STATE OF FLORIDA
OFFICE OF FINANCIAL REGULATION
ATTACHMENT - B
Statement of Work
Check Cashing Database IT System Implementation
Florida Office of Financial Regulation
Check Cashing Database Implementation
Table of Contents
1
2
3
4
5
Overview ..................................................................................................................................... 3
1.1
Background .......................................................................................................................... 3
1.2
Overview of Current Environment ....................................................................................... 4
1.2.1
Current State Environment ........................................................................................... 4
1.3
Overview of Future Environment ......................................................................................... 7
1.3.1
Service Delivery Model................................................................................................ 7
1.3.2
CCDB Architecture ...................................................................................................... 7
1.3.3
CCDB Deployment Options ......................................................................................... 9
Definitions and Acronyms ......................................................................................................... 12
Scope of Work ........................................................................................................................... 15
3.1
In Scope .............................................................................................................................. 15
3.1.1
Project Phases: System Development Life Cycle....................................................... 17
3.2
Out of Scope ....................................................................................................................... 33
3.3
Requirements ...................................................................................................................... 33
3.3.1
Regulatory Requirements ........................................................................................... 33
3.3.2
Functional Requirements ............................................................................................ 34
3.3.3
Technical Requirements ............................................................................................. 34
3.4
Special Office Requirements or Constraints ...................................................................... 34
3.5
Standards and Specifications .............................................................................................. 34
Deliverables and Schedule......................................................................................................... 35
4.1
Deliverables ........................................................................................................................ 35
4.2
Deliverables Format ........................................................................................................... 42
4.3
Project Schedule ................................................................................................................. 42
4.4
Inspection and Acceptance ................................................................................................. 43
Responsibilities and Staffing ..................................................................................................... 43
5.1
Contractor Responsibilities ................................................................................................ 43
5.2
DIS Responsibilities ........................................................................................................... 43
5.3
OFR Responsibilities.......................................................................................................... 43
5.4
Location of Work ............................................................................................................... 44
5.5
Project Staffing ................................................................................................................... 44
5.5.1
Contractor Project Staffing ......................................................................................... 44
5.5.2
Office Project Staffing................................................................................................ 44
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1
Overview
The Florida Office of Financial Regulation (OFR or Office) is issuing this Statement of Work (SOW)
to define the scope and requirements to procure implementation services for a new real time, on-line
Check Cashing Database (CCDB). This SOW will enable the Office to comply with legislation
which requires the issuance of a competitive solicitation to secure technology services related to the
development and maintenance of a Check Cashing Database.
This Scope of Work is to be read in conjunction with the proposed Contract (see Attachment A) and
the Invitation to Negotiate, and not to the exclusion of any terms articulated in the proposed Contract,
Invitation to Negotiate, and not within this Scope of Work.
1.1 Background
The Florida Legislature passed House Bill 217 during the 2013 Session which amended Section
560.310, F.S. to include additional requirements for money services business licensees concerning
use of a centralized database in which pertinent information regarding check cashing transactions will
be captured. The database would be used by regulators (e.g., Department of Financial Services,
Division of Workers Compensation) and law enforcement agencies (e.g., Department of Financial
Services, Division of Insurance Fraud) to target and identify persons involved in workers’
compensation insurance premium fraud and other illicit activities. House Bill 217 also mandated the
Office to issue a competitive solicitation as provided in s. 287.057 for a statewide, real time, on-line
check cashing database to combat fraudulent check cashing activity. The expected outcome for this
database is to improve the flow of information regarding commercial/third-party checks between
check cashers, Office of Financial Regulations, Division of Workers Compensation, and Division of
Insurance Fraud.
The following two reference documents will provide additional context to the purpose of this
proposed project:
1. Chapter 2013-139 – HB No. 217: http://laws.flrules.org/2013/139
2. Money Service Business Workers’ Comp Fraud Work Group:
http://www.myfloridacfo.com/sitepages/agency/sections/moneyservicebusiness.aspx
In order to comply with the above law, the Office initiated a project titled “Check Cashing Database”
project. The CCDB project has been divided into two phases.
 Phase I – Requirements Definition and Procurement Support: The Office initiated a
“Requirements Definition and Procurement Support” phase to define the requirements for the
on-line CCDB system and to issue a competitive solicitation to secure the services of an
implementation vendor to implement the on-line CCDB solution. This effort was needed to
support the Office in complying with legislation which requires the issuance of a competitive
solicitation to secure technology services related to the development and maintenance of a
check cashing database.
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
Phase II – Implementation: The implementation phase of the project will begin after awarding
a contract to the implementing vendor. Upon a determination of the cost of implementing and
maintaining the CCDB, it may be necessary for the Office to request additional appropriation
from the Legislature before proceeding with the development of the CCDB system.
Phase II - Implementation is the focus of this SOW. Phase I has already been completed.
1.2 Overview of Current Environment
The Office’s current environment primarily consists of a fully integrated Regulatory Enforcement and
Licensing System (REAL). The Office deployed REAL in 2008 and utilizes the REAL System to
manage licensing and enforcement activities for entities under Chapter 560, F.S. The proposed
project may create a new application (i.e., CCDB) that may possibly be integrated into the Office’s
REAL architecture. For Contractors that are proposing the option of hosting the CCDB within / as an
extension of REAL, the Office is providing the following information on the REAL System and its
architecture.
1.2.1 Current State Environment
1.2.1.1
REAL System Overview
The REAL system consists of the following major components:


Versa Regulation: Versa Regulation is commercial off-the-shelf software owned by Iron
Data Solution, LLC. The Office is currently under a software maintenance and support
agreement with this vendor. It performs license and enforcement tracking for the
enterprise and is the main system of record. It is a Java based application running on the
Jboss platform with Oracle 10g as its data store. Its User Interface is 508 compliant and
completely browser based. In addition to interactive processing there are two major
components of the product:

DataMart – This Business Intelligence tool provides adhoc reporting capabilities from
the Versa Regulation application on a near real time basis. It is a separate database
that is populated through triggers and updates from the main Versa Regulation
application.

Batch Scheduler – This component of Versa Regulation provides scheduled event
handling. The primary functions of the Versa Regulation Batch Scheduler are letter
processing, scheduled license batch processing, scheduled report generation and
interface batch processing. It is a powerful batch scheduler that can be used beyond
Versa Regulation for any scheduled functions.
Online Portal: The REAL System online portal is a custom developed component which
provides self service processing to the general public and licensees. It was developed in
C# using a .NET architecture framework. The portal uses an Oracle 10g database strictly
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for user and application management. Its primary business functions are handled through
web services calls to an application programming interface (API) are exposed by the Versa
Regulation system. The Office owns all custom code associated with the portal. Web
Services are owned by Iron Data and covered under the software maintenance and support
agreement.

FileNet: The FileNet application provides scanning, imaging, document management and
record retention capabilities to the enterprise. Documents related to license application or
license enforcement are managed by the FileNet component. Electronic documents are
scanned and indexed in the FileNet database and referenced to their related license
records. Versa Regulation and the Online Portal utilize symbolic links to these physical
documents to provide access to them through their respective interfaces.

Payment Authorization Vendor: This vendor provides online payment functions for the
self service channel. The Online Portal uses the vendor’s common gateway to request
credit card validation and processing.

Active Directory: The Active Directory structure is utilized to provide single sign on
functionality for the Versa Regulation package. Versa Regulation utilizes custom built
APIs to access the users Active Directory information and map it to Versa Regulation
security structure.
The REAL System provides the following functionality to the Office:
 On-Line application filing
 On-Line complaint filing
 On-Line compliance filings (renewals, quarterly reports, amendments)
 On-Line Public Searches for legal orders, licensed entities, etc
 Case Management for Examinations, Complaints, Investigations, Legal, and Public
Records Requests
 License processing for applications, renewals, amendments
 Tracking and accounting for fees received related to licenses, fines and examinations
 Workflow functionality, i.e. assignment of work based on pre-defined business rules and
advancement of work based on case or license processing activities
 Imaging and electronic storage of related documents
 Ad-Hoc Reports
 Interfacing with Department of Financial Services systems, Payment Authorization
Vendor, Florida Department of Law Enforcement, and Veritec (Deferred Presentment
Provider)
 Integration with the Nationwide Mortgage Licensing System (NMLS)
The REAL system hardware infrastructure is currently housed in the Fletcher Building Data
Center in Tallahassee, Florida and is operated under the management of the DFS-DIS.
Application support for the REAL system is provided under an operations and maintenance
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contract with an external support provider located in Tallahassee, Florida. The Office oversees
all activities and functions of the external support provider.
1.2.1.2 REAL System Architecture
This section provides a high level overview of the system architecture, application architecture,
physical infrastructure and hardware specifications of the Regulatory Enforcement and Licensing
(REAL) System. The REAL architecture is shown in Figure 1, below.
Figure 1: Overview of the system components comprising REAL System.
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The REAL Architecture describes the applications and technology architecture of the REAL
System. It also describes surrounding architecture components that support business operations,
including task management and reporting.
The end state REAL solution has the following technology characteristics:
 Self-service and State Portals implemented using C# and .NET framework technology and
Oracle databases.
 The core Versa Regulation application, where the functionality, business rules and data
associated with client applications is located.
 A reporting architecture provided using SQL Reporting Services and Versa Regulation
DataMart.
 A batch architecture provided using the existing Versa Regulation batch architecture.
 A scanning and electronic document management system utilizing shared storage for imaged
documentation.
1.3 Overview of Future Environment
1.3.1 Service Delivery Model
The Office’s service delivery model as applicable to the CCDB is as follows:
Florida Legislature
Office of Financial
Regulation
Laws
Rules
Funding
Monitoring
CCDB
Check Cashers
Monitoring
Transaction
Processing
Transaction
Reporting
Licensing
Validation
Examinations
Alerts
Records
Management
Investigations
Reports
Compliance
Assistance
Logging
Consumers
Transactions
Figure 2 – Service Delivery Model
1.3.2 CCDB Architecture
The following diagram (see Figure 3 – CCDB Functionality) depicts the functionality of the CCDB
system for the Licensees and the OFR.
