DEPARTMENT OF WORKFORCE
SOLUTIONS
UNEMPLOYMENT INSURANCE TAX
SYSTEM MODERNIZATION PROJECT
(UI TAX)
1 . A . D. 3 PR OJ EC T P LA N N IN G A N D
A D M IN IS TR A T ION
ORIGINAL DATE:
04/30/10
REVISION DATE:
06/15/2010
REVISION:
Version 1.1
NMDWS UITSM
DOCUMENT REVISION HISTORY
Date
Version
Responsible
Reason for Revision
04/30/2010
1.0
R. Daub
Final Version for DWS Submission
06/15/2010
1.1
P. Mukhopadhyay
Incorporated DWS Comments
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TABLE OF CONTENTS
INTRODUCTION - PROJECT PLANNING AND ADMINISTRATION ........................4
1.
MODERNIZATION APPROACH AND STRATEGY ............................................... 5
2.
COMMUNICATION MANAGEMENT PLAN ........................................................ 17
3.
RISK MANAGEMENT PLAN ................................................................................... 17
4.
QUALITY MANAGEMENT PLAN .......................................................................... 35
4.1 Deliverable Submission and Review Process ....................................................... 35
5.
HUMAN RESOURCE PLAN..................................................................................... 38
6.
KNOWLEDGE TRANSFER PLAN........................................................................... 41
6.1 Purpose ................................................................................................................. 41
6.2 Assumptions/Constraints..................................................................................... 41
6.3 Overall Approach .................................................................................................. 42
6.4 Project Specific Activities and Tasks.................................................................... 48
6.5 Knowledge Transfer Tools and the uFACTS Knowledge Repository ................. 50
6.6 Schedule ................................................................................................................ 56
7.
PROJECT ARCHIVES/REPOSITORY .................................................................... 56
8.
PROJECT CLOSEOUT PROCESS ............................................................................ 56
A.
APPENDIX A – MONTHLY STATUS TEMPLATE ............................................... 57
B.
APPENDIX B – WEEKLY STATUS TEMPLATE ................................................... 63
C.
APPENDIX C – EMPLOYER (AND THIRD PARTY AGENT)
COMMUNICATION PLAN ...................................................................................... 73
D.
APPENDIX D – SAMPLE TRAINING MANUAL: EMPLOYER REGISTRATION
...................................................................................................................................... 89
E.
APPENDIX E – TRAINING SYLLABUS ................................................................. 94
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INTRODUCTION - PROJECT PLANNING AND ADMINISTRATION
This Project Planning and Administration deliverable applies the general project management processes
and governance outlined in the Phase 0 Unemployment Insurance Tax System Modernization Project
Management Plan to the activities and deliverables for Phase 1 – Employer Self Service. This deliverable
provides phase-specific additional details and reflects the latest project planning at the outset of the phase.
This deliverable includes the following sections:
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Modernization Approach and Strategy – This section summarizes the project approach outlined in
the Statement of Work and Phase 0 PMP, and highlights changes specific to Phase 1.
Communication Management Plan – This section complements the Communication Management
Plan described in the Phase 0 PMP and highlights changes specific to Phase 1.
Risk Management Plan – This section complements the Risk Management Plan described in the
Phase 0 PMP and highlights changes specific to Phase 1.
Quality Management Plan – This section complements the Quality Management Plan described in
the Phase 0 PMP and highlights changes specific to Phase 1.
Human Resource Plan – This section complements the Human Resource Plan described in the Phase
0 PMP (Staff Planning and Resource Acquisition) and provides more detail specific to Phase 1.
Knowledge Transfer Plan – This section describes the Phase 1 Knowledge Transfer Plan, including
training for DWS business and technical staff.
Project Archives/Repository – This section complements the Configuration Management section of
the Phase 0 PMP and provides details specific to Phase 1.
Project Closeout Process – This section complements the Project Close section of the Phase 0 PMP
and highlights changes specific to Phase 1.
While there have not been any significant changes to the Project’s Modernization Approach and Strategy,
there are minor changes that are reflected in this deliverable. Additionally, this deliverable captures
potential or pending changes, at the date of deliverable submission.
Examples of Phase 1 modifications include updates to the Modernization Approach and Strategy to
address:

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

Consolidation of Phase 1/Phase 2 joint requirements management (JRM) sessions
Revisions to the Phase 1 (‘go-live’) implementation, based on the project start date
Updates to the Phase 1 deliverable submissions dates based on the implementation date and DWS
constraints (requires an update to the Statement of Work – Change Order)
Modifications to the Technical Architecture that include modifying the database from DB2 to Oracle
and replacing the proposed servers with blade servers.
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1. MODERNIZATION APPROACH AND STRATEGY
DWS’ Modernization Approach and Strategy is in response to the organization’s goals and objectives as
stated in the Statement of Work and is based on Deloitte’s project approach that integrates our uFACTS
Solution Framework with our Playbook system development life cycle (SDLC) methodology. This
modernization approach and strategy has helped other Unemployment Insurance agencies achieve similar
objectives. The Modernization Approach and Strategy is driven by the following processes and
components:

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Playbook Methodology – Provides the roadmap for the project’s work breakdown structure
Phase 1 Functional Scope – The functional scope in this document serves as the baseline, at the outset
of Phase 1 (to be confirmed during the Define Phase Requirements Validation activities).
o uFACTS Tax Services – Outlines the uFACTS functional modules to be deployed in support of
the Phase 1 UI Tax business and supporting process requirements.
Phase 1 Technical Scope – The technical scope in this document serves as the baseline, at the outset
of Phase 1. The technical scope includes the uFACTS .Net architecture and hardware/software
architecture to support the new UITSM system and is based on DWS UITSM requirements.
o uFACTS .NET Architecture – Outlines uFACTS technology architecture in support of the Phase
1 Functional Scope
o Hardware and Software Architecture – Depicts the hardware and software architecture deployed
for Phase 1
Schedule – Outlines the Phase 1 project schedule, based on the project start date
Playbook Methodology
In addition to Project Management, the UITSM Software Development Life Cycle (SDLC) includes the
following phases:
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Define - Our Define Phase activities focus on defining the technology infrastructure requirements
(system environment configuration), establishing initial environments, confirming requirements, and
performing Fit Gap Analysis for both Phase 1 and Phase 2.
Design - Our Design Phase activities focus on architectural design and detailed system design
(including data conversion).
Develop - Our Develop Phase activities focus on system configuration and custom development
activities that are an outcome of Fit Gap Analysis, unit test, and establishing the Test and Data
Conversion environments.
Test - Our Test Phase activities focus on establishing Test environments and performing integration,
system, User Acceptance, and QA test activities.
Deploy - Our Deploy Phase includes the activities that culminate in the deployment of the new UI
Tax System. Our focus is on training, documentation, and other implementation activities, up to and
including system cut-over.
Post-Implementation Support - Post Implementation Support for Phase 1 includes production
system support. The activities include preparing the following work products:
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o
o
o
o
o
o
o
o
o
Production System Support
Batch processing operations
System backup and recovery operations
System monitoring, maintenance, and scheduling
Production software upgrades and releases
System table maintenance
Batch report, form, letter, and payment generation
Security operations and support
Other technical UI Tax production support processes (including system support facilitation
procedures)
Details regarding how these SDLC phases incorporate the uFACTS Solution Framework are available in
Deloitte’s UITSM Project proposal.
These SDLC phases integrate the project’s functional and technical scope, as described on the following
pages.
Phase 1 - Functional Scope
Employer Self-Service (Phase 1) includes the following functionality in support of the requirements
outlined in the DWS UITSM requirements provided during the RFP and proposal phases and validated
through the requirements validation process in conjunction with the uFACTS Solution Framework’s Tax
Services module requirements.
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Registering and Reactivating Employer Accounts
o Employer Registrations
o Employer Self-Service Account Creation
o Liability Determinations
Processing and Adjusting Wage and Tax Reports
o File Quarterly Wage Reports
o Adjust Wage and Tax Detail
Employer/Agent Make Payment
o ACH Debit
View Employer Account — To be determined by analysis with DWS during JRM sessions and may
include:
o View Amount Due
o View Current UI Tax Rate
o View Demographic/Profile Data
o View Agent/Third Party Administrator Access
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This functionality is subject to minor evolution as an outcome of the Phase 1 JRM sessions. Material
change to this scope is subject to the project’s change control process, as outlined in the Phase 0 PMP
Scope Management Plan.
uFACTS – Tax Services
The uFACTS Solution Framework Tax Services module provides UI agencies with a proven solution.
uFACTS helps agencies increase tax collections and improve trust fund solvency, increase wage data
integrity, and provides employers a central location to manage their UI tax business.
The uFACTS Solution Framework Tax Services module includes a set of predefined system design
artifacts, templates, and software architecture. The module allows UI staff, employers, and third-party
representatives to register a new account, open an online/self-service account, submit and manage wage
and tax data, and maintain a wide range of employer account data. The uFACTS Solution Framework
provides common views and interfaces for employer and employer representative self-service, and staff
processing. The detail that follows describes the Phase 1 components and subcomponents contained in
the current uFACTS Solution Framework functions.
The following table outlines uFACTS Phase 1Tax Services features and benefits.
UFACTS TAX SERVICES – PHASE 1
FEATURES
BENEFITS
Registering and Reactivating
Employer Accounts
The Phase 1 process allows new employers an opportunity to create a UI
Employer Account, and existing employers to create an online self-service
account. During the new employer registration, the necessary data to
validate business existence, generate a tax rate, and submit
correspondence (via legacy interfaces) are collected. In addition, wage
and/or tax report data also are collected during this process. The process
eliminates staff intervention on most employer registrations and account
activations and notifies users if an alternative approach to registration is
necessary based on their business situation (i.e. mergers and acquisitions –
this will be incorporated during Phase 2).
A key benefit is the online generation of employer account numbers and
rate calculations; this prevents the long waits often associated with
employer registrations, and the delinquencies in wage filings that result.
The process will collect and store the data necessary to manage new
employer accounts both during Phase 1 and Phase 2.
The Self-Service Account Creation component is designed specifically for
employer and third-party administrator conversion and new system
adoption. It allows currently registered employers and agents to log on to
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UFACTS TAX SERVICES – PHASE 1
FEATURES
BENEFITS
the system, using an established security profile, and access their selfservice account. The process displays current employer data, and asks
employers to complete or update missing data. Upon completion, the
employer will have established a permanent username and password,
updated their account data, and initiated their self-service system.
Phase 2 functionality will expand the base Registration Module to include
employer re-activations and complex registrations requiring added staff
intervention.
Processing and Adjusting
Wage and Tax Reports
This subcomponent provides employers, third party representatives, and
staff the ability to enter and submit individual wage records. The process
incorporates wage detail submission and record history, wage
adjustments, exception and estimation handling, and multiple submission
modes (zero wage, manual entry, copy-previous quarters, file upload, and
Secure FTP – File Transfer Protocol). The uFACTS Solution Framework
validates employer liability and type (i.e., contributory or reimbursable),
produces online/real-time data edits and validations, collects 12th of the
Month LMI data, and uses a state’s calculation rules to calculate the
employer’s amount due upon submission. The process tracks taxable
wages based on SSN; identifies employer rates, and penalty rates; and,
incorporates intelligent adjustments, non-submission
penalties/assessments, and wage transfers. The process allows employers
of all sizes to manage their wage information efficiently, reduces
submission errors, and improves accurate payment. The Wage
Maintenance subcomponent also integrates tightly to the monetary redetermination subcomponent – facilitating monetary re-determinations
based on employer or staff wage adjustments.
The process enables staff to collect data in a timely fashion, accurately
calculate taxes, and improve overall data management for both tax and
benefits processing.
Phase 1 will incorporate the necessary processing and calculation
functionality to collect, process and calculate and store history for wage
filings. Appropriate interfaces between the claims system, TRD (data
pushing of required elements), and legacy components will be assessed
and designed during the JADs.
Managing and Maintaining
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This subcomponent allows employers to maintain and view basic account
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UFACTS TAX SERVICES – PHASE 1
FEATURES
BENEFITS
Employer Accounts
information through contact with a customer-service representative or the
employer self-service website. Phase 1 will incorporate a series of views
and/or simple updates (i.e., addresses, owner/officers, and work locations)
on select high-frequency account elements. This information and updates
will reduce the workload of NMDWS staff and save time.
A basic account profile view, minor account updates (to be determined at
the close of JRMs), and data views will be provided in Phase 1. Detailed
views, profile updates, and general account information will be central
elements to the Phase 2 implementation.
Managing Employers’
Ratings and Benefits Paid
Charges
The ratings elements manages annual rate and fee calculations, individual
ratings, rate modifications and recalculations, benefits paid charging,
experience history, and related elements will be managed during Phase 2.
In order to appropriately manage Wage and Tax calculations, rate and fee
information elements will be stored and potentially viewable during Phase
1.
Rate factors will be used for tax calculations and will be pulled from the
legacy application.
Employer Self-Service
The Phase 1 implementation will establish the Common and
Administrative Services necessary to manage user-level and role-based
security; this will enable employers and third-party administrators to
manage the Phase 1 UI business with no UI Staff intervention. Employers
can designate multiple users and/or multiple third-party administrators (by
unique role) to administer their account. Our proven self-service approach
has significantly improved employer data and reduced staff intervention.
The foundation for Self-Service will be built during Phase 1 and re-visited
as it pertains to added functionality for full implementation during Phase
2.
Managing Employer
Representatives
The subcomponent incorporates functionality that works with the distinct
business situations of small (e.g., Certified Public Accountants) and large
employer representatives (e.g., ADP, TALX, or Intuit).
The uFACTS Solution Framework allows employers, employer
representatives, and/or NMDWS staff to electronically manage power of
attorney and roles, client searches, bulk client rate management and
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UFACTS TAX SERVICES – PHASE 1
FEATURES
BENEFITS
review, benefits paid charge data, and client data downloads.
As a part of the Common and Administrative Services, Phase 1 will build
the framework for managing third party representatives and their security
access. The solution allows agents to manage multiple employer clients
with a single sign-on, submit bulk wage detail and payment data, or
simply manage individual employer accounts through self-service. In
addition, the process provides bulk processing, produces error and
confirmation files, and allows these bulk processors access without the
need for magnetic media tapes, CDs, or paper files.
Our approach to third-party representatives includes close communication
with the National Payroll Reporting Consortium, and a planned method
for managing both the technical and political risks related to these highvolume constituents; these elements will be provided during the Phase 1
deployment.
Additionally, the uFACTS Solution Framework supports the features listed above with the following
capabilities:
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Secure login
Real-time data validations (where requested)
Real-time editing of wage data and adjustments
Transaction tracking
A facility for employer representatives to submit large data volumes without agency intervention
Employer demographic and account data (e.g., Reporting Units, Power-of-Attorney Agreements,
Owner/Officer Details, and Multiple Address Management).
Phase 1 - Technical Scope
The UITSM Technical Strategy is to deploy uFACTS using a .NET technology platform for the Phase 1
Employer Self Service functional scope.
uFACTS .NET Architecture
The uFACTS Solution Framework is based on a Service-Oriented Architecture and utilizes Deloitte’s
Microsoft .NET 3.5 development framework to speed the modernization of an Unemployment Insurance
system through adherence to common standards and use of productivity-enhancing tools.
Core components of the uFACTS Solution Framework .NET architecture include:
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
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UI Tax functionality
Secure web environment for online business
Robust business rules engine that supports change and simplified modification
Automated workflow to eliminate unwanted manual processes
Document management and imaging services for managing varied forms of content
Reporting features to support standard, off-peak queries and ad-hoc reporting
Telephony integration capabilities to support advanced and automated system access, anytime, from
anywhere
Enterprise-level components that are used for internal uFACTS Solution Framework operations and
available through published services to leverage business logic and information throughout the
organization
Single integrated database and data structure
Built using the latest technology with a demonstrated track record, leveraging the right mix of
performance optimizations as well as modularity.
The uFACTS Solution Framework application architecture is built using a component-based ServiceOriented Architecture, making it extensible, flexible and repeatable.
Underlying this Service-Oriented Architecture is a .NET development framework that allows the
application to be customized to fit specific business needs, while leveraging widely accepted open source
tools and leading third-party software products such as the following to provide key areas of
functionality:
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
Pitney Bowes Group1 for address validation
Crystal Reports 2008 for queries and reports
Microsoft Active Directory Server for authentication/authorization
Hardware and Software Architecture
The architecture of the UITSM System is composed of both Non-Production and Production regions.
The non-production environment is comprised of the following physical environments:
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
Development Environment – A deployment region hosting the application
Test Environment – Another deployment region hosting the application, used for testing
Project Environment – An environment that hosts the project servers
Developer and Unit Test Environment – This includes developer laptops that are installed with
required development software tools.
The Development and Test Environments each contain their own set of physical servers. Within each
environment there are four logical environments. For example, the two physical application servers within
the development region will have four instances of the .NET application running. This maximizes the
usage of the physical servers and provides the number of logical regions required by the project.
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The Development and Test Environments contain several logical regions.


