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13-RFI-001-LJ Workforce Information Technology

Procurement Project – A Florida Workforce SaaS (Software as a Service)

Response To:

Department of Economic Opportunity Office of Procurement and Contract Administration

107 East Madison Street, B-047 Tallahassee, Florida 32399-4128

Telephone Number: 850-245-7455

Attention: Sonja Strickland/Laura I. Jennings

Submitted By:

Stathi Kouninis, Vice President of Finance, Finance & Administration

Pegasystems, Inc.

June 12, 2013

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Acknowledgement Form The following page is our signed Acknowledgement Form as required by instructions in the RFI.

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Table of Contents

Acknowledgement Form ......................................................................................................... 2

Table of Contents ..................................................................................................................... 3

1. Executive Summary .......................................................................................................... 5

2 Challenges Facing Florida Department of Economic Opportunity ................................ 7

3 Proposed Solution ............................................................................................................ 9

4 Conclusion .......................................................................................................................36

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1. Executive Summary Team Pega® is pleased to provide our response to Request for Information 13-RFI-001-LJ Workforce Information Technology Procurement Project – A Florida Workforce SaaS (Software as a Service) for the Department of Economic Opportunity (DEO). We are confident that the Pega solution approach and our accomplished team will provide DEO with a web-enabled, Software as a Service (SaaS) solution to support Florida’s workforce development system by providing a state of the art labor exchange/job matching system, robust repository of job seeker resumes across multiple industries to enhance Florida’s talent pool; and comprehensive case management and reporting system. Our response addresses all of your requested topics:

Team Pega’s ability to provide a Florida Workforce Automation Software as a Service (SaaS) system and its complete components

Team Pega’s history with similar systems, organizational structure, and contact information of each reference: Name, title, phone number and email address

Team Pega’s use of contemporary enabling technologies that can be applied to the Workforce business processes to create a more flexible and responsive environment

Figure 1 illustrates Pega’s conceptual Workforce Development SaaS solution. Our response addresses the key components that will support this solution. Our solution Strengths

Addresses your requirements

Designed for Change

Cloud and mobile device compatible

Top ranked Case Management and Business Process Management (BPM) Platform (Gartner and Forrester)

Dynamic Centralized Rules Engine

Flexible work flows

Proven, subject matter expertise

Contemporary technologies that will allow for scalability and timely refreshes

Highly maintainable solution

Possible collaborations with Texas Workforce Development project currently using Pega for solution development

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The Pega Team Pega Systems (Prime Vendor)

Founded in 1983 by current CEO and Chairman, Alan Trefler, Pega has been a leader in the development and implementation of rules-driven business process management technology at some of the world’s most innovative organizations. Starting with exception processing solutions in the Financial Services market in the 1980s, evolving to customer service and support solutions and the Healthcare vertical in the 1990s, and continuing to lead the Business Process Management (BPM) and Business Rules Engine (BRE) technology sectors with today’s cutting-edge solutions for the extended enterprise and Public Sector customers, Pega continues to prove itself as a foremost thought leader in Case Management, Business Process Management and rules technology.

Cooper Consulting Cooper was founded in 1994 as a Woman Owned Business Enterprise and is a Texas based, privately held corporation. Cooper has primarily focused on State government clients since its inception. Cooper’s expertise is in software development implementations. Cooper is currently delivering solutions for the Texas Workforce Commission using Pega. SLG Innovation, Inc. SLG Innovation, Inc. is an Illinois based Minority Business Enterprise (MBE). SLG Provides Pega implementation support with Pega certified staff. SLG also specializes in data management and analysis processes. SLG has an office in Valrico, Florida. Ready for Orals The Pega Team looks forward to the opportunity to present our solution approach to DEO. We are confident you will agree that our supportive technology is superior and our approach to delivery is based on best practices and expediencies. Pega will deliver DEO exactly what you require and position the Workforce Development solution to keep pace with the future.

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Figure 1 – PEGA SAAS Workforce Development Solution Concept

2 Challenges Facing Florida Department of Economic Opportunity The Pega Team understands the challenges of delivering complex solutions that integrate multiple processes and data sources. We also understand what it takes to provide solutions to our government clients. The Pega Team embraces DEO’s commitment to help develop Florida’s workforce through economic development and matching job seekers to opportunities. With limited state budgets, we understand that your SaaS Workforce Development solution must be economical, provide robust functionality and be highly maintainable. We understand the challenges of finding the right solution and the right team that will be good stewards of your trust to deliver your solution on time and within budget. The Pega Team appreciates what is required to meet the challenges of delivering your functionality.

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Providing a SaaS solution for workforce development, employment and training

Automating manual, paper-based processes to increase workflow efficiencies and reduce operational costs

Providing direct job seeker interfaces

Facilitating improved communication within DEO as well as between Workforce Florida, Inc., DEO, the Regional Workforce Boards, job seekers, employers and partners

Providing the Workforce System with timely access to information necessary for performance measurement and quality management

Providing comprehensive access to data through searching and reporting capabilities

Providing the capabilities to serve the needs of all U.S. Department of Labor (USDOL), Employment, Training and Administration (ETA) funded programs within DEO and the Florida Workforce System

The Pega team has the technology and ability to address the special challenges of providing comprehensive, rule driven Case Management capabilities. Your Case Management tool must, at a minimum, perform:

1. Eligibility Determination

2. Service Tracking

3. Case Notes

4. Follow-up

System Interfaces There are many functional and data interfaces that must be deployed with your solution. Solution interfaces are often the source of failure for system implementations. The Pega Team has the experience and tools to work with project stakeholders to analyze, map and implement the date exchanges required. System Security and Access Control With the challenge of relentless assaults on government systems from hackers, the Pega Team has the security expertise to address these concerns. The Pega solution platform also has security controls embedded in the layers of access and functionality to mitigate vulnerabilities and protect citizen data. Project Management It is critical that project management beast practices be followed to ensure success. The Pega Team follows PMBOK guidelines to mitigate the risks associated with the delivery of complicated projects. The Pega Team applies a robust Risk Management methodology to proactively identify potential project roadblocks and apply remediation steps.

