DRAFT

Statement of Work

to

Contract PSC[XXXXX]

for

Quality Assurance (QA) Consulting Services -

Courts of Limited Jurisdiction

Case Management System (CLJ-CMS)

The successful proposer will demonstrate organizational resources and a proven track record for performance and delivering information technology QA consulting services for a private company or state agency with an infrastructure network and application structure similar in size, scope and complexity to AOC’s CLJ-CMS project. Selected Vendor will demonstrate extensive experience and strong knowledge using industry accepted QA methodology to identify risks and mitigation techniques. Vendor must propose to provide AOCwith services and deliverables in the following categories:

  • Provide QA consulting services beginning with the development of the CLJ-CMS RFP and continue through CLJ-CMS implementation and initial court rollout.
  • Inform AOC of risk factors and prescribe corrective actions to reduce or prevent risks.
  • Meet regularly with the project team, as needed, upon intervals based upon current project activities.
  • Document weekly accomplishments and deliverables including a written assessment for each deliverable and task specified in the Project Schedule for the CLJ-CMS project.
  • Review the quality of deliverables and products produced for both the CLJ-CMS RFP and the project.
  • Monitor project organization and governance.
  • Monitor progress against schedules, costs and requirements compliance for risk indicators.

These services and related tasks are described in more detail in the following sections. APPENDIX B must be used as a reference to properly prepare a response to the procurement. Following select of the Apparent Successful Vendor (ASV), the Statement of Work (SOW)will be mutually negotiated by ASV and AOC. A final version of the SOW will be incorporated into the contract as a result of ASV’s proposal prior to contract execution by both parties.

This Statement of Work (SOW) is made and entered by and between the Administrative Office of the Courts (“AOC”), and [Vendor](“Vendor”), for contracted services to provide expert level QualityAssurance (QA) services forthe Courts of Limited Jurisdiction CaseManagementSystem acquisition and project, hereinafter referred to as CLJ-CMS.

This SOW incorporates by reference the terms and conditions of Contract Number PSC[XXXXX] in effect between the AOC and Vendor. In case of any conflict between this SOW and the Contract, the Contract shall prevail. AOC and Vendor agree as follows:

1.INTRODUCTION

The primary deliverables under this SOW are related to the acquisition and project implementation for the CLJ-CMS. The services provided under this SOW will enable the AOC to support the business functions of judges, court managers and probation departments by acquiring and implementing a new CLJ-CMS forcourts of limited jurisdiction in the state as defined in the CLJ-CMS work plan.

The new CLJ-CMS will, at a minimum, enhance the courts ability to accomplish the following:

  • Efficiency in resource management, case docketing, scheduling, case status and progression, and party information.
  • Ability to quickly and efficiently maintain and retrieve court records.
  • Improve accessibility and information for partner agencies such as law enforcement, state agencies, attorneys, the general public, and the media.
  • Improve transparency and reliability of information on which judicial decisions are based.
  • Communications within and between the courts.
  • Standardize and improve probation services for courts of limited jurisdiction for additional public safety and accountability for defendants.
  • Improve efficiency for processing over two million cases filed a year in courts of limited jurisdiction and handling over 18 million individual transactions a month for criminal, infraction, and civil filings.
  • Improve accounting functionality for distribution and collection of court fines, fees, and costs which in turn funds many different programs statewide.
  • Maintain the existing functionality for the courts of limited jurisdictionwhile leveraging new technology to offer efficiencies not available in a case management system based on 1980’s technology.
2.PROJECT OR TASK OBJECTIVES

Vendor must provide services and deliverables, and otherwise do all things necessary for or incidental to the performance of work as set forth under this SOW for all services as provided below:

  • Monitor progress againstschedule (status and stageof completion), costs, and requirements compliance for risk indicators.
  • Inform the AOC of risk factors and prescribe corrective actions to reduce or prevent a risk.
  • Meet regularly with the project team, as needed, upon intervals based upon current project activities.
  • Review the quality of deliverables and products produced in coordination with AOC Project Manager(s), as appropriate.
  • Specify plans for the following month’s accomplishments.
  • Attend required meetings with Project Steering Committee, Judicial Information System Committee (JISC), AOC and Vendor project teams, and other stakeholders as required.
  • Provide Quality Assurance consulting services beginning with the Request for Proposal (RFP) and continuethrough the planning and system implementation rollout.
3.SCOPE OF WORK AND DELIVERABLES

Vendor shall provide Services and staff, and otherwise do all things necessary for or incidental to the performance of work, as set forth below.

Change Management

Vendor will assess the project’s formal process to manage requests for proposed changes to baselined items identified as part of the configuration management process. Change Management protects the viability of the approved Project Charter and the approved business requirements and provides the mechanism for analyzing the impacts to schedule and budget based on scope changes to reflect this additional work. Vendor will assess and monitor the change management process that the project uses to:

  • Track changes and approvals and approvals of project schedule, budget and scope with a particular focus on changes to business requirements as these often have a direct effect on the expansion of project scope.
  • Coordinate and communicate change impact analysis across multiple affected projects or organizations.
  • Coordinate change implementation across multiple projects, organizations, and processes.
  • Coordinate and monitor the processing of change requests to ensure changes are implemented on a timely basis.
  • Provide metrics for the monitoring the effectiveness of the change request process.