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OFR
CCDB - OFR
Transaction History
Data Analytics & Alerts
Single Payment
Instrument
Compliance Reporting
Multiple Payment
Instruments
Dashboards
System Interfaces
FL Department of State
FL DFS Division of
Workers Compensation
Search
FL Regulatory
Enforcement and
Licensing System
(REAL)
Reports
Interface Configuration
Aggregate Transaction
Access Management
CCDB - Licensee
Access Management
Transaction
Management
Manage Administrator
Single Payment
Licensee
Instrument
Multiple Payment
Instruments
Aggregate Transaction
System Interface
CCDB Web Service
Account
Manage Supervisor
Accounts
Interface Configuration
Manage User Accounts
Submission
Information Services
Amend
Search
Void
Reports
Figure 3 – CCDB Functionality
The core functionality of the CCDB system from an OFR user perspective is:
 The ability to view transaction history for transactions and aggregate transactions.
 The ability to perform advanced data searches and retrieve transaction information (e.g.
across licensees or payees, or timeline).
 The ability to generate and view pre-configured (i.e. canned) reports for viewing
transactions and for compliance reporting.
 The ability to generate and view a dashboard with synthesized data.
 The ability to perform OFR related user administration activities.
 The ability to execute advanced data analytics and provide system generated alerts based
on user configured parameters (e.g. unusual transaction volume for a check cashing
location, such as, 200% increase in volume in a month, or unusual amount in a single
transaction, such as over $200,000).
 An interface with the Florida Office of Financial Regulation REAL system to validate if
the Licensee has an active license and to update and keep current the status of a license.
 An interface with the Florida Department of Financial Services, Division of Workers
Compensation, to compare the running total of dollar amounts paid to each corporation to
the total amount of payroll reported on the Workers Compensation insurance application.
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


An interface with the Florida Department of Financial Services, Division of Workers
Compensation to validate if the Payee has a current workers compensation insurance
policy or an exemption certificate (as applicable).
An interface with the Florida Department of State to validate if the Payee is registered as a
business with the Department of State and if the Articles of Incorporation are filed.
The ability to meet record retention requirements of the Office.
The core functionality of the CCDB system from a Licensee user perspective is:
 The ability to submit, amend, and void transactions and aggregate transactions through a
web portal.
 The ability to perform data searches and retrieve transaction information.
 The ability to generate and view pre-configured (i.e. canned) reports for viewing
transactions.
 The ability to perform Licensee related user administration activities.
 The ability to submit, amend, and void transactions and aggregate transactions through a
web service (i.e. a system interface between the Licensee Point of Sale device and the
CCDB system).
1.3.3 CCDB Deployment Options
The Office identified three deployment (i.e. hosting) options to be considered by prospective bidders
for the CCDB. Contractors may present proposals for one of the three options, or for more than one
option. The Office will evaluate each proposed hosting option as a part of the procurement process.
Option 1: Host CCDB within OFR (outside REAL)
Option 2: Host CCDB within / as an extension of REAL
Option 3: Host CCDB outside OFR (and REAL)
The Office provides the following information to aid the vendor in appropriately scoping the
solution; however, please note that the OFR makes no guarantee to the transaction volume estimates
below and these may be subject to change:
 There are approximately 1,000 active Licensees in the State of Florida that operate at
approximately 2,000 physical locations.
 Some Licensees have more than 1 location and in some cases the number of locations
exceeds 100.
 Approximately 2 million transactions exceeding the $1,000 occur which equates to:
 An estimated average of 160,000 transactions per month.
 An estimated average of 5,500 per day.
 Please note that the averages may be concentrated on pay date(s) and pay time(s).
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Option 1 - Host CCDB within OFR (outside REAL)
CHECK CASHER
TRANSMISSION
OFR
CCDB
OTHER AGENCIES
Department
of State
Database
WEB
Division of
Workers
Compensation
Database
Check Cashers
System
Interface
REAL
OFR Users
Figure 4 – Host CCDB within OFR (outside REAL)
Option 2 - Host CCDB within/ as an extension of REAL
CHECK CASHER
TRANSMISSION
OFR
OTHER AGENCIES
Department
of State
Database
REAL
WEB
CCDB
Division of
Workers
Compensation
Database
Check Cashers
System
Interface
OFR Users
Figure 5 – Host CCDB within / as an extension of REAL
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Option 3 - Host CCDB Outside OFR (and REAL)
CHECK CASHER
TRANSMISSION
VENDOR
OFR
OTHER AGENCIES
Department
of State
Database
WEB
CCDB
REAL
Check Cashers
Division of
Workers
Compensation
Database
System
Interface
OFR Users
Figure 6 – Host CCDB Outside OFR (and REAL)
OFR Users include employees from the Office, the Division of Workers Compensation (DWC), the
Division of Insurance Fraud (DIF), and the Bureau of Financial Investigations (BFI) and others as may be
deemed necessary.
Contractors proposing Option 3 must:
1. Provide a SSAE-16 report to the OFR within 90 days of implementation and on an annual basis for the
duration of the contract.
2. Propose an “Exit Strategy” in the proposal.
3. Comply with all State and Federal Laws related to Personally Identifiable Information (PII) including
but not limited to: protection; breach notification, and remediation.
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2
Definitions and Acronyms
The following terms used in this document are defined herein.
Term
Definition
Project Management Terms
Acceptance criteria
Change
Contract
Contract Manager
Contractor
Deliverable
DIS or Division or Division
of Information Systems
Milestone
Objectives
Office or OFR
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Pre-defined performance requirements and essential
conditions that project deliverables are measured against
before they are considered complete and acceptable. The
criteria must be relevant, measurable and specific.
A change in the scope of the project. See also: Scope.
The contract that will be awarded to the successful proposer
under this competitive solicitation.
Person designated as the main Office point of contact for all
issues related to the Services performed under this SOW.
This person is the single point of contact for the Contractor
and is the only person authorized to make or approve any
changes in the requirements of the SOW.
Vendor that is selected for the project.
A product or service that satisfies one or more objectives of
the project. Deliverables must be tangible, measurable and
verifiable outcomes of work that meet pre-determined
standards for acceptance that must be accepted in writing
before payment. Examples of deliverables include project
documentation, systems, system prototypes, facilities,
training and customer support.
A division within the Department of Financial Services that
provides technological support for operations.
A key event during the project management process selected
for its importance in the judging of a project. Examples are
the completion of a phase, completion of a major
deliverable, or completion of an activity (such as a group of
tasks or processes).
Define the end results to be achieved by the project.
Describe them in terms that are observable, measurable, that
indicate a timeline for attaining them, and the acceptable
level of performance for each goal.
Refers to the Office of Financial Regulation, i.e. the
Customer.
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Term
Definition
Project Management Office
A unit within the Division of Information Systems that
provides support for agency technology projects; Also
known as PMO.
Requirements
Conditions or capabilities to which a system or service must
conform. Requirements can be derived from documented
user needs or from a contract, standards, or specifications.
Describes at a high level what will and will not be included
as part of the project. Scope defines the project’s overall
boundaries and provides a common understanding of the
project for the stakeholders and the project team. It is
further defined by the requirements, deliverables, schedule
and supporting information contained in this SOW.
Documents that stipulate minimum levels of performance
and quality for goods and services, and optimal conditions
and procedures for operation.
Concise statements of requirements for materials, products
or services that are to be used by industry or a government
agency.
A cohesive, individual unit of work that is part of the total
work needed to accomplish a project.
Scope
Standards
Specifications
Task
Vendor
The entity that submits materials to the Office in accordance
with the solicitation instructions, or other entity responding
to the solicitation associated with this SOW. This may also
be referred to as Respondent, Bidder, and Proposer. The
solicitation response may be referred to as Reply, Bid or
Response.
Business Terms
Aggregated Transaction
A transaction that is comprised of multiple payment
instruments.
BFI
The OFR Bureau of Financial Investigations.
Business Day(s)
Monday through Friday, excluding State-observed holidays.
Calendar Day(s)
Monday through Sunday, except that if the last day counted
falls on a weekend or State-observed holiday, the due date
shall be the next Business Day thereafter.
Cashing
Providing currency for payment instruments except for
traveler’s checks. See F.S. 560.103 (5).
CCDB
The Check Cashing Database system which the Office is
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Term
Definition
procuring.
Check Casher
A person who sells currency in exchange for payment
instruments received, except travelers checks. See
F.S.560.103 (6)
Check Cashing Location
A branch office or mobile location of a check casher. See
F.S.560.103 (20)
Check Cashing Teller
A person responsible for accepting and exchanging currency
for payment instruments.
Conductor
A natural person who presents himself or herself to a
licensee for purposes of cashing a payment instrument. See
F.S.560.103 (9)
DIF
The DFS Division of Insurance Fraud.
DFS
The State of Florida Department of Financial Services.
DOS
The State of Florida Department of State.
DWC
The DFS Division of Workers Compensation.
Fiscal Year
The State of Florida Fiscal Year period beginning July 1 and
ending June 30.
F.S.
The 2013 Florida Statutes.
Licensee
A person licensed under Chapter 560.
Mobile Location
The VIN number of the automobile from which a Check
Casher operates a mobile location.
Performance Measures
The required minimum acceptable level of service to be
performed by the Contractor and the criteria the Office will
use to evaluate the successful completion of each deliverable
and/or service.
Payee
The person the check is made payable to. The Payee can be
an individual or a business.
Payment Instrument
A check, draft, warrant, money order, travelers check,
electronic instrument, or other instrument, payment of
money, or monetary value whether or not negotiable. The
term does not include an instrument that is redeemable by
the issuer in merchandise or service, a credit card voucher,
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Term
Definition
or a letter of credit. See F.S. 560.103 (25)
Payor
The person that wrote the check.
SLA
A Service-level Agreement and is a part of a service
contract where a service is formally defined.
Transaction
A check cashing transaction that is comprised of a single
payment instrument.
Technical Terms
3
POS system
A Point of Sale system used by check cashers to process and
store check cashing transactions. This is an internal system
owned and maintained by a check casher.
REAL
The OFR’s Regulatory Enforcement and Licensing System.