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3 Proposed Solution We will address the four focus topics as identified by the RFI Instructions for Providing Relevant Information.

1. A description of Respondent’s ability to provide a Florida Workforce Automation Software as a Service (SaaS) system and its complete components

Enabled with the Pega Team’s solution, DEO is poised to transform the model of how state agencies enable job seekers to return to work. With this integrated capability, offered as SaaS, DEO staff may focus on getting Florida job seekers into the workforce more quickly. We accomplish this by enabling the job seeker with self-service capabilities, while affording DEO staff the ability to help drive work to “done” rather than doing extensive manual research. The solution, provided as a unified platform, would include the abilities to match job seekers with openings, identify opportunities for job seekers to augment their skills with training and professional development planning, while tracking activity for reporting and transparency. Figure 1 – PEGA SAAS Workforce Development Solution Concept established the approach to satisfying your RFI requirements. Pega’s industry leading Business Process Management System and Case Management capabilities coupled with national resume hosting services, search capability and job matching algorithms represent a compelling combination for DEO. The open nature of our architecture enables these seamless product synergies. Our comprehensive platform is the best way to help DEO achieve an integrated, adaptable, and scalable web-enabled information system to support the entire Workforce System. (See more on the Pega Platform Components in RFI focus topic 3). The following table addresses specific solution components defined in the RFI. For each Specified Component we indicate if it can be accomplished by Pega, The National Online /Workforce Service, or if it may require a customized workflow design utilizing Pega capabilities. This table would be updated based on the ultimate National Online /Workforce Service selected.

Specified Components Pega National Online

Career/Workforce Capability

Design Decision

1 Optimal access to jobs and career information, eliminating duplicative job listings for job seekers

X

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Design Decision

2

Access to or partnership with another vendor with access to a national resume hosting site that currently contains at least 250,000 Florida based resumes across multiple industries

X

3 Ability to search all posted resumes utilizing national brand website search capabilities

X

4

Enhanced case management tools for Regional Workforce staff to most fully assist employers and job seekers to include, but not be limited to:

X

4a Eligibility Determination X

4b Service Tracking X

4c Case Notes X

4d Follow-up X

5 Precise reporting capabilities to meet the needs of federal, state and local reporting requirements

X

6

Strong interconnectivity capabilities between environments maintained by DEO Workforce Services and U.S. Department of Labor (Workforce Program Oversight) such as: Connect, One Stop Service Tracking (OSST) and Labor Market Information services

X

7 Eligibility determination functionality, data validation field recording, and activity tracking

X

8 Readily available information for researchers related to labor market and economic development data

X

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Design Decision

9 Advanced self-service capabilities (Streamlined internet access)

X

10

Reemployment related activities such as skills assessment and reemployment opportunity matching

X

11

Administrative management functionality in support of data security, reporting, audits and user safeguards against fraudulent actions

X

12

Automation of cumbersome manual or paper processes to ensure critical information needed to effectively manage the programs is readily accessible to state and local administrators and policymakers

X

13

A technical architecture and underlying functionality that is adaptable, scalable and flexible to support continuous process improvement and changes in applicable state and federal laws

X X

14

Other enhancements/features/innovations provided by the vendor not identified above

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2. Respondent’s history with similar systems, organizational structure, and contact information of each reference: Name, title, phone number and email address

Team Pega’s References and Related Experience Projects at the Texas Workforce Commission WorkInTexas.com (WIT) Support February 2005 through current date Jennifer Canady, Project Manager Phone Number: 512-936-3764 Email address: [email protected] John Fowler Manager – Pega Project Phone Number: 512-463-2244 Email Address: <[email protected]> Common Measures (February 2005 – September 2005) Common Measures was a WIT project to incorporate DOL required information about job seekers into the WIT web application to be utilized for agency performance to DOL. The interface with the Texas Workforce System of Texas (TWIST) was modified to share the additional information between these two TWC systems. WorkInTexas.com Phase 2 (February 2005 – August 2007) WIT Phase 2 was established after the initial rollout of WIT to include additional functionality from the legacy job matching system (JSMS) into WIT. This project incorporated additional reporting capabilities into WIT. This project was also utilized to enhance the functionality of the WIT given web technology capabilities that were not available via the mainframe. ESUI Phase 1 (September 2005 – August 2006) Employment Services/Unemployment Benefits Integration (ESUI) project was established originally to integrate UI Benefits and WIT for sharing UI Claimant information. Based on the complexity and available budget, the scope was modified. This phase of the project was utilized to create a mechanism for job seekers registering in WIT to extract data they had given/entered into the UI Benefits system as a starting point for their WIT registration. The interface established between WIT and UI included data entered in the UI Benefits web application (Apply for Benefits (AFB))or from the UI Benefits mainframe (Benefits) application. ESUI Phase 2 (September 2006 – June 2008) ESUI Phase 2 was a WIT focused project and the second phase of the integration project which redesigned the mechanism for job seeker registration entry, enhance wizards used to help improve resume generation and facility State of Texas application entry and modified the way job seekers made their contact information available to employers. ESUI Phase 3 (June 2008 - August 2009) ESUI Phase 3 was the third phase of the integration project that established a mechanism to automatically generate job seeker registration information into WIT for UI Claimants that hadn’t registered for a period of time after filing their claim utilizing the data entered in the UI Benefits