Project Governance

Vendor will assess the CLJ-CMS Project’s Governance Management Plan for a complete description of the internal governance organization, structure and process used to manage project, system functionality and technical decisions and direction.

Interdependencies

Vendor will analyze project plans, schedules, status reports, stakeholder communications, service level agreements, inter-agency agreements, and other project deliverables to ensure that interdependencies between organizations and stakeholder expectations are being managed and that the communications between affected organizations are free-flowing and effective as defined in the Communication Management Plan.

Project Management Plan

Vendor will evaluate the Project Management Plan to ensure consistency with the Project Charter, and other relevant organization mandates, policies or undertakings. PMBOK and the other best practices and standards referenced above will be used for assessing the contents of the Project Management Plan.

Vendor will assess subsequent updates to the Project Management Plan and subsidiary project management plans to ensure that plans are kept relevant based on changes to project plans, strategies and direction.

Project Communication

Vendor will assess the content of the Communications Management Plan as well as implementation of the plan by the project team. Vendor will verify that the project team establishes:

  • A list of reports developed by the project and distributed to stakeholders using appropriate media such as printed reports, electronic dissemination via email and project website.
  • A schedule of standard project meetings used to accomplish project work, share information, communicate status and set direction.
  • A common and consistent project reporting process and format to ensure that stakeholders see the same view of all projects.
  • A provision for two-way communication between the project and stakeholders to both allow stakeholders to provide feedback and to also solicit feedback from stakeholders using tools such as web site feedback functions and stakeholder surveys.
  • Provisions for governance, security, change control and storage of project communications.

Organizational Change Management

Vendor will assess the content of the Organizational Change Management Plan and Communication Plan as well as implementation of the plans by the project team.

Vendor will assess subsequent updates to the Organizational Change Management Plan and Communication Plan to ensure that plans are kept relevant based on changes to project plans, strategies and direction.

Schedule Management

Vendor will assess the project team’s utilization of the schedule management process to ensure that the schedule reflects the necessary effort, resources allocation and duration assignment to meet the scope, schedule and budget objectives of the project. Vendor will assess the project team’s use of estimating techniques identified in the schedule management plan and the team’s decomposition of the work breakdown structure into work packages and then into project activities and tasks to accomplish the project scope have been assigned and scheduled. Vendor will assess the use of a Resource Assignment Matrix to identify participation by project roles in project activities.

Issue Management

Vendor will verify that the project is working to identify, escalate and resolve issues so action can be taken to resolve them before they impact the ability of the project team to accomplish project objectives. Vendor will verify that the project brings visibility to issues, provides accountability as to how issues are acted upon, and facilitates their timely resolution.

Risk Management

Vendor will assess the Risk Management Plan, based on PMBOK, ISO Standard 31000:2009 (Risk Management Principles and Guidelines), and related best practices, to ensure that it establishes the framework to enable effective risk management and documents the process, organization and proactive approach used to manage, communicate and resolve project risks.

Vendor will verify that the project establishes and utilizes a comprehensive approach to risk management including risk identification, risk analysis, risk management, Risk communication and risk monitoring.

Vendor will assess the tracking of the risk process for the acquisition and the project through the use of metrics including, at a minimum, the following:

  • Number of risks by criticality: high, medium and low risks.
  • Trend showing number of open risks over a running 12 month time period.
  • Number of new risks identified over a running 12 month time period.

Vendor shall produce the Deliverables as provided in the Tasks as described below.

Task1:Acquisition and Project QA Plan

Utilizing the methodology set forth above and identified for this task and in Exhibit B, Vendorwilldeliver a revisedQA planforthis engagementthat contains the approach provided in Exhibit B (Vendor’s Proposal). This plan willberevised following consultation at minimum, with theState Court Administrator, AOC CIO, project manager(s), and the ExecutiveSponsors.

Task1:Deliverables

The revised QA plan will be approved by the State Court Administrator within the first thirty (30) calendar days following execution of Contract PSC[XXXXX]. Once accepted by AOC, the revised Work Plan shall be incorporated into the contract by reference as Appendix A under a mutually signed amendment. The QA project plan shall include all outliningkeytasks, deliverablesandtimelines for execution ofthe approach.Final approval and acceptance of the QA Plan and any future iteration shall only be provided by State Court Administrator, or his designee.

TASK2:QAREPORTS

Vendor shall conduct a kick-off meeting with the State Court Administrator, AOC CIO, project manager(s), and other appropriate AOC staff. At this kick off meeting, Vendor will review its Quality Assurance methodology and approach as it relates specifically to the work described above. Vendor shall also provide an outline for the baseline report and subsequent periodic QA assessment report at the kick-off meeting.