The Development Environment has the following logical regions:
o Component Integration Test
o System Test
o Data Conversion
o Proof of Concept (POC)
The Test Environment has the following logical regions:
o User Acceptance Test (UAT)
o Training
o Quality Assurance
o Performance Testing
There are many components commonly shared between the Development and Test Environments. The
environments share a common network, firewalls, BigIP load balancer, routers, switches and a backup
solution. In addition, they share common web servers (presentation tier), fax servers, FTP servers and a
HP C7000 blade center chassis.
The Phase 1 Production hardware architecture includes:
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Web servers
Application servers
Active Directory servers
Batch servers
Database servers
Monitoring server
FTP servers
Fax servers
SAN (Storage Area Network)
NAS (Network Attached Storage)
The Phase 1 Development and Test Environments are modeled after production. Additionally, a Project
Server is included to host Microsoft Team Foundation Server.
The hardware and software configuration for these environments is described in the Phase 1 System
Environment Configuration Plan deliverable.
Project Schedule
The Phase 1 Detailed Project Plan (deliverable 1.A.D.1), documented in MS Project, includes the UITSM
Project work breakdown structure and schedule. A summary Gantt Chart, describing high-level activities
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and timeline is provided below. The WBS includes activities, tasks, work products, milestones, and
deliverables.
This project schedule is based on the schedule outlined in the PMP and includes modifications based on
input from DWS regarding the impact of the project implementation schedule on its business cycle.
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Key Phase 1 milestones/dates include:
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



Completion of Fit-Gap Analysis (Phase 1 and 2) – 6/18/10
Completion of System Design (Phase 1 - Employer Self-Service) – 7/16/10
Completion of System Development (Phase 1 - Employer Self Service) – 12/24/10
Completion of UAT (Phase 1 - Employer Self Service) – 2/4/11
Completion of Training (Phase 1 - Employer Self Service) – 2/25/11
Production Release (go-live) – 2/28/11
Completion of Phase 1 – 1/9/12
2. COMMUNICATION MANAGEMENT PLAN
The Phase 1 Communication Management Plan is consistent with the Communication Management Plan
described in the Phase 0 PMP.
Modifications to the Phase 0 Communication Management Plan include modification to the Monthly
Status Report template and inclusion of a Weekly Status Report template.
As communication with Employers is critical to the success of Phase 1, an Employer (and Third Party
Agent) Communication Plan is included. This plan serves as a roadmap for DWS and requires
coordination with the project team and the agency’s Public Information Officer (PIO).
Monthly Status Report Template
Please refer to Appendix A – Monthly Status Report template.
Weekly Status Report Template
Please refer to Appendix B – Weekly Status Report template.
Employer (and Third Party Agent) Communication Plan
Please refer to Appendix C – Employer (and Third and Party Agent) Communication Plan
3. RISK MANAGEMENT PLAN
The Phase 1 Risk Management Plan is consistent with the Risk Management Plan described in the Phase
0 PMP.
This plan includes the Phase 1 Risk Register, including risk mitigation strategies at the time of deliverable
submission.
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The Risk Register will be reviewed bi-monthly throughout Phase 1, at the beginning of each SDLC phase,
and as needed based on project events that may necessitate a review.
The register includes the following information:









Risk Title – indicates the name of the risk
Risk No. – Sequential assigned number
Risk Type – indicates the type of risk (e.g. Project Management, External, Organizational etc.)
Risk Status – indicates ‘open’ or ‘closed’ risk
Risk Probability – based on a scale of 1-10, using the percentage of likelihood of the risk occurring
Risk Impact –based on a scale of 1-10 (with ‘1-Negligible’, ‘5-Material’, ‘7-Significant’, and ’10Catastrophic’), it indicates the impact of the risk on the project.
Risk Assessment – The Product of Risk Probability and Risk Impact (‘Risk Score’) is used to
determine ‘green – no action required, periodically review’, ‘yellow – monitor closely, mitigation
plan required’, and ‘red – immediate action required’ assessment. The table that maps Risk Score to
the Risk Assessment color scheme is included in the PMP.
Risk Description – describes the risk to the project
Risk Mitigation Plan – Describes the risk mitigation plan identified/implemented by the Project
Office (with input from the Steering Committee) to minimize the risk to the project.
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Title
Risk
No.
Risk Type
Status
Risk
Probability
Risk Impact
Risk Assessment
Description
Risk Mitigation Plan
Lack of Funding 1
2 - Project
Open
Management
3
10 - Catastrophic Yellow - monitor
closely; mitigation
plan required
Project funding
should be
monitored
throughout the
course of the
project.
Approved funding
currently satisfies
project requirements.
DWS PM monitors
spend plan vs. project
budget. Contingency
fund alternatives to
be reviewed.
Inability to
2
Change External
Agency Systems
4 - External
5
7 - Significant
Implementation
of a new UI tax
system may
require changes
to external
agency system
(e.g. TRD)
Interface
requirements have
been reviewed.
Specific agency
interfaces needs
further review.
Must Spend
3
$9.01M by June
30, 2010
3Closed
Organizationa
l
Lack of
Availability of
Key Agency
Resources
3Open
Organizationa
l
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4
Open
Yellow - monitor
closely; mitigation
plan required
Legislation has Legislation has
been introduced addressed this risk.
to modify this
funding clause.
7
7 - Significant
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Red - immediate
action required
(including mitigation
plan)
Key agency
resources
include:
Financial,
Business,
PMP outlines staffing
expectations. DWS
PM will monitor staff
availability.
NMDWS UITSM
Title
Risk
No.
Risk Type
Status
Risk
Probability
Risk Impact
Risk Assessment
Description
Risk Mitigation Plan
Technical and
Leadership. FY
end impacts
financial staff
availability.
Key People
5
Leave the Project
3Open
Organizationa
l
5
7 - Significant
Yellow - monitor
closely; mitigation
plan required
Attrition may
result in key staff
leaving the
project.
Project Management
will work with
leadership to
understand their
plans for staff
transition.
Specifically,
understanding
succession planning
for key project team
members.
Lack of team
6
depth (ability to
backfill key team
members)
3Open
Organizationa
l
4
7 - Significant
Yellow - monitor
closely; mitigation
plan required
Size of DWS
team resources or
Business/Technic
al SMEs is
limited.
Deloitte ui subject
matter expertise can
help offset loss of
key agency team
members.
Lack of Training 7
and Knowledge
3Open
Organizationa
5
8
Yellow - monitor
closely; mitigation
Effective training Knowledge Transfer
and knowledge Plan is part of
transfer is critical Planning and
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Title
Risk
No.
Transfer
Risk Type
Status
Risk
Probability
Risk Impact
l
Risk Assessment
plan required
Description
to DWS selfsufficiency.
Risk Mitigation Plan
Administration
deliverable.
Additionally, a
Training Plan is a
separate deliverable.
Plans and execution
will be tracked
carefully with
periodic updates to
the Steering
Committee.
Note: Plans have
been executed at
other UI agencies
successfully.
Legislative
Updates May
Limit Project
Staffing
8
Limitation of
9
Legacy Systems
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3Open
Organizationa
l
3
2
Green - no action
Legislative
required; periodically updates may
review
divert resources
to address legacy
system
modifications
Anticipated
legislative changes
did not occur. This
risk will be
periodically reviewed
to revisit potential
changes.
1 -Technical
5
5 - Material
Green - no action
Legacy system
required; periodically contraints may
Limitations are not
identified at this time
Open
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Title
Risk
No.
Risk Type
Status
Risk
Probability
Risk Impact
Risk Assessment
Description
Risk Mitigation Plan
review
impact
integration with
new UI tax
system
and will be better
understood during
the Design phase. To
be revisited.
Knowledge and 10
Documentation of
Legacy Systems
Are Limited
1 -Technical
Open
7
6
Yellow - monitor
closely; mitigation
plan required
Limited
knowledge of
legacy system
may impact
integration of
these systems
with the new UI
tax system
Legacy team's track
record suggests that
they can support
changes, but the lack
of documentation and
detailed knowledge
of the system has the
potential to impact
the project schedule.
Limited staff to 11
support new and
legacy System
(infrastructure
and app)
1 -Technical
Open
7
4
Yellow - monitor
closely; mitigation
plan required
Limited
infrastructure
support resources
may impact
deployment of
the new UI tax
system
Infrastructure and
Support resource
requirements to
support the project
must be identified,
tracked, and reported
if this limitation
becomes an issue.
Poor Availability 12
and Quality of
1 -Technical
Open
7
5 - Material
Yellow - monitor
closely; mitigation
Legacy data may Data Conversion
impact
activities have begun
integration with and will identify
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Title
Risk
No.
Risk Type
Status
Risk
Probability
Risk Impact
Data
Risk Assessment
Description
Risk Mitigation Plan
plan required
legacy systems,
data conversion
effort, and
implementation
of the new UI
Tax system.
red/yellow flags as
they proceed.
Initial procurement is
in progress, but has
been delayed due to
several architecture
shifts after the SOW.
Delayed
Acquisition of
HW/SW
13
1 -Technical
Open
10
9
Red - immediate
action required
(including mitigation
plan)
Timely purchase
of HW/SW is
essential for
keeping the
project on
schedule.
Changes to
Platform
Decision
14
1 -Technical
Open
9
8
Red - immediate
action required
(including mitigation
plan)
If the decision to Further changes to
proceed with a the architecture may
.NET architecture result in project
changes, it will Change Orders with
significantly
impact to the project
impact the
costs and project
project.
schedule.
Adverse Impact
of Legislative
Update, Rules,
Policies
15
3Open
Organizationa
l
3
5 - Material
Green - no action
Changes that
required; periodically result in
review
modifications to
UI tax business
rules may impact
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No known changes in
the pipeline. To be
periodically
reviewed.
NMDWS UITSM
Title
Risk
No.
Risk Type
Status
Risk
Probability
Risk Impact
Risk Assessment
Description
Risk Mitigation Plan
the project
Resource
16
Constraint due to
HB144 / July 1
New Rates
3Open
Organizationa
l
Deployment of 17
Complex Legacy
Fee Processing
2
Green - no action
New rates,
required; periodically scheduled for
review
July 1,
potentially divert
DWS staff from
the project
Rate change will take
place as part of
normal, annual
business cycle,
greatly reducing the
project risk.
3Closed 3
Organizationa
l
3 - Marginal
Green - no action
required; periodically
review
2010 legislation
resolved/removed the
complexity issue.
Silent Legislation 18
(regarding State
fund) impacting
project schedule
3Open
Organizationa
l
2
1 - Negligible
Green - no action
Certain business
required; periodically rules are not well
review
defined in
legislation (i.e.,
dissolving the
state fund)
Legislative outcome
and policy decisions
give specific
definition to business
rules regarding the
State fund.
Negative impact 19
of Political
Change on
Leadership/Direct
ion
3Open
Organizationa
l
5
5 - Material
Green - no action
required; periodically
review
There will be
leadership change,
impact is to be
determined.
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NMDWS UITSM
Title
Availability of
Project
Workspace
Risk
No.
Status
Risk
Probability
Risk Impact
Risk Assessment
Description
Risk Mitigation Plan
2 - Project
Closed 3
Management
5 - Material
Green - no action
Spring office
required; periodically space availability
review
Lack of
21
Agreements with
TRD for
Interfaces and
Integration
2 - Project
Open
Management
5
7 - Significant
Yellow - monitor
closely; mitigation
plan required
Inability to reach 22
Agreements on
data sharing with
non-TRD
2 - Project
Open
Management
5
5 - Material
Green - no action
Data sharing
required; periodically agreements will
review
be necessary to
align with new
data sharing
capabilities
Periodically monitor.
Lack of Support 23
from Executive
Sponsor/Leadersh
ip
3Open
Organizationa
l
2
7 - Significant
Green - no action
Executive
required; periodically Sponsor and
review
Agency
leadership is
essential for
project success.
To-date leadership
support has been
high.
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20
Risk Type
Page 25 of 101
New agreements Until an Agreement
will be necessary is in place, there is
to support a
the potential for
revised DWSsignificant risk to the
TRD
project schedule and
interface/integrati cost (potential
on
Change Order).
NMDWS UITSM
Title
Risk
No.
Risk Type
Status
Risk
Probability
Risk Impact
Risk Assessment
Description
Risk Mitigation Plan
Organization
24
Resistance to
Adapt to the New
Business Process
3Open
Organizationa
l
3
7 - Significant
Yellow - monitor
closely; mitigation
plan required
Changing
Continue to Monitor;
business
Leadership direction
processes and
can help mitigate risk
models typically
presents
challenges
Ineffective
Collaboration
with IV&V
Vendors
25
2 - Project
Open
Management
5
7 - Significant
Yellow - monitor
closely; mitigation
plan required
DWS plans to
select a new
IV&V vendor.
Transition to the
new vendor may
present
challenges.
Inability to
manage scope
26
2 - Project
Open
Management
4
8
Yellow - monitor
closely; mitigation
plan required
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There needs to be
mutually agreed upon
requirements and
processes defined by
the IV&V for them to
perform their
function and report
accurately to
Stakeholders.
Requirements
management and
JAD process and
initial JRM/JAD
activities to-date
demonstrate a
process that
diligently manages
scope.
NMDWS UITSM
Title
Risk No.
Description
Risk Type
Lack of Funding
1
Project funding
should be
monitored
throughout the
course of the
project.
Inability to Change
External Agency
Systems
2
Implementation of a 4 - External
new UI tax system
may require
changes to external
agency system (e.g.
TRD)
Status Risk Probability Risk Impact Risk Assessment Risk Mitigation Plan
2 - Project
Open 3
Management
Open 5
Must Spend $9.01M 3
by June 30, 2010
Legislation has
3Closed
been introduced to Organizational
modify this funding
clause.
Lack of Availability 4
of Key Agency
Resources
Key agency
3Open 7
resources include: Organizational
Financial, Business,
Technical and
Leadership. FY end
impacts financial
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10 Yellow - monitor Approved funding
Catastrophic closely; mitigation currently satisfies
plan required
project requirements.
DWS PM monitors
spend plan vs. project
budget. Contingency
fund alternatives to
be reviewed.
7Yellow - monitor Interface
Significant closely; mitigation requirements have
plan required
been reviewed.
Specific agency
interfaces needs
further review.
Legislation has
addressed this risk.
7Red - immediate
Significant action required
(including
mitigation plan)
PMP outlines staffing
expectations. DWS
PM will monitor staff
availability.
NMDWS UITSM
Title
Risk
No.
Risk Type
Status
Risk