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system. This project established a single signon process for UI claimants between the web application Unemployment Benefits System (UBS) and WIT. There was also continued focus on improving the quality of job seeker applications in WIT additional correspondence and online tools generated to help job seekers improve their information in WIT. RRES Phase 1 ( July 2009 – August 2010) Rapid Reemployment System (RRES) project was a project to include into the WIT application a web-based version of another mainframe application that sends correspondence to UI Claimants that have the highest probability or exhausting their benefits. The WIT application was modified to include an RRES module available to certain TWC staff to allow them to outreach people scheduling them for mandatory orientations. RRES Phase 2 (September 2010 – August 2011) RRES Phase 2 added additional functionality to the RRES module giving the staff additional tools to help schedule orientations for groups of ‘like’ jobseekers based on a combination of WIT and UI data. Enhancements also include additional reporting of RRES module information.

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3. DEO is also interested in responses from vendors with contemporary enabling technology that can be applied to the Workforce business processes to create a more flexible and responsive environment

Creating a dynamic business solution that maximizes organizational agility and business benefits is possible only when the software has a truly unified – not merely integrated – environment. Only Pega brings all of these components together into a unified whole — one design environment, one run-time and one user experience — that helps you substantially improve and streamline your operations. Pega BPM unifies:

Business processes and improvement methodology

Case management

Decision management

Business policies and rules

IT management

User interface and presentation (correspondence, Web, etc.)

Integration

Security

With Pega BPM’s unified environment, you can:

Significantly reduce the time-to-market for business applications.

Gain greater flexibility for deployment on the cloud and on-premise.

Improve communication between business and IT to streamline the delivery of applications.

Substantially reduce training time and costs. Team Pega takes great pride in our industry leading platform capabilities that will serve as the core of the Workforce Development SaaS solution. These core capabilities are:

SaaS (Pega Cloud)

Case Management

Reporting

Integration

Pega Cloud Intro Pega Cloud™ offers the ideal solution for reaping the advantages of running your Pega-based workforce development, employment and training applications in the cloud. Pega Cloud can become a truly seamless, scalable addition to your existing data center, delivering enterprise-grade security and reliability, uncompromising performance and outstanding business agility. Enterprise-level security and reliability Pega Cloud offers best-in-class physical and network security with excellent redundancy and reliability. Pega Cloud includes a 99.95 percent SLA and it's control architecture meets regulatory requirements, including HIPAA, PCI DSS, FDA 21 CFR Part 11 and European Union Data Privacy*. All data is redundantly mirrored across several servers in real time to prevent data loss. Nightly backups are stored in at least three geographically distributed data centers

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that use different Tier-1 carriers, power grids and onsite backup generators to ensure business continuity. Pegasystems is SOC 2 certified. SOC 2 provides a rigorous reporting framework for non-ICFR circumstances related to Security and Availability. Under SOC 2, Control Objectives are pre-defined based on structure provided by Trust Services Principles and Criteria. Under the criteria, Pega has deployed an effective control system to effectively mitigate operational and compliance risks that the system may represent to its users. Dynamic scaling You can start small and grow quickly because Pega Cloud is infinitely elastic. The entire application and infrastructure can scale in real time to meet current demand on a minute-by-minute basis. Ultimate deployment flexibility Application portability is built in. Every application built on Pega Cloud can be just as easily deployed on-premise with absolutely no code changes. Rapid enterprise integration Pega Cloud integrates quickly and easily with back-end systems using state-of-the-art Web services. You can leverage information maintained in your data center in Pega Cloud applications as well as exchange messages with legacy systems. Pega's "Private Cloud" model with a private VPN Tunnel lets you treat Pega Cloud as an extension of you data center and integrate seamlessly with your systems. * Note Certification of an application to specific requirements is initiated by customer. Pega Cloud control architecture can support that effort.

Case Management One of Pega’s core strengths is its industry-leading Case Management capabilities. Most case management solutions provide workflow capabilities—receiving, routing and reporting on work across the organization. Pega accomplishes these tasks automatically— and leverages its Business Rules Engine and Business Process Management Engine to intelligently resolve work without manual intervention. Pega is the only case management solution that automates both the business decisions and the processes that drive them. Pega’s Case Management component capabilities have been rated #1 by Forrester. See Figure 2.

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Figure 2 – Case Management #1

Pega supports collaboration on cases, allowing multiple work items to be associated to a single case, and multiple users to work on items within a case simultaneously. Parent-child relationships can be established to group related work together. Using an intuitive Case Management Wizard, users can define:

the hierarchical relationship between each Case and Sub-case

whether to automatically create sub-cases, based on business triggers from the parent

case or from another sub-case

whether to automatically resolve the parent case when all child cases are resolved

how to share and/or propagate data between related cases

For example, all of a job seeker’s credentials, skills assessments, job training, employment plans and job applications can be treated as individual cases that all relate to a larger “job seeker” parent case, while still maintaining their individual autonomy. Relationships can easily be specified between the cases to define how actions taken in one case may impact other related cases. For example, when a job seeker completes a training program, the seeker’s skills assessment case and credentials case can be updated automatically, or users can be assigned tasks to review and update those cases. Pega’s Business Process Management (BPM) component capabilities have been rated #1 by both Gartner and Forrester. See Figure 3.

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Figure 3 – Business Process Management #1

Reporting PRPC provides powerful reporting features for developers--and for business analysts and managers, who can create simple or complex reports in seconds to satisfy their needs. Pega makes it easy to browse, search, organize, schedule, and run existing reports. Pega support list-type and summarized reports, charts, automated drill-down and drill-up, pivot tables, custom formatting, and other features. Business users can share reports with others, and export results as PDF files or Excel spreadsheets. PRPC includes many standard, pre-defined management reports that can be used as-is, or customized, to help monitor and analyze the status, performance, and quality of business processes.

