1




 2
 3
 4
 5   DATA MINING SOLUTION (DMS)
 6                 FOR
 7   CHILD CARE FRAUD DETECTION
 8
 9         REQUES...
2




17                          NOTICE TO RFP PROPOSERS

18 THIS DOCUMENT DOES NOT STAND ALONE AND MUST BE READ AND
19 R...
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43                                            TABLE OF CONTENTS

441.INTRODUCTION AND OVERVIEW.........................
10



68          SUBTASK 4.1 – INSTALL AND CONFIGURE SYSTEM SOFTWARE.............................10

69          DELIVERA...
14



 93          SUBTASK 7.1 – PROVIDE TRAINING..................................................................22

 94...
18




1131.      INTRODUCTION AND OVERVIEW
114        This Attachment A (Statement of Work) ("SOW") is part of the Los An...
22




1511.2     PROJECT OBJECTIVES
152        The general objective of this Project is to implement a technology solutio...
26




1883.      SCOPE OF WORK
189        This section describes the primary Work that Contractor shall perform, which in...
30




217            DELIVERABLE 1.1 – PROJECT CONTROL DOCUMENT
218               Contractor shall provide the PCD, which...
34


259               and System Environment, implementation of the System Software, development
260               of dat...
38


298               as the mechanism for Contractor to report any Project risks or problems identified
299             ...
42


335    TASK 2 – ANALYZE SYSTEM REQUIREMENTS
336        Contractor, with assistance and cooperation from County's Proj...
46


375        County staff will be participating in the System Requirements meetings and will be
376        available to...
50


412            DELIVERABLE 3.1 – DESIGN SPECIFICATIONS DOCUMENT
413               Contractor shall submit the project...
54


449            DELIVERABLE 3.3 – SYSTEM HARDWARE CERTIFICATION
450               Contractor shall certify to County, ...
58


488               Development of the DQ&I solution shall include without limitation the following
489               a...
62


530               accordance with Subtask 4.2 – Develop Data Quality and Integration Solution.
531               Cont...
66


570               14. Generating scoring code for embedded deployment in the analytic data tables;
571               ...
70


610            DELIVERABLE 4.4 – BASELINE INTERFACES
611               Contractor shall work in conjunction with Coun...
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647        B. Developing test plans for System Tests (“Test Plan(s)”) and procedures for all stages
648           of ...
78


688                  Contractor shall conduct cycle tests to simulate the DMS operation in
689                  Produ...
82


730            DELIVERABLE 5.1.2 – SYSTEM INTEGRATION TEST RESULTS
731               Contractor shall provide the Sys...
86


770               Contractor shall provide a recommended UAT Test Plan to include:
771               1.   A descripti...
90


810               5. Schedule for completion of each corrective action and resources required or
811                 ...
94


851                   v.                Schedule for completion of each corrective action and
852                    ...
98


891            DELIVERABLE 6.1 – SYSTEM PRODUCTION USE
892               The System shall achieve Go-Live and be read...
102


933            DELIVERABLE 6.2.2 – FINAL ACCEPTANCE
934               The System shall achieve Final Acceptance and ...
106


 972               shall deliver training classes and training materials consistent with the classes
 973           ...
110


1011               8. Providing Performance Management Plan; and
1012               9. Providing Project reporting p...
114


1048            SUBTASK 9.3 – PROVIDE DMS TRANSITION
1049               At least thirty (30) days prior to, and upon...
118


1089                   ddd.Information and supporting documentation, as required by County,
1090                    ...
122


1129            SUBTASK 10.2 – PROVIDE PROFESSIONAL SERVICES
1130               County may from time to time, during...
Public Social Services Department / Statement of Work
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Public Social Services Department / Statement of Work

