The Connecticut Department of Administrative Services ... · Tax Administration System Connecticut Department of Revenue Services February 2018 ... backup and recovery) 10. Infrastructure

The Connecticut Department of Administrative

Services Procurement Division

Implementation and Service Support

Requirements

February 2018

Implementation and Service Support Requirements Tax Administration System

Connecticut Department of Revenue Services February 2018

Page 2 of 23

Table of Contents

List of Tables .......................................................................................................................... 3 1.0 Requirements Acceptance and Exceptions ................................................................... 4 1.1 Implementation Services Requirements Acceptance and Exceptions ........................... 4

1.2 Service Level Requirements Acceptance and Exceptions ............................................. 5

2.0 Implementation Requirements ...................................................................................... 6 2.1 Implementation Services, Roles and Responsibilities ................................................... 6

2.1.1 Project Planning and Project Management ................................................................ 6

2.1.2 Application Strategy, Architecture, and Planning ....................................................... 7

2.1.3 Infrastructure ............................................................................................................. 8

2.1.4 Business Analysis and Detailed Requirements Definition .......................................... 9

2.1.5 Design Specifications .............................................................................................. 10

2.1.6 Configuration and Development .............................................................................. 11

2.1.7 Data Conversion and Data Cleansing ...................................................................... 12

2.1.8 Interfaces ................................................................................................................ 14

2.1.9 Testing .................................................................................................................... 14

2.1.10 Implementation and Deployment ........................................................................... 16

2.1.11 Organizational Change Management and Communications .................................. 17

2.1.12 Training and Knowledge Transfer .......................................................................... 18

2.1.13 Technology Change Management ......................................................................... 19

2.1.14 Production Services .............................................................................................. 20

2.2 Deliverables ................................................................................................................ 20

3.0 Service Support Requirements ................................................................................... 22 3.1 Objectives ....................................................................................................................... 22

3.2 Definitions ....................................................................................................................... 22

3.3 Service Level Requirements (SLRs) ............................................................................... 22

Implementation and Service Support Requirements Tax Administration System


Page 3 of 23

List of Tables Table 1. Implementation Services Requirements Issues........................................................ 4 Table 2. Service Level Requirements Issues........................................................................... 5 Table 3. Project Planning and Project Mgmt. Roles and Responsibilities ............................ 7 Table 4. Application Strategy, Architecture and Planning Roles and Responsibilities ....... 7 Table 5. Infrastructure Roles and Responsibilities ................................................................. 8 Table 6. Business Analysis and Detailed Requirements Definition Roles and Responsbilities ....................................................................................................................... 10 Table 7. Design Activities Roles and Responsibilities ......................................................... 10 Table 8. Configuration and Development Roles and Responsibilities ................................ 11 Table 9. Data Conversion and Data Cleansing Roles and Responsibilities ........................ 12 Table 10. Interfaces Roles and Responsibilities ................................................................... 14 Table 11. Testing Roles and Responsibilities ....................................................................... 14 Table 12. Implementation and Deployment Roles and Responsbilities .............................. 16 Table 13. Organizational Change Management and Communications Roles and Responsibilities ...................................................................................................................... 17 Table 14.Training and Knowledge Transfer Activities Roles and Responsibilities ............ 18 Table 15. Technology Change Management Activities Roles and Responsibilities ........... 19 Table 16. Production Services Roles and Responsibilities .................................................. 20 Table 17. List of Deliverables ................................................................................................. 20 Table 18. Application Production Services SLRs ................................................................. 22 Table 19. Severity Level Definitions ....................................................................................... 23

Implementation and Service Support Requirements Integrated Tax Administration System


Page 4 of 23

1.0 Requirements Acceptance and Exceptions Instructions to Vendors: Unless specifically noted in the appropriate tables below, the vendor agrees to perform the services and associated roles and responsibilities described in this document. The vendor will be responsible for the complete life-cycle management of these services, unless otherwise noted. The vendor shall clearly indicate in the tables below if it does not accept the requirements defined in this document. DAS/ DRS considers the vendor to be in agreement with all requirements in this document unless identified herein. Respondents should add rows to the tables below as necessary. Absence of noted issues will constitute agreement for those items not herein addressed, and further negotiation will not be allowed.