RPO
The Recovery Point Objective and is the point to which
information used by an activity must be restored to enable
the activity to operate on resumption.
RTO
The Recovery Time Objective and is the target time set for
resumption of product, service or activity delivery after an
incident.
Uptime
The time during which the CCDB is in operation.
Scope of Work
3.1 In Scope
The scope of work for this project may generally be described as providing a technical solution and
supporting services that will enable the Office to meet the stated program objectives. This Statement
of Work (“SOW”) describes the functionality and features to be provided by the CCDB. It also
describes the services to be provided by the Contractor to support the CCDB throughout the project
lifecycle including implementation services, project management services, and operation and support
requirements. The requirements stated herein are intended to inform proposers of the minimum
expectations of the Office, but proposers may clarify and expand on the requirements. In addition, the
Project Schedule submitted by the proposer will present the proposed project timeline for approval.
The Office is presenting three deployment/hosting options for the CCDB as outlined in Section 1.3.3
CCDB Deployment Options. Contractors may propose on one option or more than one option. The
resulting contract will reflect the contractual terms and conditions agreed upon between the Office
and the Contractor, including the project timeline and scope of services.
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The Office of Financial Regulation has planned a phased implementation approach for the Check
Cashing Database solution per the Project’s System Development Life Cycle (SDLC). The Office is
aware that if a Contractor is proposing hosting a solution using Option 3 (i.e. outside OFR and
REAL), a fully implemented SDLC may not be necessary.
The table below summarizes each phase of the SDLC.
Phase
Phase One: Initiate and Plan
Phase Two: Define
Phase Three: Design
Phase Four: Develop
Phase Five: System Test
Phase Six: Implement and Train
Phase Seven: Maintain
Summary
The objective of this phase is for the Contractor and the
Office to create the overarching planning documentation
for the Project. The Contractor shall submit the core
planning deliverables.
The objective of this phase is for the Contractor to
validate and elaborate the requirements provided in the
Requirements Specification Report (RSR) with key
project stakeholders in order to generate specific,
detailed functional and technical requirements.
The objective of this phase is to create a visual
representation of the system to be built. This phase
transforms the detailed, defined requirements into
complete, detailed functional specifications. Technical
specifications are also created to illustrate the necessary
infrastructure to support the system architecture.
The objective of this phase is to convert the deliverables
of the Design phase into a complete information system
as specified in the Requirements Traceability Matrix.
The objective of this phase is to prove that the new
system satisfies the detailed requirements as specified in
the Define phase.
The objective of this phase is to deploy the system to all
users and to ensure that they are trained on all functional
and technical areas of the CCDB solution.
The objective of this phase is to ensure that the system
continues to work as specified and to maintain the
system.
The scope is further defined within the remainder of this section as well as Section 4 Deliverables and
Schedule and Section 5 Responsibilities and Staffing.
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3.1.1 Project Phases: System Development Life Cycle
The Contractor’s System Development Life Cycle shall conform to the high-level project schedule
and the specific SDLC phases as outlined below. Associated Phase Gate deliverables for each
SDLC phase are also outlined and must be satisfied prior to entering the subsequent phase gate.
OFR expects that the level of detail within the deliverables will be commensurate with
the project size and complexity.
3.1.1.1 Phase One: Initiate and Plan
The objective of this phase is for the Contractor and the Office to create the overarching
documentation for the Project. The Contractor shall submit the core planning deliverables as defined
in Section 4 Deliverables and Schedule.
The Contractor shall develop a Project Management Plan as part of the methodology and approach
to the Project. The Contractor shall follow project management methodologies consistent with the
Project Management Institute (PMI) project management methodologies stated in the Project
Management Body of Knowledge (PMBOK). In this task the Contractor shall detail the SDLC
approach and methodology for initiating, planning, defining, designing, developing, testing, training,
implementing and maintaining the CCDB solution. The Office and the Contractor shall work
together during Project Initiation and Planning Phase to develop and refine the Project Management
Plan (PMP) based on the project approach and schedule.
The Project Management Plan shall include the following sections:
1. Work Breakdown Structure (WBS)
2. Project Roles and Responsibilities
3. Project Schedule
4. Communication Management
5. Document Management
6. Schedule Management
7. Quality Management
8. Issue Management
9. Scope Management
10. Risk Management
11. Resource Management and Staffing
12. Configuration Management
13. Knowledge Management
14. Phase Gate Review and Acceptance Process
15. Phase Gate Approval Criteria
16. Project Change Control Management
17. Information Security
18. Conflict Resolution
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All sections, identified above, will be delivered during the Planning Phase in an initial overall
Project Management Plan as a baseline document. The PMP will be clarified, revised, expanded,
and maintained throughout the project and submitted to the Office for review during phase gate
reviews and other contractually specified review points. The Project Schedule is a key component
that will be leveraged throughout the project. The following shall be included in the Project
Schedule:
 A Microsoft Project 2007 schedule that details tasks and activities that will be performed
during the engagement to at least Work Breakdown Structure (WBS) level 4.
 The project schedule shall be maintained on at least a weekly basis.
 The project schedule shall reflect non-working time of project team members (i.e.,
weekends, holidays).
 At a minimum, the schedule shall include firm task durations (estimated durations should be
limited), task start and finish dates, baseline start and finish dates, task predecessors and
successors, and resources.
The Contractor shall conduct a Project Initiation meeting at a location selected by the Office and at
a date and time mutually agreed upon by the Office and the Contractor. The Project Initiation
meeting shall be attended by the Office Project Team and the Contractor Project Team. The
purpose of the meeting shall be to review the PMP and all the deliverables associated with the
Project SDLC. The Contractor shall conduct one or more additional Project Initiation meetings as
deemed necessary by the Office.
The Project Initiation meeting activities shall include:
 Understanding of the project objectives and scope.
 Review the DIS ISDM Phases and Deliverables, including Standards and Procedures.
 Identification of the roles and responsibilities of the project stakeholders, including the
Office Project Team, Contractor Project Team, DIS staff (e.g., Change Management,
Environment Support Teams, Help Desk, Maintenance Support Manager, Technical Support
staff), and any other key project team members.
 Review the PMP.
 Review of the project schedule, phases and associated deliverables.
 Understanding of the project performance measurements and critical success factors.
 Identification of key stakeholders that will serve as the point of contact to review and
validate information at all agreed upon project phases.
 Overview of the process to manage all phases of the project, including the elements of the
PMP, such as communications management, risk management, issue management, etc.
 Any other topic as deemed appropriate by the Office.
Any decisions or agreements from the Project Initiation meeting(s) shall be documented by the
Contractor and submitted to the Office project team for review and acceptance.
The following sections define the responsibilities of the Contractor and the Office.
The Contractor’s responsibilities during the Initiate and Plan phase shall include:
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1)
2)
3)
4)
5)
6)
7)
Facilitating the Project Initiation meeting.
Designating staff members to serve as part of the planning process.
Working with Office staff to establish the necessary technical environments.
Preparing the planning deliverables.
Revising deliverables as a result of the review and approval process.
Conducting weekly Status Meetings.
Creating and updating the Project Schedule.
The OFR’s responsibilities during the Initiate and Plan phase shall include:
1) Participating in project planning activities and identify responsibilities of Office staff.
2) Participating in plan development by providing technical information and guidance.
3) Reviewing and approving all planning deliverables.
4) Supplying hardware, software, and infrastructure for which the Office is responsible.
5) Coordinate participation of DFS-DIS in planned activities, as needed.
The DFS-DIS responsibilities during the Initiate and Plan phase shall include:
1) Participating in project planning activities and identify responsibilities of Office staff.
2) Provide Security Awareness Training for the Contractor’s personnel who will be
assigned to this project.
Initiate and Plan Phase Gate. The following deliverables are tied to this Phase
Gate:
 Project Management Plan
 Project Initiation and Status Meeting(s)
 Project Status Report
3.1.1.2 Phase Two: Define
The objective of this phase is for the Contractor to validate and elaborate the requirements provided
in the Requirements Response Matrix (RRM) with key project stakeholders in order to generate
specific, detailed functional and technical requirements.
The Contractor shall validate and refine the requirements identified in this SOW and in Attachment
D - Requirements Response Matrix to generate specific, low level requirements (i.e., Functional,
Technical, and Regulatory) to produce a Requirements Traceability Matrix (RTM). The Contractor
shall propose a methodology that generates lower level requirements through working sessions with
the Office. The working sessions shall be Joint Application Development (JAD) or other Office
approved requirements generation methodology proposed by the Contractor. The Contractor shall
propose a methodology that enables the participation of key external stakeholders such as the
Department of State, Department of Financial Services, and selected check cashing businesses.
The Contractor shall also update the Requirements Specification Report (RSR) provided in
Attachment E - Requirements Specification Report to reflect the hosting option chosen, changes to
the proposed system architecture and any other amendments deemed necessary by the Office and the
Contractor. The RSR shall reflect all updates to the RTM based on outcomes from the JAD sessions.
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The Contractor’s requirements validation responsibilities shall include:
1) Providing a defined methodology to validate and maintain requirements including process
that will be utilized in conducting requirements validation sessions (e.g., JAD sessions).
2) Providing a proposed schedule of requirements sessions that will be conducted and the
expected knowledge base of the Office and other stakeholder participants.
3) Ensuring that the Contractor’s functional and technical experts are on-site during the
requirements validation sessions to address and answer any questions.
4) Providing an agenda for each requirements validation sessions.
5) Conducting and documenting requirements validation sessions.
6) Preparing the requirements validation deliverable as stated in Section 4 Deliverables and
Schedule.
The Contractor shall propose a Deployment Strategy for delivering the CCDB solution through one
of the hosting options as identified in Section 1.3.3 CCDB Deployment Options. The Deployment
Strategy shall also include the interface definitions to external systems (i.e., Department of State,
Division of Workers’ Compensation, and check cashing Point of Sale devices).
The Contractor’s interface definition responsibilities shall include:
1) Providing documentation on interfaces specifying purpose, format, content, frequency and
processing for each interface transaction.
2) Providing meeting minutes of each interface session, including issues addressed and
decisions made, to the Office’s Project Manager within three (3) business days of
conclusion of the interface meeting.