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Integration (Insanely Open Architecture ™) Pega’s supports the widest possible array of integration and connectivity standards. Pega provides an easy-to-use form-based interface and wizards that remove the configuration and coding complexities from the designer. These features allow Pega to act as the mortar that connects multiple disparate systems, including National Online Career/Workforce Capability services such as Monster. We call this Pega’s “Insanely Open Architecture” ™. Connectors allow Pega to call into external systems, while Services allow external applications to call into Pega. Each support most industry standard messaging, service and component protocols. The following table lists the available Connectors and Services:

Connector Service

EJB Call EJB’s remote methods. Expose Pega functions as EJBs.

SOAP Act as a web services client. Expose Pega functions to web service clients.

.NET Act as a .NET web services

client.

Expose Pega functions to .NET web service

clients.

Java Call Java methods and

constructors from .jar files on the

server.

Expose Pega functions as though they were

public methods of a Java class.

HTTP Send data via HTTP GET and

POST requests, and process the

response data

Service HTTP POST requests and returns

response data. Supports inbound REST

requests for JSON services.

JSON Use REST (GET, POST, PUT or

DELETE ) to send data via JSON

requests, and process the

response data

See HTTP.

JMS Process response messages

from a JMS queue.

Process request messages from a JMS queue.

MQ Process response messages

from a WebSphere MQ.

Process request messages from a WebSphere

MQ.

BPEL Act as the container for Pega

when it calls a BPEL application.

Act as the container for Pega when a BPEL

application calls it.

SQL Send complex SQL Statements

to an external database.

n/a

JCA Sends messages to a server that

implements the JCA Common

Client Interface.

n/a

JSR-94 n/a Receive and respond to requests from external

applications (when the Pega application is

embedded in another Java-based application).

Portlets n/a Display Pega application features and functions

in JSR 168-compliant portlets.

CMIS Integrate with external 3rd party

enterprise content management

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Connector Service

systems, such as EMC

Documentum, IBM FileNet,

Microsoft SharePoint and

Alfresco

UIMA Analyze, summarize, and convert

unstructured data (typically text) in

emails, social media posts, etc.

Email n/a Import and evaluate e-mail messages.

File n/a Evaluate the contents of files that are stored

outside of Pega

COM n/a Wrapper Pega functions into a custom ActiveX

control.

CORBA n/a Expose Pega functions to Object Request Broker

clients.

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4. Any other information that vendors want to supply in response to this RFI

Collaborative Solution The Pega Team can orchestrate collaborative discussions between Texas Workforce Development Team and DEO to explore possible ways that developed applications can be shared or reused. This possible collaboration could result in savings for both States and a reduction in time to achieve a comprehensive overall Workforce development SaaS solution.

Reusable Framework The Pega platform can support industry specific workflow and rules driven baseline solutions. These frameworks have been developed for areas such as Healthcare and Banking. These frameworks greatly reduce the time required to achieve a customized solution. The result of DEO’s Workforce Development SaaS project can be an initial Pega framework that could be leveraged by other states. This capability could help DEO qualify for grant funding or result in a possible revenue stream if other states choose to adopt this solution.

National Pega Workforce Development User Group With multiple states adopting and enhancing the same solution framework the opportunity exists to create a user group for the purpose of sharing applications and enhancements. Pega has an annual conference where similar user groups meet to share experiences, new applications and best practices.

Sample Technical Approach The following is a sample of a technical approach to providing a Pega based solution. This approach would be refined based on the future RFP you will be releasing this Fall. This approach would be reviewed and refined during the initiation of the project to deliver your Workforce Development SaaS solution.

Technical Approach

The Pega Team is taking a technical approach to this offering that is in line with the RFI’s stated

business objectives.

1. Roadmap and Planning, Environment Set up and Training

a. Getting the team speaking the same language

Before we get moving toward the same goal with the Workforce Development SaaS

team, and become a collaborating team, we believe it is imperative that we all

understand one another, and have an understanding of how everyone will be able to

contribute and provide value during our journey together.

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i. Pega Overview for everyone

To gain this level of understanding we plan on starting the project with an overview

session with the entire team about Pega, how it works, what the different components

are, and how the tool itself, helps the requirement gathering, management and actual

development activities.

ii. Methodology Alignment Workshop

After we review the product with the team, we will then begin to plan this roadmap and

project in much further detail. In order to do that effectively within your organization, we

will conduct a Methodology Alignment Workshop. We realize that you have spent many

years running projects within your organization and have built up many great processes

and procedures that work very well within your organization. We have worked many

projects with and know how to use the tool to assist in the most efficient use of

resources during Pega projects to get the desired outcomes in the most cost and time

effective ways – our methodology. We believe that in order to make this project as

successful as possible, we should take advantage of the best of both methodologies.

The Methodology Alignment Workshop is the first step in this process. After the

methodology alignment, we will both have a much better understanding of the potential

strength of combining our methodologies.

iii. Resource Alignment Workshop

One of the other sessions which is crucial to the success of the project is our Resource

Alignment Workshop, but for all intents and purposes it could also be called the: “What

am I going to be doing on this project, and more importantly, how is my job going to

change in the future, and will my job still be here? Workshop” During this workshop we

speak to the roles of the project and roles of Pega users and information technology staff

from a production view and an on-going nature. The plan is focused on making people’s

jobs easier, more enjoyable, and improving communication – with minimum disruption to

day-to-day activities.