Probability
Risk Impact
Risk Assessment
Description
Risk Mitigation Plan
staff availability.
Key People Leave
the Project
5
Attrition may result 3 Open 5
in key staff leaving Organizational
the project.
7Yellow - monitor Project Management
Significant closely; mitigation will work with
plan required
leadership to
understand their
plans for staff
transition.
Specifically,
understanding
succession planning
for key project team
members.
Lack of team depth 6
(ability to backfill
key team members)
Size of DWS team 3 Open 4
resources or
Organizational
Business/Technical
SMEs is limited.
7Yellow - monitor Deloitte ui subject
Significant closely; mitigation matter expertise can
plan required
help offset loss of
key agency team
members.
Lack of Training and 7
Knowledge Transfer
Effective training 3 Open 5
and knowledge
Organizational
transfer is critical to
8
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Yellow - monitor Knowledge Transfer
closely; mitigation Plan is part of
plan required
Planning and
NMDWS UITSM
Title
Risk
No.
Risk Type
Status
Risk
Probability
Risk Impact
Risk Assessment
Description
DWS selfsufficiency.
Risk Mitigation Plan
Administration
deliverable.
Additionally, a
Training Plan is a
separate deliverable.
Plans and execution
will be tracked
carefully with
periodic updates to
the Steering
Committee.
Note: Plans have
been executed at
other UI agencies
successfully.
Legislative Updates 8
May Limit Project
Staffing
Legislative updates 3 Open 3
may divert
Organizational
resources to address
legacy system
modifications
2
Limitation of Legacy 9
Systems
Legacy system
contraints may
5 - Material Green - no action Limitations are not
required;
identified at this time
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1 -Technical
Open 5
Page 29 of 101
Green - no action
required;
periodically
review
Anticipated
legislative changes
did not occur. This
risk will be
periodically reviewed
to revisit potential
changes.
NMDWS UITSM
Title
Risk
No.
Risk Type
Status
Risk
Probability
Risk Impact
Risk Assessment
impact integration
with new UI tax
system
Description
periodically
review
Risk Mitigation Plan
and will be better
understood during
the Design phase. To
be revisited.
Knowledge and
10
Documentation of
Legacy Systems Are
Limited
Limited knowledge 1 -Technical
of legacy system
may impact
integration of these
systems with the
new UI tax system
Open 7
6
Yellow - monitor Legacy team's track
closely; mitigation record suggests that
plan required
they can support
changes, but the lack
of documentation and
detailed knowledge
of the system has the
potential to impact
the project schedule.
Limited staff to
support new and
legacy System
(infrastructure and
app)
Limited
1 -Technical
infrastructure
support resources
may impact
deployment of the
new UI tax system
Open 7
4
Yellow - monitor Infrastructure and
closely; mitigation Support resource
plan required
requirements to
support the project
must be identified,
tracked, and reported
if this limitation
becomes an issue.
Legacy data may
impact integration
with legacy
Open 7
5 - Material Yellow - monitor Data Conversion
closely; mitigation activities have begun
and will identify
11
Poor Availability
12
and Quality of Data
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Page 30 of 101
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Title
Risk
No.
Risk Type
Status
Risk
Probability
Risk Impact
Risk Assessment
systems, data
conversion effort,
and implementation
of the new UI Tax
system.
Description
Risk Mitigation Plan
plan required
red/yellow flags as
they proceed.
Delayed Acquisition 13
of HW/SW
Timely purchase of 1 -Technical
HW/SW is essential
for keeping the
project on schedule.
Open 10
9
Red - immediate
action required
(including
mitigation plan)
Initial procurement is
in progress, but has
been delayed due to
several architecture
shifts after the SOW.
Changes to Platform 14
Decision
If the decision to
1 -Technical
proceed with a
.NET architecture
changes, it will
significantly impact
the project.
Open 9
8
Red - immediate
action required
(including
mitigation plan)
Further changes to
the architecture may
result in project
Change Orders with
impact to the project
costs and project
schedule.
Adverse Impact of 15
Legislative Update,
Rules, Policies
Changes that result 3 Open 3
in modifications to Organizational
UI tax business
rules may impact
the project
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5 - Material Green - no action
required;
periodically
review
No known changes in
the pipeline. To be
periodically
reviewed.
NMDWS UITSM
Title
Risk
No.
Resource Constraint 16
due to HB144 / July
1 New Rates
Risk Type
Status
Risk
Probability
Risk Impact
New rates,
3Open 3
scheduled for July Organizational
1, potentially divert
DWS staff from the
project
Risk Assessment
2
Description
Green - no action
required;
periodically
review
Deployment of
Complex Legacy
Fee Processing
17
3Closed 3
Organizational
Silent Legislation
(regarding State
fund) impacting
project schedule
18
Certain business
3Open 2
rules are not well Organizational
defined in
legislation (i.e.,
dissolving the state
fund)
Negative impact of 19
Political Change on
Leadership/Direction
3Open 5
Organizational
5 - Material Green - no action
required;
periodically
review
Spring office space 2 - Project
Closed 3
availability
Management
5 - Material Green - no action
required;
Availability of
Project Workspace
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20
Page 32 of 101
Risk Mitigation Plan
Rate change will take
place as part of
normal, annual
business cycle,
greatly reducing the
project risk.
3 - Marginal Green - no action 2010 legislation
required;
resolved/removed the
periodically
complexity issue.
review
1Negligible
Green - no action
required;
periodically
review
Legislative outcome
and policy decisions
give specific
definition to business
rules regarding the
State fund.
There will be
leadership change,
impact is to be
determined.
NMDWS UITSM
Title
Risk
No.
Risk Type
Status
Risk
Probability
Risk Impact
Risk Assessment
Description
Risk Mitigation Plan
periodically
review
Lack of Agreements 21
with TRD for
Interfaces and
Integration
New agreements
2 - Project
Open 5
will be necessary to Management
support a revised
DWS-TRD
interface/integration
7Yellow - monitor Until an Agreement
Significant closely; mitigation is in place, there is
plan required
the potential for
significant risk to the
project schedule and
cost (potential
Change Order).
Inability to reach
22
Agreements on data
sharing with nonTRD
Data sharing
2 - Project
Open 5
agreements will be Management
necessary to align
with new data
sharing capabilities
5 - Material Green - no action Periodically monitor.
required;
periodically
review
Lack of Support
23
from Executive
Sponsor/Leadership
Executive Sponsor 3 Open 2
and Agency
Organizational
leadership is
essential for project
success.
7Green - no action To-date leadership
Significant required;
support has been
periodically
high.
review
Organization
24
Resistance to Adapt
to the New Business
Changing business 3 Open 3
processes and
Organizational
models typically
7Yellow - monitor Continue to Monitor;
Significant closely; mitigation Leadership direction
plan required
can help mitigate risk
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Title
Risk
No.
Process
Ineffective
Collaboration with
IV&V Vendors
Risk Type
Status
Risk
Probability
Risk Impact
DWS plans to select 2 - Project
Open 5
a new IV&V
Management
vendor. Transition
to the new vendor
may present
challenges.
Inability to manage 26
scope
2 - Project
Open 4
Management
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Description
Risk Mitigation Plan
presents challenges
25
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7Yellow - monitor There needs to be
Significant closely; mitigation mutually agreed upon
plan required
requirements and
processes defined by
the IV&V for them to
perform their
function and report
accurately to
Stakeholders.
8
Yellow - monitor Requirements
closely; mitigation management and
plan required
JAD process and
initial JRM/JAD
activities to-date
demonstrate a
process that
diligently manages
scope.
NMDWS UITSM
4. QUALITY MANAGEMENT PLAN
This section complements the Quality Objectives and Controls described in section 6.7 of the project
Management Plan (PMP) and provides additional detail specific to Phase 1.
4.1
Deliverable Submission and Review Process
The Deliverable Submission and Review Process is outlined in the SOW, Exhibit B – Deliverable
Interaction for Contract file.
The following Deliverable Submission and Review steps are intended to complement that SOW and
provide additional details that reference to tools and techniques introduced in Phase 1 (i.e, the DWS
Project Portal eRoom).
1) Deliverable Expectation Documents (DEDs) are prepared by Deloitte for each deliverable. The
DED outlines the acceptance criteria for the deliverable and includes a Review and Acceptance
page to help facilitate DWS’ review process and provide formal Acceptance or feedback.
2) Each Deliverable prepared by Deloitte will be submitted to DWS in accordance with the
Statement of Work and posted in the DWS Portal, Phase 1 - Deliverables folder. Deloitte will
submit the Deliverable with the DED and a cover letter.
3) The Phase 1 Deliverables Tracking Spreadsheet in the aforementioned folder documents the
DWS staff designated as lead reviewer(s) and additional assigned staff to review the deliverable
(a link to the spreadsheet is provided below). Note, DWS is responsible for tracking its review of
project deliverables.
4) A walk-thru of each deliverable will be conducted.
5) DWS will either provide formal acceptance of the deliverable or feedback using the Review and
Acceptance page of the DED within the timeframe outlined in the SOW and included in the
following table.
6) DWS can provide additional feedback details in the Deliverable (‘track changes on’) and post the
Deliverable in the DWS Portal, Phase 1 – ‘Deliverables – DWS Feedback’ folder.
Phase 1 Employer Self-Service Deliverables
The following table outlines Phase 1 Employer Self-Service deliverables and the agency review time
(working days).
A detailed table, outlining deliverable due dates and fees (per deliverable) can be found at the following
link:
https://er39.deloitteonline.com/eRoom/DTTAME93/NewMexicoDWSProjectPortal/0_a6d8
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NMDWS UITSM
(Note: access to this file requires access, User Name/Password, to the DWS UITSM Project Portal
eRoom)
Agency Review Time (Working
Days)
Deliverable Name
1.A.D.1 Detailed Project Plan
7
1.A.D.2 Project Reporting (Billed Monthly)
5
1.A.D.3 Project Planning and Administration
10
1.B.D.1 System Environment Configuration Plan
5
1.B.D.2 Established Proof-of-Concept
5
1.B.D.3 Established Development/Conversion Environments
5
1.B.D.4 Established Integration/System Test/UAT/QA Environments
5
1.B.D.5 Established Training Environment
7
1.B.D.6 Established Production Environment
10
1.C.D.1 Detailed System Requirements
10
1.D.D.1 Architectural Design
10
1.E.D.1 Detailed System Design
15
1.F.D.1 System Development and Configuration Documentation
10
1.G.D.1 Data Conversion Design and Development
7
1.G.D.2 Data Conversion Results
5
1.H.D.1 Conceptual and Logical Data Model
5
1.H.D.2 Data Management Design
7
1.I.D.1 UI Tax Test Plan
7
1.I.D.2 UI Tax Test Results
10
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Agency Review Time (Working
Days)
Deliverable Name
1.J.D.1 Baseline Documentation
5
1.J.D.2 UI Tax Operations Documentation
7
1.K.D.1 Training Plan
7
1.K.D.2 Training
10
1.L.D.1 Production System Implementation Plan
5
1.L.D.2 Production System Implementation
15
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5. HUMAN RESOURCE PLAN
The Human Resource Plan for Phase 1 is consistent with section 5.5 Staff Planning and Resource
Acquisition of the PMP.
In addition to the Key Staff outlined in the PMP, the following Deloitte staff are assisting with Phase 1:










Andrew Yonan – Business Analyst
Bob Daub – Project Management Analyst
Lisa Newell – Business Analyst
Lynnette Stern – Business Analyst
Pamela Nichols – Budget Analyst
Phil Tackett – Business Analyst
Siva Sambasivam – uFACTS Architecture
Srinivas Kurra – Data Conversion/Interfaces Analyst
Anil Gosu – Technical Analyst
Tim McCracken – Technical Analyst
Subcontractor resources, in addition to those indicated in the PMP, include:


Marcus Zerio (RSI) – Business Analyst
Ankit Shah (POD) – Technical Analyst
Additional Deloitte staff will be added to the Phase 1 team based on the skill set requirements determined
by the Fit/Gap Analysis activities.
DWS Steering Committee members include:







Ken Ortiz – Cabinet Secretary
Neal Meoni – Executive Sponsor
Ron Martinez – Deputy CIO
Casandra Encinias – Business Owner
Clyde DeMersseman – Legal Counsel
John Salazar – CIO
Donna Trujillo – Financial Business Owner
DWS project leadership includes:




Julie Lopez-Casaus – IT Business Analyst (Interim Project Manager)
Roy Chandler – IT Technical Lead
Alice Dominquez – Chief of Tax Unit
Willard Hunter – Staff Manager, Tax
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Additional DWS staff assisting the project as either team members or SMEs (subject matter experts)
includes:
Name
Role
Andrea Chavez
Procurement
Angelique Fritts
Examiner III, Accounts
Art Montoya
IT Security
Carrie Moritomo
Public Information Officer
Cassandra Encinias
UI Bureau Chief
Cindy Brindley
Budget Manager
Cleo Vargas
Legal Section
Daniel Vigil
Network
Deborah Treppiedi
IT Apps Dev 2
Denise Garcia
Supervisor, Accounts
Diana Tanner
Subject Matter Expert, Data Validation
Dolores Garcia
Subject Matter Expert, Federal Reports
Dolores Montoya
District I Supervisor
Edwin Jaramillo
Operations Manager
Elizabeth Jackson
IT Apps Dev 1
Frances Rossberg
Staff Manager, Claims
Gabe Cisneros
IT Business Analyst
Gary Garcia
District III Supervisor
Jeff Daugherty
IT Apps Dev 2
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NMDWS UITSM
Name
Role
Jennifer Clark
IT Apps Dev. 2
John Hudson
IT Generalist 2
John Jolley
IT Apps Dev. 3
John Marquez
IT Apps Dev. 3
Jules Dubois
IT Apps Dev 3
Ken Hudzick
A/O II-IT
Lisa Castillo
Supervisor, Status
Lugie Gonzales
Examiner III, Status
Lydia Rael
Adjudicator
Meredith Rivera
Financial Specialist AO/A
Michelle Doran
Economist
Nicole Mirabal
Examiner II, Status
Phillip Zamora
Network
Roy Padilla
IT Apps Dev 3
Ruben Rodriquez
Quality Assurance
Steve Montoya
Supervisor
Terry Davenport
RFP Contractor
Tim Cummings
IT Apps Dev 3
Valerie Longley
Accounts
These are the project team resources in the Phase 1 Human Resource Plan at the time of deliverable
submission. Project resources are subject to change during the course of Phase 1.
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6. KNOWLEDGE TRANSFER PLAN
6.1
Purpose
The purpose of the Unemployment Insurance Tax System Modernization Knowledge Transfer Plan is to
help DWS achieve self sufficiency in its use of the new system. Effective knowledge transfer and training
makes the difference between a system that is accepted and used effectively to help DWS achieve its
business and technology objectives.
Our goal is to have fully trained DWS teams take ownership of their activities as quickly as possible.
Given that this is a critical part of project implementation, we start by keeping in mind the key success
factors.
To achieve this goal we have prepared a pragmatic plan that leverages successful practices from other UI
modernization projects. This approach differentiates between IT and business staff. Because these users
have differing skills and roles on the system, knowledge transfer and training is customized to meet the
needs of the audience, requiring an assessment of the staff’s skills and preparedness. This assessment
results in a tailored plan that promotes team interaction, uses a variety of training methods geared to the
learning needs of the adult learner, and incorporates the principles of adult education to enhance and
enliven the learning process. Our multi-pronged approach recognizes that different users and different
people learn in different ways.
6.2
Assumptions/Constraints
The UITSM Project Knowledge Transfer Plan is based on the following Assumptions/Constraints:
1. For each skill to be learned DWS will identify target resources and Deloitte will assign resources
responsible to transfer the knowledge.
2. DWS and Deloitte will work jointly to identify the Phase 1 knowledge to be transferred.
3. DWS and Deloitte will work jointly to identify the best way to deliver the knowledge.
4. DWS will make resources that are in need of knowledge transfer available.
5. Prerequisite knowledge for DWS staff includes a basic level of how to operate PCs; technical staff are
familiar with basic IT industry practices; and business staff are familiar with legacy DWS business
processes.
6. The uFACTS Solution Framework, including the uFACTS Knowledge Repository, serves as the
framework for this plan.
7. Phase 1 Employer Self Service includes the following business functionality:
 Employer Registration
 Wage Detail and Tax Reporting
 Payment Processing (ACH Debit)
 Employer Account Maintenance Views
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NMDWS UITSM
 Common and Administrative (i.e., Security Profiles)
8. Employer knowledge transfer will be addressed through periodic communications, training manuals,
and computer-based training modules. Manuals and CBT materials may be made available through
DWS’ website.
9. A Phase 1Training Plan will be provided as a separate deliverable.
10. A separate Knowledge Transfer Plan will be included in the Phase 2 Planning and Administration
deliverable.
6.3
Overall Approach
The figure below depicts our multi-pronged approach.
Our approach to knowledge transfer combines formal training classes and/or CBT (using Captivate or
similar tool) with on-the-job training and mentoring. Each of the following knowledge transfer activities
is discussed in greater detail in subsequent sections:




Mentoring
Formal In-Class Training
Computer-Based Training
Informal Training and Support
This knowledge transfer approach has been used with great success on prior UI modernization projects.
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NMDWS UITSM
Mentoring
Mentoring is used throughout the entire project with technical and senior support staff where these
variations are significantly more common than with the general end-user population. As part of our
approach, we assign a Deloitte team member to each DWS application developer participating on the
project. The mentor is responsible for guiding key staff through individual skills development plans. We
use a combination of techniques to support our mentoring program. The following table identifies some
of these techniques.
Mentoring Techniques for Successful Transfer of Critical Information
Mentor Activities
Results
System
Implementation
Involvement
Involvement by DWS resources in the following system implementation activities
provides hands-on experience in a scaffolded learning environment:

Development environment and processes

Architecture and frameworks

Database

Application build and deployment processes

Environment setup (test, training, pre-production, production)

Use case realization

System audit and error logging

Security

System administration and maintenance

Troubleshooting

Early involvement in system development leads to complex schema
development, resulting in robust individual and overall knowledge transfer.
Frequent One-onOne Review
Sessions
Frequent review sessions provide us an opportunity to evaluate progress; mentor
provides direction that keeps the developer on course and minimizes frustration.
Parallel Project
Assignments
Multiple participants receive the same coding assignment for a release; the goal is
to code identical to the code for an actual release. Review sessions demonstrate
how the resulting code compares to the live project.
Live Project
Assignments
Assignments are designed to hone the skills of the participant; results include
actual components or work products associated with the release. Frequent
reviews by mentor provide direction and support.
Peer Reviews
Reviews are designed to examine each work product for quality and adherence to
coding standards. Assists in helping to drive consistency across program modules
for all releases; practices are common to overall approach to industry standards.
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For example, as appropriate, and as determined by the individualized approach, DWS resources will
participate with their Deloitte mentors in requirements analysis, system design, and development of the
system architecture. These activities may be followed by formal and informal workshops that review the
supporting infrastructure, architecture, and routine maintenance activities. The knowledge transfer
approach specifically associated with mentoring may also include assignment of specific project activities
to allow hands-on experience for key staff members in order to accelerate the individual and overall
knowledge transfer process.
Formal In-Class Training
Phase 1 Employer Self-Service (in-scope)
Custom classroom training for DWS users is designed for each implementation phase. Custom training
typically includes classes for business or IT personnel on specific topics. It consists of lecture, lab work,
and take-away training materials. Self-training materials, such as Help Screens within the system, and
Quick Reference/User Guides are developed to support the user while participating in the formal training
or are to be leveraged by the user at his or her convenience when additional instruction is required after
completing formal training.
Clients designate trainers who continue to play a role in transitioning users to the new system. The
trainers play a pivotal role in the success of our approach. The DWS Trainer position requires versatility,
education on the modules, and mastery of required learned techniques to enable the trainer to train others.
In preparing our formal in-class training approach, we focus on effectiveness and efficiency as well as
scheduling. It is pertinent to take on-the-job opportunities to learn the value of your new system. While
real-life, on-the-job experience helps staff directly apply the lessons learned, a just-in-time approach
provides end-user training just prior to when it is needed. For maximum impact the curriculum for each
trainer aligns closely with the phased functional release schedule. When possible, given the constraints of
the end-user population, we provide formal train-the-trainer sessions within 10 working days prior to the
end-user sessions delivered by the DWS trainers.
Training delivery includes activities such as preparing and printing materials, updating materials and
disseminating updates, preparing ad hoc materials or job aids as the result of pilot session feedback,
distributing course outlines, scheduling, and coordinating training – as well as ongoing support through
the training rollout. Our training facilitators also mentor DWS trainers during training rollout and perform
remedial training for DWS staff, as required.
Train-the-trainer techniques are used for end-user training. That is, Deloitte trains a group of selected
DWS trainers who, in turn, train your end users, including staff, managers, and executives, prior to golive and ongoing. To support the train-the-trainer approach Deloitte trainers are available for end-user
sessions to help facilitate and assist the DWS trainers.
The train-the-trainer strategy assists you in becoming more self-sufficient by equipping you with a
knowledgeable team of internal application experts. In addition, your trainers become subject matter
experts. To help promote success, we plan to fully integrate DWS trainers into the full range of training
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activities from the very beginning of the project. They participate in informal training through
involvement in system design and review (mentoring) and testing activities.
After training is completed for an iteration implementation, the project team assesses key performance
areas. Post-training support will be provided as necessary to troubleshoot situations that inevitably arise
and to identify any changes required in the materials. Deloitte training staff is always available, as
needed, to deal with any number of issues that may inhibit the smooth transition to the new tools and
processes.
Once the transition is complete, this function comes in the form of DWS help desk support. DWS
establishes the help desk for support. Additional resources from project teams are also sent to sites
implementing the system to support go-live activities. The on-site support has enormous positive impact
on morale and the ease of transition.
The Knowledge Transfer and Training Tools section includes examples of formal in-class training
collateral specifically associated with the UITSM project development effort.
Third-Party Technical Training (Out-of-Scope)
The following table outlines a subset of technology architecture and tools that will be deployed as part of
the project where third-party technical training may assist DWS. There are typically local vendors that
provide these training services. The cost of formal third-party technical training courses is outside scope
of Deloitte’s Statement of Work. Note that knowledge transfer assistance on how we use these tools to
advance the project is included in the scope of the project.
Third-Party Technical Training
Object-Oriented Classes
Java, HTML, and Business Rules Classes






Object-Oriented Programming Concepts
Object-Oriented Analysis and Modeling
Rational Unified Process
HTML Authoring
ASP.Net Programming using C#
C# Programming
Database Classes
Infrastructure Classes




Database Fundamentals for Developers
Oracle—SQL Tuning Workshop
Oracle—Database Administration Workshop

Internet Information Server (IIS) Configuration and
Management
IIS Installation
Other Programming Classes
FileNet Classes





Crystal Reports Programming
System Management Classes


Microsoft Active Directory (LDAP) Windows 2003
Windows Server Management Windows Server
2003
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FileNet ECM
FileNet Installation and Configuration
FileNet Management
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Computer-Based Training
As a supplement to classroom training, the Knowledge Transfer Plan includes CBT, which provides staff
with an opportunity to reinforce previous learning experiences in an ad hoc manner.
CBT enables the user to choose the time, place, pace, and duration of the training. Thus, users can
complete a portion of the training, turn their attention to other activities, and then return to the training
effort when time permits. CBT also allows individuals to select specific components of a CBT module for
focused reviews without having to commit to repeating a complete training course.
CBT is also an effective method when used in a classroom setting and with a trained facilitator.
Alternatively, self-paced CBT, including online tutorials and demos, addresses other training needs. A
combination of classroom and self-paced training can be very effective in establishing and supporting
system knowledge. The exact specifications to meet this requirement are developed during the curriculum
definition and media selection activities and are based on the constraints of the DWS CBT delivery
system.
The Knowledge Transfer and Training Tools section includes examples of existing CBT collateral
specifically associated with the UITSM project development effort.
Informal Training and Support
In addition to the more formal training efforts described above, we provide informal overview sessions as
needed to augment the formal training and self-training.
The purpose of these sessions is to impart consistent information to all project participants concerning a
specific topic. Supporting documentation is provided with each session so all attendees can take away
written communication regarding the topic being presented.
Overview sessions are an integral part of ongoing education for all project participants, including
executive management, business users, and IT staff. The sessions are also a significant component of our
approach to communications. The sessions help us deliver consistent information and are usually an
opportunity to hand out material for ongoing reference and reinforcement that is associated to information
presented.
The sessions are provided throughout the project as overviews, reviews, orientations, and briefings on
different project phases and activities. They are typically formal presentations with take-away material
and are designed to maintain communication and manage project expectations with participants.
As part of the mentoring and training program DWS staff will have access to pre-defined models and
requirements and existing and new system documentation that will allow them to quickly grasp the
system design, leading to a better understanding of how system requirements can be adjusted to meet
UITSM needs. By participating in this process DWS staff will begin to develop a context-specific schema
that will enhance their ability to acquire related knowledge over the life of the project. In addition, the
development of a Knowledge Repository will provide ongoing support to DWS users even after system
transfer completion.
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By providing multiple streams of information related to knowledge transfer and training – including
mentoring, formal in-class training, CBT, and informal training and support activities – this robust and
flexible approach to knowledge transfer that accommodates the variety of users and learning styles.
Knowledge Transfer Approach Summary
The following table summarizes project’s Knowledge Transfer Approach for each of the key DWS
audiences.
Knowledge Transfer Approach Summary
PROBABLE TRAINING
METHOD(S)
USER TYPE
DWS Tax
Program
Staff
Technical
Staff
DWS Trainers
End Users
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