  1. 1. 1 2 3 4 5 DATA MINING SOLUTION (DMS) 6 FOR 7 CHILD CARE FRAUD DETECTION 8 9 REQUEST FOR PROPOSALS 10 11 APPENDIX A – STATEMENT OF WORK 12 13 14 July 8, 2009 15 16 1
  2. 2. 2 17 NOTICE TO RFP PROPOSERS 18 THIS DOCUMENT DOES NOT STAND ALONE AND MUST BE READ AND 19 REVIEWED IN CONNECTION WITH ALL OTHER PARTS OF THIS RFP. 20 21 THIS EXHIBIT A SHALL BE UPDATED TO REFLECT THE SELECTED PRO- 22 POSAL PRIOR TO THE NEGOTATION OF THE RESULTANT AGREEMENT. 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 3 4DMS RFP – Appendix A 5Statement of Work (SOW) A-i JULY 8, 2009
  3. 3. 6 43 TABLE OF CONTENTS 441.INTRODUCTION AND OVERVIEW.............................................................1 45 1.1PROJECT BACKGROUND................................................................................1 46 1.2PROJECT OBJECTIVES...................................................................................2 472.INSTRUCTIONS................................................................................................2 483.SCOPE OF WORK.............................................................................................3 49TASK 1 – PROJECT ADMINISTRATION........................................................3 50 SUBTASK 1.1 – DEVELOP PROJECT CONTROL DOCUMENT......................................3 51 DELIVERABLE 1.1 – PROJECT CONTROL DOCUMENT.............................................4 52 SUBTASK 1.2 – PREPARE STATUS REPORTS AND CONDUCT CONFERENCES...............5 53 DELIVERABLE 1.2 – STATUS REPORTS AND CONFERENCES.....................................6 54 SUBTASK 1.3 – ESTABLISH PROJECT OFFICE........................................................6 55 DELIVERABLE 1.3 – PROJECT OFFICE CERTIFICATION............................................6 56 SUBTASK 1.4 – PROVIDE WEB-SERVER HOSTING.................................................6 57 DELIVERABLE 1.4 – WEB-SERVER HOSTING CERTIFICATION..................................6 58TASK 2 – ANALYZE SYSTEM REQUIREMENTS.........................................7 59 DELIVERABLE 2 – ASSESSMENT AND REQUIREMENTS DOCUMENT............................8 60TASK 3 – SYSTEM SETUP.................................................................................8 61 SUBTASK 3.1 – DEVELOP DESIGN SPECIFICATIONS DOCUMENT...............................8 62 DELIVERABLE 3.1 – DESIGN SPECIFICATIONS DOCUMENT......................................9 63 SUBTASK 3.2 – SPECIFY SYSTEM CONFIGURATION................................................9 64 DELIVERABLE 3.2 – SYSTEM CONFIGURATION PLAN AND CERTIFICATION................9 65 SUBTASK 3.3 – SETUP SYSTEM HARDWARE.........................................................9 66 DELIVERABLE 3.3 – SYSTEM HARDWARE CERTIFICATION....................................10 67TASK 4 – IMPLEMENT SYSTEM SOFTWARE...........................................10 7 8DMS RFP – Appendix A 9Statement of Work (SOW) A-ii JULY 8, 2009
  4. 4. 10 68 SUBTASK 4.1 – INSTALL AND CONFIGURE SYSTEM SOFTWARE.............................10 69 DELIVERABLE 4.1 – SYSTEM SOFTWARE CERTIFICATION.....................................10 70 SUBTASK 4.2 – DEVELOP DATA QUALITY AND INTEGRATION SOLUTION................10 71 DELIVERABLE 4.2 – DATA QUALITY AND INTEGRATION SOLUTION.......................11 72 SUBTASK 4.3 – DEVELOP PREDICTIVE DATA MINING MODELS............................12 73 DELIVERABLE 4.3 – PREDICTIVE DATA MINING MODELS....................................13 74 SUBTASK 4.4 – DEVELOP BASELINE INTERFACES................................................13 75 DELIVERABLE 4.4 – BASELINE INTERFACES.......................................................14 76 SUBTASK 4.5 – DEPLOY FRAUD SOLUTION PLATFORM........................................14 77 DELIVERABLE 4.5 – DEPLOYED FRAUD SOLUTION PLATFORM..............................14 78TASK 5 – SYSTEM TESTING..........................................................................14 79 SUBTASK 5.1 – CONDUCT SYSTEM INTEGRATION TEST.......................................15 80 DELIVERABLE 5.1.1 – SYSTEM INTEGRATION TEST PLAN....................................16 81 DELIVERABLE 5.1.2 – SYSTEM INTEGRATION TEST RESULTS...............................17 82 SUBTASK 5.2 – CONDUCT USER ACCEPTANCE TEST...........................................17 83 DELIVERABLE 5.2.1 – USER ACCEPTANCE TEST PLAN........................................19 84 DELIVERABLE 5.2.2 – USER ACCEPTANCE TEST STATUS REPORTS.......................19 85 DELIVERABLE 5.2.3 – USER ACCEPTANCE TEST CERTIFICATION..........................20 86TASK 6 – FINAL ACCEPTANCE....................................................................20 87 SUBTASK 6.1 – TRANSITION TO PRODUCTION ENVIRONMENT................................20 88 DELIVERABLE 6.1 – SYSTEM PRODUCTION USE..................................................21 89 SUBTASK 6.2 – CONDUCT PERFORMANCE VERIFICATION.....................................21 90 DELIVERABLE 6.2.1 – PERFORMANCE VERIFICATION REPORT...............................21 91 DELIVERABLE 6.2.2 – FINAL ACCEPTANCE........................................................22 92TASK 7 – TRAINING.........................................................................................22 11 12DMS RFP – Appendix A 13Statement of Work (SOW) A-iii JULY 8, 2009
  5. 5. 14 93 SUBTASK 7.1 – PROVIDE TRAINING..................................................................22 94 DELIVERABLE 7.1 – TRAINED COUNTY STAFF...................................................22 95TASK 8 – SYSTEM DOCUMENTATION.......................................................23 96 SUBTASK 8.1 – PROVIDE SYSTEM DOCUMENTATION...........................................23 97 DELIVERABLE 8.1 – SYSTEM DOCUMENTATION..................................................23 98TASK 9 – SYSTEM MAINTENANCE..............................................................23 99 SUBTASK 9.1 – PROVIDE SYSTEM MAINTENANCE PLAN......................................23 100 DELIVERABLE 9.1 – SYSTEM MAINTENANCE PLAN.............................................24 101 SUBTASK 9.2 – PROVIDE SYSTEM MAINTENANCE ..............................................24 102 DELIVERABLE 9.2 – SYSTEM MAINTENANCE......................................................24 103 SUBTASK 9.3 – PROVIDE DMS TRANSITION.....................................................25 104 DELIVERABLE 9.3.1 – DMS TRANSITION PLAN................................................25 105 DELIVERABLE 9.3.2 – DMS TRANSITION SUPPORT............................................26 106TASK 10 – OPTIONAL WORK........................................................................26 107 SUBTASK 10.1 – PROVIDE SOFTWARE ENHANCEMENTS.......................................26 108 DELIVERABLE 10.1 – SOFTWARE ENHANCEMENTS..............................................26 109 SUBTASK 10.2 – PROVIDE PROFESSIONAL SERVICES...........................................27 110 DELIVERABLE 10.2 – PROFESSIONAL SERVICES..................................................27 111 112 15 16DMS RFP – Appendix A 17Statement of Work (SOW) A-iv JULY 8, 2009
  6. 6. 18 1131. INTRODUCTION AND OVERVIEW 114 This Attachment A (Statement of Work) ("SOW") is part of the Los Angeles County 115 Department of Public Social Services ("DPSS") Data Mining Solution ("DMS") for Child 116 Care Fraud Detection Request for Proposals ("RFP"). 117 This Section 1 describes the general scope of Work that Contractor shall perform for the 118 DMS project ("Project"). Contractor shall be responsible for the design, development, 119 implementation, maintenance and support of the DMS, which shall meet the requirements 120 described in the Agreement. Contractor shall perform, complete, and deliver all Work, 121 however denoted, as set forth in this SOW, or in any attached or referenced document in 122 full compliance with the Agreement. 1231.1 PROJECT BACKGROUND 124 County’s Chief Executive Office ("CEO") and Department of Public Social Services 125 ("DPSS") conducted a pilot ("Pilot") between May and November of 2008 to determine 126 the business value of implementing data mining software for the purposes of detection 127 and prevention of public assistance fraud. The application of data mining software was 128 limited to three primary predictive models and the analysis applied only to DPSS’ Stage 1 129 Child Care Program for CalWORKs participants. In order to demonstrate the predictive 130 capacities of the data mining software, the pilot used DPSS’ administrative records on 131 child care providers between January 2001 and December 2007. The software’s fraud 132 analysis capability was demonstrated in three categories: (1) cases with characteristics 133 placing them at a high risk for fraud; (2) cases showing significant anomalies; (3) 134 potential fraud rings and collusion activities. 135 The data mining Pilot achieved an 85 percent accuracy rate in detecting collusive fraud 136 rings. The results of the Pilot show that the use of data mining software as a fraud 137 detection tool would have enabled cost avoidance in three areas: (1) new fraud referrals, 138 resulting in an annual gross cost avoidance of at least $2.2 million; (2) early detection of 139 fraud, resulting in an annual gross cost avoidance of $1.6 million; (3) increased 140 efficiency, resulting in an annual gross cost avoidance of $3 million. The total annual 141 gross cost avoidance in these areas would, therefore, have been at least $6.8 million. 142 Furthermore, the results indicated that the cost avoidance could possibly increase with 143 additional data sources and further utilization of additional predictive fraud detection 144 models not included in the Pilot. 145 On January 6, 2009 County's Board of Supervisors passed a motion that directed the CEO 146 to develop a strategy for the implementation of data mining technology to target fraud in 147 the CalWORKs Stage 1 Child Care program. The CEO reported back to the Board with a 148 recommendation to procure the necessary technology through a competitive procurement 149 process. The present RFP embodies County’s effort to solicit competitive bids from 150 potential vendors. 19 20DMS RFP – Appendix A 21Statement of Work (SOW) A-1 JULY 8, 2009