Submission Tracking

Vendor Name To be completed out by vendor on submission

Date submitted To be completed out by vendor on submission

Solution submitted To be completed out by vendor on submission

1.1 Implementation Services Requirements Acceptance and Exceptions

Check – The vendor agrees with Section 2.0 of this document, except for the

elements listed in the tables below. Table 1. Implementation Services Requirements Issues

Implementation Services Requirements Issues

ITEM #

REFERENCE #

ISSUE SERVICE PROVIDER PROPOSED SOLUTION/RATIONALE

1.

2.

3.

4.

5.



Page 5 of 23

1.2 Service Level Requirements Acceptance and Exceptions Instructions to Providers: DAS considers the vendor to be in agreement with all Service Level Requirements (SLRs), Section 3.0 of this document, unless identified herein. Absence of issues will constitute agreement for those SLRs not herein addressed, and will not be further negotiated.

Check –The vendor agrees with the Service Level Requirements in Section 3.0 of this document, except for the elements listed in the table below.

Table 2. Service Level Requirements Issues

Service Level Requirements Issues

ITEM #

REFERENCE # ISSUE SERVICE PROVIDER PROPOSED SOLUTION/RATIONALE

1.

2.

3.

4.

5.



Page 6 of 23

2.0 Implementation Requirements

2.1 Implementation Services, Roles and Responsibilities This section identifies the roles and responsibilities of the vendor and DRS related to the following implementation service areas associated with the tax administration system:

Project Planning and Management Application Strategy, Architecture and Planning Infrastructure Business Analysis and Detailed Requirements Definition Design Specifications Configuration and Development Data Conversion and Data Cleansing Interfaces Testing Implementation and Deployment Organizational Change Management and Communications Training and Knowledge Transfer Technology Change Management Production Services

Each section contains tables specifying the specific roles and responsibilities and a code indicating who will be responsible for work/development related to the task. Leading (L) Reviewing (R) Supporting (S) Approving (A) The deliverables required for each section are specified after each of the roles and responsibilities tables. Each task within the section should either contribute to the creation of these deliverable or become a component part of a deliverable. Deliverables are also summarized in section 2.2.

2.1.1 Project Planning and Project Management

Project planning and project management services are the activities associated with initial and ongoing project planning throughout the life of the project. The following table identifies the associated roles and responsibilities. An “L” Lead, “R” Review, “S” Support, or “A” Approve is placed in the column under the party that will be responsible for performing the task.



Page 7 of 23

Table 3. Project Planning and Project Mgmt. Roles and Responsibilities

Project Planning and Project Management Roles and Responsibilities VENDOR DRS

1. Develop and maintain Project Management Plan with detailed project milestones and deliverables, a project communications plan, and all activities to be completed by vendor, DRS and other involved parties

L A

2. Conduct ongoing project planning and status report activities L A

3. Maintain risk, issue and decision logs L S

4. Participate in governance and Steering Committee-related activities, including preparing presentations

L S

Deliverables: 1. Weekly Project Status Report 2. Project Schedule 3. Project Management Plan 4. Project Risk, Issue and Decision Logs 2.1.2 Application Strategy, Architecture, and Planning Application Strategy, Architecture, and Planning services are defined as setting overall application strategy, high-level application architecture, and planning associated with the DRS system. Architecture services are comprised of maintaining the application and information architectures. Table 4 identifies roles and responsibilities associated with Application Strategy, Architecture and Planning activities. Table 4. Application Strategy, Architecture and Planning Roles and

Responsibilities

Application Strategy, Architecture and Planning Roles and Responsibilities

VENDOR DRS

1. Develop and document the High-level Application & Information Architecture Design. This is a technical document that illustrates how the completed COTS solution will be structured. The document should include logical/conceptual information architecture and information flow. The vendor may structure the document in a way that best illustrates the technical layout of the system, but at a minimum, a systems diagram must be included

L R/A

2. Provide CT application and data standards S L



Page 8 of 23

Deliverables:

5. High-level Application & Information Architecture Design

2.1.3 Infrastructure The vendor will design and set up the core infrastructure to support the system development and operation as part of the overall capacity and storage planning. As part of the infrastructure planning, the vendor should determine and validate infrastructure requirements and define the infrastructure architecture. Vendors must consider the system needs for the entire duration of the project as well as future system upgrades and enhancements in the design. Ongoing back-office operations including back-up must also be incorporated into the design. The vendor will implement and validate the installation of all environments as planned under the supervision of DRS, including but not limited to: production, development, testing, training, data conversion, and maintenance environments. Vendors may propose and justify additional environments. The vendor shall be responsible for developing and providing complete documentation of the deployment and on-going maintenance requirements. The vendor shall provide packaged infrastructure knowledge transfer and knowledge transfer materials as defined in knowledge transfer plans. Table 5. Infrastructure Roles and Responsibilities

Infrastructure Roles and Responsibilities VENDOR DRS

1. Determine and implement required infrastructure components for the system (e.g., hardware, software, networks) as agreed by DRS

L S/R/A

2. Document and deliver infrastructure plan and design specifications based on DRS standards, architecture, functional, performance, availability, maintainability, security and IT continuity requirements

L S/R/A

3. Establish configuration baselines as reference points for rebuilds, and providing ability to revert to stable configuration states considering DRS’s existing process

L S/R/A

4. Establish process for verifying the accuracy of configuration items, adherence to configuration and change management process and identifying process deficiencies

L S/R/A

5. Document plan for technology refresh and upgrades based on capacity requirements considering release requirements

L S/R/A

6. Document core infrastructure installation instructions L S/R/A

7. Implement core infrastructure L S/R/A

8. Provide verification plan and procedure to verify the operating environments established

L S/R/A



Page 9 of 23

9. Conduct infrastructure validation process and provide validation report of infrastructure installation

L R/A

10. Provide a runbook that includes system policies and procedures documentation including back-up and recovery requirements, standard operating procedures, and security procedures

L R/A

11. Update runbook as needed L R/A

12. Create and implement Infrastructure Configuration and Technology change management procedures

L S/R/A

13. Track software release matrices across all DRS solution environments (e.g., development, test, QA, production, etc.)

L S

14. Conduct integration, performance and security testing for all new and upgraded software or hardware (as appropriate)

L R/S/A

15. Provide detailed plan on how the vendor will perform knowledge transfer for core infrastructure design and operation throughout the releases

S L

16. Conduct core infrastructure knowledge transfer sessions with DRS System Administration staff

L S

17. Update core infrastructure knowledge transfer materials as changes occur

L R/A

Deliverables: 6. Infrastructure Plan and Design (Including Bill of Materials and Software Release Matrix) 7. Installation and Configuration Validation Plan 8. Environment Readiness Checklists & Validation Reports 9. Runbook (Including at minimum: information on servers, environments, single

points of failure, attached storage, data base and applications listings, operational procedure and tasks, shutdown and startup, monitoring, backup and recovery)

10. Infrastructure Configuration and Technology Change Management Plan and Procedure

11. Infrastructure Knowledge Transfer Plan 2.1.4 Business Analysis and Detailed Requirements Definition DRS has already developed an initial set of functional and technical requirements. The vendor will validate, and when necessary develop, more detailed functional and technical requirements for the specific solution using these requirements. This involves activities associated with the definition and assessment of requirements that are used to determine detailed application design, configuration and development. The following table identifies the roles and responsibilities associated with Requirements Definition services.



Page 10 of 23

Table 6. Business Analysis and Detailed Requirements Definition Roles and Responsbilities

Business Analysis and Detailed Requirements Definition Roles and Responsibilities

VENDOR DRS

1. Conduct and document interviews, group workshops, and surveys to enhance and validate functional and technical requirements

L S

2. Enhance and validate existing system functional and technical requirements using comprehensive requirements traceability methodology

L A

3. Conduct a gap analysis identifying gaps between DRS’s proposed functional and technical requirements (found in this RFP’s RTM) and the proposed requirements of the vendor’s system, as well as identifying gaps between vendor-proposed functionalities of a new system and DRS’s capability to utilize the identified functionalities (e.g., “ability to access tax modules by a remote device,” etc.)