3) Providing the deliverables as identified in Section 4 Deliverables and Schedule.
4) Revising deliverables as a result of the review and approval process.
The OFR’s responsibilities during the Define phase shall include:
1) Participating in planned activities (i.e., JAD sessions) as necessary.
2) Providing information as requested from the Contractor.
3) Reviewing and approving Phase Gate deliverables per the agreed schedule and PMP.
4) Coordinating the participation of key external stakeholders, as needed.
5) Coordinate participation of DFS-DIS in planned activities, as needed.
The DFS-DIS responsibilities during the Define phase shall include:
1) Participating in planned activities (i.e., JAD sessions) as necessary.
2) Providing information as requested from the Contractor.
3) Review Phase Gate deliverables as per the approved schedule.
Define Phase Gate. The following deliverables are tied to this Phase Gate:
 Updated Requirements Specification Report
 Requirements Traceability Matrix
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3.1.1.3 Phase Three: Design
The objective of the Design phase is to create a visual representation of the system to be built. This
phase transforms the detailed, defined requirements into complete, detailed functional specifications
that document each form, screen, and report in the system. Technical specifications are also created
to illustrate the necessary infrastructure to support the system architecture.
The Contractor shall generate a conceptual system design (i.e., Functional Design Document)
describing how the CCDB solution will enable the functional requirements specified in the RTM.
The Functional Design Document (FDD) shall include, but not be limited to, data models and
process models and must include both graphic and narrative representation for each form, report,
interface and enhancement. All business rules and workflows shall be documented in detail. The
Contractor shall specify User Interface standards and provide a prototype illustrating the
functionality of the CCDB solution. Components of the FDD include:
1. User Interface Standards - Defines usability standards for the CCDB user interface. Browser
based standards should be browser agnostic and the CCDB user interface should run on
current browser releases.
a. Application Development Standards: The purpose of this document is to define
standards and best practices for developing web-based application software in order
to present a consistent “look and feel” to the applications, and to ensure the
supportability of applications developed throughout the Department.
b. DFS Web Services: Applies to all DFS Web Services projects including those
assigned to contracted vendors, the Offices of Insurance Regulation and Financial
Regulation in cases where the Web Services require support from DFS
infrastructure, (i.e., software, hardware, network, applications or similar).
c. Web Accessibility and Content: This document provides accessibility standards
and best practices for the Department of Financial Services web based application
and content pages.
2. Prototype - Illustrates the navigation of the forms and demonstrates the UI standards that are
incorporated into the solution.
3. Reporting templates - Layouts and definitions of pre-defined reports.
The Contractor shall generate a Technical Design Document (TDD) reflecting the final requirements
for system architecture, configuration, and operation. The Technical Design Document shall be
developed based on outputs from technical design sessions conducted with the Contractor, DFS-DIS,
and key Office stakeholders. The Contractor shall conduct development reviews, apply software
development standards, perform code and unit tests, and maintain TDD for each object being
developed. At the completion of CCDB solution development, the Contractor shall ensure that the
Technical Design Document is updated to represent the complete “as built” CCDB solution.
Components of the TDD include:
1. System Architecture - Visual representation of the technical components (i.e., tiered
architecture model) necessary to support the CCDB solution.
2. Database Design - Documents the supporting data structures through tools and techniques
such as entity relationship models, data dictionaries, etc.
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3. Web Services Interface Design - Illustrate the multiple interface requirements necessary to
support the CCDB solution.
The Contractor may propose alternatives to any of the components noted above, but any alternative
must be clearly justified and have the prior approval of the Office.
The Contractor’s responsibilities during the Design phase include:
1) Supporting the Office with developing the User Interface standards.
2) Supporting the Office with developing performance criteria.
3) Preparing the technical system design deliverables.
4) Creating and refining the database design.
5) Documenting technical system design issues and decisions in deliverables.
6) Conducting a walk-through of the deliverables.
7) Revising deliverables as a result of the review and approval process.
The OFR’s responsibilities during the Design phase shall include:
1) Participating in planned activities (e.g., Design sessions) as necessary.
2) Providing information as requested from the Contractor.
3) Reviewing and approving Phase Gate deliverables per the agreed schedule and PMP.
4) Coordinating participation of DFS-DIS in planned activities, as necessary.
The DFS-DIS responsibilities during the Design phase shall include:
1) Participating in planned activities (i.e., Design sessions) as necessary.
2) Providing information as requested from the Contractor.
3) Review Phase Gate deliverables as per the approved schedule.
Design Phase Gate. The following deliverables are tied to this Phase Gate:
 Functional Design Document
 Technical Design Document
3.1.1.4 Phase Four: Develop
The objective of this phase is to convert the deliverables of the Design phase into a complete
information system as specified. The Contractor’s installation and configuration efforts will be
guided by the outputs of the Initiate and Plan, Define, and Design phases.
The Contractor shall create and maintain an Infrastructure Plan that will include hardware, software,
and network requirements list of all new hardware, software, and network components that are
necessary to support the CCDB solution. The following environments shall be included in the
Infrastructure Plan:
 Development Environment
 Testing Environment
 Training Environment (i.e., Sandbox)
 Production Environment
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The Contractor shall develop or configure and extend the base code per the functional design and
perform unit testing. The Contractor shall conduct code review and unit testing results for quality
assurance reviews by the Office. The Contractor shall develop a Unit Test Plan that documents the
approach and methodology. Test results shall be included for base code that is already tested. Unit
test results shall be documented and provided to the Office. Unit testing shall be performed on each
unit of code or configuration to ensure that it functions as specified.
The Contractor shall document development and testing guidelines. These guidelines must be
approved by the Office before any coding or development can begin. If non-COTS software is
provided by the Contractor as part of the CCDB, the Contractor shall provide a tested release of the
application consisting of software code and release notes as planned in the project schedule. The
Contractor shall update and resubmit the software code or configuration whenever changes to the
operational software are implemented.
The Contractor shall develop and maintain a Configuration Management Plan documenting the
configurations of all hardware and software necessary to support CCDB. The Configuration
Management Plan shall be used as a tool to establish the overall approach for the Configuration
Management activities of the CCDB. The purpose of the plan is to identify the overall policies and
methods for the Configuration Management activities to be used during the system life cycle of the
CCDB solution and will be updated iteratively as necessary.
The Contractor shall provide copies of source code to the OFR for all applications developed and
installed. The Contractor must agree that the Office will own the source code of custom software and
will have access to escrowed source code of pre-existing licensed software. The OFR retains the
right to maintain and support its own applications or to contract for these services. The Contractor
must agree that all changes will be documented and be consistent with the Contractor’s documented
Change Control Plan. Source code must be clearly written and understandable comments, with date
and name included. (See Application Development Guidelines Using DFS System Architecture for
.Net.doc, DFS System Architecture for .Net.doc, VS.Net Coding Standards.doc, Adding .NET
solutions to SourceSafe.doc, DFS Team Development Guidelines.doc, Setting up Local DFS.
Common Solution for .NET.doc, and if applicable, Windows Based Application Standards for
Windows Forms Smart Client.doc.)
The Contractor’s responsibilities during the Develop phase shall include:
1) Supporting the Office with developing the physical/logical security plan.
2) Supporting the Office with setting up the test environments.
3) Supporting the Office with disaster recovery setup and testing.
4) Developing an infrastructure plan based on a validated server sizing study.
5) Revising deliverables as a result of the review and approval process.
6) Working with the Office’s resources for planning and coordination for installation of all
hardware and software supporting the CCDB.
7) Deploying, in collaboration with Office staff, the CCDB as required by the infrastructure
design.
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8) Configuring the system to the most current production version of all underlying software,
tools, and databases, unless the Office agrees to an exception.
9) Creating new or modified objects.
10) Creating new or modified programs.
11) Creating unit test cases and test data.
12) Designing and performing unit testing.
13) Reporting unit test results.
14) Preparing code and unit test deliverables.
15) Revising deliverables as a result of the review and approval process.
16) Providing all source code developed and/or modified by the Contractor for use in this project
to the OFR on a regular basis, not less than weekly. In the event the Contractor ceases to do
business or discontinues support to the OFR in the future, the OFR will then have possession
of all source code for their business solution.
17) Following the guidelines for storage of all source and compiled code. Use of Microsoft Visual
SourceSafe for .Net as a source code version/change management tool required.
18) Providing copies of source code to the OFR for all applications developed and installed.
19) Including appropriate error trapping and handling procedures in all codes. Appropriate errors
must be logged into either a database or log file with the following information: Session ID,
User ID, IP Address, Date/Time, and Object(s) where error occurred (i.e. ASP page, PL/SQL
procedure/package, Visual Basic Function, database object). (See Error Handling
Guidelines.doc).
The OFR’s responsibilities during the Develop phase shall include:
1) Participate in planned activities (i.e., review Unit Test Results) as necessary.
2) Provide information as requested from the Contractor.
3) Review and approve Phase Gate deliverables per the agreed schedule and PMP
4) Coordinate participation of DFS-DIS in planned activities, as needed.
The DFS-DIS responsibilities during the Develop shall include:
1) Participating in planned activities (i.e., review Unit Test Results) as necessary.
2) Providing information as requested from the Contractor.
3) Review Phase Gate deliverables as per the approved schedule.
Develop Phase Gate. The following deliverables are tied to this Phase Gate:
 Source Code
 Unit Test Plan
 Unit Test Results
 Infrastructure Plan
 Configuration Management Plan
3.1.1.5 Phase Five: System Test
The objective of this phase is to prove that the new system satisfies the detailed requirements as
specified in the Define phase.
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The Contractor shall test the proposed CCDB in accordance with established software development
practices to include:
 System Testing to evaluate the assembled system and confirm that the CCDB operates as
expected including all system security and user profiles;
 End-to-End Testing to confirm the CCDB units, modules, and COTS application modules
operate effectively together and to ensure that functional objectives are being achieved;
 Interface Testing to evaluate every interface and confirm that each interface operates
according to the interface requirements as specified in the Requirements Specification
Report;
 Performance Testing/Stress Testing to simulate the system to the limits of its
requirements and beyond those limits to confirm graceful failure including COTS packages
and to confirm satisfaction of performance requirements in a simulated test environment;
 User Acceptance Testing to evaluate the overall functionality of the CCDB system
components against the Requirements Specification Report and the Requirements
Traceability Matrix; and
 Regression Testing to verify core application functionality for all software builds and
defect remediation, as needed.
