materials, updating materials and disseminating updates, preparing ad hoc materials or job aids as the result of pilot session feedback, distributing course outlines, scheduling, and coordinating training – as well as ongoing support through the training rollout. Our training facilitators also mentor DWS trainers during training rollout and perform remedial training for DWS staff, as required.

Train-the-trainer techniques are used for end-user training. That is, Deloitte trains a group of selected DWS trainers who, in turn, train your end users, including staff, managers, and executives, prior to go-live and ongoing. To support the train-the-trainer approach Deloitte trainers are available for end-user sessions to help facilitate and assist the DWS trainers.

The train-the-trainer strategy assists you in becoming more self-sufficient by equipping you with a knowledgeable team of internal application experts. In addition, your trainers become subject matter experts. To help promote success, we plan to fully integrate DWS trainers into the full range of training activities from the very beginning of the project. They participate in informal training through involvement in system design and review (mentoring) and testing activities.

After training is completed for an iteration implementation, the project team assesses key performance areas. Post-training support will be provided as necessary to troubleshoot situations that inevitably arise and to identify any changes required in the materials. Deloitte training staff is always available, as needed, to deal with any number of issues that may inhibit the smooth transition to the new tools and processes.

Once the transition is complete, this function comes in the form of DWS help desk support. DWS establishes the help desk for support. Additional resources from project teams are also sent to sites implementing the system to support go-live activities. The on-site support has enormous positive impact on morale and the ease of transition.

The Knowledge Transfer and Training Tools section includes examples of formal in-class training collateral specifically associated with the UITSM project development effort.

Third-Party Technical Training (Out-of-Scope)

The following table outlines a subset of technology architecture and tools that will be deployed as part of the project where third-party technical training may assist DWS. There are typically local vendors that provide these training services. The cost of formal third-party technical training courses is outside scope of Deloitte’s Statement of Work. Note that knowledge transfer assistance on how we use these tools to advance the project is included in the scope of the project.

Third-Party Technical Training

Object-Oriented Classes

· Object-Oriented Programming Concepts

· Object-Oriented Analysis and Modeling

· Rational Unified Process

Database Classes

· Database Fundamentals for Developers

· Oracle—SQL Tuning Workshop

· Oracle—Database Administration Workshop

Other Programming Classes

· Crystal Reports Programming

System Management Classes

· Microsoft Active Directory (LDAP) Windows 2003

· Windows Server Management Windows Server 2003

Java, HTML, and Business Rules Classes

· HTML Authoring

· ASP.Net Programming using C#

· C# Programming

Infrastructure Classes

· Internet Information Server (IIS) Configuration and Management

· IIS Installation

FileNet Classes

· FileNet BPM

· FileNet ECM

· FileNet Installation and Configuration

· FileNet Management

Computer-Based Training

As a supplement to classroom training, the Knowledge Transfer Plan includes CBT, which provides staff with an opportunity to reinforce previous learning experiences in an ad hoc manner.

CBT enables the user to choose the time, place, pace, and duration of the training. Thus, users can complete a portion of the training, turn their attention to other activities, and then return to the training effort when time permits. CBT also allows individuals to select specific components of a CBT module for focused reviews without having to commit to repeating a complete training course.

CBT is also an effective method when used in a classroom setting and with a trained facilitator. Alternatively, self-paced CBT, including online tutorials and demos, addresses other training needs. A combination of classroom and self-paced training can be very effective in establishing and supporting system knowledge. The exact specifications to meet this requirement are developed during the curriculum definition and media selection activities and are based on the constraints of the DWS CBT delivery system.

The Knowledge Transfer and Training Tools section includes examples of existing CBT collateral specifically associated with the UITSM project development effort.

Informal Training and Support

In addition to the more formal training efforts described above, we provide informal overview sessions as needed to augment the formal training and self-training.

The purpose of these sessions is to impart consistent information to all project participants concerning a specific topic. Supporting documentation is provided with each session so all attendees can take away written communication regarding the topic being presented.

Overview sessions are an integral part of ongoing education for all project participants, including executive management, business users, and IT staff. The sessions are also a significant component of our approach to communications. The sessions help us deliver consistent information and are usually an opportunity to hand out material for ongoing reference and reinforcement that is associated to information presented.

The sessions are provided throughout the project as overviews, reviews, orientations, and briefings on different project phases and activities. They are typically formal presentations with take-away material and are designed to maintain communication and manage project expectations with participants.