We will explore the many options available to your resources within Pega projects. The

beauty of the Pega application is that regardless of what people have done in the past, it

has the flexibility to allow people to work in as focused or as broad a manner as they

have an interest. At the end of this session our goal is to give the project team and any

external stakeholders the confidence that Pega is going to improve their lives and make

work more enjoyable while calming fears about displacing them.

b. Determining the documentation

The third step in our planning exercise to ensure success is that very important portion

of the project: Documentation. We understand, just as with the methodology, you have

great templates for projects within your agency. Pega provides a broad range of project

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documentation and will allow you to customize the documentation or incorporate any

document you have into Pega. The tool documents itself, and you also have the choice

to work with us to modify the templates within Pega (which is where we can incorporate

the your documentation) to ensure that all current PMO needs are met without having to

do additional external version control and change tracking, as Pega does that for you.

In addition to PMO documentation, we will also want to discuss the creation of the

documentation that is very important to the Pega build process and what the Pega

developers require when building out requirements. These are our business

specification documents and their associated application development specification

documents. These documents will directly impact the development, test cases, and end

user training - so their accuracy is paramount.

These specification documents will become the content for a more comprehensive

document created by Pega and called the Application Profile or Application Document.

The document flows through the development process, however the level of detail in the

contents and the name is changed based on what stage we are in of the project. This

document, which is also generated by Pega, and whose template can be edited, will be

the driving document for the application. In the beginning, the Application Profile will

contain all the high level flows, objectives, along with project assumptions and resources

and enablement plans. Toward the middle of the project, the Application Document will

contain all draft flows, graphical user interfaces and requirements and their respective

traceability. At the end of the project, it is the Application Document that will contain

integration details, document how the application is built to meet the functional

requirements, and ensure that all requirements and specifications can be traced to the

rules that were developed within Pega to satisfy their details.

Once the methodologies are aligned, documentation agreed to, and all of the agency

team members understand and have actively requested specific roles on the project, we

will be able to begin the actual detailed planning of the project.

This part of the project is very similar to other projects in some ways and different in

others. We know you are experts at your projects and PMO via your well exercised

processes, just as we will have done in our methodology alignment workshop, we will

want to leverage the best of both worlds. To ensure that we are on the same page we

will perform this step together. (Are you starting to see a trend here?)

We believe the following areas are imperative in a Pega project, if not all projects, and

we hope to confirm this with you during our planning sessions. The contents of these

plans and how we plan to execute to them are discussed a little later in this document in

the execution of the plan section.

i. Environment /Infrastructure Plan - Hardware needs for all environments

and their schedules for being set up with Pega.

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ii. Status Reporting Plan – This plan will discuss the format and timing of all

levels of the project team - from team member status reporting to steering

committee reviews.

iii. Communication Plan - This will present how issues and risks are

managed and communicated to the team and will document associated

approval processes.

iv. Organization Management Plan – This will discuss how to bring all

effected stakeholders into the process early and often to ensure everyone

is ready for each phase of the project as it is completed.

v. Enablement Plan – This will discuss how your team will be trained, then

learn to use the tool, with hands on experience and be prepared to

support the application after Go Live.

vi. Road Mapping Plan – This plan addresses the specific portions of any

milestones around the technical roadmap.

vii. Create Project Plan (same process for each of the milestones/processes)

A Pega project plan has a few different phases than traditional waterfall

projects. The reason is not because the steps of waterfall projects are

not taken, just that they are taken in a sequential yet parallel nature due

to the functionality of Pega. This will make much more sense after the

Pega Overview and Methodology Alignment Workshops.

1. Inception (Waterfall - Requirement Gathering)

The first phase of a Pega project is called Inception. During this phase we will be

gathering requirements and building flows for the primary paths. The project team

members, during the Inception phase, will consist of the your subject matter experts,

Pega Business Architects, Pega System Architects, the Pega Lead System and Lead

Business Architects. The roles on a Pega project are very typical of other projects,

however the names have been changed to protect the innocent and also to describe in

more detail what that traditional project role does within the Pega application. The team

will learn more about how its roles map to the Pega roles within our Resource Alignment

Workshop, however here are the descriptions and mapping to traditional roles within

Pega.

Pega Role Traditional

Role Description

Business

Architects (BAs)

Senior Business

Architects

Lead Business

Architects

Business

Analysts

System

Analysts

Process

Analysts

Understands the functionality the application

provides, but may not know specifically how to

develop to that functionality.

Good communication skills, and the more

senior the role, the greater the ability to

manage, mentor and think strategically.

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Pega Role Traditional

Role Description

System Architects

(SAs)

Senior System

Architects

Lead System

Architects

Developer

DBA

System

Analysts

Application

Architects

Integration

Architect

System Architects can take on many roles

within a Pega project, and therefore map to

many current rules within a traditional IT

organization. A system architect’s activities,

based on level of maturity, on a Pega project

typically include, but are not limited to:

User Interface Configuration

Decision/Business Rule Configuration

Draft Flow Configuration

Data structure and set up

Integration work

Application Design and Deployment

Engagement

Leader

Project Manager Engagement Leaders are very similar to the

traditional project managers; however they

have a deep understanding of Pega, its

flexibility and the unique ways it can impact a

project in positive and negative ways.

For this project during this phase we will be extracting the UI layer rules from your

Natural code using a specialized search tool - helping us to expedite the process. We

will use this information along with the information provided during the SOW process, in

conjunction with the screen information we analyze, to provide the framework for our

discussions. Unlike other projects where this work is typically done in Word and Visio,

we will do all of our work directly in the Pega application.

After the project team does this preparation, we will meet together to review the

documentation and confirm that we have documented accurately all of the primary path

steps, their level of complexity and any alternate flows that may be triggered along the

way.