The Contractor shall support all system, user acceptance, and end-to-end testing planned, and
executed, by the Office with actual data provided by the Office. The Contractor shall conduct all
Performance/Stress and Interface testing with actual data provided by the Office.
The Contractor shall generate all required test documentation (e.g., Performance/Stress Test Plans
and Cases; and, Interface Test Plans and Cases). During test planning, the Contractor shall update
the Requirements Traceability Matrix to reflect the relationship between requirements and planned
acceptance tests.
The Contractor shall record, track, and manage all problems and issues identified during testing
workstreams (i.e., System, End-to-End, Interface, Performance/Stress, User Acceptance, and
Regression). The Contractor shall troubleshoot all test result anomalies to determine the source of
the problem. If necessary, the Contractor shall update test plan, test cases, and test scripts, and shall
modify and re-test the CCDB solution. Following any software change or test script change made
during the acceptance testing period, the Contractor shall perform a regression analysis of tests
already executed to determine which test results may have been affected by the change and need to
be re-executed.
The Contractor shall lead the Office in executing User Acceptance Testing (UAT) to demonstrate
that all requirements are met, and shall provide the Office documentation to report the outcomes of
the User Acceptance Testing. The Contractor and Office will collaborate to ensure that the UAT
process supports the Office’s ability to identify additional tests cases during the UAT workstream to
ensure that the acceptance test cases are thorough and complete.
The Contractor shall work with the Office to develop test cases, test scripts, test data and test files
for all test cases including any added by the Office. The Contractor shall confirm that User
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Acceptance Tests have been planned for all requirements by tracing the requirements to the planned
acceptance test cases and scripts.
The Contractor’s responsibilities during the System Test phase shall include:
1) Implementing a defect tracking and reporting method.
2) Documenting, analyzing and classifying all reported problems.
3) Updating the Requirements Traceability Matrix to reflect the relationship between
requirements and planned tests.
4) Working with Office staff to establish the test environments.
5) Configuring the CCDB to the most current production version of all underlying software,
tools, and databases, unless the Office agrees to an exception.
6) Creating test data and test files needed for initial testing as well as for re-testing, if applicable.
7) Supporting system and end-to-end tests. Each module must be tested when it is completed.
The compatibility of all modules for the entire system must be tested when all modules have
been completed.
8) Correcting problems, repeating integration, system, stress and performance testing until
expected results are obtained.
9) Providing documentation for all test results for each set of tests performed.
10) Supporting the development of all User Acceptance Test deliverables.
11) Establishing the application in the Acceptance Test environment.
12) Supplying training needed for testing.
13) Generating acceptance test plan, test scenarios, and test result logs.
14) Conducting Performance/Stress Testing as a part of overall testing in an environment that
simulates the production environment.
15) Shall conduct testing in accordance with the ISDM requirements of DIS provided by the
Contract Manager.
The OFR’s responsibilities during the System Test phase shall include:
1) Participating in planned activities (e.g., Review Test Cases, Execute Scripts, Provide
Feedback) as necessary.
2) Providing information as requested from the Contractor.
3) Reviewing and approving Phase Gate deliverables per the agreed schedule and PMP.
4) Coordinating DFS-DIS participation, as needed.
The DFS-DIS responsibilities during the System Test phase shall include:
1) Participating in planned activities (e.g., Review Test Cases, Execute Scripts, Provide
Feedback) as necessary.
2) Providing information as requested from the Contractor.
3) Review Phase Gate deliverables as per the approved schedule.
System Test Phase Gate. The following deliverables are tied to this Phase Gate:
 Test Plan
 Test Cases
 Test Results
 Updated Requirements Traceability Matrix
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3.1.1.6 Phase Six: Implement and Train
The main objective of this phase is to deploy the system to all users. Activities in this phase will
include training of all end users on the system as appropriate (e.g. functional or end user, technical,
system administration, help desk). The objective is also to ensure that all appropriate user
documentation is prepared to guide users on how to navigate the installed CCDB solution.
3.1.1.6.1 Implement
The Contractor shall provide a hardware and software purchase list of all new hardware and software
that shall be purchased to implement the proposed CCDB solution. The hardware list shall include all
hardware necessary to fully implement the proposed CCDB solution. The software list shall include
all software necessary to fully implement the proposed CCDB solution including operating systems,
relational database management systems, data warehouse software, and other supporting software.
The Contractor shall clearly identify all the proposed proprietary software and hardware. The
Contractor shall provide an explanation of the associated benefits and risks for all proprietary
software and hardware being used.
The Office reserves the right to purchase any of the items on the purchase list from another source
instead of acquiring them from the Contractor if it is in the best interest of the Office. The Contractor
shall be responsible for the installation of all hardware specifically needed for the proposed CCDB
solution, regardless of whether it is purchased by the Contractor or purchased by the Office. The
Contractor shall install all software on servers and clients.
The Contractor shall initialize the entire system including setup of initial internal user accounts and
privileges. The Contractor shall install and implement the proposed CCDB solution at the OFR
offices in Tallahassee. The Contractor shall provide local technical and functional support.
The Contractor shall develop an Implementation Plan that, at a minimum, addresses database
administrator procedures, installation procedures, identification of the steps leading up to the rollout,
promotion of the software to the production environment, system availability to users, a strategy to
rollback in case of major issues encountered during the rollout, and a final acceptance report for each
planned release in the approved project schedule. If the plan includes equipment or services provided
by a subcontractor, the Contractor shall be fully responsible (as prime contractor) for the delivery of
the entire system.
The Contractor shall develop/update the Disaster Recovery Manual which shall outline the
procedures to successfully recover the CCDB.
The Contractor’s staff shall be present at the implementation site during the go-live of the system.
The Contractor’s responsibilities during the Implement phase shall include:
1) Supporting the Office with developing the Operational Readiness Plan.
2) Working with Office resources for planning and coordination for installation of all hardware
and software supporting the proposed CCDB solution.
3) Deploying the proposed CCDB solution (i.e. hardware and software installations).
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4)
5)
6)
7)
Providing on-site support during the implementation.
Performing roll-back procedures, if required.
Developing/updating the Disaster Recovery Manual.
Ensuring all system components have been incorporated into routine system backups for all
platforms hosted at DFS (mainframe, UNIX, Windows).
8) Including in the project schedule a post-implementation Recovery test to recovery all
components of the production application, using backup protocols as determined by the DIS.
9) Performing a successful Recovery Test and preparing an updated Disaster Recovery Manual,
which are required for final acceptance of the system. For applications hosted by the
Contractor, the recovery test will be performed by Contractor and monitored by DFS
personnel.
The Office’s responsibilities during the Implement phase shall include:
1) Review and approve the installation and implementation deliverables.
2) Assist the Contractor in planning, coordination and execution of hardware and software
installations.
3) Provide a physical location where the servers will be installed.
4) Coordinate participation of DFS-DIS in planned activities, as needed.
The DFS-DIS responsibilities during the Implement phase shall include:
1) Participating in planned activities as necessary.
2) Providing information as requested from the Contractor.
3) Review Phase Gate deliverables as per the approved schedule.
4) Performing the Recovery Test which will be monitored by Contractor personnel for
applications hosted by DFS.
5) DIS personnel in DFS will determine if the Disaster Recovery test is successful or needs to be
corrected and repeated prior to final acceptance.
3.1.1.6.2 Train
The Contractor shall present a method to train the user population defined below that balances
effectiveness with expense. The Contractor shall provide a Customized Training Plan that will ensure
that all the CCDB end users have access to the knowledge and skills necessary to effectively employ
the CCDB solution and supporting technology.
The Contractor shall provide the Office with Customized Training Material for the operation and
support of the CCDB solution. The Contractor’s training material shall be in electronic form, i.e. in
the form of an online user help, and the Contractor shall continually update the training material
where changes to the solution’s method of operation have occurred. The training material shall be
provided in a format that allows the Office to conduct train-the-trainer sessions after the Contractor’s
training responsibilities have expired, which shall include training modules (e.g. videos) and
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associated procedure documents for all end users of the CCDB solution. The training material shall
be used to train each category of CCDB user.
In collaboration with the Office, the Contractor shall train, or provide a mechanism to train, all the
CCDB users including, but not limited to OFR internal users, Check Cashers, etc.
The Contractor shall provide at a minimum five (5) training sessions with OFR internal users using
the train-the-trainer methodology. The training shall be conducted at the OFR offices in Tallahassee.
The Contractor shall provide at a minimum five (5) training sessions with Check Cashers utilizing
webinars and computer-based training (CBT).
The Contractor’s responsibilities during the Train phase shall include:
1) Providing a detailed Training Plan that is submitted to the Office for review and approval.
2) Developing a Training Schedule provided to the Office by the Contractor. The trainers
provided by the Contractor must track attendance and class completion and provide status
information to the Office. If any classes must be rescheduled, the Contractor shall attempt to
reschedule staff as agreed upon with the Office, and provide reports to the Office.
3) Provides for knowledge transfer to DIS staff to maintain the system.
4) Provide for knowledge transfer to DIS Tier 1 staff.
5) Developing training with a plan for continuing education and software application updates,
including a train-the-trainer activity for on-boarding new hires.
6) Conducting training in Tallahassee for all CCDB internal end users (about 250 users).
7) Conducting training across the industry to include all Check Casher end users (about 4000
users). The Contractor shall provide train the trainer materials and a course so that the Office
will be able to continue training for new users of the system, or for refresher courses for
existing users. Training shall be in the form of CBTs and webinars.
8) Providing both structured and on-the-job training for system administrators, system operators,
support resources so they are prepared to transition into these roles when the warranty period
ends.
9) Ensuring training is aimed at skill acquisition and helping end users become self-sufficient in
the use of the CCDB solution.
10) Providing the training in a training environment and a database for training that contains a
sufficient amount of diverse data and allows exploration of all parts of the CCDB solution
through hands-on exercises.