As part of the mentoring and training program DWS staff will have access to pre-defined models and requirements and existing and new system documentation that will allow them to quickly grasp the system design, leading to a better understanding of how system requirements can be adjusted to meet UITSM needs. By participating in this process DWS staff will begin to develop a context-specific schema that will enhance their ability to acquire related knowledge over the life of the project. In addition, the development of a Knowledge Repository will provide ongoing support to DWS users even after system transfer completion.

By providing multiple streams of information related to knowledge transfer and training – including mentoring, formal in-class training, CBT, and informal training and support activities – this robust and flexible approach to knowledge transfer that accommodates the variety of users and learning styles.

Knowledge Transfer Approach Summary

The following table summarizes project’s Knowledge Transfer Approach for each of the key DWS audiences.

Knowledge Transfer Approach Summary

User Type

Probable Training Method(s)

Probable Training Materials

Likely Prerequisites

DWS Tax Program Staff

· Formal technical end-user training

· Mentoring

· UAT involvement

· Train-the-Trainer

· Presentations

· User manuals

· Exercises

· Job aids

· Online help

· System manuals

· CBT

· Basic computer literacy

· DWS-specified technical expertise

· Identified by DWS as trainer

Technical Staff

· Formal support end-user training

· Mentoring

· Presentations

· User manuals

· Exercises

· Job aids

· Online help

· System manuals

· CBT


· Support job function, including help desk staff

DWS Trainers

· Formal end-user training

· Mentoring

· UAT involvement

· Train-the-Trainer

· Presentations

· User manuals

· Exercises

· Job aids

· Online help

· System manuals

· CBT


· Identified by DWS as trainer

End Users

· Formal end-user training from DWS Trainers

· Presentations

· User manuals

· Exercises

· Job aids

· Online help

· System manuals

· CBT


· Defined system role

6.4 Project Specific Activities and Tasks

The UITSM Project Knowledge Transfer Plan includes the following activities and tasks:

1. Audience Identification – The project team identifies specific DWS management, business, and technical staff that require knowledge transfer to perform their role with the deployment of the new system.

2. Initial Assessment – The project team will assess DWS capabilities

3. Identify/Prioritize Knowledge Transfer Areas – Knowledge Transfer Areas (KTAs) for Phase 1 are identified, refined, and revised based on the Initial Assessment. An initial set of KTAs is provided in the table below.

4. Prepare Knowledge Transfer Materials – Knowledge Transfer materials are tailored based on unique DWS needs

5. Perform Knowledge Transfer Activities – Knowledge transfer activities (mentoring, overview sessions, self-training, and formal training) begin on Day 1 of the project and continue throughout the duration of the project, as described earlier.

6. Assess Knowledge Transfer Results – Knowledge Transfer Results are determined through Peer Review activities, periodic surveys, formal classroom training feedback, as well as informal feedback.

7. Identify Outstanding Knowledge Transfer Gaps and Prepare Action Plan – Review of Knowledge Transfer Results is used to identify outstanding gaps that may impact DWS’ goal of self-sufficiency. An action plan is prepared to fine tune our approach and address the gaps.

8. Perform Follow-up Knowledge Transfer Activities – The Knowledge Transfer Gap Analysis Action Plan is executed.

UITSM Phase 1 Key Knowledge Transfer Areas

The following table outlines an initial set of key knowledge transfer areas (KTAs) for Phase 1. Timeframe for knowledge transfer sessions is estimated based on the project progress at the time of submission of this plan.

Skill / Knowledge

Area

Technique

Who (Deloitte)

Whom (DWS)