2. Application Accelerator (Waterfall - Construction begins)

After Inception is when the power of Pega begins to really be seen because this is when

we get to run the Application Accelerator. Because we have done all of the documenting

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of the flows within the application, we have already begun Construction (this is why the

Pega methodology is a little different than your average waterfall approach) By

accelerating the application profile, Pega will take those flows and create draft flows

within the tool, along with UI stubs, and all necessary automated portions identified in

the primary paths above.

3. Elaboration

Once the accelerator has been run, the Elaboration process will begin, during this

process we complete the gathering of requirements for all alternate flows using the same

Prep and Review process described in the Inception process. In addition to the

incredible level of detail in specification documentation, the team will create draft flows

and their associated draft graphical user interface. At the end of Elaboration you will

have all requirements documented, the functional application document, and all draft

flows and draft user interfaces identified and created. This phase will use the same

resources as the inception phase, except the number of technical resources will increase

to support the draft development within the application. If there are any rules still to be

extracted from the Natural code, that will be completed during this phase.

In addition to the discovery work that takes place during Elaboration with our Direct

Capture of Objectives (DCO) sessions, Construction will normally begin on the primary

path for each of the specifications, as those were approved and agreed to at the end of

Inception.

In order to prepare for testing, we will work with you to ensure that your testing

environments are ready to go during this phase.

4. Construction (Waterfall – Construction Finishes, Test and End User

Training processes begin)

After all the requirements have been gathered, documented and approved, the business

users and SMEs directly move on to creating test cases and end user training. In

traditional projects this usually takes place much closer to the end of the project, and

that is the same case now, but because of the Smart BPM methodology and the features

of Pega, we are close to the end.

While the Business Architects and SMEs are working on the testing and training, the

System Architects are feverishly connecting all the remaining integration points and

migrating all the draft flows and UIs into a functioning application. In other systems this

may mean duplicate copies, (one of a draft and one of the actual item) however in Pega

this is just done by updating the draft GUI and flow with the remaining necessary

functional components. So the draft GUI and flows created in Elaboration are just like

the ones in Inception - part of Construction.

Once Construction is complete, either pieces of functional code or the entire application,

the rules are promoted to Test, and the Application Document is created.

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In order to prepare for Production and Go Live, we will work with you to make sure your

production environments are ready to go during this phase.

5. Transition (Waterfall – Test and Training Finish)

During Transition the team will perform functional, integration, and system testing. The

business architect team will also begin “train the trainer” for the end users of the

application.

While the business users are focused on testing and training, the technical team will be

providing triage and bug fixing support. In addition, the System Architect team will begin

the production data transfer set up and preparation activities for Production.

6. Go Live (Waterfall – Go Live)

After the transition activities, just as all other activities, the application will be ready for

Go Live. By this point, your Pega Administrators will have completed their training and

be prepared to support the application. If desired, as documented in the SOW, Cooper

is prepared to offer an additional 200 hours of support. This request will be facilitated via

the Change Control Board (CCB).

As a result of the Pega plan execution we will provide the following Deliverable Artifacts:

1. Detailed Project Plan

2. Implementation Plan

3. Back Out and Recovery Checklist

4. Implementation Checklist

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c. Executing the Plan

i. Kick off the Project!

We will plan on having our kick off meeting with all project team members

and stakeholders. It is very important to have all levels of leadership at this

meeting to ensure the entire team knows the importance of the project and

the level of sponsor and management support.

ii. Environment Set Up

As mentioned above, we will need to set up the following environments

during various points throughout the project. At each of these points, which

will be identified in the detailed project plan, an expert services resource

from Pegasystems will come on site and install all your instances of Pega

and associated frameworks. In order to execute this process in the most

effective and efficient manner for you, we will need to complete the

attached Environment Sizing Spreadsheet, deliver that to Pegasystems,

and they will provide you details to the specification of any servers you may

need to set up to meet your Pega environment needs. We have provided a

draft of the required equipment in Appendix E along with the hardware

estimation spreadsheet. As soon as the environment needs are met for the

Development Server Environment, we will bring this resource to install your

Pega Dev instance so we can get started with Inception and the Roadmap

exercises.

iii. Status

Once the project gets started, our Engagement Lead will provide weekly

status reports to all stakeholders, and once a month will work with your PM

to create and review an executive level status report. Our Engagement

Leader will be available to present risks or issues to the steering committee

for resolution or awareness.

iv. Communication

We at Cooper Consulting believe that lack of communication is the primary

reason that projects are not successful. In order to ensure this project stays

on track and focused, we plan on having all communications posted to a

Sharepoint site for the project, along with having regular meetings and

communication within the team to ensure that all risks, issues, tasks and

delays are communicated in a timely manner.

As a result of the methodology alignment and discussions with your PMO

team we will come to an agreement on a Change Management Plan. This

change management document will include the levels of approval and

documentation needed for each level of approval for changes or additions

to our project time, cost, duration or deliverables. Our change management

process will also identify the proper escalation chain for everyone in our

project team and extended stakeholders. Please see the additional project

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close out section for recommended steps within the change management

process.

v. Organization Management

It has been our experience that most successful projects, in

addition to working the communication plan and providing

comprehensive status reports, also include an Organizational

Management Plan.

Although out of scope for this SOW, we highly recommend the

following types of activities to help the external stakeholders with

the changes that the new application will bring to their work

environment.

a. Organization Change Management Plan

b. Organization Communications Plan

i. Monthly News Blast

ii. Quarterly Focus Group/Forum

iii. Published Project Calendar

c. Name the new system Contest

vi. Enablement Plan

We recommend a combination of training courses, seminars, hands on

activities/shadowing and one on one mentoring be included in the

methodology for enablement of your resources.