  7. 7. 22 1511.2 PROJECT OBJECTIVES 152 The general objective of this Project is to implement a technology solution ("DMS 153 Solution"), which will assist in the detection and prevention of fraudulent activities 154 among individuals or groups participating in County’s Stage 1 Child Care Program for 155 CalWORKs participants. 156 This Statement of Work consists of instructions, tasks, subtasks, deliverables, goods, 157 services and other work (hereinafter “Work”) and, unless specified otherwise, includes a 158 Project Schedule. Capitalized terms used in this Statement of Work without definitions 159 have the meanings given to such terms in the body of the Agreement. All Work under 160 this Agreement shall be performed at the rates and fees set forth in the Schedule of 161 Payments. 162 Contractor shall perform, complete and deliver all Work, however denoted, as set forth in 163 this Statement of Work. Also defined herein are those Tasks and Subtasks that involve 164 participation of both Contractor and County. Unless otherwise specified as an obligation 165 of County, Contractor shall perform all Tasks and Subtasks and provide all Deliverables 166 as defined herein. For the purpose of this Agreement, a Deliverable shall be deemed 167 complete upon County’s approval and acceptance thereof subject to the provisions of the 168 Agreement, irrespective of the number of tries it takes Contractor to provide a successful 169 Deliverable. 170 Contractor shall provide a comprehensive child care fraud platform and solutions 171 including the installation and configuration of the necessary data mining software, the 172 provision of data quality and data integration solutions, the development of analytic 173 models and the provision of other services to implement Los Angeles County’s Data 174 Mining Solution as necessary to meet the technical, functional and business requirements 175 set forth in the RFP, including the Statement of Requirements ("System Requirements"). 176 The general objective of this Project is to implement a technology solution which will 177 assist in the detection and prevention of fraudulent activity among individuals or groups 178 participating in County’s Stage 1 Child Care Program for CalWORKs participants. 179 Unless otherwise specified herein, the Tasks, Subtasks and Deliverables in this Statement 180 of Work are subject to the System Requirements and shall be subject to County approval, 181 as set forth in Paragraph 5 (Scope of Work) of the Base Agreement. 1822. INSTRUCTIONS 183 Contractor shall submit each Deliverable to County in one (1) or more hard cover 8 ½ by 184 11 inch three-ring binders, single sided sheets, 12 point Arial or New Times Roman font, 185 with separated and partitioned sections as required. 186 Contractor shall submit each Deliverable and provide an electronic copy in the Microsoft 187 Office Suite version specified by County. 23 24DMS RFP – Appendix A 25Statement of Work (SOW) A-2 JULY 8, 2009
  8. 8. 26 1883. SCOPE OF WORK 189 This section describes the primary Work that Contractor shall perform, which includes: 190 1. Task 1 - Project Administration 191 2. Task 2 – Analyze System Requirements 192 3. Task 3 – System Setup 193 4. Task 4 – Implement System Software 194 5. Task 5 – System Testing 195 6. Task 6 – Final Acceptance 196 7. Task 7 - Training 197 8. Task 8 – System Documentation 198 9. Task 9 – System Maintenance 199 10. Task 10 – Optional Work 200 To accomplish the Work, Contractor shall work collaboratively with key stakeholders, 201 including Users, and State and federal governments and other external agencies whose 202 System Data will interface with the DMS. 203 TASK 1 – PROJECT ADMINISTRATION 204 Contractor shall establish a Project Office to provide full project management, planning, 205 monitoring, supervision, tracking and control for all Project activities during the term of 206 the Agreement. Contractor shall employ project management standards and practices in 207 the performance of all Work. 208 SUBTASK 1.1 – DEVELOP PROJECT CONTROL DOCUMENT 209 Contractor shall review the System Requirements with County’s Project Manager. 210 Based upon that review, Contractor shall prepare a Project Control Document 211 (“PCD”) and submit it for written approval to County’s Project Manager. Any 212 subsequent significant modifications to the PCD shall be subject to the provisions 213 of the body of the Agreement. 214 Contractor’s Project Manager and County’s Project Manager shall report Project 215 status on a regular basis as required by County and shall participate in status 216 meetings monthly, or as otherwise agreed to by County and Contractor. 27 28DMS RFP – Appendix A 29Statement of Work (SOW) A-3 JULY 8, 2009
  9. 9. 30 217 DELIVERABLE 1.1 – PROJECT CONTROL DOCUMENT 218 Contractor shall provide the PCD, which, at a minimum, shall include the 219 following information: 220 1. All Work described in this Statement of Work and elsewhere in the 221 Agreement; 222 2. A Project Work Plan (“PWP”), developed in County-specified version of 223 Microsoft Project, which shall include: 224 a. All Deliverables, including those referenced in the Schedule of Payments, 225 b. All Tasks, Subtasks, and other Work, 226 c. Associated dependencies among Deliverables, Tasks, Subtasks and other 227 Work, 228 d. Resources assigned to each Deliverable, Task, Subtask and other Work; 229 e. Start date and date of completion for each Deliverable, Task, Subtask and 230 other Work, 231 f. Proposed County review period for each Deliverable, and 232 g. Proposed milestones; 233 3. Identification of all Contractor's Key Personnel; 234 4. A comprehensive Deficiency Management Plan ("DMP"), documenting the 235 approach to Deficiency management, including methodology, recommended 236 tool(s) and escalation process; 237 5. Approach to Project communications; 238 6. A comprehensive Risk Management Plan (“RMP”), documenting the 239 approach to risk analysis (e.g., the evaluation of risks and risk interactions to 240 assess the range of possible project outcomes), risk mitigation (e.g., the 241 identification of ways to minimize or eliminate project risks) and risk 242 tracking/control (e.g., a method to ensure that all steps of the risk management 243 process are being followed and, risks are being mitigated effectively). The 244 RMP shall have a clearly established process for problem escalation and shall 245 be updated, as needed, through the term of the Agreement; 246 7. Initial identification of risks that may impact the timely delivery of the DMS, 247 probability and potential impact, recommended mitigation strategy and impact 248 of implementing any risk mitigation strategies; 249 8. Project staffing and resource management plan; and 250 9. Configuration and Change Management Plan (“CCMP”). Changes, in this 251 context, refer to changing the functionality of or adding additional 252 functionality (e.g., changes to the project scope) to any DMS Component. The 253 approach shall ensure that the impacts and rationale for each change are 254 analyzed and coordinated prior to being approved. The CCMP may vary from 255 item to item, as determined by County's Project Director. 256 Contractor shall prepare a Project Work Plan in accordance with Subtask 1.1 – 257 Develop Project Control Document. The PCD shall provide for the System 258 installation and configuration plan, including as it relates to the System Software 31 32DMS RFP – Appendix A 33Statement of Work (SOW) A-4 JULY 8, 2009
  10. 10. 34 259 and System Environment, implementation of the System Software, development 260 of data quality and data integration tasks (“DQ&I”), development of fraud 261 detection models, development of the end-user Interfaces, system administration 262 and security, technical support and knowledge transfer, and related 263 Documentation. The PCD may be modified only if such modification has been 264 approved in advance in writing by County’s Project Manager. 265 SUBTASK 1.2 – PREPARE STATUS REPORTS AND CONDUCT CONFERENCES 266 Contractor shall provide ongoing Project administration, which shall include, but 267 not be limited to, the following: 268 1. DMS monthly status reports; and 269 2. Updates to the PCD, including PWP and RMP. 270 Contractor’s Project Manager shall provide full project management and control 271 of Project activities. Contractor’s Project Manager shall present to County’s 272 Project Manager a written Status Report ("Status Report") documenting Project 273 progress, plans and outstanding issues. Contractor’s Project Manager shall meet 274 with or conduct a status update phone call with County’s Project Manager on a 275 weekly basis, or as otherwise agreed to by County and Contractor, to review 276 Project Status Reports and any related matters. All variances shall be presented to 277 County for approval at the status meeting. The first report shall be presented to 278 County’s Project Manager one (1) week following the Effective Date in a format 279 approved by County. 280 This Subtask shall include, but not be limited to: 281 1. Project planning and direction; 282 2. Contractor staffing and personnel matters, including management of 283 Contractor technical staff; 284 3. Evaluation of results and status reporting; 285 4. Incorporation of County’s System Requirements, including all business, 286 functional and technical requirements; 287 5. Incorporation of required software modification, if any; and 288 6. Management and tracking of all issues and their resolution. 289 Contractor’s Project Manager and County’s Project Manager shall report Project 290 status on a regular basis and shall participate in monthly status meetings. The 291 project and reporting system shall include, but not be limited to, the following 292 components: 293 1. Kick off meeting; 294 2. Updated PCD; and 295 3. Status Reports and meetings or teleconferences. 296 The Project Status Reports prepared by Contractor’s Project Manager pursuant to 297 this Subtask 1.2 – Prepare Status Reports and Conduct Conferences shall be used 35 36DMS RFP – Appendix A 37Statement of Work (SOW) A-5 JULY 8, 2009
  11. 11. 38 298 as the mechanism for Contractor to report any Project risks or problems identified 299 as part of the implementation process. 300 DELIVERABLE 1.2 – STATUS REPORTS AND CONFERENCES 301 Contractor’s Project Manager shall prepare and present to County’s Project 302 Manager a written Status Report documenting project progress, plans, and 303 outstanding issues. Contractor’s Project Manager shall meet with or conduct a 304 status update phone call with County’s Project Manager at least monthly, or as 305 otherwise agreed to by County and Contractor, to review these Project Status 306 Reports and any related matters. All variances shall be presented for approval by 307 County at the status conferences. The first report shall be presented to County’s 308 Project Manager one (1) week following the Effective Date in a format approved 309 by County. 310 SUBTASK 1.3 – ESTABLISH PROJECT OFFICE 311 Contractor shall establish and maintain throughout the term of this Agreement a 312 local office to be utilized solely for the purpose of the Project and this Agreement 313 (“Project Office”), which shall be located within the State of California. Contrac- 314 tor shall provide necessary hardware, software and other equipment for the 315 Project Office. 316 DELIVERABLE 1.3 – PROJECT OFFICE CERTIFICATION 317 Contractor shall certify to County, in writing on corporate letterhead, signed by 318 Contractor’s Project Director, that the Project Office has been established and 319 meets all of the applicable Specifications in accordance with Subtask 1.3 – 320 Establish Project Office. 321 SUBTASK 1.4 – PROVIDE WEB-SERVER HOSTING 322 Contractor shall provide web-server hosting for both Production Server and Back- 323 Up Server (“Web-Server Hosting”). The Web-Server Hosting site for the 324 Production Server shall be located within the forty-eight (48) contiguous United 325 States and Back-Up server shall be located within the State of California. 326 Contractor shall be fully responsible for securing and maintaining both Web- 327 Server Hosting sites throughout the term of this Agreement. Contractor shall 328 provide necessary and be responsible for all hardware, software and other 329 equipment for Web-Server Hosting. 330 DELIVERABLE 1.4 – WEB-SERVER HOSTING CERTIFICATION 331 Contractor shall certify to County, in writing on corporate letterhead, signed by 332 the Contractor’s Project Director, that the Web-Server Hosting sites for both 333 Production Server and Back-Up Server have been established and meet all 334 applicable Specifications for the System. 39 40DMS RFP – Appendix A 41Statement of Work (SOW) A-6 JULY 8, 2009