L S

4. Develop “To-be” business process flows L S

Deliverables:

12. High Level Requirements Gap Analysis 13. Functional & Technical Requirements Traceability Matrix 14. To-be Business Process Documentation

2.1.5 Design Specifications Design specification services produce design specifications that meet DRS’s technical architectural standards, user interface standards and identify and describe the most cost-effective solution to the implementation option under consideration. The vendor’s application design process and specifications shall:

• Incorporate DRS architectural guidelines into the design, including application extensibility, maintainability, scalability, robustness, reliability usability and security

• Obtain DRS oversight and approval through coordination with the appropriate architectural or technical oversight authority

The following tables identify roles and responsibilities associated with Design Specification services. Table 7. Design Activities Roles and Responsibilities

Design Activities Roles and Responsibilities VENDOR DRS



Page 11 of 23

1. Develop Design Document from the functional requirements and system design, including reports and correspondences

L A

2. Develop and document the technical system design specifying all components, program modules, transactions, databases/stores, interfaces, interface components, and associated operations procedures for the application

L R/A

3. Provide design standards and documentation L R/A

4. Provide Database Design and meta data documentation L A

5. Standardize list of terminology to be used in new system L S/R/A

6. Conduct usability studies to define DRS-specific user needs L S/R/A

7. Define templates to develop the page layouts for patterns commonly employed across system pages such as summary / detail and choices / selections page layouts

L A

8. Create and document the system security design and features to support compliance with DRS and IRS security policies and local regulatory requirements

L A

9. Provide CT security standards A L

Deliverables: 15. Functional Design Specifications

16. Technical Design Specifications 17. Security Plan and Design Specification 18. Data Dictionary 2.1.6 Configuration and Development Configuration and Development services are the activities associated with the configuring and/or customizing of application modules using the information from the previous phases as critical input. The following table identifies the underlying roles and responsibilities associated with Configuration and Development services. Table 8. Configuration and Development Roles and Responsibilities

Configuration and Development Activities Roles and Responsibilities VENDOR DRS

1. Review and establish configuration, development, and technical documentation policies, procedures, and standards in compliance with DRS guidelines

L A

2. Establish and document the overall configuration and development project schedule as part of a Configuration

L A



Page 12 of 23

Management Plan, including prototype and/or regular demo approach

3. Establish logically or physically separated Development, Test, Training, and Production environments

L A

4. Perform all necessary technical design, configuration, development, unit and string testing, scripting, or customizing of application modules as required to develop and implement the design plans and specifications

L A

6. Develop and document modifications and support, configuration and performance-enhancement (tuning) adjustments to system software and utilities based on required performance standards

L A

7. Manage all configuration and development efforts using industry-standard project management tools and methodologies

L A

8. Review and approve results of vendor configuration/development reviews

S L/A

Deliverables:

19. Configuration Management Plan 20. System Installation, Support, Configuration and Tuning Materials

2.1.7 Data Conversion and Data Cleansing Data Conversion services are the activities associated with moving data from DRS’s legacy systems (e.g., ITAS) for use by the vendor’s new system. Data cleansing activities are those activities for cleansing the data prior to conversion and writing programs to execute the adaptation. Data migration may be divided into essential and optional portions. The essential migration consists of current year data and data from the previous 10 years as well as data for all open cases (e.g., collection, audit, litigation, etc.) and/or receivables, including the Suspense Tax Book, regardless of age. This includes (but is not limited to) existing taxpayer identification information, taxpayer accounts, active cases, and standard correspondence. Migration of historical data includes data that is 10 tax years old or as an option all account data on the current system. Optional data migration should be included in the response, and costed separately. Final determination of optional data migration will occur during contract negotiation. The vendor shall be responsible for developing a plan for migrating data. Table 9. Data Conversion and Data Cleansing Roles and Responsibilities

Data Conversion and Data Cleansing Roles and Responsibilities VENDOR DRS



Page 13 of 23

1. Develop a Data Conversion and Data Cleansing Plan to define scope and requirements for data conversion from DRS legacy systems to the new system, including data cleansing preparation activities