Estimated Timeframe

Use Cases

Business, Technical

Demonstrations,

Learn at Lunch

Walkthrough

Training Presentations

Dennis Wenzel, Lynnette Stern, Bernt Peterson

DWS Staff

April/May 2010

Security

Business, Technical

Demonstrations,

Learn at Lunch

Walkthrough


Bernt Peterson, Mrinal Shaw, Anil Gosu

DWS Staff

April/May 2010

uFACTS Framework .NET Overview

Technical

CBT, Learn at Lunch

Walkthrough


Mrinal Shaw, Marcel Mascarenhas

DWS Staff

June/July 2010

Test Scripts

Business, Technical

Demonstrations,

Learn at Lunch

Walkthrough


Lynnette Stern, Partha Mukhopadhyay

DWS Staff

July/August 2010

Requisite Pro

Business, Technical

Demonstrations,

Learn at Lunch

Walkthrough


Lynnette Stern, Lisa Newell, Mrinal Shaw

DWS Staff

April/May 2010

Batch

Technical

Computer -Based Training

Mrinal Shaw, Anil Gosu

DWS IT Staff

August/September 2010

Event Logging

Technical

Presentations, Demonstrations


DWS IT Staff


Exception Handling

Technical

Presentations, Demonstrations


DWS IT Staff


Online Screens

Technical

Computer -Based Training


DWS IT Staff

November/December 2010

SRS

Business

Demonstrations,

Learn at Lunch

Walkthrough

Lynnette Stern, Bernt Peterson

DWS Staff

April/May 2010

6.5 Knowledge Transfer Tools and the uFACTS Knowledge Repository

The uFACTS Knowledge Repository contains knowledge transfer artifacts deployed on previous UI Tax modernization projects. These reusable training artifacts are tailored based on DWS needs.

These artifacts include the following:

· Traditional training manuals

· Topic-specific CBT (Captivate simulations)

· Evaluation materials

· Training plans/schedules from successful UI training projects.

The uFACTS Knowledge Repository includes training artifacts to support training project staff on project methodologies and tools used on the project and for end-user training.

The uFACTS Knowledge Repository includes training materials to support the training of the internal project team and system users on the use of the third-party tools selected for use during the project. Examples of this type of training material include training on the use of reporting tools for standard and ad hoc report creation, technical training on the use of the technical framework, and training on the document management tools that are integrated into the uFACTS Solution Framework.

The uFACTS Knowledge Repository includes training materials to support the training of the internal team and project stakeholders on the methodologies used to complete the project. These training materials include overviews explaining the Joint Requirements Management (JRM) and Joint Application Design (JAD) processes, as well as training materials describing how to document system design utilizing Use Cases, Activity Diagrams, and Supplementary Requirement Specifications.

Traditional Training Manuals

The uFACTS Knowledge Repository includes a set of formal in-class training materials, including instructor manuals, learner manuals, job aids, quick reference guides, train-the-trainer materials, and other material types common to a traditional training environment.

Please refer to Appendix C – Employer Registration for a sample training manual. Note, this is public document and available via the Massachusetts Labor and Development website.

Topic-Specific Computer-Based Training

Availability of existing CBT modules allows the NMDWS development team to reap the benefits of a CBT approach while mitigating some of the negative aspects of developing CBT modules, including higher resource requirements (compared to a traditional training approach), increased technical complexity, and an increase in development time. The latter positive outcome enables CBT developers to begin materials development later in relation to the system development cycle, allowing CBT materials to better approximate the actual system and/or launch sooner in relation to system go-live.

CBT Training Materials Listing - Tax

Following are screen shots from existing CBT modules. Each screen shot (and each line item in the previous graphic) represents a Captivate project file that can be leveraged for routine and customized CBT and traditional training interventions:

Employer Registration

Submit Wage Detail

Employer Makes Payment

CBT modules may be used to educate Employers and Third Party Agents on use of the new system. The following example demonstrates how Massachusetts made CBT modules available to their Employers via their website. Each of the ‘Quick Links’ mentioned on the screen is a CBT module.

Evaluation Materials

The Deloitte Assessment Tool (DAT) gathers and analyzes complex data sets in accordance with the needs of the knowledge transfer environment.

Examples:Simple Measurement and Reporting: Course Survey

Training Plans/Schedules

The uFACTS Knowledge Repository includes training curriculums by topic. An example of a ‘Train-the-Trainer’ syllabus is provided in Appendix B.

6.6 Schedule

Knowledge Transfer begins on Day 1 of the project. Specifically, Overview Sessions and Mentoring occur throughout the duration of the project.

Training activities are scheduled to occur between November, 2010 and March, 2011. Training sessions will occur in January and February, 2011. The Phase 1 Detail Project plan includes specific tasks and activities that support project training.

7. Project Archives/Repository

The Project Archives/Repository for Phase 1 project-related artifacts is consistent with the PMP as outlined in section 6.8 Configuration Management.

Team Foundation Server is the repository for application source code. The code migration process for Phase 1 is outlined in the Phase 1 Deliverable: 1.B.D.1 System Environment Configuration Plan.

8. Project Closeout Process

The Project Closeout Process for Phase 1 is consistent with the process outlined in the PMP.

A. Appendix A – Monthly Status Template

The Monthly Status Template is documented on the following pages.

B. Appendix B – Weekly Status Template

The Weekly Status Template is documented on the following pages.