  12. 12. 42 335 TASK 2 – ANALYZE SYSTEM REQUIREMENTS 336 Contractor, with assistance and cooperation from County's Project Manager, shall 337 analyze and validate the System Requirements for the implementation of the DMS for the 338 prevention of child care fraud, including business, operational, functional, technical and 339 other requirements relating to the System Requirements. 340 This Task includes, but is not limited to, the following: 341 A. Reviewing the current processes, System Requirements and all other pertinent 342 material, which County may provide, that is related to Stage 1 Child Care Program 343 for CalWORKs participants; 344 B. Conducting clarification sessions with County’s staff and County designated key 345 Users of the System to ensure a mutual understanding of the System Requirements; 346 C. Understanding the business environment, organizational and Project objectives and 347 requesting additional information, as appropriate, to ensure a thorough understanding 348 of the System Requirements; 349 D. Providing and utilizing an environmentally safe and energy efficient System 350 Hardware, for this Agreement; 351 E. Assessing the System Environment, security and networking requirements for the 352 implementation of the DMS; 353 F. Establishing development, test and production environments necessary for the 354 deployment of the DMS; 355 G. Assessing the System Hardware requirements for the Production Server and the 356 Back-Up Server Web-Server Hosting necessary for the implementation of the DMS; 357 H. Assessing the System Software for the implementation of the DMS; 358 I. Establishing a web enabled browser-based access (“Web Services”) from County 359 workstations, laptops and other devices; 360 J. Establishing security standards for the DMS that are consistent with County security 361 requirements (e.g., those documented in the Los Angeles County Board of 362 Supervisors Policy Manual, such as Policy Number 6.100 et seq.); 363 K. Identifying network security architecture, including approach, which provides single 364 sign-on, minimizes password administration and optimizes security of the DMS data 365 integrity and access; 366 L. Establishing Business Continuity and Disaster Recovery approach, including the 367 effect on the DMS performance requirements; and 368 M. Documenting the System general requirements, security requirements, operational 369 requirements, technical requirements and minimum business requirements, including 370 subject areas, information needs, user profiles, IT standards, processing, storage and 371 response time requirements, personnel and resources available, data sources and 372 source systems, data quality issues, security considerations, access profiles, 373 dimensional models, load and update requirements, training needs and System 374 architecture. 43 44DMS RFP – Appendix A 45Statement of Work (SOW) A-7 JULY 8, 2009
  13. 13. 46 375 County staff will be participating in the System Requirements meetings and will be 376 available to provide feedback to Contractor team during the Assessment and 377 Requirements Document (“A&R Document”) review. 378 DELIVERABLE 2 – ASSESSMENT AND REQUIREMENTS DOCUMENT 379 Contractor shall provide an Assessment and Requirements Document, prepared 380 by Contractor pursuant to Task 2 – Analyze System Requirements, that will 381 address the specific implementation requirements of the DMS relating to all items 382 listed in such Task 2 – Analyze System Requirements, including System 383 Software, System Hardware, System Network accessibility, System security, data 384 sources, data quality and data integration structure. The A&R Document will 385 serve as the foundation for all Work to be performed by Contractor under the 386 Agreement. 387 TASK 3 – SYSTEM SETUP 388 SUBTASK 3.1 – DEVELOP DESIGN SPECIFICATIONS DOCUMENT 389 Contractor shall work with County staff to create the Project design specifications 390 document ("Design Specifications Document"), based on the requirements 391 specified under Task 2 – Analyze System Requirements, and in the following 392 areas: 393 1. Data Specifications (input/output sources); 394 2. Data profiling procedures; 395 3. Data quality design (standardization/validation/reduplication/matching logic); 396 4. Geo-coding and address verification procedures; 397 5. Data model and metadata environment design; 398 6. Data Repository; 399 7. Extract, Transform, Load (ETL); 400 8. Development of Predictive Data Mining Models; 401 9. Evaluation of Predictive Data Mining Models; 402 10. Deployment of Predictive Data Mining Models; 403 11. Deployment of End-User Interfaces; 404 12. Scheduling and security processes; 405 13. Technical architecture specification; and 406 14. Test Plans. 407 County will be responsible for ensuring that Contractor's team has complete 408 access to appropriate County staff, facilities and information pertaining to data 409 dictionaries, data models, network diagrams, etc. for all data sources, as well as 410 providing feedback to Contractor's team during the Design Specifications 411 Document review. 47 48DMS RFP – Appendix A 49Statement of Work (SOW) A-8 JULY 8, 2009
  14. 14. 50 412 DELIVERABLE 3.1 – DESIGN SPECIFICATIONS DOCUMENT 413 Contractor shall submit the project Design Specifications Document, which will 414 document and address the following: 415 1. All items under Subtask 3.1 – Develop Design Specifications Document and 416 System Requirements specified in Task 2 – Analyze System Requirements; 417 2. Various data sources and relevant fields; 418 3. Periodicity of update; 419 4. Methodology to extract, transform and load the analytic data; 420 5. Scheduling of jobs to run automatically; 421 6. Data quality procedures; 422 7. Data integration procedures; 423 8. Physical and logical directory path locations; 424 9. Format library specifications, and update tools; 425 10. Predictive Data Mining Models; 426 11. End-User Interfaces; and 427 12. Security administration elements. 428 SUBTASK 3.2 – SPECIFY SYSTEM CONFIGURATION 429 Contractor shall specify and provide County with the recommended configuration 430 Specifications for the System, including System Hardware, System Software, 431 System Network and Third Party Software to be provided by Contractor, which 432 shall be documented in Attachment A.2 (System Configuration). Additionally, 433 Contractor will provide County with recommendations for proposed configuration 434 specifications for Contractor provided System Software that will be loaded and 435 configured on County Hardware which is located at the SIB’s site. 436 DELIVERABLE 3.2 – SYSTEM CONFIGURATION PLAN AND CERTIFICATION 437 Contractor shall provide a plan with the recommended configuration 438 specifications for the System in accordance with Subtask 3.2 – Specify System 439 Configuration. Contractor shall provide to County, in writing on corporate 440 letterhead, signed by the Contractor’s Project Director, certification that such 441 System configuration shall meet all of the Specifications for the System, including 442 all System Requirements, in accordance with Subtask 3.2 – Specify System 443 Configuration. 444 SUBTASK 3.3 – SETUP SYSTEM HARDWARE 445 Contractor shall install, configure and test all System Hardware at the Production 446 Server and the Back-Up Web-Server Hosting sites in accordance with the System 447 configuration Specifications provided by Contractor pursuant to Subtask 3.2 – 448 Specify System Configuration. 51 52DMS RFP – Appendix A 53Statement of Work (SOW) A-9 JULY 8, 2009
  15. 15. 54 449 DELIVERABLE 3.3 – SYSTEM HARDWARE CERTIFICATION 450 Contractor shall certify to County, in writing on a corporate letterhead, signed by 451 the Contractor’s Project Director, that all System Hardware has been installed, 452 configured and tested at the Production Server and the Back-Up Server Web- 453 Server Hosting sites and meets all of the Specifications for the System. 454 TASK 4 – IMPLEMENT SYSTEM SOFTWARE 455 SUBTASK 4.1 – INSTALL AND CONFIGURE SYSTEM SOFTWARE 456 Contractor shall install and configure the System Software, including Baseline 457 Application with all Contractors developed Baseline Interfaces, if any, and Third 458 Party Software, in accordance with the System Requirements and the 459 Specifications specified herein. 460 The installation and configuration tasks under this Subtask 4.1 – Install and 461 Configure System Software shall include, without limitation: 462 1. Review of System Software configuration; 463 2. Installation of the System Software; 464 3. Initialization of the foundation repositories; 465 4. Initialization of the directory profile and hierarchy; 466 5. Installation of applicable client applications; 467 6. Configuring the installed System Software, initial security policies, initial 468 environments and initial metadata repositories; 469 7. Performing validation tests using data selected by Contractor to verify proper 470 functionality; and 471 8. Providing County’s system administrator with installation knowledge transfer 472 ("Knowledge Transfer"), describing the basic architecture, configuration and 473 interaction of the System Software. 474 DELIVERABLE 4.1 – SYSTEM SOFTWARE CERTIFICATION 475 Contractor shall certify to County, in writing on a corporate letterhead, signed by 476 Contractor’s Project Director, that the System Software has been successfully 477 installed and configured in accordance with Subtask 4.1 – Install and Configure 478 System Software and is operating properly and meets all of the Specifications. 479 Contractor shall prepare and deliver to County a certification report that shall 480 include, without limitation, (i) the summary of the System Software installation 481 and configuration process, including Knowledge Transfer, and (ii) the 482 documentation on the System Software setup and basic troubleshooting. 483 SUBTASK 4.2 – DEVELOP DATA QUALITY AND INTEGRATION SOLUTION 484 Contractor shall work in conjunction with County staff to develop Data Quality 485 and Integration solution ("DQ&I") based on the Design Specifications Document, 486 as agreed upon in Subtask 3.1 – Develop Design Specifications Document and as 487 required hereunder to meet the System Requirements. 55 56DMS RFP – Appendix A 57Statement of Work (SOW) A-10 JULY 8, 2009