L A

2. Utilize Extract Transfer and Load (ETL) tools and/or develop scripts to automatically convert high volume data objects in alignment with the Data Conversion and Data Cleansing Plan

L A

3. Establish a process for handling data that errors out during the conversion process, a means for showing the conversion coverage and rate along with drilldown capabilities to review the details

L A

4. Ensure the conversion tool allows the conversion process to be re-executed while operating incrementally only on the unconverted data universe

L A

5. Review and assist in the development of procedures and scripts L R/S 6. Lead data conversion activities including developing a schedule for

all data mapping and conversion activities including DRS resources

L A

7. Coordinate DRS resources to perform data conversion tasks which require DRS input

L R/S/A

8. Perform data conversion, mapping and loading, except when DRS input is required

L A

9. Perform data testing and validation and provide tools to DRS to confirm the data testing results

L A

10. Perform, at a minimum, one full scale data conversion prior to User Acceptance Testing

L R

11. Approve data conversion testing results S L/A 12. Acquire authorization from DRS for the use of production System

resources (legacy data or source files), or data derived from the DRS’s production resources

L A

13. Coordinate all automated and manual data loads during data conversion testing and User Acceptance Testing

L A

14. Provide Data Conversion Design specifications (including data models, data flow models, process models and other related planning and design documents) to DRS

L A

15. Comply with all data retention requirements while efficiently managing on-going data storage cost

L R/A

Deliverables:

21. Data Conversion and Data Cleansing Plan 22. Data Conversion Design Specifications (Including data models, data flow models, process models and other

related planning and design documents)



Page 14 of 23

2.1.8 Interfaces The new system will have the ability to access data from multiple data sources within DRS and other State departments, as well access to data from external sources, all via interfaces and data integration. Interface services are the activities associated with these exchanges between key applications and systems. Table 10. Interfaces Roles and Responsibilities

Interfaces Roles and Responsibilities VENDOR DRS

1. Develop an Interface Plan to define scope and requirements for system interface needs

L A

2. Facilitate technical design sessions required in support of the development of interfaces to external and internal data sources

L S

3. Develop Interface Design Specifications detailing how the solution will be interfaced with technical requirements. Specifications will detail needs for each interface with support from the external system resources. These will include, at a minimum, the technical approach (batch, ESB/Web service), tasks required (including development and testing timing and approach), design documentation, data format and support approach

L A

Deliverables:

23. Interface Plan 24. Interface Design Specifications

2.1.9 Testing Testing services are the activities associated with the confirmation that the individual components work together properly and as a whole perform their specified functions. Testing encompasses Unit/System Testing, Regression Testing, Interface Testing, Data Migration Testing, Performance Testing, End-To-End Testing and User Acceptance Testing. Testing also includes application interfaces to other applications already in production at, or being developed by DRS or outside parties as stated in the requirements documents. The following identifies the roles and responsibilities associated with testing services. Table 11. Testing Roles and Responsibilities

Testing Activities Roles and Responsibilities VENDOR DRS

1. Develop and document overall application test strategy and individual test plans per test area (e.g., functional, volume, end-to-end, integration, stress, regression, system, and user acceptance test if applicable) as appropriate

L A



Page 15 of 23

2. Approve application test plans and accompanying comprehensive test cases

S L/A

3. Create all integration, user acceptance and application security testing plans for new and upgraded equipment, software, or services

L A

4. Create test environment and data where required by project, including demonstration of requirements traceability to verify the requirements have been satisfied

L A

5. Create test cases, test data, and perform all appropriate testing as defined in the overall test strategy, including: a. Component Testing b. System Integration Testing c. Regression Testing d. Interface Testing e. Data Migration Testing f. Performance Testing g. End-To-End Testing h. Security Testing i. Additional Testing (based on Vendor Methodology)

L A

6. Create test cases and test data for User Acceptance Testing L A

7. Manage User Acceptance Testing (including development of acceptance criteria, setting test objectives, establishing test scenarios, preparing data to support test scenarios, supporting users progressing through scenarios, simulating interfaces or working with integrated system to conduct end-to-end tests, supporting batch processing, exercising functionality and reporting results)