11) Delivering training in time to meet the user acceptance testing and implementation project
schedule.
12) Providing training that is based on a variety of stages in the business process life cycle to
provide realism and must not include actual data to protect confidentiality.
13) Targeting training to the business or support process for the appropriate level of staff. The
training will include functionality in sufficient detail so that OFR staff will know how to
perform their assigned duties within the CCDB environment.
14) Delivering training using step-by-step user and system instructions that include data field
options and status updates.
15) Delivering training in a simulated production-like training environment that permits practicing
new skills.
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16) Delivering the training with user and technical documentation
17) Updating the Requirements Traceability Matrix to reflect that the user manual has completely
addressed all the CCDB solution functionality, as recorded in the requirements.
18) Delivering a customized electronic training document available online for all functionality in
the CCDB solution. The manuals shall be available to users online.
19) Evaluating training for effectiveness and continuous improvement with testing of Office
employees and Check Cashers (on a pass/fail basis) to confirm that all training topics are
mastered.
20) Providing course-related information that will be maintained in the employee’s CCDB training
record.
21) Refreshing the training to match the needs of the training schedule. If the schedule cannot suit
all classes, the Contractor shall set up multiple copies of the training database and an easy
method to access the proper copy or an easy method for allowing trainers to conduct a refresh
of training data without requiring technical assistance.
The OFR’s responsibilities during the Train phase shall include:
1) Working with the Contractor regarding planning, monitoring, and delivery of training.
2) Assigning a training team leader from the OFR’s project team.
3) Acting as the liaison between the Contractor and Check Cashers to schedule training sessions.
4) Monitoring all training provided by the Contractor.
5) Reviewing evaluation forms and providing feedback on training design and delivery
throughout the implementation training period.
6) Providing training facilities in Tallahassee.
7) Scheduling the training class dates, reserving classrooms, providing in-class liaison staff,
scheduling attendees, and providing logistical support.
8) Providing at a minimum five (5) training sessions with Check Cashers via webinars and CBTs.
The DFS-DIS responsibilities during the Train phase shall include:
1) Participating in planned training activities, as necessary.
2) Review Phase Gate deliverables as per the approved schedule.
After successful training of all system users the Contractor shall roll out the fully operational CCDB
solution.
Implement and Train Phase Gate. The following deliverables are tied to this Phase Gate:
 Implementation Plan
 Disaster Recovery Manual
 Fully Deployed CCDB Solution
 Customized Training Plan
 Training Schedule
 Customized Training Material
 Training Execution
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3.1.1.7 Phase Seven: Maintain.
The objective of this phase is to ensure that the system continues to work as specified and to
maintain the system.
Prior to moving into the Warranty Period Support, the Contractor shall obtain written authorization
from the Office that all performance measures have been met and that the CCDB solution is
operating in production without any material deficiency with all required functionality.
3.1.1.7.1 Warranty Support
The Contractor shall provide a warranty period of 12 months from the date of go-live for software
developed and implemented specifically for the CCDB solution, and for integration of all software in
the CCDB solution after full operational capability is declared by the Office and the system is fully
accepted by the Office.
The Contractor’s Warranty Period Support responsibilities shall include:
1) Monitoring of the CCDB solution production environment.
2) Developing appropriate procedures for the Office to report and track issues identified.
3) Correcting defects or problems in a timely fashion (per Service Level Agreements defined
below).
4) Conducting full integrated testing of any warranty repair to ensure that it is complete and
appropriate, and conducting regression testing to avoid other problems created by the warranty
repair.
5) Correcting defects related specifically to implementation. Any errors in the installation,
configuration or customization of the software solution as documented in the relevant
deliverables will be corrected by the Contractor in most expedient and effective method.
NOTE: Final acceptance of each custom software Deliverable shall be considered to
occur when each Deliverable has been approved by OFR/DFS and has been operating in
production without any material deficiency for 10 days of full production with all
functionality.
The Contractor shall coordinate installation and testing of repaired software with the Office and
update all documentation affected by the change. For critical problems that prevent complete
operation of the CCDB solution, the Contractor shall provide a workaround for the problem.
The Contractor shall provide to the Office the full standard warranty available and any additional
COTS software required for the CCDB solution. For all problems identified in acquired COTS
packages, the Contractor shall coordinate warranty repair with the COTS packages Contractor,
provide the Contractor all needed information, monitor the Contractor’s status on resolving the
warranty issue, test the updated package with the CCDB solution, and install the replacement or
update.
The Contractor shall generate a Warranty Completion Report at the completion of the warranty
period.
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3.1.1.7.2 Operations and Maintenance Transition
In collaboration with the Office, the Contractor shall develop and maintain a system user guide and
an Operation and Technical Manual that describe how to use, operate and maintain the system
respectively. The Contractor shall maintain the user guide and the manual through the warranty
period.
The Contractor shall provide day-to-day support and maintenance to the CCDB solution at time of
go-live and for a duration of 2 years and for three 1 year contract renewal periods. During optional
operational periods, if exercised by the Office, the Contractor shall transition the day-to-day support
and maintenance of the CCDB solution to the Office’s own staff or their designated agent.
The Contractor shall transition the operations and first line support of the CCDB solution as directed
and according to the Office-approved operations and maintenance transition plan. As part of the
transition, the Contractor shall provide current electronic and paper copies of all Contractor-related
deliverables. The Contractor shall ensure that the material to be transitioned is complete and correct
at the time of transition.
3.1.1.7.3 Maintenance
The Contractor shall be subject to a Service Level Agreement (SLA) after the go-live, which
includes support of all problems beyond Level 1 support and enhancements to the CCDB solution.
The negotiated SLA shall, at a minimum, outline the responsibilities of both the Contractor and the
Office (including acceptable performance parameters with applicable metrics and measurement
methodology), document the expected duration of the SLA, describe the applications and services
covered by the SLA (identification, remediation and communication), document the procedures for
monitoring the service levels, and provide a schedule for remediation of outages and associated
penalties and problem-resolution procedures.
As part of ongoing maintenance, the Contractor shall provide the Office with a Software Upgrade
Schedule and Approach document for the CCDB solution that stipulates software upgrade/release
frequency and performance measures. The Contractor’s Software Upgrade Schedule and Approach
shall outline the Office’s options to upgrade the CCDB solution in order to maintain Contractor
support. As a component of this deliverable, the Contractor shall include guaranteed software
assurance which covers compatibilities of new installs to the existing software version and assures
modifications of sensitive or critical system resources. Accurate and timely logging of events shall
be logged to establish what events occurred, when the events occurred, the source of the events, and
the outcome of the events.
Finally, the Contractor shall certify that the Office’s CCDB solution system will be upgraded to
support all applicable latest versions of the COTS products (e.g., database, operating systems,
browsers, etc) in these planned maintenance activities within a reasonable timeframe. The Contractor
shall also provide a Software Escrow Agreement to give the Office access/ownership of the source
code based on defined situations.
The Contractor’s responsibilities during the Maintain phase shall include:
1) Integrating CCDB procedures into the Office’s Disaster Recovery Manual.
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2) Preparing monthly status reports, in a format agreed upon by the Office.
3) Conducting monthly status meetings.
The OFR’s responsibilities during the Maintain phase shall include:
1) Developing the SLA with input from the Contractor
2) Participating in planned activities (e.g., Status Meetings) as necessary.
3) Providing information as requested from the Contractor.
4) Reviewing and approving Monthly Status Reports.
The DFS-DIS responsibilities during the Maintain phase shall include:
1) Participating in planned activities (e.g., Status Meetings) as necessary.
2) Providing information as requested from the Contractor.
3) Review Phase Gate deliverables as per the approved schedule.
Maintain Phase Gate. The following deliverables are tied to this Phase Gate:
 Warranty Completion Report
 Operation and Technical Manual
 Operations and Maintenance Transition Plan
 Upgrade Schedule and Approach document
 Software Escrow Agreement
The deliverables and performance standards associated with each Phase Gate identified in this scope
of work are further defined in Section 5 Deliverables and Acceptance Criteria.
3.2 Out of Scope





Maintenance services related to the Regulatory Enforcement and Licensing (REAL) System and
any changes required to be made to the REAL System to accommodate required interfaces.
Changes to any Department of Financial Services managed systems where an interface with the
CCDB is required.
Changes to the Division of Workers’ Compensation system.
Changes to the Department of State System.
Changes to the check cashers point of sale (POS) systems.
3.3 Requirements
This section contains the requirements defining the capabilities, functionality, performance, and other
characteristics required of the CCDB.
Attachment D - Requirements Response Matrix contains the requirements resulting from JAD
sessions with the Office staff and key external stakeholders.
3.3.1 Regulatory Requirements
Reference: Attachment E - Requirements Specification Report of the ITN
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3.3.2 Functional Requirements
Reference: Attachment E - Requirements Specification Report of the ITN
3.3.3 Technical Requirements
Reference: Attachment E - Requirements Specification Report of the ITN. DFS-DIS technical
oversight of the solution and its implementation is required for hosting options where the DIS
infrastructure is impacted. The Vendor is responsible for ensuring appropriate DIS
involvement and for requesting and obtaining appropriate DIS approval throughout the project,
in accordance with all Technical Requirements and Project Management Requirements.
3.4 Special Office Requirements or Constraints
3.5 Standards and Specifications
The Department of Financial Services (DFS) has adopted an Information Systems Development
Methodology (ISDM). The primary purpose of the DFS ISDM is to target new development and
technology upgrade activities to produce applications that are easier to maintain, perform well under
load, provide security controls and facilitate repeatable processes.
All deliverables (Work) developed and work conducted by the Contractor pursuant to this SOW shall
be performed in accordance with the Division of Information Systems (DIS) standards and
specifications. These standards will be strictly adhered to and are available at the following website:
http://www.myfloridacfo.com/dis/isdm/
New application development activities are defined as “activities that result in the creation of new
source code with the expected outcome of satisfying a business need for the first time in the chosen
development language.” New application development and technology upgrade activities are required
to follow the DFS ISDM and DFS Application Development Standards unless prior written exemption
is approved by DIS. The DFS ISDM Life Cycle Checklist is a roadmap to ensure critical checkpoints
and deliverables are met. The Checklist has various required steps and associated documents that must
be completed both during the development process and prior to production deployment. New
development activities and technology upgrade activities should use the most recent .Net templates
provided by the DIS, Bureau of Enterprise Applications.