  16. 16. 58 488 Development of the DQ&I solution shall include without limitation the following 489 activities: 490 1. Connecting/accessing to all types of data sources that will be available in 491 different data formats including unstructured text documents and internet 492 sources; 493 2. Defining, implementing and automating periodic extracts from the source 494 systems based on latency requirements; 495 3. Profiling all data sources to analyze and assess the quality of data by 496 identifying discrepancies and inaccuracies through outlier detection, statistical 497 analysis, data validation, pattern analysis, frequency analysis, relationship 498 analysis, business rule validation and metadata analysis; 499 4. Verification and cleansing of data based on the profiling results to improve the 500 accuracy of data by correcting errors and discrepancies; 501 5. Standardizing data by transforming inconsistent data into one common 502 representation by applying customized rules, parsing engines and 503 standardization schemes; transforming data fields using data transformation 504 libraries or user-written codes; 505 6. De-duplication of data to eliminate duplicate records by applying 506 customizable sophisticated fuzzy matching techniques; 507 7. Developing match criteria between several data sources without unique 508 identifiers using sophisticated customizable fuzzy matching algorithms and 509 incorporating multinational data phonetics; 510 8. Creating and implementing rules based consolidation of matched client 511 records to provide consistent information across data sources; 512 9. Enhancing data by verifying addresses and company names and geocoding all 513 addresses to add X-Y coordinates for mapping purposes and calculating 514 distances; 515 10. Creating seamless data quality and integration jobs through an interactive data 516 quality and integration development environment utilizing a graphical user 517 interface to automate the data integration process and design logical process 518 workflows; 519 11. Integrating all data sources prepared by the DQ&I solution into analytic data 520 tables to be used by predictive data mining models of the fraud platform; 521 12. Completing social network analysis data preparation; 522 13. Generating a common knowledge base and documentation for data access, 523 profiling, rules generation, data matching, consolidation and data integration 524 through a common metadata environment; and 525 14. Managing the metadata environment through a common management 526 interface. 527 DELIVERABLE 4.2 – DATA QUALITY AND INTEGRATION SOLUTION 528 Contractor shall work in conjunction with County staff to complete development 529 of the DQ&I solution based on the Design Specifications Document in 59 60DMS RFP – Appendix A 61Statement of Work (SOW) A-11 JULY 8, 2009
  17. 17. 62 530 accordance with Subtask 4.2 – Develop Data Quality and Integration Solution. 531 Contractor shall also provide to County's Project Manager a written report 532 documenting the results of the successfully developed DQ&I solution, which will 533 be available for User Acceptance Test (“UAT”), as specified in Subtask 5.2 – 534 Conduct User Acceptance Test. 535 SUBTASK 4.3 – DEVELOP PREDICTIVE DATA MINING MODELS 536 Contractor shall work in conjunction with County staff to develop Predictive Data 537 Mining Models (also "Predictive Models") based on the Design Specifications 538 Document, as agreed upon in Subtask 3.1 – Develop Design Specifications 539 Document and as required hereunder to meet the System Requirements. 540 Analytic Predictive Models shall include, but not be limited to: 541 • Predicting new child care fraud referrals for clients and providers based on 542 historical fraud patterns using data mining techniques; 543 • Identifying information anomalies related to child care clients and 544 providers based on internal and external data sources; and 545 • Identifying new fraud rings by assessing colluding relationships between 546 childcare clients and providers. 547 This task will involve the development of analytic models solution, which will 548 include the following activities: 549 1. Creating a development environment where Predictive Models will be 550 developed and built; 551 2. Developing and building Predictive Models using an easy-to-use graphical 552 user interface that utilizes an interactive process flow environment and 553 supports a complete documentation trail; 554 3. Accessing the analytic data tables to be used by the Predictive Models; 555 4. Exploring data sources using descriptive statistics with interactive plots; 556 5. Managing data tables interactively such as filtering outliers and merging 557 datasets; 558 6. Sampling and partitioning data for the development of Predictive Models; 559 7. Selecting and transforming variables for Predictive Models; 560 8. Inputting missing values for selected model variables; 561 9. Employing customized data preparation and transformation tasks; 562 10. Employing numerous advanced data mining algorithms for structured data to 563 build Predictive Models; 564 11. Comparing different predictive models using visual model assessment and 565 validation metrics where predictive results are displayed side-by-side for easy 566 comparison; 567 12. Determining model assessment and validation criteria for selecting optimal 568 models; 569 13. Selecting Predictive Models based on assessment and validation criteria; 63 64DMS RFP – Appendix A 65Statement of Work (SOW) A-12 JULY 8, 2009
  18. 18. 66 570 14. Generating scoring code for embedded deployment in the analytic data tables; 571 15. Managing the analytic environment through a common metadata environment; 572 16. Transforming data tables from the analytic data tables into a data structure 573 suitable for service network analysis; 574 17. Applying analytic methods for identifying high risk elements in the service 575 network of participants and providers; 576 18. Presenting service network structure in an interactive graphical user interface; 577 19. Developing text mining methods to incorporate unstructured text sources; 578 20. Developing forecasting and statistical analysis tools to predict fraud patterns 579 and trends; 580 21. Querying specific high risk participants and providers based on the outcomes 581 of the analytic models; and 582 22. Scoring analytic models and generates alerts on high risk participants and 583 providers. 584 DELIVERABLE 4.3 – PREDICTIVE DATA MINING MODELS 585 Contractor shall work in conjunction with County staff to complete development 586 of Predictive Data Mining Models in accordance with Subtask 4.3 – Develop 587 Predictive Data Mining Models. Contractor shall also provide to County's Project 588 Manager a written report documenting the results of the successfully Predictive 589 Data Mining Models, which will be available for the UAT, as specified in Subtask 590 5.2 – Conduct User Acceptance Test. 591 SUBTASK 4.4 – DEVELOP BASELINE INTERFACES 592 Contractor shall work in conjunction with County staff to develop end-user 593 Baseline Interfaces based on the Design Specifications Document, as agreed upon 594 in Subtask 3.1 – Develop Design Specifications Document and as required 595 hereunder to meet the System Requirements. 596 Development of the Baseline Interfaces will include the following activities: 597 1. Developing the web-based end user interface to surface the results of the fraud 598 analytics in various ways including: 599 h. Information portal, 600 i. Dashboards, 601 j. Scorecards, 602 k. Reporting interfaces, 603 l. OLAP cubes, 604 m. Data visualization interfaces, and 605 n. Network visualization interfaces; 606 2. Integrating a case management interface to organize and collect information 607 about fraud cases under investigation; and 608 3. Developing an Interface to keep the investigation history of all cases that can 609 be queried easily by end-users. 67 68DMS RFP – Appendix A 69Statement of Work (SOW) A-13 JULY 8, 2009
  19. 19. 70 610 DELIVERABLE 4.4 – BASELINE INTERFACES 611 Contractor shall work in conjunction with County staff to complete development 612 of end-user Baseline Interfaces in accordance with Subtask 4.4 – Develop 613 Baseline Interfaces. Contractor shall also provide to County's Project Manager a 614 written report documenting the results of the successfully development of the end- 615 user Baseline Interfaces, which will be available for the UAT, as specified in 616 Subtask 5.2 – Conduct User Acceptance Test. 617 SUBTASK 4.5 – DEPLOY FRAUD SOLUTION PLATFORM 618 Contractor shall work in conjunction with County staff to deploy the child care 619 fraud solution platform based on the Design Specifications Document, as agreed 620 upon in Subtask 3.1 – Develop Design Specifications Document and as required 621 hereunder to meet System Requirements. 622 Deployment of fraud solution platform will include the following activities: 623 1. Deployment of the fraud detection platform composed of all fraud solutions in 624 a Test Environment; 625 2. Configuration of the management of all Predictive Models using a model 626 management interface; 627 3. Configuration of System administration and access restrictions to analytic data 628 tables for various user groups; 629 4. Configuration of the work flow environments for various user groups; and 630 5. Presentation of alerts, risk scores, service networks and case details to end 631 users in an integrated graphical user interface; 632 6. System Access shall be provided on a 24 hours per day, 7 days per week, 633 365/366 days per year basis for the term of this Agreement. 634 DELIVERABLE 4.5 – DEPLOYED FRAUD SOLUTION PLATFORM 635 Contractor shall work in conjunction with County staff to successfully complete 636 deployment and configuration of the fraud solution platform in accordance with 637 Subtask 4.5 – Deploy Fraud Solution Platform. 638 TASK 5 – SYSTEM TESTING 639 This Task 5 – System Testing describes the System Tests to be conducted by Contractor, 640 including the System Integration Test (“SIT”) and the User Acceptance Test (“UAT”). 641 Each System Test shall be conducted at the conclusion of each major set of testing 642 activities. 643 Contractor shall perform the following Work relating to System Tests during this Task 5 644 – System Testing: 645 A. Creating a Test Environment to execute all stages of System testing, including the 646 SIT and the UAT; 71 72DMS RFP – Appendix A 73Statement of Work (SOW) A-14 JULY 8, 2009