S L

8. Review testing results for compliance with policies, procedures, plans, and test criteria and metrics (e.g., defect rates, progress against schedule)

L A

9. Provide shared access to the mutually agreed Defect Tracking System for purposes of allowing DRS to initiate, track, and report DRS-identified defects (i.e., user acceptance testing)

L R

10. Correct all defects found as a result of testing efforts L A

11. Conduct selective random independent testing, where the random selection includes some complex modules (i.e., Quality Assurance/ independent verification and validation testing)

S L

12. Stage system releases before implementation L A

Deliverables:



Page 16 of 23

25. Overall Test Strategy & Test Plans (test plans for each test area/phase) 26. Test Scripts or Cases (for each test area/phase) 27. Approved Test Results and Successfully Met Exit Criteria (for each test

area/phase) 2.1.10 Implementation and Deployment Implementation services are the activities associated with the installation and migration of new or upgraded components to the production environment as well as services for providing for the deployment of the system. The following table identifies the roles and responsibilities associated with Implementation services. Table 12. Implementation and Deployment Roles and Responsbilities

Implementation and Deployment Activities VENDOR DRS

1. Perform and document application operational assessments for DRS and performance purposes

L A

2. Perform data migration from existing systems or data sources to new systems, by electronic or manual methods

L A

3. Develop and document recommended operations, administration procedures, requirements related to code migration from test to production or other environments.

L A

4. Develop and document implementation and deployment policies, project schedules, and staffing requirements to meet deployment and delivery requirements

L A

5. Develop and document system policies and procedures documentation including back-up and recovery requirements, standard operating procedures, and security procedures

L A

6. Conduct and document pre-installation site surveys including validation of site-specific functionality as defined in the requirements document(s)

L A

7. Assist DRS in support, implementation, and deployment of the system as defined in the requirements document(s)

L A

8. Coordinate deployment and support activities directed by the DRS Project Manager including development of Post Implementation support plans, and system updates and release notes

L A

9. Create detailed Technical Go-Live (Turn Over to Production) plans for each release)

L A

10. Create go/no-go checklist and conduct the go/no-go meetings L A

11. Deploy system L A

12. Document lessons learned L S



Page 17 of 23

13. Plan and provide “hypercare” support for a portion of time during and after Go Live

L S

Deliverables:

28. System Implementation Plan (including Go-Live checklist) 29. Production Readiness Checklist

30. Updated System Standard Operating Procedures/Run Book 31. Back-Up and Recovery Requirements and Plan 32. System Post Implementation Production Services Plan 33. System Updates and Release Notes (as needed)

34. Post Go-Live Evaluation Report (Including end user implementation and solution deployment) 2.1.11 Organizational Change Management and Communications The following identifies activities, roles and responsibilities associated with Organizational Change Management and Communications services. Organizational Change Management and Communications will include efforts to achieve system understanding and adoption both within DRS but also across the full array of taxpayers and other key stakeholders who will use the DRS system. The vendor should propose approaches and tools (e.g. events/video/promotion/communications materials) designed to maximize adoption. Table 13. Organizational Change Management and Communications Roles

and Responsibilities

Organizational Change Management and Communications Activities Roles and Responsibilities

VENDOR DRS

1. Conduct organizational change management readiness assessment including process and stakeholders (e.g., DRS, taxpayers and other key stakeholders)

L S

2. Develop and document an organizational change management plan and a communications plan based on readiness assessment results

L R

3. Approve organizational change management plan and communications plan

S L/A

4. Develop and apply appropriate organizational change management tools and activities for all identified target audiences in organizational change management plan

L S/A

5. Lead organizational change management activities L S

6. Lead communications activities S L

7. Assess effectiveness of organizational change management and communications activities

L S/A



Page 18 of 23

8. Provide recommendations for continuous organizational change management and communications activities

L S/A

9. Determine how organizational change management and communications recommendations will be implemented

S L

Deliverables:

35. Organizational Change Management and Communications Plan 36. Organizational Change Management and Communications Materials

2.1.12 Training and Knowledge Transfer The following identifies activities and roles and responsibilities associated with Training and Knowledge Transfer services for DRS end users, system administrators, help desk, and other technical staff within DRS. Training and knowledge transfer services may be delivered using multiple approaches including turn-key training, in-person and e-learning. Table 14.Training and Knowledge Transfer Activities Roles and