NMDWS UITSM

15 June 2010

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15 June 2010

Page 56 of 101


DWS UI Tax ModernizationWeekly Status Meeting

Date - 04/20/2010

Time – 8:30 AM (Mountain)

Place: UI Tax Modernization Conference Room Call-in – 888.998.2663 #3562481

Purpose, Objectives and Elements of the Meeting:

· Review Activities of Prior Week / Plan Actions for Future Week / Discuss Issues

Expected Attendees:

· Deloitte: Dennis Wenzel, Partha Mukhopadhyay, Bob Daub, Mrinal Shaw, Scott Malm, Lynnette Stern

· DWS: Alice Dominguez, Willard Hunter, Julie Lopez-Casaus, Roy Chandler, Ron Martinez, IV&V

Status Legend:

· Green – On Track

· Yellow – Behind Schedule (does not impact implementation date)

· Red – Behind Schedule (impacts implementation date)

Project Management Execution and Control

Status

Progress / Scheduled Activities

(Green)

Progress (Accomplishments)

Weekly Status Conducted: 4/12

Monthly Status Report: March Status reviewed by DWS. Updates incorporated by Deloitte.

Reviewed Risk and Issues database for accurate reporting in weekly and monthly status.

Reviewed IV&V Access to eRoom

Prepared draft of Knowledge Transfer/Training Plan for Steering Committee on 4/20

Scheduled Employer/Agent Communications discussion

Business Back-up Positions Approved by DWS

DoIT Monthly Status Report Submitted by DWS

DEDs, Deliverables and Project Schedule submitted to Steering Committee by DWS

Other:

Deloitte Team Participated in Deloitte Methodology/Playbook project review/coaching.

Action Items

Update eRoom to include IV&V based on DWS recommendations

Schedule Activities – Week of 4/19

Conduct Weekly Status meeting: 4/20/2010

Conduct/Participate in Steering Committee 4/20/2010

Finalize Approval of March Status Report

Phase 0 – Contract Initiation – Kick-off and Project Management Plan

Status


(Yellow)


Project Management:

Project Management Plan (PMP)

Submitted – Complete: Documents are located in the eRoom Phase 0/PMP folder

Action Items:

DWS to Complete PMP Document Review and add comments of owned sections

Phase is four weeks past original completion dates and cannot be closed until PMP document is closed.

(Yellow)

Technical:

Procure Equipment (First Round) - In-progress

Based on the need to add the two additional Rational products, DWS is reworking the Rational Software quotes. The two products referred to were listed in the BAFO, but were missed in the software spreadsheet. This was identified by Deloitte on 4/7 during the review of the quote and notified DWS of this on the same day.

DWS showed an interest in reviewing HP products in place of three Rational products (Rational Performance tester, Rational functional tester and Rational ClearQuest). Deloitte initiated pricing of those HP products.

Establish Proof of Concept (POC) – Environment setup not started; dependent on Procure Equipment. Work related to setting up of TFS and source code is being done on the SNET region, a region owned by Deloitte for hosting the uFACTS application.

Phase 1 hardware/software procurement details are listed in Phase 1 section of the project status report.

Other:

Deloitte and DWS jointly agreed to recommend Oracle 11g as the database for use by the project after reviewing the final prices from Oracle. CIO, John Salazar presented Oracle as the database of choice to the Deputy Commissioner who approved the final decision.

Deloitte performed compatibility analysis of Oracle 11g to work with FileNet and Pitney Bowes DOC1.

Action Items:

Procurement tracking spreadsheet needs to be updated

Test DWS VPN connectivity from within Springer building

Scheduled Activities – Week of 4/19/2010

Project Management:

DWS to complete review of PMP and owned sections; Deloitte will incorporate DWS feedback

Further delays will impact project deliverables (Project Planning and Administration)

Technical:

Deloitte to update and provide updated hardware/software lists to DWS based on Oracle decision. Deloitte is waiting on Abba Tech for new quotes on new range of hardware from HP that affect these lists.

Procure Equipment - DWS to proceed with necessary hardware and software procurement - focus on items that have no impact on Oracle decision or DoIT approval; elements impacting design (Rational RequisitePro, Rational Rose, and DreamWeaver are an immediate priority.)

Phase 1 – Employer Self Service

Status


(Green) (Green) (Green)


Project Management:

Develop DEDs – In-progress.

Several DEDs are now ready for review (DED Status Spreadsheet Handout)

Prepare Planning and Administration Deliverable – In-progress

PMP Review is impacting finalizing the complete list of Planning and Administration Deliverables.