Application maintenance and enhancement activities that are not technology upgrades or new
development should also follow the DFS ISDM Checklist. However, these activities should continue
to enhance and maintain existing applications in the same style, framework and architecture that
already exist in the application. Exceptions to the ISDM process, templates, standards and checklist
must be requested in advance of work being performed by contacting the Division of Information
Systems.
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4
Deliverables and Schedule
4.1 Deliverables
The Contractor shall prepare and deliver the following deliverables to the OFR. The OFR will use the
Performance Measures to determine when each deliverable will be considered acceptable. (Prices and
rates will be stated in the Pricing Proposal submitted by the Contractor.)
OFR expects that the level of detail within the deliverables will be commensurate with
the project size and complexity.
For Non-Performance: Failure to complete the required duties as outlined may result in an
Office initiated corrective action plan. The Contractor will have an opportunity to respond to
the corrective action plan and provide a cure to the deficiencies identified in the corrective
action plan. The Office may accept or reject the Contractor’s recommended cure. Invoices will
not be processed until the Contractor successfully exits the cure period.
No. Deliverable
Deliverable Description
Phase One: Initiate and Plan
1.1 Project Management
This deliverable is built on
Plan
the PMBOK framework
and includes key
information about the
planning, execution, and
continued monitoring and
controlling throughout the
life of the project.
1.2
Project Initiation
Meeting(s)
1.3
Project Status Report
Phase Two: Define
2.1 Updated Requirements
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DFS (OFR) ITN 13/14-08
This meeting is designed as
a collaborative review of
the PMP and all the
deliverables associated with
the Project SDLC.
Project Status Reporting
communicating the overall
health of the project will be
provided at each Weekly
Status Meeting throughout
the life of the project.
A document explaining the
Performance Measures
At a minimum, the deliverable shall:
 Be based on an industry standard project
management model such as PMBOK.
 Include sections specified in the Scope
of Work, Section 3.1.1.1 Phase One:
Initiate and Plan.
 Maintained throughout the life of the
project.
 Include templates for Weekly Status
Report and Risk/Issue Tracking.
At a minimum, the deliverable shall:
 Include an agenda for the meeting.
 Include minutes of the meeting.
 Result in updated deliverables (i.e.,
PMP) if applicable.
At a minimum, the deliverable shall:
 Include sections on milestone tracking,
key activities completed, forecasted
work for upcoming reporting periods,
issues log, and a risks log.
At a minimum, the deliverable shall:
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No.
Deliverable
Specifications Report
Deliverable Description
Performance Measures
CCDB system architecture
 Update the RSR based on the selected
and associated requirements
hosting option, the vendor’s proposed
(i.e., functional, technical,
solution, and the results of the
regulatory).
requirements validation sessions.
 Ensure that the RSR is aligned with the
updated RTM.
2.2
Requirements
Traceability Matrix
Link of all the functional,
technical, and regulatory
requirements back to future
software development,
testing, and implementation
activities.
At a minimum, the deliverable shall:
 Identify requirements at the lowest level
required to perform design activities;
values are identified at the field level
and consistency edits are defined.
 Be based on an industry standard
Requirements Management tool, as
agreed to by the Office, which can
import data from tools such as
Microsoft Excel.
 Maintained through the project lifecycle
(i.e., Define, Design, Develop, System
Test, Implementation, and Maintenance
phases).
Provides a conceptual
perspective of the CCDB
solution including data
models, process models,
and both graphical and
narrative representation for
each form, report, interface,
and enhancement.
At a minimum, the deliverable shall:
 Be supported by appropriate models
(i.e., data models, process models, data
dictionary).
 Include visual presentation with
appropriate narrative context.
 Include the User Interface Standards
that shall be built upon documented
industry standards.
 Include a Prototype that demonstrates
key functionality that is being met by
the CCDB solution.
 Include Report templates for any
predefined reports.
 Documentation complies with the DIS
policies, procedures and technical
standards provided by the Contract
Manager.
At a minimum, the deliverable shall:
 Include a graphical and narrative
explanation of the underlying
infrastructure necessary to support the
Phase Three: Design
3.1 Functional Design
Document
3.2
Technical Design
Document
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The TDD shall demonstrate
the overall infrastructure
necessary to support the
CCDB system architecture.
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No.
Deliverable
Phase Four: Develop
4.1 Source Code
4.2
Unit Test Plan
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Deliverable Description
Performance Measures
CCDB architecture.
 Include the System Architecture that
illustrates a tiered representation of the
CCDB solution (e.g. client, server-side
components, network layer, data layer,
security layer, etc.).
 Include a Database Design that
represents the data structures, an entity
relationship model and a database
schema that defines tables, fields,
relationships, views, indexes, packages,
procedures, functions, triggers, types,
sequences, XML schemas, and other
elements.
 Include the Web Services Interfaces
Design that defines each interface and
technology necessary to support each
interface (e.g., SOAP, XML, etc).
A copy of the source code
libraries shall be provided
to the Office in a usable
medium.
At a minimum, the deliverable shall:
 The code libraries shall be loaded into a
standard source code repository.
 Source code shall be documented to
reflect updates and extensions of
functionality where appropriate.
 System needs all requirements
enumerated in this SOW, including
requirements for system performance.
 Document business and technical
requirements for approval by the Office.
At a minimum, the deliverable shall:
 Include a narrative of the Unit Testing
methodology applied in the Develop
Phase of the Project Life Cycle.
 Include an explanation of the approach
used to apply the Unit Test
methodology and document the Unit
Testing policies and procedures that will
be followed during the life of the project
and the future maintenance of the
CCDB solution.
 Document the development and testing
guidelines applied during the Project
The plan shall
communicate the
methodology and approach
used to ensure that
requirements are fully
tested during the Develop
Phase of the Project Life
Cycle.
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Deliverable
Deliverable Description
4.3
Unit Test Results
4.4
Infrastructure Plan
4.5
Configuration
Management Plan
Unit Test Results shall be
documented in a standard
report layout and include
the result of each case
executed.
The plan shall document
the necessary hardware,
software, and network
components to support the
CCDB environments (i.e.,
Development, Testing,
Production).
The plan shall document
the configurations of all
hardware and software
necessary to support the
CCDB solution.
Phase Five: System Test
5.1 Test Plan
5.2
Test Cases
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DFS (OFR) ITN 13/14-08
The Test Plan shall cover
multi testing components
including System, End-toEnd, Interface,
Performance/Stress, User
Acceptance, and
Regression.
Documented test cases that
are linked back to the
requirements will be
utilized in the execution of
test cases.
Performance Measures
Life Cycle.
At a minimum, the deliverable shall:
 Provide a report showing each unit test
case executed with the corresponding
result (e.g., pass/fail).
At a minimum, the deliverable shall:
 Provide detailed information about each
component within the system
architecture.
 Include information based on a
validated server sizing study.
At a minimum, the deliverable shall:
 Provide sufficient information so that
the plan may be used as a tool to
establish the overall approach for the
Configuration Management activities of
the CCDB.
 Identify the overall policies and
methods for the Configuration
Management activities to be used during
the system life cycle of the CCDB
solution.
At a minimum, the deliverable shall:
 Include templates to document the
results of each testing component.
 Include process maps illustrating the
steps of each test.
At a minimum, the deliverable shall:
 Include an inventory of test cases by
functional area.
 Provide a link between test case and
requirement.
 Be maintainable as changes are made to
the system.
 Develop tests to ensure the system
meets requirements.
 Testing has been conducted and
completed.
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5.3
Deliverable
Test Results
5.4
Updated Requirements
Traceability Matrix
Deliverable Description
A tool to track the
execution of test cases with
the corresponding result
(e.g., pass/fail).
The Requirements
Traceability Matrix is a
living document which
should be documented
through the life cycle. The
Matrix is used as a tool in
the testing process.
Phase Six: Implement and Train
6.1 Implementation Plan
The plan shall address the
methodology and approach
necessary to launch and
maintain the CCDB
platform.
6.2
Disaster Recovery
(DR) Manual
6.3
Fully Deployed CCDB
Solution
6.4
Customized Training
Plan
CCDB Implementation SOW
DFS (OFR) ITN 13/14-08
The plan shall address the
strategy for business
continuity to minimize the
effects of a disaster to
enable the Office to
maintain or quickly resume
critical functions.
All agreed to User
Acceptance Test cases have
been deemed “Passed” and
any remaining issues are
being tracked and
prioritized within the defect
remediation process.
A plan to ensure that all the
CCDB end users have
access to the knowledge
and skills necessary to
effectively employ the
Performance Measures
At a minimum, the deliverable shall:
 Provide a report showing each unit test
case executed with the corresponding
result (e.g., pass/fail, remediation
action).
At a minimum, the deliverable shall:
 Be maintained as appropriate during the
Testing cycles.
At a minimum, the deliverable shall:
 Include database administration
procedures.
 Include installation procedures.
 Identify the steps leading up to rollout.
 Clearly document the procedures for
promoting software to the production
environment.
 Define a rollback process in the event
major issues surface of a software
release.
At a minimum, the deliverable shall:
 Require a successful Recovery Test of
the entire application has occurred.
 Include a final, updated copy of this
Deliverable to be issued to the Office in
electronic, hardcopy and CD format.
At a minimum, the deliverable shall:
 Include a closeout report of closed UAT
scripts and open defects to be resolved
in remediation process.
At a minimum, the deliverable shall:
 Provide an approach with plan and
mechanism to achieve the necessary
knowledge transfer to the CCDB end
users.
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Deliverable
6.5
Training Schedule
6.6
Customized Training
Material
6.7
Training Execution
Report
Phase Seven: Maintenance
7.1 Warranty Completion
Report
Deliverable Description
CCDB solution.
A supporting timeline with
allocated resources to
achieve the Training Plan.
Performance Measures
The Contractor shall
provide the necessary
training aides and materials
to facilitate the CCDB
training to end users.