The assessment required to be completed to develop the initial QA Report will include the review of the CLJ-CMS Steering Committee Charter which was created to clarify project roles and responsibilities, reporting relationships, and project tool usage and expectations. It shall also include the Acquisition Plan which was created to identify the procurement model, document structure, and evaluation approach. The initial QA report will act as the baseline report for subsequent QA reports. As appropriate for the current CLJ-CMS project phase, each QA report shall include, as appropriate, the following:

1)Provide an independentassessment ofproject management and other management activities that support thesuccessful completion of the project.

2)Conduct routine assessment ofproject sponsorship, includingbut not limited to:

a) Evaluation of ExecutiveSponsor and keyexecutives engagement in the project.

b) Verification of routine and effectiveproject communication with ExecutiveSponsor and otherkeyexecutives.

c) Verification that projectgovernanceactivities are occurring as planned aswellas an assessment ofthe effectiveness of the processes.

3)Routine assessment ofthe project’s managementand organizational structures, including but not limited to:

a) Evaluation of the effectiveness of the project’s organizational structures.

b) Verification that lines of reporting and responsibilityprovide adequate and effective technical and managerialoversight.

c) Evaluation of theprojectmethodologies.

d) Evaluation ofthe abilityof theproject managers and project team to successfully perform theplanned methodology.

e) Evaluation of theproject decision-making, governance and oversight processes.

f) Evaluation of establishedpartnerships with keystakeholders andother organizations critical to thesuccess of theproject.

4)Routine assessment ofproject management plans,includingbut not limited to:

a) Confirmation that key project management planshavebeen documented, arebased on best practice andscaled forthe project.

b) Validation that project management plans(and anysubsequent modifications) have been documented in theproject governanceplan and have been communicated to the project team and stakeholders.

c) Evaluation of the routineuse and maintenanceof thesedocumented plans.

d) Evaluation of the effectiveness of the activities associated with all project management plans.

e) Routine assessment ofproject risk management activities.

f)Evaluation of theproject’s budget control and trackingmechanisms.

5)Routine assessment ofthe project’s schedule/work plan activities includingbut notlimited to, the following:

a) Validation that the project’s work breakdown structurehas been created and containssufficient detailto schedule the project tasks andresources.

b) Evaluation of theestimatingand schedulingprocesses forthe project.

c) Reviewof work plans to verifythat adequate time and resources are assigned and committed throughout thelifeof theproject.

d) Reviewof theprocessesusedformanaging, analyzing and reporting resource utilization to determineprogress and schedule impacts. This willinclude,when planned, an assessment ofthe availabilityof designated resources and skills.

e) Verification that milestones and completion dates are established,monitored, and met.

f)Verification that schedulevariances aremonitored, analyzed,reported and addressed.

6)Routine assessment ofthe project staffingplan including,but not limited, to:

a) Examination ofthe job assignments, skills, training and experience of the personnel assigned to the project (includingproject staff, other state staff and contracted staff).

b) Evaluation of thehiring plan and/or procurementplans to verify adequate resources willbe available when needed.

c) Evaluation of theuse of sub-contractors orother external sources of projectstaff in project planning and development activities.

d) Assessment of the availabilityof planned staff duringthe lifeof theproject.

7)Routine assessment oforganizational change management and communication plans,includingbut not limited to:

a) Confirmation that organizational change management and communication planshavebeen documented, arebased on best practice andscaled forthe project.

b) Evaluation of themaintenanceof thesedocumented plans.

c) Routine assessment ofthe effectiveness of the organizational changemanagement, stakeholder engagement, and communication activities.

8)Routine assessment ofthe abilityof contractedVendor(s)to maintain the required skills, personnel, plans, resourcesand procedures.

9)Routine evaluation through project reportingincluding but not limited to:

a) Verification that status is accurately and effectivelytraced usingproject metrics. b) Verification that status report processesforinternal and external oversight aredocumented, followed and remain effective.

c) Periodic assessment ofsatisfaction levels of end users, project team members andkey stakeholders.

10)Routine evaluation oftheproject’s procedures for managing requirements including,but not limited, to:

a) Verification that system requirements arewelldefined, understood, and documented and that stakeholders have accepted requirements as complete.

b) Verification that analysisof customer, state and federal needs and objectives have been performed and are being addressed within documented requirements.

c) Validation that technicalstaff consider thedocumented system requirements to be complete enough to proceed with design and development activities and theyhavethe same understandingof the requirements as the stakeholders.

d) Verification that criticalstakeholders have reviewed and had inputto changeswhich impact project objectives, cost or schedule.

11)Duringtheimplementation stage ofthe selectedCaseManagement System, Vendor will also provide as partof routine reports:

a) Verification that interface and information exchangerequirements have been identified.

b) Verification that the level of interface complexityhas been determined and appropriately reflected inthe project plan.

c) Periodic reviews of implementation plan development includingbut notlimited to:

Verification that implementation planningis comprehensiveand realistic for all impacted parties.

Reviewof user trainingplan and activities fortimeliness and effectiveness of trainingand staffreadiness.