Detailed Project Schedule/Plan Completed and Submitted – Under DWS Review

DWS/Deloitte met to discuss review/orient team to the deliverable.

Action Items:

DWS to review Project Schedule Deliverable (.mpp file)

DWS to review DED documents

Functional – Define Phase

System Requirement and Fit/Gap Analysis JRM Sessions – In-progress. Activities include the following:

Employer Registration: JAD / GAP Prep in Progress

Employer Registration: JAD Preparation Documents distributed

Managing Employer Ratings: Conducted JRMs - Notes submitted to DWS for review

Manage Benefits Paid Charging: Conducted JRMs – Notes submitted to DWS for review

Submit Employment and Wage JAD / GAP Prep in Progress

Collections: Conducted Collections Part 1 JRMs

Technical Requirements: Conducted JRMs

Interfaces: Conducted External Interfaces JRM

FUTA Certification / Recertification JRM : Conducted – Notes submitted to DWS for review

Registration and Wage JAD Calendars Created and Posted.

JRM session notes posted to the appropriate eRoom Phase 1 folder

Began development of Requirements and Gap Document

Registration JRM Notes (all areas) – SME reviewed and submitted comments

Employer Maintenance and Account Management JRM Notes- SME reviewed and submitted comments

Submit Employment and Wage Detail including adjustments and misc JRM Notes – SME reviewed and submitted comments

Payments JRM Notes– SME reviewed and submitted comments

Administrative/Common JRM Notes– SME reviewed and submitted comments

Manage Employer Ratings JRM Notes – SME reviewed and submitted comments

Deloitte reviewed Use Case Modeling and Realization Guidelines

Action Items:

Deloitte will continue to update JRM notes and Gap preparation

Deloitte will schedule Internal Interfaces JRM session

Deloitte will schedule deferred items JRM session

Phase 1 – Employer Self Service

Status


(Green) (Yellow)

Technical – Define Phase

System Environment Configuration Plan – A draft version of this document has been provided to DWS on 4/12 per their request. This document is being currently updated with changes pertaining to final DB decision. This document has been peer reviewed with the exception of these changes.

DWS leadership made the final decision to choose Oracle 11g on 4/16/10.

Data conversion.

Continued work on creating the Data Conversion Plan

Continued identifying Data sources.

Continue with Data Source Mappings.

Technical Team meetings and data conversion meetings are held every Wednesday morning from 4/7 onwards

Meeting Agenda and Notes will be stored in e-room at the end of the week of the meeting.

Deloitte continues to conduct interviews for further technical staffing.

Work continued for the following deliverables:

Architecture and Design - Significant analysis has been done to create this deliverable. Deloitte has provided a list of identified issues with the current infrastructure as a result of this analysis.. Although this analysis is meant for the deliverable which is due early May, Deloitte chose to provide the data collected through the analysis to DWS earlier than the deliverable due date so that DWS could act on this. For details see the action items section.

System Development and Configuration – 90% of the deliverable has been completed and is been peer reviewed. Deliverable will be completed by the due date (early May).

Data Conversion Plan- 40% of the deliverable has been completed.

Action Items:

DWS to complete procurement of Phase 1 hardware and software products

Deloitte identified infrastructure issues related to the existing Big IP, Backup system, Switches, etc. DWS to resolve these issues with the advice and help from Deloitte.

Deloitte to provide Technical Training material in e-room site.x

Scheduled Activities – Week of 4/19

Project Management:

DWS Review mpp Plan and DEDs

Continue Planning and Administration deliverable.

Continue preparing DEDs

Functional – Define Phase

Continue System Requirement and Fit/Gap Analysis JRM Sessions:

Employer Registration: Conduct first set of JADs

Collections: Conduct JRM Part 2 Sessions and Submit Notes to SME

Wage and Tax Reports: Prepare JAD Documents

Registration (all areas) – Review SME Comments – update accordingly

Employer Maintenance and Account Management: Review SME Comments – update accordingly

Payments Module: Review SME Comments – update accordingly

Administrative/Common Services: Review SME Comments – update accordingly

Managing Employer Ratings: Review SME Comments – update accordingly

Maintain Benefits Paid Charges: Conduct JRM Sessions and Submit Notes to SME

All other Phase 2 Modules: Prepare final JRM Notes for Submission – Prior to each Session

Continue development of Requirements and GAP deliverable

Reschedule Interna

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