PROBABLE TRAINING
MATERIALS
Formal technical end-user training
Mentoring
UAT involvement
Train-the-Trainer
Formal support end-user training
Mentoring







Presentations
User manuals
Exercises
Job aids
Online help
System manuals
CBT
LIKELY
PREREQUISITES










Presentations
User manuals
Exercises
Job aids
Online help
System manuals
CBT






Formal end-user training
Mentoring
UAT involvement
Train-the-Trainer







Presentations
User manuals
Exercises
Job aids
Online help
System manuals
CBT


Formal end-user training from
DWS Trainers







Presentations
User manuals
Exercises
Job aids
Online help
System manuals
CBT

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

Basic computer
literacy
DWS-specified
technical
expertise
Identified by
DWS as trainer
Basic
computer
literacy
Support job
function,
including help
desk staff
Basic
computer
literacy
Identified by
DWS as trainer
Basic
computer
literacy
Defined
system role
NMDWS UITSM
6.4
Project Specific Activities and Tasks
The UITSM Project Knowledge Transfer Plan includes the following activities and tasks:
1. Audience Identification – The project team identifies specific DWS management, business, and
technical staff that require knowledge transfer to perform their role with the deployment of the
new system.
2. Initial Assessment – The project team will assess DWS capabilities
3. Identify/Prioritize Knowledge Transfer Areas – Knowledge Transfer Areas (KTAs) for Phase 1
are identified, refined, and revised based on the Initial Assessment. An initial set of KTAs is
provided in the table below.
4. Prepare Knowledge Transfer Materials – Knowledge Transfer materials are tailored based on
unique DWS needs
5. Perform Knowledge Transfer Activities – Knowledge transfer activities (mentoring, overview
sessions, self-training, and formal training) begin on Day 1 of the project and continue throughout
the duration of the project, as described earlier.
6. Assess Knowledge Transfer Results – Knowledge Transfer Results are determined through Peer
Review activities, periodic surveys, formal classroom training feedback, as well as informal
feedback.
7. Identify Outstanding Knowledge Transfer Gaps and Prepare Action Plan – Review of Knowledge
Transfer Results is used to identify outstanding gaps that may impact DWS’ goal of selfsufficiency. An action plan is prepared to fine tune our approach and address the gaps.
8. Perform Follow-up Knowledge Transfer Activities – The Knowledge Transfer Gap Analysis
Action Plan is executed.
UITSM Phase 1 Key Knowledge Transfer Areas
The following table outlines an initial set of key knowledge transfer areas (KTAs) for Phase 1. Timeframe
for knowledge transfer sessions is estimated based on the project progress at the time of submission of
this plan.
Skill /
Knowledge
Use Cases
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Area
Technique
Who (Deloitte)
Business,
Technical
Demonstrations,
Learn at Lunch
Walkthrough
Training
Presentations
Dennis Wenzel,
Lynnette Stern, Bernt
Peterson
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Whom
(DWS)
DWS
Staff
Estimated
Timeframe
April/May 2010
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Skill /
Knowledge
Area
Technique
Security
Business,
Technical
Demonstrations,
Learn at Lunch
Walkthrough
Training
Presentations
Bernt Peterson,
Mrinal Shaw, Anil
Gosu
DWS
Staff
April/May 2010
uFACTS
Framework
.NET
Overview
Technical
CBT, Learn at
Lunch
Walkthrough
Training
Presentations
Mrinal Shaw, Marcel
Mascarenhas
DWS
Staff
June/July 2010
Test Scripts
Business,
Technical
Demonstrations,
Learn at Lunch
Walkthrough
Training
Presentations
Lynnette Stern,
Partha
Mukhopadhyay
DWS
Staff
July/August 2010
Requisite Pro
Business,
Technical
Demonstrations,
Learn at Lunch
Walkthrough
Training
Presentations
Lynnette Stern, Lisa
Newell, Mrinal Shaw
DWS
Staff
April/May 2010
Batch
Technical
Computer Based Training
Mrinal Shaw, Anil
Gosu
DWS
IT
Staff
August/September
2010
Event Logging
Technical
Presentations,
Demonstrations
Mrinal Shaw, Anil
Gosu
DWS
IT
Staff
August/September
2010
Exception
Handling
Technical
Presentations,
Demonstrations
Mrinal Shaw, Anil
Gosu
DWS
IT
Staff
August/September
2010
Online
Screens
Technical
Computer Based Training
Mrinal Shaw, Anil
Gosu
DWS
IT
Staff
November/December
2010
SRS
Business
Demonstrations,
Learn at Lunch
Walkthrough
Lynnette Stern, Bernt
Peterson
DWS
Staff
April/May 2010
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Whom
(DWS)
Estimated
Timeframe
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6.5
Knowledge Transfer Tools and the uFACTS Knowledge Repository
The uFACTS Knowledge Repository contains knowledge transfer artifacts deployed on previous UI Tax
modernization projects. These reusable training artifacts are tailored based on DWS needs.
These artifacts include the following:

Traditional training manuals

Topic-specific CBT (Captivate simulations)

Evaluation materials

Training plans/schedules from successful UI training projects.
The uFACTS Knowledge Repository includes training artifacts to support training project staff on project
methodologies and tools used on the project and for end-user training.
The uFACTS Knowledge Repository includes training materials to support the training of the internal
project team and system users on the use of the third-party tools selected for use during the project.
Examples of this type of training material include training on the use of reporting tools for standard and
ad hoc report creation, technical training on the use of the technical framework, and training on the
document management tools that are integrated into the uFACTS Solution Framework.
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The uFACTS Knowledge Repository includes training materials to support the training of the internal
team and project stakeholders on the methodologies used to complete the project. These training materials
include overviews explaining the Joint Requirements Management (JRM) and Joint Application Design
(JAD) processes, as well as training materials describing how to document system design utilizing Use
Cases, Activity Diagrams, and Supplementary Requirement Specifications.
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Traditional Training Manuals
The uFACTS Knowledge Repository includes a set of formal in-class training materials, including
instructor manuals, learner manuals, job aids, quick reference guides, train-the-trainer materials, and other
material types common to a traditional training environment.
Please refer to Appendix C – Employer Registration for a sample training manual. Note, this is public
document and available via the Massachusetts Labor and Development website.
Topic-Specific Computer-Based Training
Availability of existing CBT modules allows the NMDWS development team to reap the benefits of a
CBT approach while mitigating some of the negative aspects of developing CBT modules, including
higher resource requirements (compared to a traditional training approach), increased technical
complexity, and an increase in development time. The latter positive outcome enables CBT developers to
begin materials development later in relation to the system development cycle, allowing CBT materials to
better approximate the actual system and/or launch sooner in relation to system go-live.
CBT Training Materials Listing - Tax
Following are screen shots from existing CBT modules. Each screen shot (and each line item in the
previous graphic) represents a Captivate project file that can be leveraged for routine and customized
CBT and traditional training interventions:
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Employer Registration
Submit Wage Detail
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Employer Makes Payment
CBT modules may be used to educate Employers and Third Party Agents on use of the new system. The
following example demonstrates how Massachusetts made CBT modules available to their Employers via
their website. Each of the ‘Quick Links’ mentioned on the screen is a CBT module.
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Evaluation Materials
The Deloitte Assessment Tool (DAT) gathers and analyzes complex data sets in accordance with the
needs of the knowledge transfer environment.
Examples:
Simple Measurement and Reporting: Course Survey
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Training Plans/Schedules
The uFACTS Knowledge Repository includes training curriculums by topic. An example of a ‘Train-theTrainer’ syllabus is provided in Appendix B.
6.6
Schedule
Knowledge Transfer begins on Day 1 of the project. Specifically, Overview Sessions and Mentoring
occur throughout the duration of the project.
Training activities are scheduled to occur between November, 2010 and March, 2011. Training sessions
will occur in January and February, 2011. The Phase 1 Detail Project plan includes specific tasks and
activities that support project training.
7. PROJECT ARCHIVES/REPOSITORY
The Project Archives/Repository for Phase 1 project-related artifacts is consistent with the PMP as
outlined in section 6.8 Configuration Management.
Team Foundation Server is the repository for application source code. The code migration process for
Phase 1 is outlined in the Phase 1 Deliverable: 1.B.D.1 System Environment Configuration Plan.
8. PROJECT CLOSEOUT PROCESS
The Project Closeout Process for Phase 1 is consistent with the process outlined in the PMP.
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A. APPENDIX A – MONTHLY STATUS TEMPLATE
The Monthly Status Template is documented on the following pages.
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B. APPENDIX B – WEEKLY STATUS TEMPLATE
The Weekly Status Template is documented on the following pages.
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DWS UI TAX MODERNIZATION
WEEKLY STATUS MEETING
TIME – 8:30 AM
(MOUNTAIN)
DATE 04/20/2010
PLACE: UI TAX MODERNIZATION CONFERENCE
ROOM CALL-IN – 888.998.2663 #3562481
Purpose, Objectives and Elements of the Meeting:

Review Activities of Prior Week / Plan Actions for Future Week / Discuss Issues
Expected Attendees:

Deloitte: Dennis Wenzel, Partha Mukhopadhyay, Bob Daub, Mrinal Shaw, Scott Malm,
Lynnette Stern

DWS: Alice Dominguez, Willard Hunter, Julie Lopez-Casaus, Roy Chandler, Ron Martinez,
IV&V
Status Legend:

Green – On Track

Yellow – Behind Schedule (does not impact implementation date)

Red – Behind Schedule (impacts implementation date)
Project Management Execution and Control
Status
Progress / Scheduled Activities
Progress (Accomplishments)
Green