  20. 20. 74 647 B. Developing test plans for System Tests (“Test Plan(s)”) and procedures for all stages 648 of System Testing, including System Integration Test and UAT, that ensures all 649 System Requirements and Specifications are being tested and verified; 650 C. Conducting the UAT to test all stages of System Implementation, evaluating results, 651 correcting problems and re-testing; and 652 D. Developing, maintaining and executing the System, as applicable, at all stages of 653 System Testing. 654 SUBTASK 5.1 – CONDUCT SYSTEM INTEGRATION TEST 655 System Integration Test ensures that all facets of the DMS work together as a 656 cohesive whole. At the conclusion of this Subtask 5.1 – Conduct System 657 Integration Test, Contractor shall have verified that the complete DMS operates in 658 compliance with the System Requirements and the Specifications. 659 Contractor shall designate a test group to perform all testing. This test group shall 660 include functional, operational, technical and training representatives, as needed, 661 and may include County staff, as approved by County's Project Director. 662 Contractor shall develop the Test Plan in accordance with Deliverable 5.1.1 – 663 System Integration Test Plan, which shall contain elements specific to the System 664 Integration Test, including: 665 1. Thorough testing of all DMS Components; 666 2. Thorough testing of all DMS Interfaces, both internal and external, including 667 host-to-host communications and end-user Baseline Interfaces; and 668 3. Verification of the correct generation of all errors messages, warnings or other 669 messages as designed. 670 Contractor shall ensure that all processing environments utilized for a given test 671 shall be restored to its original condition prior to the start of the given test, 672 including all System files and data that may be affected or changed during 673 execution of the test. Contractor shall complete the System Integration Test 674 performing the following tasks: 675 1. Performance and Load Testing – Contractor shall demonstrate that the DMS 676 can successfully meet the System Performance Requirements under full load 677 conditions. 678 2. Security Testing – Contractor shall demonstrate that the DMS can 679 successfully meet all County security requirements. 680 3. Business Continuity and Disaster Recovery testing – Contractor shall 681 demonstrate that the DMS can successfully continue to operate properly while 682 executing Business Continuity and Disaster Recovery testing, including the 683 effect on the DMS System Performance Requirements. 684 4. Data Interface Testing – Contractor shall demonstrate that all Interfaces are 685 working properly and adhere to the System Requirements and Specifications. 686 5. Cycle Testing – Contractor shall conduct cycle tests where each cycle 687 processing is dependent upon previous processing in the DMS flow. 75 76DMS RFP – Appendix A 77Statement of Work (SOW) A-15 JULY 8, 2009
  21. 21. 78 688 Contractor shall conduct cycle tests to simulate the DMS operation in 689 Production Use in accordance with the System Requirements and 690 Specifications. 691 6. Reports Testing – Contractor shall verify the correct layouts, format and 692 distribution of all DMS generated reports with supporting procedures. 693 7. End User Interfaces – Contractor shall demonstrate that end-user Baseline 694 Interface meet the System Requirements and the Specifications. 695 At the end of System Integration Test, Contractor shall prepare Deliverable 5.1.2 696 – System Integration Test Results, summarizing the activities, types of tests, and 697 test results. Deliverable 5.1.2 – System Integration Test Results shall include all 698 technical materials, documentation and DMS generated output as required by 699 County. Contractor shall present to County evidence that all Subtask 5.1 – 700 Conduct System Integration Test related requirements have been met. Contractor 701 shall prepare supporting documentation, conduct a review at a meeting with 702 County and provide any appropriate demonstration(s) of DMS capabilities, 703 including County participation in or observation of tests. 704 Contractor shall correct all Deficiencies prior to the start of Subtask 5.2 – Conduct 705 User Acceptance Test, provided that County’s Project Director has approved 706 Deliverable 5.1.2 – System Integration Test Results. 707 DELIVERABLE 5.1.1 – SYSTEM INTEGRATION TEST PLAN 708 Contractor shall provide a Test Plan for System Integration Test, which shall 709 include: 710 o. Test approach, identifying the progression of the System Integration Test; 711 p. Scheduling and resources; 712 q. Tools, environments and controls to be used during the System 713 Integration Test; 714 r. Entrance and exit criteria for System Integration Test; 715 s. Metrics to be used to evaluate System Integration Test results; 716 t. Name, description, objectives, intended audience and references of each 717 specific test, including automated regression test; 718 u. Traceability of System Integration Test procedures to requirement(s) 719 being tested; 720 v. Assumptions, issues and constraints; and 721 w. Instructions for conducting System Integration Test, including: 722 i. How to set up the test preconditions (e.g., 723 configure/initialize the test environment), 724 ii. How to perform the test steps, 725 iii. How to determine and document the actual test post- 726 conditions, 727 iv. How to compare the actual and expected results from 728 the test, and 729 v. How to report the results of the associated test. 79 80DMS RFP – Appendix A 81Statement of Work (SOW) A-16 JULY 8, 2009
  22. 22. 82 730 DELIVERABLE 5.1.2 – SYSTEM INTEGRATION TEST RESULTS 731 Contractor shall provide the System Integration Test Results summary report, 732 which summarizes all activities, types of tests and results of the System 733 Integration Test to allow County to assess the System Integration Test outcome, 734 as further specified in and in accordance with Subtask 5.1 – Conduct System 735 Integration Test. 736 This report shall include without limitation: 737 x. Summary of all tests conducted during System Integration Test; 738 y. Summary of results; 739 z. Summary of each Deficiency identified by Contractor or County, its 740 corrective action status, date of completion of each correction and date of 741 County's Project Director’s approval of each correction; and 742 aa. Justification for moving to the UAT. 743 County’s Project Director’s approval of this Deliverable 5.1.2 – System 744 Integration Test Results is required prior to Contractor proceeding to Subtask 5.2 745 – Conduct User Acceptance Test (UAT). 746 SUBTASK 5.2 – CONDUCT USER ACCEPTANCE TEST 747 Contractor and County shall perform the System testing specified in the PWP as a 748 User Acceptance Test and contained in this Subtask 5.2 – Conduct User 749 Acceptance Test (UAT), including testing of System validation functionality. 750 County's approval shall be required before a UAT is deemed complete. 751 County, with assistance from Contractor, will perform the UAT to verify that each 752 System Component functions according to the System Requirements and the 753 Specifications. 754 Upon completion of the UAT, County shall report any identified Deficiencies to 755 Contractor. Contractor shall correct any Deficiencies revealed during the UAT 756 and install corrections into the System. County shall verify that the corrected 757 System functionality performs in accordance with the System Requirements and 758 the Specifications. The UAT shall end when all Deficiencies have been resolved, 759 and County has documented successful completion of the UAT. 760 The UAT shall include without limitation the following activities: 761 1. Development of limited System documentation/completeness; 762 2. Ensuring user interaction/comprehension level; 763 3. Ensuring that accurate data is being captured; 764 4. Ensuring that optimal solutions for fraud detection are developed; and 765 5. Ensuring that security plan is operational. 766 The UAT is a major Project milestone during which County, with the assistance 767 of Contractor, comprehensively will test the DMS against the Specifications and 768 the System Requirements to determine if the DMS is ready for System 769 Implementation. 83 84DMS RFP – Appendix A 85Statement of Work (SOW) A-17 JULY 8, 2009
  23. 23. 86 770 Contractor shall provide a recommended UAT Test Plan to include: 771 1. A description of proposed tests to be conducted during the UAT; 772 2. A description of tools, environments and controls to be used during the UAT; 773 3. A proposed test schedule; 774 4. A description of Contractor and County roles, responsibilities and resources 775 needed to perform the UAT; 776 5. A proposed training plan and schedule for the UAT team; 777 6. A process for UAT problem reporting, tracking and resolution process; 778 7. A proposed approach for the correction of any Deficiencies identified by 779 Contractor or County during the UAT; and 780 8. Execution of the Business Continuity and Disaster Recovery Plan. 781 Contractor shall provide the above to County under Deliverable 5.2.1 – User 782 Acceptance Test Plan. 783 Contractor shall provide tools, environment and controls to be used during the 784 UAT. Contractor shall assist County in developing the UAT Test Plan to be 785 prepared by County. 786 During the UAT, Contractor shall provide support to County, including 787 configuration of the Test Environment, training on testing tools or processes for 788 County UAT team, management of test results and performance of any corrective 789 actions in the case of identified Deficiencies by Contractor or County. Contractor 790 shall be responsible for installing any special software and/or making any other 791 needed changes to ensure the DMS is ready for the UAT. Contractor shall provide 792 any necessary tools to simulate DMS performance under operational conditions. 793 County will record all UAT results, and Contractor shall prepare the reports that 794 include a record of all successes, failures, and corrective actions taken by 795 Contractor. 796 Contractor shall provide Deliverable 5.2.2 – User Acceptance Test Status Reports, 797 which summarizes all aspects of the UAT performed during that week, including 798 any Deficiencies identified by Contractor or County, those corrected and still 799 outstanding. Reports shall be due every Tuesday for the entire period of the UAT. 800 Contractor shall document the review and acceptance of test materials, activities 801 and results at weekly meetings with County. 802 County will notify Contractor of any Deficiencies identified by County during the 803 UAT. For each Deficiency identified by Contractor or County, Contractor shall 804 provide a corrective action plan, which shall include: 805 1. Description of each Deficiency and its root cause; 806 2. Business processes, DMS functions and/or Interfaces impacted; 807 3. Description of all potential risks to the DMS, including System 808 Implementation and mitigation strategy for the DMS; 809 4. Corrective action plan, test scenarios and implementation approach; 87 88DMS RFP – Appendix A 89Statement of Work (SOW) A-18 JULY 8, 2009