The Contractor shall
provide a minimum of five
training sessions with OFR
internal users.
At a minimum, the deliverable shall:
 Include original copies of the training
material in an agreed upon media (e.g.,
web-based, digital, etc.).
The warranty support
period will last 12 months
from the date of the CCDB
solution going live.
At a minimum, the deliverable shall:
 Monthly Operational Reports
documenting overall status, key
activities, and open issues.
 A final closeout report at the end of the
12 month warranty period.
At a minimum, the deliverable shall:
 Include current inventory of hardware
and software versions.
 Include documented processes to
support the system.
 Include checklists and templates to
ensure operational tasks are completed
timely.
 Include a disaster recovery component
for the CCDB solution.
At a minimum, the deliverable shall:
 Include a detailed approach with
activities and tasks to be accomplished.
 Include an inventory of business
processes, knowledge, and skills
necessary to execute the operational
components of the CCDB system.
7.2
Operation and
Technical Manual
The manual shall explain
how to use, operate and
maintain the CCDB system.
7.3
Operations and
Maintenance Transition
Plan
The plan shall document
the Contractor’s approach
to transition the operations
and first line support of the
CCDB solution to the
Office.
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DFS (OFR) ITN 13/14-08
At a minimum, the deliverable shall:
 Include a detailed schedule of tasks and
activities to achieve the objective of the
Customized Training Plan.
At a minimum, the deliverable shall:
 Include a closeout report (e.g., training
results such as satisfaction percentage,
percent of employee completion,
percent pass vs. failed, etc.)
documenting the training sessions and
the participants that were trained.
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Deliverable
Deliverable Description
7.4
Software Update
Schedule and Approach
Document
The Contractor shall
maintain a release schedule
of all patches and upgrades
for all licensed software
within the CCDB
architecture.
7.5
Software Escrow
Agreement
Documented agreement that
gives OFR
access/ownership of the
source code based on
defined situations.
CCDB Implementation SOW
DFS (OFR) ITN 13/14-08
Performance Measures
 Transfer to the Office data and records
and at a minimum provide to the Office:
data definitions, table structure, the
Office’s data under its control, and any
custom code required to allow the
Office a smooth transition to in-house or
substitute vendor implementation of
similar functionality to that provided by
the Contractor.
 Three months prior to termination, the
Contractor shall provide the Office an
explanation of the functional equivalent
of the technical requirements of any
services or proprietary products used to
carry out the contract and all
documentation supporting a description
of the technical and service
requirements.
At a minimum, the deliverable shall:
 Include a current list of CCDB licensed
components with version number and
date installed/upgraded.
 Include a frequency of expected
software releases for planning purposes.
 Include a performance standard to
measure the performance of each
licensed CCDB component.
 Include Upgrades, upgrade notifications
and remote diagnostics.
 Include Guaranteed right to new
versions.
 Include a completed record of work,
including workflow authorization
signatures, when implementing patches
and updates for system software.
At a minimum, the deliverable shall:
 Include completed and signed Software
Escrow Agreement.
 Detail how/where CCDB software code
is escrowed, who holds it and the
conditions for code handover.
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4.2 Deliverables Format
The deliverables described in this section are to be provided in electronic format, and shall be in a format
that can be updated by the OFR, using the following DIS project software standards (or lower convertible
versions):
File Content
Word Processing
Spreadsheets
Entity Relationship Diagrams and
Physical Diagrams
Application
Microsoft Word
Microsoft Excel
Sybase Power Designer
Erwin
Process Flow Diagrams
Project Management
Database
Programming Source Code
Presentations
Email and Calendar/Scheduling
Security/Authentication
Visio
Visio
Sybase PowerDesigner
MS Project Professional
Project Server
DB2
Oracle
SQL Server
Microsoft Access
MS Visual SourceSafe (or
.NET equivalent)
MS PowerPoint
MS Outlook
Active Directory
Version
2003
2003
10 (or version that can
be opened in 10 and 12)
In version and format
that can be opened in
DIS version of
PowerDesigner
2003
2003
12
2003
2003
8
8.1.7 and 10g
2005
2003
6.0 C
2003
2003
4.3 Project Schedule
The following schedule reflects the deadlines for completion of the services detailed in this SOW. In
addition to this list, the final Contract may identify other deliverables not yet listed, which must be
segregated into logical phases and milestones with a work schedule and completion date for each one.
In this instance the Office will work with the Contractor to establish the work plan and related
deliverable date. The Vendor shall provide projected dates for completion in their response.
Milestones
Initiate and Plan Acceptance
Define Acceptance
Design Acceptance
Develop Acceptance
System Test Acceptance
CCDB Implementation SOW
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Due Date
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Milestones
Implement and Train Acceptance
Maintain Acceptance
Due Date
4.4 Inspection and Acceptance
All deliverables shall be submitted to the Contract Manager for review and approval. The
Contractor shall provide the Office with a Deliverable Review Schedule to notify project
participants in advance of when they are expected to be available for review and acceptance of
deliverables. The Office will accept each deliverable in writing when it has been reviewed and
signed off that it meets the applicable criteria specified in this SOW, including the standards and
guidelines referenced herein. The Office may provide additional acceptance criteria during the
contract period to be used for the deliverables. Failure to accept a deliverable within 20 days means
automatic non-acceptance by the Office unless stated otherwise by the Contract Manager in writing.
5
Responsibilities and Staffing
5.1 Contractor Responsibilities
The Contractor responsibilities have been outlined in Section 3.1.1 of this SOW under each SDLC Phase.
5.2 DIS Responsibilities
1)
2)
3)
4)
5)
6)
Internet connectivity
Access to telephones and printers, as needed
Work stations, as needed
Access to the DFS network as appropriate while adhering to the DIS ISDM standards
Access to the DFS/OFR platforms and interfacing systems as appropriate
Access to applicable policies and standards
5.3 OFR Responsibilities
1) Oversight:
 The OFR shall require its staff to review Contractor reports and reconcile them to
supporting documents.
 The OFR shall provide a dedicated Project Manager to liaise with the Contractor’s
dedicated Project Manager and will be the day-to-day point of contact for the Contractor.
 The OFR shall provide documentation as requested by the Contractor and within a
specified timeframe.
 The OFR shall provide staff as required to complete all phases of the engagement.
2) Facilities and Equipment:
 The OFR shall provide work space as needed.
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Florida Office of Financial Regulation
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5.4 Location of Work
It is expected that the work outlined in this SOW will be conducted on-site in OFR’s Tallahassee
offices at 200 East Gaines Street, Tallahassee, Florida 32399. If the Contractor uses their own
computer laptop, the equipment will be subjected to a security review by the Office in order to
ensure it is free of software viruses and does not otherwise pose a security threat prior to connection
to the Office’s network.
5.5 Project Staffing
5.5.1
Contractor Project Staffing
The Contractor must organize their staff so that individuals fulfill specific roles in a welldefined organization. The Contractor must define its proposed key staffing organization. The
specific roles, responsibilities and the education, knowledge, and experience required to
perform the role shall be identified. Contractor staff members fulfilling key roles are
considered to be key staff.
The Contractor’s proposed organization should identify any specific roles required by its
methodologies or solution. The Office reserves the right to designate additional roles as key
staff.
Organizationally, the Contractor is free to structure its organization to perform specific roles.
The Office provides the following key staff recommendations:
1. There shall be one staff member fulfilling the Project Manager role.
2. There shall be one staff member fulfilling the Technical Lead role.
Staff members acting in key roles of the project shall be identified by name in the proposal
and shall be available for the project. Please refer to Attachment A - Standard Contract for
specific clauses pertaining to reassignment of key personnel.
5.5.2 Office Project Staffing
Role
Executive Sponsor
Project Sponsor
Steering Committee
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DFS (OFR) ITN 13/14-08
Responsibilities
Decision-maker who provides high-level direction and final
approval of legislative or financial agency impacts.
Represents the executive sponsor on a day-to-day basis; Makes
most decisions except those impacting the Office legislatively or
financially; Works with Contractor’s Project Manager and OFR’s
Contract Manager to develop deliverable acceptance criteria;
Approves major deliverables.
Group of high-level stakeholders who provide guidance on overall
strategic direction; Facilitate resolution of significant issues in the
project.
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Role
Business Analysts
Business Coordinator
DFS IT Coordinator
Technical Experts
Disaster Recovery
Coordinator
DFS DIS PMO
Representative
Contract Manager
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DFS (OFR) ITN 13/14-08
Responsibilities
Participate in defining business requirements, functional
requirements and validation
Participate in testing activities; Respond as necessary to business
related issues/questions.
Provide support to the Contractor’s Project Manager.
Manage OFR’s involvement in the planning, development, review
and acceptance of all project deliverables; Ensures OFR meets
agreed upon project schedule; Ensure adequate business resources
are available; Coordinate project status communications; Resolve
minor issues, but major issues are escalated to the Project Sponsor;
Coordinate activities and communications with external
stakeholders; participate in the daily management of project scope,
risk, quality; Ensure compliance with project proposal and with all
established standards. Coordinate activities with the business /
Office community including testing and training; Define business
rules; Authorize access and serve as the primary application
contact for troubleshooting after the application is installed.
From the technical side;
Provide support to the Project Manager; Coordinate and manage
DIS resources; Develop the associated tasks and estimated effort
hours for DIS resources; Ensure compliance with DIS policies,
procedures and technical standards.
From the technical side;
Participate in required technical related discussions and activities,
especially those related to infrastructure issues and back-end
systems.
From the technical side;
Coordinate Recovery Test and inclusion of Project Disaster
Recovery plans into overall Office Disaster Recovery Plans, as
appropriate.
From the PMO;
Monitor and review projects to ensure compliance with PMO
policies, procedures and standards; Review project management
processes for adherence to sound PM practices; Review project
deliverables and processes used to create them for quality
assurance purposes; Develop and manage metrics to measure the
quality of project deliverables and services.
Main Office point of contact for all issues related to the SOW;
Serves as the Office’s Contracting Officer for purposes of an
applicable STC; Review, verify and approve invoices from the
Contractor; Receives all deliverables from the Contractor; Ensure
the timely review by the Office of all planning documents and
deliverables.
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