The courses we believe are mandatory and are included as a part of this

bid are (in addition to the alignment workshops mentioned above) the Pega

Overview and Pega BA 101. We will provide one instance of each of the

two courses. The Pega Overview course is for all stakeholders and

executives associated with the project. The Pega BA 101 is for anyone

who will be part of the project team and or will be supporting the application

in the future.

The Pega Overview is a half-day introductory course and is a must for

executives, stakeholders, sponsors and others who need a high level

understanding of how to apply Pega to their lines of business.

Pega BA 101 is a full day course where the project team will go through

mock sessions to emulate actual work sessions during a project, the inputs

and outputs, and how the application assists the business in more ways

than providing a development tool. During this session, the team will learn

in detail about all the tools used during the Inception and Elaboration

phases.

To supplement the courses above we recommend the following optional

courses from Pega University:

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Pega Business Architect Essentials

Pega Fast Track

Pega Boot Camp

Pega Administration Course

These courses are offered virtually or in person if any of your resources

choose to partake in them. The Cooper team further recommends one-on-

one training sessions with our team’s experts. We have included this in our

bid to ensure that the team gets the chance for hands-on opportunities to

explore and understand Pega.

vii. Roadmap

The roadmap exercise is what a Pega project calls an Operational

Walkthrough. We will perform one operational walkthrough for up to 8 high

level processes you’ve identified. Each of these operational walkthroughs

will provide the following level of information so proper analysis can be

performed.

i. Identify objectives

ii. Identify all major flows and complexity

iii. Identify all integration points

iv. Identify all reports

v. Identify all correspondence

vi. Identify all actors

The results of an operational walkthrough will be a high-level application profile

for each process along with an estimated sizing for the process to be built in

Pega. All of this information along with a priority from your PMO team will be

used to determine the sequence of the additional work at your agency.

2. Initial Start of Interface Designs

For all of the flows the same process will be followed, mapping to the processes mentioned

earlier (Inception, Elaboration, Construction and Transition). Throughout Inception and

Elaboration the team will be following what is called Direct Capture of Objectives or DCO.

This is the Pega version of gathering requirements. There are three types of DCO, and for

this project, based on all the material and screen shots already provided and further

information provided after award, we will be able to prepare (prep) for the review session

with the SMEs. This is a much faster process than starting from scratch with an audience

that has never used Pega before. The following list represents, but is not limited to, a list of

information that will be analyzed in the prep portion of the Prep and Review process.

1. Natural Code

2. Reviewing Screens

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3. Shadow CSRs

4. Review all current training documentation

5. Review all system documentation

6. Summarize and consolidate rules and requirements into Pega

The amount of detail gathered by the team during these specifications

will vary based on where the team is in the project.

Specifications and Requirements will be crafted to level of detail

below.

At the end of Inception, all use specifications will be at the Level 1

Detail, which will include the following:

a. All steps of primary path/scenario identified

b. All data elements identified

c. All alternate paths/scenarios identified

d. All integration points identified

e. Primary Reports Identified

f. Primary Correspondence Identified

g. Initial ADA analysis

At the end of Elaboration all specifications will be at the Level 2 Detail,

which include the following:

a. All steps of all paths identified

b. All SLAs identified

c. All scripting identified

d. All potential technical/functional solutions identified

e. All reports identified

f. All correspondence identified

g. All report and correspondence requirements complete

h. All draft screens in application

i. All draft flows in application

j. Secondary ADA analysis

Once each specification document is complete to the level of detail

necessary for the particular phase of the project, the team will perform the

review portion of the Prep and Review process. This will be done using

formal DCO sessions. Each DCO session can contain a singular or

multiple specification documents. This depends on the complexity of the

document being reviewed. Most DCO sessions should not last more than

4 hours and only require the resources mentioned below. Adding more

resources to each DCO meeting can exponentially affect the project size,

scope, and duration.

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Below is the list of recommended attendees and their respective role

within the DCO session.

1. DCO Session Roles

h. Facilitator (BA)

i. Scribe (BA/SA/Enablement exercise)

j. System Navigation (SA)

k. Pega technical Resource (SA- Same resource as item c)

l. Business SME

m. Decision Maker (preferred to be same as e)

n. Customer Technical Resource (lead)

Once the teams are formed for each of the specifications, the review

sessions can be planned and executed. Following are the list of activities

performed for each specification in the sequence that will be followed

during our project.

a. Review specifications

b. Make updates during Session 1

c. Make final updates outside session for level 1 detail

d. Approve specifications at level 1 detail

e. Review specifications at level 2 detail

f. Make updates during review session for level 2 detail

g. Make final updates outside session for level 2 detail

h. Approve Specifications at level 2 detail

i. Generate Application Document

After all the specification documents are completed by the team, the next

step for the Business Architects and SMEs is the creation of the testing

materials. The first item that needs to be generated is the Test plan. The

Test plan will address the following information with greater detail about

location, testing hours, and communication within the testing team:

a. Determine testing roles and responsibilities

b. Determine bug severity definitions

c. Determine triage cycle and SLAs

d. Determine exit criteria

e. Obtain approval of testing plan

While the Lead Business Architect and Engagement lead are creating

and gaining approval for the testing plan the remaining project business

resources will begin to create test cases.

Below are the steps needed to extract Pega test cases from Pega

specifications and ensure all test cases are written and approved:

a. Convert Specifications (Level 2) to test cases

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b. Take test cases and convert to negative test cases

c. Create screen view/lay out test cases (fields in right

location/font)

d. Create ADA test cases

e. Review test cases with users

f. Obtain approval of test cases

ii. Project Deliverables

1. Test Plan

2. Test Cases

While the test cases are being written, the application functionality will begin to

become clear. As this becomes more clear, the team will determine the functionality

and users for the Pilot. Once these are identified the system architects will need to

save the rules surrounding the functionality to the pilot rule set.