Responsibilities

Training and Knowledge Transfer Activities Roles and Responsibilities VENDOR DRS

1. Document list of key technical skills that are required to help DRS support the new system

L A

2. Document list of key business skills that are required to help DRS support the new system

L A

3. Develop and document training and knowledge transfer plan L A

4. Provide technical training assistance and knowledge transfer to existing support personnel, during deployment as requested

L A

5. Validate knowledge transfer success through documented test results/or other validation method

L A

6. Develop and document training materials related to the technical aspects of the system

L A

7. Develop and deliver end-user documentation and training content and materials for DRS

L S/A

8. Develop and deliver technical training content and materials for DRS L S/A

9. Review and validate training content and materials S L/A

10. Provide training to DRS business and technical staff including SMEs and/or managers

L A

11. Provide Help Desk agent training, including developing dialogue scripts L A



Page 19 of 23

12. Validate training success through documented test results/or other validation method

L A

Deliverables:

37. Training and Knowledge Transfer Plans 38. Training and Knowledge Transfer Materials

2.1.13 Technology Change Management Technology Change Management activities include services required to appropriately manage and document (e.g., impact analysis, version control, library management, turnover management, build management, parallel development) changes to the application and any of the constituent components being developed. Technology Change Management also includes services required to appropriately manage and document changes to the underlying application development environment components.

The following table identifies the roles and responsibilities associated with Technology Change Management services. Table 15. Technology Change Management Activities Roles and

Responsibilities

Technology Change Management Activities Roles and Responsibilities VENDOR DRS

1. Recommend and document procedures associated with authorizing change requests

L R

2. Review and approve the project change request process S L/A

3. Review maintenance production release plans and schedules S R

4. Assist with documentation and communicate change management processes and procedures

L R

5. Participate in scheduling releases L S

6. Manage documentation changes to the underlying application development environment via use of library management version control and turnover management as described above

L S

7. Document impact analysis associated with proposed project changes L R

8. Prepare system change requests L R

9. Approve system changes S L

10. Validate that any changes (e.g., configuration, interface development) do not adversely impact the system functionality prior to release

L A



Page 20 of 23

11. Integrate implementation of changes with release management plans L A Deliverables:

39. Technology Change Management Plan 40. Technology Change Documentation

2.1.14 Production Services Production services include activities for the on-going maintenance and support of the solution. The contract with DAS will specify that maintenance and support shall be provided by the vendor for the expected lifetime of the product or until DRS decides to procure a new solution. Table 16. Production Services Roles and Responsibilities

Production Services Roles and Responsibilities VENDOR DRS

1. Maintain base source code L A

2. Offer new replacement products at no additional cost L A

3. Provide help line and remote support L A

4. Provide technical releases (patches) necessary to operate the solution

L A

5. Provide version and solution upgrades the update the COTS functionality

L A

6. Provide onsite assistance L A

7. Create and implement Infrastructure Configuration and Technology change management procedures

L S/R/A

Deliverables:

41.Maintenance and Support Plan

2.2 Deliverables The following table identifies the deliverables required for the DRS project. The table also indicates the frequency of the required deliverables in relation to the whole project or releases and the appropriate section of the services described in section 2.1. Prior to delivery of the first deliverable the vendor and DRS will agree to document formats for all appropriate deliverables. Table 17. List of Deliverables



Page 21 of 23

Project Planning and Project Management Project Phase

Frequency

1. Weekly Project Status Report All Weekly 2. Project Schedule All By Release, Bi-

Weekly Updates 3. Project Management Plan 1 Update as Required 4. Project Risk, Issue and Decision Logs All Weekly Application Strategy, Architecture, and Planning 5. High-level Application and Information Architecture

Design All By Release

Infrastructure 6. Infrastructure Plan and Design 1 Update as Required 7. Installation and Configuration Validation Plan 1 Update as Required 8. Environment Readiness Checklists & Validation Reports