Weekly Status Conducted: 4/12
Monthly Status Report: March Status reviewed by DWS. Updates incorporated by Deloitte.
Reviewed Risk and Issues database for accurate reporting in weekly and monthly status.
Reviewed IV&V Access to eRoom
Prepared draft of Knowledge Transfer/Training Plan for Steering Committee on 4/20
Scheduled Employer/Agent Communications discussion
Business Back-up Positions Approved by DWS
DoIT Monthly Status Report Submitted by DWS
DEDs, Deliverables and Project Schedule submitted to Steering Committee by DWS
Other:
o Deloitte Team Participated in Deloitte Methodology/Playbook project
review/coaching.
Action Items

Update eRoom to include IV&V based on DWS recommendations
Schedule Activities – Week of 4/19



Conduct Weekly Status meeting: 4/20/2010
Conduct/Participate in Steering Committee 4/20/2010
Finalize Approval of March Status Report
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Phase 0 – Contract Initiation – Kick-off and Project Management Plan
Status
Progress / Scheduled Activities
Progress (Accomplishments)
Project Management:

Yellow
Project Management Plan (PMP)
o Submitted – Complete: Documents are located in the eRoom Phase 0/PMP folder
Action Items:

DWS to Complete PMP Document Review and add comments of owned sections
o Phase is four weeks past original completion dates and cannot be closed until PMP
document is closed.
Technical:

Yellow
Procure Equipment (First Round) - In-progress
o Based on the need to add the two additional Rational products, DWS is reworking the
Rational Software quotes. The two products referred to were listed in the BAFO, but
were missed in the software spreadsheet. This was identified by Deloitte on 4/7
during the review of the quote and notified DWS of this on the same day.
o DWS showed an interest in reviewing HP products in place of three Rational products
(Rational Performance tester, Rational functional tester and Rational ClearQuest).
Deloitte initiated pricing of those HP products.
 Establish Proof of Concept (POC) – Environment setup not started; dependent on Procure
Equipment. Work related to setting up of TFS and source code is being done on the SNET
region, a region owned by Deloitte for hosting the uFACTS application.
 Phase 1 hardware/software procurement details are listed in Phase 1 section of the
project status report.
 Other:
o Deloitte and DWS jointly agreed to recommend Oracle 11g as the database for use
by the project after reviewing the final prices from Oracle. CIO, John Salazar
presented Oracle as the database of choice to the Deputy Commissioner who
approved the final decision.
o Deloitte performed compatibility analysis of Oracle 11g to work with FileNet and
Pitney Bowes DOC1.
Action Items:


Procurement tracking spreadsheet needs to be updated
Test DWS VPN connectivity from within Springer building
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Phase 0 – Contract Initiation – Kick-off and Project Management Plan
Status
Progress / Scheduled Activities
Scheduled Activities – Week of 4/19/2010
Project Management:

DWS to complete review of PMP and owned sections; Deloitte will incorporate DWS
feedback
o Further delays will impact project deliverables (Project Planning and Administration)
Technical:


Deloitte to update and provide updated hardware/software lists to DWS based on Oracle
decision. Deloitte is waiting on Abba Tech for new quotes on new range of hardware from
HP that affect these lists.
Procure Equipment - DWS to proceed with necessary hardware and software
procurement - focus on items that have no impact on Oracle decision or DoIT approval;
elements impacting design (Rational RequisitePro, Rational Rose, and DreamWeaver are
an immediate priority.)
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Phase 1 – Employer Self Service
Status
Progress / Scheduled Activities
Progress (Accomplishments)
Project Management:
Green
Green

Develop DEDs – In-progress.
o Several DEDs are now ready for review (DED Status Spreadsheet Handout)
 Prepare Planning and Administration Deliverable – In-progress
o PMP Review is impacting finalizing the complete list of Planning and Administration
Deliverables.
 Detailed Project Schedule/Plan Completed and Submitted – Under DWS Review
 DWS/Deloitte met to discuss review/orient team to the deliverable.
Action Items:


DWS to review Project Schedule Deliverable (.mpp file)
DWS to review DED documents
Functional – Define Phase

Green
System Requirement and Fit/Gap Analysis JRM Sessions – In-progress. Activities include
the following:
o Employer Registration: JAD / GAP Prep in Progress
o Employer Registration: JAD Preparation Documents distributed
o Managing Employer Ratings: Conducted JRMs - Notes submitted to DWS for review
o Manage Benefits Paid Charging: Conducted JRMs – Notes submitted to DWS for
review
o Submit Employment and Wage JAD / GAP Prep in Progress
o Collections: Conducted Collections Part 1 JRMs
o Technical Requirements: Conducted JRMs
o Interfaces: Conducted External Interfaces JRM
o FUTA Certification / Recertification JRM : Conducted – Notes submitted to DWS for
review
o Registration and Wage JAD Calendars Created and Posted.
o JRM session notes posted to the appropriate eRoom Phase 1 folder
o Began development of Requirements and Gap Document
o Registration JRM Notes (all areas) – SME reviewed and submitted comments
o Employer Maintenance and Account Management JRM Notes- SME reviewed and
submitted comments
o Submit Employment and Wage Detail including adjustments and misc JRM Notes –
SME reviewed and submitted comments
o Payments JRM Notes– SME reviewed and submitted comments
o Administrative/Common JRM Notes– SME reviewed and submitted comments
o Manage Employer Ratings JRM Notes – SME reviewed and submitted comments
o Deloitte reviewed Use Case Modeling and Realization Guidelines
Action Items:
 Deloitte will continue to update JRM notes and Gap preparation
 Deloitte will schedule Internal Interfaces JRM session
 Deloitte will schedule deferred items JRM session
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Phase 1 – Employer Self Service
Status
Progress / Scheduled Activities
Phase 1 – Employer Self Service
Status
Progress / Scheduled Activities
Technical – Define Phase

Yellow
Green
System Environment Configuration Plan – A draft version of this document has been
provided to DWS on 4/12 per their request. This document is being currently updated
with changes pertaining to final DB decision. This document has been peer reviewed with
the exception of these changes.
 DWS leadership made the final decision to choose Oracle 11g on 4/16/10.
 Data conversion.
o Continued work on creating the Data Conversion Plan
o Continued identifying Data sources.
o Continue with Data Source Mappings.
 Technical Team meetings and data conversion meetings are held every Wednesday
morning from 4/7 onwards
o Meeting Agenda and Notes will be stored in e-room at the end of the week of the
meeting.
 Deloitte continues to conduct interviews for further technical staffing.
 Work continued for the following deliverables:
o Architecture and Design - Significant analysis has been done to create this
deliverable. Deloitte has provided a list of identified issues with the current
infrastructure as a result of this analysis.. Although this analysis is meant for the
deliverable which is due early May, Deloitte chose to provide the data collected
through the analysis to DWS earlier than the deliverable due date so that DWS
could act on this. For details see the action items section.
o System Development and Configuration – 90% of the deliverable has been
completed and is been peer reviewed. Deliverable will be completed by the due date
(early May).
o Data Conversion Plan- 40% of the deliverable has been completed.
Action Items:
 DWS to complete procurement of Phase 1 hardware and software products
 Deloitte identified infrastructure issues related to the existing Big IP, Backup system,
Switches, etc. DWS to resolve these issues with the advice and help from Deloitte.
 Deloitte to provide Technical Training material in e-room site.x
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Phase 1 – Employer Self Service
Status
Progress / Scheduled Activities
Scheduled Activities – Week of 4/19
Project Management:
 DWS Review mpp Plan and DEDs
 Continue Planning and Administration deliverable.
 Continue preparing DEDs
Functional – Define Phase
 Continue System Requirement and Fit/Gap Analysis JRM Sessions:
o Employer Registration: Conduct first set of JADs
o Collections: Conduct JRM Part 2 Sessions and Submit Notes to SME
o Wage and Tax Reports: Prepare JAD Documents
o Registration (all areas) – Review SME Comments – update accordingly
o Employer Maintenance and Account Management: Review SME Comments –
update accordingly
o Payments Module: Review SME Comments – update accordingly
o Administrative/Common Services: Review SME Comments – update accordingly
o Managing Employer Ratings: Review SME Comments – update accordingly
o Maintain Benefits Paid Charges: Conduct JRM Sessions and Submit Notes to SME
o All other Phase 2 Modules: Prepare final JRM Notes for Submission – Prior to each
Session
o Continue development of Requirements and GAP deliverable
o Reschedule Internal Interfaces JRM Session
o Schedule deferred items JRM Session
o JRM Notes updated and added to project eRoom
o Alice and Willard conducted a data mapping review for Employer Unit
Technical
 System Environment Configuration Plan deliverable will be updated with content affected
by the database decision.
 Procure all hardware and software items
 Continue data conversion related tasks
o Continued work on creating the Data Conversion Plan
o Continued identifying Data sources.
o Continue with Data Source Mappings.
 Continue work on the following deliverables:
o System Development and Configuration Plan
o Architecture and Design
o Data Conversion Plan
 Continue working on the TFS setup which is being done on the SNET region.
 Assist DWS in resolving infrastructure related issues.
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Risks / Issues – New (additional risks/issues are documented in their respective registers and reported
monthly)
Project Management:


Risks:
o Infrastructure (Electrical / Cooling / Set-up) May pose schedule and development set-up.
Issues:
Phase 0:


Risks:
o Review of PMP may delay additional deliverables
Issues:
Phase 1:


Risks:
Issue: Document versioning numbers need to be added to all documents.
Issues – Scheduled for Resolution (or past due)

Procurement of hardware and software is past due.
Staffing Updates and Miscellaneous Schedule Items
 Schedule Items
Staffing:
Scott will be in NM Tuesday – Friday
Mrinal will be in NM Tuesday – Friday
Anil Gosu (Technical) Starts 4/19
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WBS
Deliverable Name
Submission
Date
#Review
Days
Approval
Date
Current Status
April 2010
1.1.4.1.1.5.1
February Status Report
3/04/2010
5
4/14/2010
Approved
1.1.4.1.1.5.2
March Status Report
4/04/2010
5
4/19/2010
DWS Review
Complete / Updates
in Progress
1.1.4.1.2.1
1.A.D.1 Detailed Project
Plan (mpp)
4/14/2010
7
4/26/2010
Under DWS Review
1.1.4.2.1.4.1
1.B.D.1 System
Environment
Configuration Plan
4/16/2010
5
4/23/2010
Under Deloitte Peer
Review / Oracle
Updates being
incorporated
1.1.4.1.2.3
1.A.D.3 Project Planning
and Administration
4/30/2010
10
5/14/2010
PMP Under DWS
Review / Deliverable
Plans Complete
Pending results of
PMP / Under Deloitte
Peer Review
1.1.4.2.3.5.1
1.F.D.1.A System
Development and
Configuration
Documentation
4/30/2010
10
5/14/2010
Under Deloitte Peer
Review / Oracle
Updates being
incorporated
1.1.4.1.1.5.3
April Status Report
5/06/2010
5
5/13/2010
Not Started
1.1.4.2.2.5.1
1.C.D.1 Detailed System
Requirements
5/7/2010
10
5/21/2010
Gap and
Requirements
Documents under
Construction and
Initial Draft
1.1.4.3.1.2.9.1
1.D.D.1 Architectural
Design
5/7/2010
10
5/21/2010
Under Construction
and Initial Draft
1.1.4.4.1.3.1
1.B.D.2 Established
Proof-of-Concept (Letter)
5/28/2010
5
6/4/2010
Delayed Pending
Procurement and
Infrastructure Set-up
1.1.4.4.2.4.1
1.B.D.3 Established
Development/Conversion
Environments (Letter)
5/28/2010
5
6/4/2010
Conversion analysis
initiated.
2.C.D.1 Detailed System
Requirements
6/4/2010
10
6/18/2010
JRMs in Progress
May 2010
June 2010
1.1.4.2.2.6.1
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1.1.4.4.3.2.1
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Deliverable Name
1.I.D.1.A Unit Test
Planning
Submission
Date
#Review
Days
Approval
Date
6/4/2010
7
6/15/2010
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Current Status
Test Planning
Analysis initiated
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C. APPENDIX C – EMPLOYER (AND THIRD PARTY AGENT)
COMMUNICATION PLAN
The Employer Communication Plan is documented on the following pages.
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D. APPENDIX D – SAMPLE TRAINING MANUAL: EMPLOYER
REGISTRATION
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E. APPENDIX E – TRAINING SYLLABUS
Train-the-Trainer Syllabus and Course Schedule
Integrated Benefits and Tax Services Training
Purpose: The Train-the-Trainer Course is designed to provide a high-level, yet comprehensive overview of the new
Integrated Benefits and Tax Services System. Trainers will gain the tools necessary to transfer operational
knowledge to UI Staff. Key business functions and scenarios will be reviewed in detail. Overviews and reference
material will be provided for unique or non-volume scenarios.
Day 1: August 21
Purpose: Day 1 will focus on the integrated design, system navigation, staff and applicant views, searches,
applicant history/event logging, and key system logic (i.e., Determine Correct Path and Self-Service).
Functions, Scenarios, and Schedule:






Introduction to Training (9:00-9:30)
o Welcome/Introductions
o Logistics
o Training Approach and Information Packets
System Design Overview (9:30-10:00)
o Integrated Tax and Benefits
o Benefits Modules and Sub-modules
o General Design Principles
 Workflow Push vs. Pull
 Tax functions update Benefits/Benefits update Tax
 Multi-Portal Views (Applicant, Employer, Staff, and Agent)
Break (10:00-10:15)
System Navigation (10:15-11:00
o Security Concepts
o Left Navigation and Splash Pages
o “Staff Home” Access
 Administrative Services
 “My Home”
 Searches
 Applicant Services
 Employer Services
 Workflow (Administrator/Groups/My Inbox)
o “My Recent Work Items”
Searches and Benefit Account Access (11:00-12:00)
o Overview
o Track Data Access
o Individual Search Functions
o Applicant Account Search and Access
Lunch (12:00-1:00)
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Day 1: August 21





Review Morning Session (1:00-1:15)
o Question and Answers
o Determine Correct Path (1:15-1:45)
o Discuss Logic
o Demonstrate Varied Messages
 Login as Applicant
 Login as Staff
View and Maintain Functions (1:45-2:30)
o Discuss Edit Viewing and Editing Features
o Demonstrate Applicant “My Account” Views
o Demonstrate Staff Function Views
Break (2:30-2:45)
Applicant History and Event Logging (2:45-3:45)
o Discuss and Demonstrate Event Logging Access
 Global Events
 Employer Events
 Applicant Events
o Captivate Vignette – Applicant History
o Activity – Conduct Varied Applicant History Searches
Day 1 Review (3:45-4:30)
o Discuss Key Learning / Training Points for Each Module
o Identify Questions / Revisit Confusing Areas
Key Learning Points:
 High-level Understanding of System Functionality and Integration
 High-level Understanding of System Navigation and Staff vs. Applicant Views
 Understanding of Searches, Track Data Access, and Applicant/Account Switching
 Basic Understanding of Available View and Maintain Functions
 Understanding of Applicant Account History and Event Logging
Trainers:
 Dennis Wenzel
 TBD
 TBD
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Day 2: August 22
Purpose: Day 2 will focus on new applicant account registrations, account reactivations, password management,
correspondence and reports.
Functions, Scenarios, and Schedule:












Self Directed Review and System Access (8:00-8:30)
Day 1 Review / Day 2 Agenda (8:30-8:45)
Register Applicant Account – Standard UI with No Issues
o Overview of Process and Key Rules/Design Concepts
 Access
 Logging In
 Validation
 IVR – “Fast Forward”
o Captivate Vignette – New Registration
o Discussion, Questions and Answers
Break (10:00-10:15)
Register Applicant Account – Issues and Miscellaneous (10:15-11:00)
o Captivate Vignette – Issue Creation/Fact Finding
o Captivate Vignette – Military/Out of State Employment
o Discussion of Vignettes
o Discussion of Extension Logic and Set-up
 Extension are Presented via Determine Correct Path or after Standard UI Establishment
 Demonstrate “Where to Find” Extension Set-up
Exercise: Register Accounts with Issues (11:00-11:30)
Review Registration Processes / Question and Answer (11:30-12:00)
Lunch (12:00-1:00)
Reactivate Applicant Account (1:00-2:00)
o Key Business Rules
 Determine Correct Path – Reactivate Availability Rules
 Back Dating (“Just Cause”)
 Available Weeks
 Self Service and Staff Initiated
o Captivate Vignette – Reactivate Applicant Account
o Discussion / Question and Answer
Exercise: Reactivate Applicant Account (2:00-2:30)
Discussion / Question and Answer (2:30-2:45)
Break (2:45-3:00)
Manage Applicant Password (3:00-3:30)
o Staff Initiated Process
 Temporary Passwords
o Applicant Initiated Process
 SSN Validations
 Secret Questions
o Captivate Vignette – Manage Applicant Password
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Day 2: August 22



Correspondence and Reports (3:30-4:00)
o Correspondence from within Applicant Accounts
o Correspondence Searches
o Reports Searches
Day 2 Review (4:00-4:30)
o Question and Answer
o Self-Directed System Access
Key Learning Points:
 Sound Understanding of Registration Process
 Sound Understanding of Reactivation Process
 Sound Understanding of Password Management
 Base Understanding of Correspondence and Reporting Access
Trainers:
 Dennis Wenzel
 TBD
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Day 3: August 23
Purpose: Day 3 will focus on the monetary and non-monetary processes (rules and basic logic), issue adjudication,
and request benefit payments.
Functions, Scenarios, and Schedule:















Self Directed Review and System Access (8:00-8:30)
Day 2 Review / Day 3 Agenda (8:30-8:45)
Reemployment Services Overview (9:00-10:00)
Break (10:00-10:15)
Non-Monetary Process/Logic Overview (10:15-11:15)
o Create New Issue
o Gather and Route Fact Finding
o Auto-Adjudication
Captivate Vignette – NonMonetary Workflow (11:15-11:45)
Discussion / Question and Answer (11:45-12:00)
Lunch (12:00-1:00)
Exercise: Adjudicate Issues (1:00-1:45)
Request Benefit Payments (1:45-2:30
o Design Concepts (Issue Benefit Payment)
o Functions and Scope
Captivate Vignette: Request Benefit Payment (2:30-3:00)
Break (3:00-3:15)
Discussion / Question and Answer (3:15-3:30)
Exercise: Request Benefit Payments (3:30-4:00)
Week 1 Review (4:00-4:30)
o Discuss Learning Objectives / Needs for Week 2
o Homework
Key Learning Points:
 Basic Understanding of Monetary Process Logic
 Basic Understanding of Non-Monetary Process Logic
 Understanding of Adjudicating Issue
 Understanding of Applicant’s Request Benefit Payment Process
Day 3 Trainers:
 Dennis Wenzel
 TBD
 TBD
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Day 4: August 28
Purpose: Day 4 will focus on employer integration, staff initiated wage adjustments (amended monetary), appeal
scheduling, and processing appeals.
Functions, Scenarios, and Schedule:
 Self Directed Review and System Access (8:00-8:30)
 Homework Review, Question and Answers, Session Agenda (8:30-9:15)
 Employer Services Integration (9:15-10:15)
o Charges
o View and Maintain Monetary and NonMonetary Issues
 Break (10:15-10:30)
 Amended Monetary Integration (10:30-11:15)
o Discuss Logic
o Captivate Vignette – Staff Update Applicant Wages
o Discussion / Walk-through
 Exercise: Update Applicant Wages (11:15-11:45)
 Discussion / Question and Answers (11:45-12:00)
 Lunch (12:00-1:00)
 File Appeal (1:00-1:45
o Discuss New Logic / Approach
o Captivate Vignette: File Appeal
o Discuss / Question and Answer
 Schedule Appeal (1:45-2:30)
o Discuss New Logic/Approach
o Captivate Vignette: Schedule Appeal
o Discuss / Question and Answer
 Conduct Appeal Hearing (2:30-3:00)
o Discuss New Logic/Approach
o Demonstrate Screens
 Break (3:00-3:15)
 Process Appeal (3:15-4:00)
o Continuation of Conduct Appeal Session
 Discussion / Question and Answer (4:00-4:30 )
Key Learning Points:
 Understanding of Employer Integration
 Understanding of Processing Applicant Wage Updates / Amended Monetary
 Understanding Creating an Appeal
 Understanding of Appeals Scheduling
 Understanding of Appeals Hearings and Processing
Trainers:
 Dennis Wenzel
 Michelle Amante
 TBD
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Day 5: August 29
Purpose: Day 5 will focus on training preparation, module review, and key learning points. We will help the
participants organize their training materials, review questions, and highlight important modules. A high-level
review of collections and manual payment adjustments will also be provided.
Functions, Scenarios, and Schedule:









Self Directed Review and System Access (8:00-8:30)
Discussion / Question and Answers, Session Agenda (8:30-9:15)
Collections and Manual Payment Functions (9:15-10:00)
o Navigation
o General Overview
o Function Availability
Break (10:00-10:15)
Curriculum Development and Review (10:15-12:00)
o Questions/Answers
o Key Learning Points
o Session Training Outlines
o Resources
 System Overview Review
 System Navigation
 Searches and Benefit Account Access
 Determine Correct Path
 Account History
 View and Maintain Functions
Lunch (12:00-1:00)
Register Applicant Account
o Questions/Answers
o Key Learning Points
o Session Training Outlines
o Resources
Curriculum Development and Review (1:00-3:00)
o Questions/Answers
o Key Learning Points
o Session Training Outlines
o Resources
 Reactivate Applicant Account
 Manage Passwords
 Correspondence and Reports
 Monetary Determinations Process
 Non-Monetary Determinations Process
 Monetary/Non-Monetary Workflow
 Request Benefit Payment
Break (3:00-3:15)
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Day 5: August 29

Curriculum Development and Review (3:15-4:30)
o Questions/Answers
o Key Learning Points
o Session Training Outlines
o Resources
 Employer Services Integration
 Amended Monetary Integration
 File Appeal
 Schedule Appeal
 Conduct and Process Appeal
 Collections and Manual Payment Adjustments
Key Learning Points:
 High-level Navigation Understanding of Collections and Manual Payment Adjustments
 Curriculum Design and Preparation
Trainers:
 Dennis Wenzel
 TBD
 TBD
On-the-Job Training (OJT) Items:









Re-Employment (Schedule / Work Search Plans)
Monetary Processes
Adjusting Applicant Accounts
Shared Work Processes
Creating Extensions and DUA Programs
Detailed Collections Processing
ICON Functions
Document Management / Fax-Mail Returns
Manual Processes
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