3. Initial Start of Implementation

When all documentation is complete at level 2, each specification will be reviewed by the

system architect team. Within each of the reviews the system architect team, most often the

lead system architect, will be taking the following steps.

i. Review potential technical/functional design options

1. Guardrail Compliance (LSA)

2. Situational Layer Cake Decision (See Section 2.1.1)

a. Re-usability analysis (LSA)

b. Rule type decision analysis (LSA)

c. Rule location decision analysis (LSA)

d. CPM Analysis (LSA)

e. Final ADA Analysis (ADA expert)

3. Portal/User/Administrative Decision

ii. Determine proper Pega design to meet specifications (LSA)

Once the LSA has determined the approach, s/he will work with an SA or SSA to get the

approach documented and built. Based on the approach of the LSA, the technical resource will

document and build using a combination of the following rules below within Pega:

i. Property/Data Rules – all details around the data elements within Pega

ii. Decision and Declarative Rules – rules that process decisions, (if then

statements)

iii. Activity Rules – rules that modify or update data elements.

iv. Integration Rules – rules that communicate between Pega and other

applications.

1. Types of integration follow all of the most common types of

integration

v. GUI Rules - Rules that represent the Graphical User Interface of the

Pega application. (please see CPM documentation attached)

vi. User/Administrative Rules

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2. Audit trail

3. User defined roles

4. SLA

5. Escalation process

The technical team, in a technical solution version of each specification

document, will document all the decisions made by the LSA to build this

application. These documents will provide direct support to the help desk in the

future and will describe how the application is built and where each rule is being

enforced.

After all the details are determined around each piece of development within

Pega, the LSA will work with your resources and begin the Disaster Recovery

Plan. This plan will describe the steps needed for the team or your resources to

take, in lieu of a disaster, where it will be necessary to use back up applications

or servers.

4. Testing

As mentioned earlier, the business and test teams will be working with your end users to create

and work through all the necessary steps associated with testing the Pega application. The

steps below are similar to a traditional project, the primary difference with a Pega project is the

amount of detailed documentation that is provide via the tool to assist in the creation and

execution of test cases.

During the testing cycles the application will be used to determine which specifications have

been built, which requirements have been addressed, and using which rules within the

application. These traceability reports along with the test cases which match to the level 2 use

case detail, will be the first step in getting the team through testing. The documents and the

created test plan will address in detail all of the required components of each test cycle

including, but not limited, to the following information:

1. System Test

2. UAT (End users, BA)

3. ADA test (ADA expert)

4. Performance test (LSA)

5. Triage meetings (Triage team)

6. Enablement Exercise (SA/Your Team)

7. Fixing bugs (SA)

8. Rule release cycle (LSA/Your Pega Admin)

9. Approval of test passage

Upon the passing of all of the test cases, the application rule sets will be ready to be promoted

to the pilot users. During the pilot the team will monitor the process, gather additional

functionality requests, and create a backlog of future functionality. These points of information

will be directly input into the lessons learned meetings at the end of the project.

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5. Initial Start of Project Close Out

Towards the end of the testing, our team will perform “Train the Trainer” sessions with the help

desk and technical support staff. These staff will have access to all end user training and test

cases along with the application specifications. These sessions and materials in conjunction

with the Pega administrator course will properly prepare the team for supporting basic requests

from the end users.

6. Additional Implementation

As stated earlier, during migration to Production, there are multiple steps that will take place in

conjunction with the checklists mentioned in the SOW (Back out and Recovery Checklist,

Implementation Checklist). Rules are stored within Pega as groups of interrelated features and

they will all be promoted to Production prior to any data migration (the rules contain place

holders for data). Before data is migrated into the application, the project team will determine

what data will need to be input into Pega and in what format. This data will be prepared for

moving into the Pega application.

After this preparation has taken place, there will be a very closely monitored and documented

process of transferring data and the subsequent Go Live of your Pega application.

a. Artifact Deliverables

i. Back out and Recovery Checklist

ii. Implementation Checklist

iii. Implementation

7. Additional Project Close Out

After the application is in Production and your are successfully supporting it, the project team

will conduct a lessons learned session and prepare a summary of those lessons learned. This

document will be paired with a backlog of specifications to be built and defects in the application

based on the test exit criteria. After all updates have been made to the application based on the

production release, the last Application Document will be created. This will be the final

deliverable of the project.

a. Deliverable Artifacts (all three from Final Application Document)

i. Lessons Learned

ii. Closeout Report

iii. Support Maintenance Plan

8. Additional Support

a. Identify Change Request

b. Prepare Change Request Level 1

c. Review Change Request Level 1

d. Approval for Change request to level 1

e. Prepare Change Request Level 2

f. Review Change Level 2

g. Approval of Change level 2

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h. Execute Level 2 Change Request

i. Test Level 2 Change Request

j. Deliver Artifact of level 2 Change Request

k. Final Approval of Initial Change Request

l. Deliverable Artifacts

i. As Defined by approved Change Request

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4 Conclusion The Pega Team looks forward to meeting the DEO team in an oral presentation where we can demonstrate the power of the Pega components, our solution approach, and to answers your questions. It is our hope that Pega’s participation in this RFI process will make your team aware of an innovative, state of the art solution approach built on our industry leading platform that will provide your required functionality. This solution will be built for change - flexible and scalable and able to absorb future change with ease. Let us show you why Gartner and Forrester have named Pega as their #1 choice for Business Process Management and Case Management platform solutions. Our platform will ensure that your fully tailored solution is delivered quickly, correctly and will be secure. The bottom line is the need to put people to work. The Pega Team is ready to earn your respect and trust as your partner in success to match job seekers to their next source of income and dignity.

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