1 1 per Environment

9. Runbook 1 Update as Required 10. Infrastructure Configuration and Technology

Change Management Plan and Procedure 1 Update as Required

11. Infrastructure Knowledge Transfer Plan 1 Update as Required Business Analysis Detailed Requirements Definition 12. High Level Requirements Gap Analysis 1 One Time 13. Functional and Technical Requirements

Traceability Matrix All By Release

14. To-be Business Process Documentation All By Release Design Specifications 15. Functional Design Specifications All By Release 16. Technical Design Specifications All By Release 17. Security Plan and Design Specification 1 Update as Required 18. Data Dictionary All By Release Configuration and Development 19. Configuration Management Plan All By Release 20. System Installation, Support, Configuration and

Tuning Materials 1 Update As Required

Data Conversion and Data Cleansing 21. Data Conversion and Data Cleansing Plan All By Release 22. Data Conversion Design Specifications All By Release Interfaces 23. Interface Plan All By Release 24. Interface Design Specifications All By Release Testing 25. Overall Test Strategy and Test Plans All By Release 26. Test Scripts or Cases All By Release 27. Approved Test Results and Successfully Met Exit Criteria

All By Release

Implementation and Deployment 28. System Implementation Plan 1 Update as Required 29. Production Readiness Checklist 1 Update as Required 30. Updated System Standard Operating

Procedures/Run Book 1 Update as Required

31. Back-Up and Recovery Requirements and Plan 1 Update as Required



Page 22 of 23

32. System Post Implementation Production Services Plan

1 Update as Required

33. System Updates and Release Notes All As Needed 34. Post Go-live Evaluation Report All By Release Organizational Change Management and Communications 35. Organizational Change Management and

Communications Plans All By Release

36. Organizational Change Management and Communications Materials

All By Release

Training and Knowledge Transfer 37. Training and Knowledge Transfer Plans All By Release 38. Training and Knowledge Transfer Materials All By Release Technology Change Management 39. Technology Change Management Plan 1 Update as Required 40. Technology Change Management Documentation 1 Update as Required Production Services 41. Maintenance and Support Plan 1 Updated as Required

3.0 Service Support Requirements 3.1 Objectives A key component of this project is service-level requirements (“SLRs”). SLRs are detailed in the following sections. The vendor shall provide written reports during the post-implementation production services stage to DRS regarding the vendor’s compliance with the SLRs specified in this document.

3.2 Definitions Definitions for priority levels are provided in Table 18 below.

3.3 Service Level Requirements (SLRs) The vendor must consistently meet or exceed the following SLRs. All times referenced are in Local Standard Time.

Table 18. Application Production Services SLRs

DEFINITION Application Production Services Level Requirements are the performance metrics related to the services that the vendor must provide after acceptance. Availability and response time of application is measured from an end user perspective.

Application Operations and Production Service Level Requirements



Page 23 of 23

Service Type Service Measure Performance Target

Minimum Performance %

Upon Go-Live

Measurement Interval

Availability of Application Availability

Availability per schedule 99.9% Daily

Response Time of the Application

Response Time From Entering Command to Result

Transactions complete < 2.0 sec 98.0% Daily

Incident Handling

Time to Resolve:

Priority Level 1 <2 hours 95.0%

Monthly Priority Level 2 <4 hours 95.0%

Priority Level 3 <6 hours 95.0%

Formula Response Performance = Transactions completed within

required time/Total Transactions

Reporting Interval Monitor Continuously, Report Monthly

Measurement Tool will specify monitoring and reporting tool(s)

Table 19. Severity Level Definitions

Severity Level Definition Severity Level 3 Routine event. Priority Level 3 issues are mostly related to issues

limited to a single individual that cause minor issues with operations, reporting format errors, etc. and does not cause significant downtime for the user.

Severity Level 2 Specialized problem. Relatively major issues with operations, several internal and external users are affected. Some business processes affected. Loss of productivity for several users within a single user group.

Severity Level 1 Complex Incident. Severe degradation of service. Both internal and external user groups are affected. Several business processes affected. Loss of productivity for several users in all user groups.

Documents

The Connecticut Department of Administrative Services ... · Tax Administration System Connecticut Department of Revenue Services February 2018 ... backup and recovery) 10. Infrastructure