  24. 24. 90 810 5. Schedule for completion of each corrective action and resources required or 811 assigned; 812 6. Status of each corrective action; and 813 7. Approval procedures that require County's Project Director’s approval of each 814 correction. 815 Contractor shall schedule and participate in a meeting with County to review the 816 results of the UAT and determine whether Contractor has met all County 817 requirements for DMS design and development, including the System 818 Requirements and the Specifications. UAT shall include execution of the 819 Business Continuity and Disaster Recovery Plan. 820 Contractor shall provide Deliverable 5.2.3 – User Acceptance Test Certification to 821 County certifying that all known Deficiencies identified by Contractor or County 822 have been corrected by Contractor, and that all corrections have been approved by 823 County’s Project Director. County’s Project Director’s approval of Deliverable 824 5.2.3 – User Acceptance Test Certification will indicate the completion of 825 Subtask 5.2 – Conduct User Acceptance Test. 826 DELIVERABLE 5.2.1 – USER ACCEPTANCE TEST PLAN 827 Contractor shall provide a recommended UAT Test Plan in accordance with 828 Subtask 5.2 – Conduct User Acceptance Test, which shall include: 829 bb. Description of proposed tests to be conducted during the UAT; 830 cc. Tools, environments and controls to be used during the UAT; 831 dd. Proposed test schedule; 832 ee. Contractor roles, responsibilities and resources in performing the UAT; 833 ff. Training plan and schedule for the UAT team; 834 gg. Deficiency reporting, tracking and correction process; and 835 hh. Approach to correcting Deficiencies identified during the UAT. 836 DELIVERABLE 5.2.2 – USER ACCEPTANCE TEST STATUS REPORTS 837 Contractor shall provide User Acceptance Test weekly Status Reports throughout 838 the UAT period in accordance with Subtask 5.2 – Conduct User Acceptance Test. 839 Each such Status Report shall include: 840 ii. Summary of all tests conducted during the UAT; 841 jj. Summary of test results; 842 kk. Summary of each Deficiency identified by Contractor or County, including 843 for each such Deficiency: 844 i. Description of each Deficiency and its root cause, 845 ii. Business processes, DMS functions and/or Interfaces 846 impacted, 847 iii. Description of all potential risks to the DMS or System 848 Implementation and mitigation strategy for the DMS, 849 iv. Corrective action plan, test scenarios and implementation 850 approach, 91 92DMS RFP – Appendix A 93Statement of Work (SOW) A-19 JULY 8, 2009
  25. 25. 94 851 v. Schedule for completion of each corrective action and 852 resources required/assigned, 853 vi. Status of each corrective action, 854 vii. Date of completion of each correction, and 855 viii. Date of County’s Project Director’s approval of each 856 correction; and 857 ll. Documentation of the review of the previous week’s report with County, 858 including agenda, attendees, action items and supporting documentation. 859 DELIVERABLE 5.2.3 – USER ACCEPTANCE TEST CERTIFICATION 860 Contractor shall provide in accordance with Subtask 5.2 – Conduct User 861 Acceptance Test a User Acceptance Test Certification of successful completion to 862 County within ten (10) days after successful completion of the UAT, certifying 863 that (i) all requirements traceability to all tests and test results have been verified, 864 (ii) all Deficiencies identified by Contractor or County have been corrected by 865 Contractor (iii) all corrections have been approved by County's Project Director, 866 (iv) test results of the Business Continuity and Disaster Recovery Plan, and (v) all 867 other UAT–related activities have been completed. 868 Contractor shall also summarize all actions taken during UAT to correct each 869 Deficiency identified by Contractor or County. The summary shall include for 870 each Deficiency: 871 mm.Description of each Deficiency and its root cause; 872 nn. Business processes, DMS functions and/or Interfaces impacted; 873 oo. Description of all potential risks to the DMS, System Implementation, and 874 mitigation strategy for the DMS; 875 pp. Corrective action plan, test scenarios and implementation approach; 876 qq. Schedule for completion of each corrective action and resources 877 required/assigned; 878 rr. Status of each corrective action; 879 ss. Date of completion of each correction; and 880 tt. Date of County's Project Director’s approval of each correction. 881 County Project Director’s approval of this Deliverable 5.2.3 – User Acceptance 882 Test Certification shall indicate the completion of Subtask 5.2 – Conduct User 883 Acceptance Test. 884 TASK 6 – FINAL ACCEPTANCE 885 SUBTASK 6.1 – TRANSITION TO PRODUCTION ENVIRONMENT 886 Following the completion of the UAT and County’s approval that the System 887 meets the System Requirements and the Specifications, Contractor shall transition 888 the System to the Production Environment by performing any tasks under Task 3 889 – System Setup, Task 4 – Implement System Software and Task 5 – System 890 Testing, as applicable, in the Production Environment. 95 96DMS RFP – Appendix A 97Statement of Work (SOW) A-20 JULY 8, 2009
  26. 26. 98 891 DELIVERABLE 6.1 – SYSTEM PRODUCTION USE 892 The System shall achieve Go-Live and be ready for Production Use when 893 Contractor provides to County, and County approves, documented results 894 certifying that the System was successfully transition to the Production 895 Environment pursuant to Subtask 6.1 – Transition to Production Environment. 896 SUBTASK 6.2 – CONDUCT PERFORMANCE VERIFICATION 897 Following successful transitioning of the System to the Production Environment, 898 County will monitor for Deficiencies and Contractor shall maintain the System in 899 Production Use for a minimum of ninety (90) days. Upon occurrence of a 900 Deficiency, Contractor shall correct such Deficiencies by re-performance 901 pursuant to, and subject to the provisions of the body of the Agreement. The 902 System shall achieve Final Acceptance if and when all Deficiencies identified 903 during the ninety (90) day period have been corrected, even if the last correction 904 occurs after such ninety (90) day period. 905 Commencing with Final Acceptance and continuing through the Warranty Period, 906 any problems encountered by County in the use of the System shall be subject to 907 the applicable System Maintenance terms under the Agreement. 908 DELIVERABLE 6.2.1 – PERFORMANCE VERIFICATION REPORT 909 Contractor shall provide to County the Performance Verification report, including 910 supporting Documentation that the DMS complies with the System Requirements 911 and the Specifications, including all System Performance Requirements, under 912 full production load. Contractor shall conduct a review of Deliverable 6.2.1 – 913 Performance Verification Report with County at a meeting scheduled by County 914 and provide any County-requested demonstrations of the DMS including: 915 uu. Summary of activities, results and outcomes; 916 vv. Summary of each Deficiency identified by Contractor or County. The 917 summary shall include for each Deficiency: 918 i. Description of each Deficiency and its root cause, 919 ii. Business processes, DMS functions and/or Interfaces 920 impacted, 921 iii. Description of all potential risks to the DMS and mitigation 922 strategy for the DMS, 923 iv. Corrective action plan, test scenarios and implementation 924 approach, 925 v. Schedule for completion of each corrective action and 926 resources required or assigned, 927 vi. Status of each corrective action, 928 vii. Date of completion of each correction, and 929 viii. Date of County's Project Director’s approval of each 930 correction; 931 ww. Summary of lessons learned; and 932 xx. Recommendations for any improvements to the DMS. 99 100DMS RFP – Appendix A 101Statement of Work (SOW) A-21 JULY 8, 2009
  27. 27. 102 933 DELIVERABLE 6.2.2 – FINAL ACCEPTANCE 934 The System shall achieve Final Acceptance and shall be ready for Production Use 935 by County in the Production Environment upon County's acceptance that all 936 Deficiencies discovered during the ninety (90) day period have been corrected, 937 even if such correction occurred beyond ninety (90) day period. Contractor shall 938 provide the Certification of Performance Verification and Final Acceptance, 939 certifying that the DMS complies with the System Requirements and the 940 Specifications and documenting the review with County under Deliverable 6.2.1 – 941 Performance Verification Report, including agenda, attendees, action items and 942 supporting documentation. 943 TASK 7 – TRAINING 944 SUBTASK 7.1 – PROVIDE TRAINING 945 Contractor shall prepare and implement a comprehensive System Training 946 program, including any necessary training materials. The training program shall 947 include training courses addressing project team training, end-user training and 948 train-the-trainers for County’s project team, end-users and trainers. 949 As part of System Training, Contractor shall provide the designated County 950 groups with extensive working knowledge of the System Software capabilities, as 951 well as training in the administration of the System Software. Training materials 952 will only be provided to those County personnel attending the Training sessions. 953 County staff shall be responsible for system administration and on-going training 954 to support the System. At the end of training, County’s technical staff shall be 955 able to do the following: 956 1. Understand the System and services methodology; 957 2. Configure the System; 958 3. Operate the System; 959 4. Manage the metadata environment; 960 5. Develop and run data quality solutions – profiling / transforming / matching / 961 standardizing / unduplicating / geocoding data sources; 962 6. Perform data integration tasks — ETL; 963 7. Run and evaluate Predictive Data Mining Models; 964 8. Run and evaluate service network analysis; 965 9. Manage data mining models; 966 10. Create and modify reports; 967 11. Modify end-user and other Baseline Interfaces; and 968 12. Administer the System, including setting up user security access profiles. 969 DELIVERABLE 7.1 – TRAINED COUNTY STAFF 970 For the purpose of conducting System Training, Contractor shall develop a 971 detailed plan for training of County staff on the use of the System. Contractor 103 104DMS RFP – Appendix A 105Statement of Work (SOW) A-22 JULY 8, 2009
  28. 28. 106 972 shall deliver training classes and training materials consistent with the classes 973 described in County-approved plan and certify in writing that all System Training 974 as described in Subtask 7.1 – Provide Training has been successfully completed. 975 TASK 8 – SYSTEM DOCUMENTATION 976 SUBTASK 8.1 – PROVIDE SYSTEM DOCUMENTATION 977 Contractor shall prepare and provide County with System and user reference 978 Documentation for the fraud solution platform and solutions utilizing the data 979 mining procedures provided by Contractor under this Agreement. This 980 Documentation shall provide County staff with a comprehensive reference source 981 of System functionality, fraud solution components and all System Maintenance 982 activities listed in Task 9 – System Maintenance. 983 DELIVERABLE 8.1 – SYSTEM DOCUMENTATION 984 Contractor shall provide County with Knowledge Transfer Documentation in 985 accordance with Subtask 8.1 – Provide System Documentation. Contractor shall 986 deliver this Documentation in an electronic format as required by County. 987 TASK 9 – SYSTEM MAINTENANCE 988 SUBTASK 9.1 – PROVIDE SYSTEM MAINTENANCE PLAN 989 Contractor shall work in conjunction with County staff to develop a plan for 990 System Maintenance, including Maintenance Services and Support Services 991 ("System Maintenance Plan"), covering ongoing operations, maintenance, support 992 and administration of the System in accordance with Exhibit D (System 993 Maintenance) to the Agreement. The System Maintenance Plan shall address, at a 994 minimum, the following: 995 1. Backup - The analytic data and metadata environments should be backed up 996 according to the post-deployment plan document; 997 2. Monitoring the fraud prevention platform environment; including job 998 schedules, growth, back-up, restore, and user registration and utilization; 999 acting as appropriate to maintain a stable, functioning environment for the 1000 fraud solution platform; 1001 3. Measuring, managing and improving data quality; 1002 4. Maintaining the analytic data tables; 1003 5. Managing Predictive Model effectiveness by monitoring and assessing the 1004 performance of developed models in order to make adjustments continuously 1005 in response to changing behavior of parties committing fraud, or as a result of 1006 the availability of new information; 1007 6. Providing a Disaster Recovery Plan, Business Continuity Plan and a back-up 1008 site at a mutually agreed upon location that is in a different location than the 1009 deployed fraud platform; 1010 7. Providing Change Management Plan; 107 108DMS RFP – Appendix A 109Statement of Work (SOW) A-23 JULY 8, 2009
  29. 29. 110 1011 8. Providing Performance Management Plan; and 1012 9. Providing Project reporting plan, including schedule and structure of monthly 1013 status meetings and reports. 1014 DELIVERABLE 9.1 – SYSTEM MAINTENANCE PLAN 1015 Contractor shall prepare and provide a System Maintenance plan that will address 1016 the specific Maintenance Services and Support Services requirements of the DMS 1017 in accordance with and relating to all items listed in Subtask 9.1 – Provide System 1018 Maintenance Plan, including but not limited to monitoring, maintaining and 1019 managing and backing-up the fraud platform environment. 1020 SUBTASK 9.2 – PROVIDE SYSTEM MAINTENANCE 1021 Contractor shall provide System Maintenance, which shall include all goods and 1022 services necessary to manage, operate and support the DMS to comply with the 1023 System Requirements and Specifications and shall be provided during Support 1024 Hours for the term of the Agreement, as further specified in Exhibit D (System 1025 Maintenance). System Maintenance shall include Maintenance Services, 1026 consisting of Updates, as well as Support Services, which include, but are not 1027 limited to, help-desk support during Support Hours (“Help Desk”), as requested 1028 or required by County. 1029 The System Maintenance services shall include, without limitation: 1030 1. Support for all System Hardware necessary for the DMS; 1031 2. Support of security and network activity and maintenance of Web Services; 1032 3. Support for all System Software issues/problems; 1033 4. Support for all System Software upgrades, updates, new releases, etc; 1034 5. Support for all System Software fixes, patches, etc.; and 1035 6. Access to knowledgeable Contractor personnel (i.e., Help Desk) who can 1036 answer questions on the use of the System or provide analysis on solutions to 1037 operational problems, which County may encounter during Support Hours. 1038 DELIVERABLE 9.2 – SYSTEM MAINTENANCE 1039 Contractor shall provide System Maintenance in accordance with the terms of 1040 Subtask 9.2 – Provide System Maintenance, Exhibit D (System Maintenance) and 1041 the Base Agreement, which shall include, but not be limited to: 1042 1. Providing and maintaining System Hardware, as appropriate; 1043 2. Monitoring of security and network activity, and maintenance of Web 1044 Services; 1045 3. Providing and maintaining System Software, as appropriate; 1046 4. Providing System Software Updates, as appropriate; and 1047 5. Responding to Support Services requests made by County. 111 112DMS RFP – Appendix A 113Statement of Work (SOW) A-24 JULY 8, 2009
  30. 30. 114 1048 SUBTASK 9.3 – PROVIDE DMS TRANSITION 1049 At least thirty (30) days prior to, and upon, expiration or termination of the 1050 Agreement, and at any other times as set forth in the Agreement, Contractor shall 1051 provide to County all Source Code, object code, Updates and Documentation 1052 relating to the Application Software in a hard copy format, electronically and on 1053 read-only medium, as specified by County to assist County in transitioning the 1054 DMS to another system. Further, Contractor shall be responsible for the 1055 following transition tasks: 1056 1. Preparation of a DMS transition plan (“Transition Plan”), which shall provide 1057 for a smooth transition or transfer of the DMS, System Data and the DMS 1058 repository from Contractor’s environment to the new environment of County 1059 or County-selected vendor; 1060 2. Identification of resource requirements needed to transition, host and operate 1061 the DMS at County or County-selected vendor data center(s); 1062 3. Identification of transition team roles and responsibilities; 1063 4. Proposed timeline for completion of transition activities; 1064 5. Training plan and training of County-specified persons for the transition of the 1065 DMS and System Data; and 1066 6. Submission of the Transition Plan to County for approval. 1067 Contractor shall provide an initial draft of Deliverable 9.3.1 – DMS Transition 1068 Plan within thirty (30) days of completing Deliverable 6.2.2 – Final Acceptance. 1069 Contractor shall maintain and update the Transition Plan annually for County's 1070 Project Director’s approval and be able to provide an updated copy within thirty 1071 (30) days of County request. Contractor shall keep the most current version of 1072 Deliverable 9.3.1 – DMS Transition Plan in the DMS repository throughout the 1073 term of the Agreement. 1074 All work for the DMS transition shall be provided by Contractor at no additional 1075 cost beyond the Maintenance Fees. 1076 DELIVERABLE 9.3.1 – DMS TRANSITION PLAN 1077 Contractor shall provide the DMS Transition Plan in accordance with Subtask 9.3 1078 – Provide DMS Transition, which shall include: 1079 yy. Procedures and processes, which shall provide for a smooth transition or 1080 transfer of the DMS, System Data and the DMS repository from 1081 Contractor’s environment to the new environment of County or County- 1082 selected vendor; 1083 zz. Identification of resource requirements needed to transition, host and 1084 operate the DMS at County or County-selected vendor data center(s); 1085 aaa. Identification of transition team roles and responsibilities; 1086 bbb.Proposed timeline for completion of transition activities; 1087 ccc. Training plan and training of County-specified persons for the transition 1088 of the DMS and System Data; and 115 116DMS RFP – Appendix A 117Statement of Work (SOW) A-25 JULY 8, 2009
  31. 31. 118 1089 ddd.Information and supporting documentation, as required by County, 1090 related to volumes, file sizes and growth trends. 1091 DELIVERABLE 9.3.2 – DMS TRANSITION SUPPORT 1092 Prior to the expiration or termination of the Agreement, Contractor shall provide 1093 training and other support to County and County-selected vendor to transition the 1094 DMS in accordance with the Transition Plan in accordance with Subtask 9.3 – 1095 Provide DMS Transition. 1096 Contractor shall certify to County that all activities described in Deliverable 9.3.1 1097 – DMS Transition Plan, as updated and approved by County through the term of 1098 the Agreement, have been successfully completed. 1099 TASK 10 – OPTIONAL WORK 1100 SUBTASK 10.1 – PROVIDE SOFTWARE ENHANCEMENTS 1101 Following Performance Verification and Final Acceptance, County may from 1102 time to time, during the term of this Agreement, submit to Contractor for 1103 Contractor’s review written requests for Software Enhancements using Pool 1104 Dollars, including Customizations and/or Additional Software, for System 1105 enhancements not reflected in the System Requirements, including, but not 1106 limited to, addition, deletion or modification of the Application Software 1107 functions, Customizations, changes to current System outputs, new and modified 1108 reports, new screens and Additional Interfaces. In response to County’s request, 1109 Contractor shall submit to County for approval a System Design Report ("SDR") 1110 describing the particular Software Enhancements and a not-to-exceed Maximum 1111 Fixed Price to provide such Software Enhancements, calculated based on the 1112 Fixed Hourly Rate and other pricing terms set forth in the Schedule of Payments 1113 and elsewhere in the Agreement. County and Contractor shall agree on the 1114 Change Order developed using the SDR, which shall at a minimum include the 1115 tasks and deliverables to be performed, System Tests and warranty provisions, as 1116 applicable, and the Maximum Fixed Price for such Software Enhancements. 1117 Any enhancements and/or modifications to System Requirements resulting from 1118 Software Enhancements shall be incorporated into, and become part of, the 1119 System Requirements. All Software Enhancements, once completed, shall 1120 become part of the System and shall not increase the Maintenance Fees allocated 1121 for the term of the Agreement. 1122 DELIVERABLE 10.1 – SOFTWARE ENHANCEMENTS 1123 Upon County's request for, and Contractor's agreement to provide, Software 1124 Enhancements, Contractor shall complete, test and install all Software 1125 Enhancements in accordance with Subtask 10.1 – Provide Software 1126 Enhancements and certify in writing that Software Enhancements meet the 1127 requirements of the applicable Change Order, including any required System 1128 Tests and System Requirements. 119 120DMS RFP – Appendix A 121Statement of Work (SOW) A-26 JULY 8, 2009
  32. 32. 122 1129 SUBTASK 10.2 – PROVIDE PROFESSIONAL SERVICES 1130 County may from time to time, during the term of this Agreement, submit to 1131 Contractor for Contractor’s review written requests for Professional Services 1132 using Pool Dollars, including Consulting Services and/or Additional Training, for 1133 services not included in System Implementation. In response to County’s request, 1134 Contractor shall submit to County for approval a System Design Report ("SDR") 1135 describing the particular Professional Services and a not-to-exceed Maximum 1136 Fixed Price to provide such Professional Services, calculated based on the Fixed 1137 Hourly Rate and other pricing terms set forth in the Schedule of Payments and 1138 elsewhere in the Agreement. County and Contractor shall agree on the Change 1139 Order developed using the SDR, which shall at a minimum include the tasks and 1140 deliverables to be performed, System Tests, standard of services and warranty 1141 provisions, as applicable, and the Maximum Fixed Price for such Professional 1142 Services. 1143 Any enhancements and/or modifications to System Requirements resulting from 1144 Professional Services shall be incorporated into, and become part of, the System 1145 Requirements. Any products of Professional Services, once completed, shall 1146 become part of the System and shall not increase the Maintenance Fees allocated 1147 for the term of the Agreement. 1148 DELIVERABLE 10.2 – PROFESSIONAL SERVICES 1149 Upon County's request for, and Contractor's agreement to provide, Professional 1150 Services, Contractor shall complete provide Professional Services in accordance 1151 with Subtask 10.2 – Provide Professional Services and certify in writing that the 1152 Professional Services meet the requirements of the applicable Change Order. 123 124DMS RFP – Appendix A 125Statement of Work (SOW) A-27 JULY 8, 2009

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