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

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

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

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

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
W orkf orce Inf ormation Technology Procur ement Project A Florida W orkf orce
SaaS (Sof tware as a Ser vice) f or 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 Floridas 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 Floridas talent pool; and
comprehensive case management and reporting system.
Our response addresses all of your requested topics:

Team Pegas ability to provide a Florida Workforce Automation Software as

a Service (SaaS) system and its complete components
Team Pegas history with similar systems, organizational structure, and
contact information of each reference: Name, title, phone number and email
address
Team Pegas 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 Pegas 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 worlds 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 todays 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. Coopers 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

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 DEOs commitment to help develop
Floridas 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.
2.
3.
4.

Eligibility Determination
Service Tracking
Case Notes
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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Proposed Solution

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

1. A description of Respondents ability to provide a Florida Workforce

Automation Software as a Service (SaaS) system and its complete
components
Enabled with the Pega Teams 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. Pegas 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

Optimal access to jobs and career

information, eliminating duplicative
job listings for job seekers

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Pega

National Online
Career/Workforce
Capability

Design
Decision

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Specified Components

Pega

National Online
Career/Workforce
Capability

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

Ability to search all posted resumes

utilizing national brand website
search capabilities

Enhanced case management tools

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

4a

Eligibility Determination

4b

Service Tracking

4c

Case Notes

4d

Follow-up

Precise reporting capabilities to

meet the needs of federal, state
and local reporting requirements

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

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

Readily available information for

researchers related to labor market
and economic development data

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Design
Decision

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Specified Components

Pega

National Online
Career/Workforce
Capability

Design
Decision

Advanced self-service capabilities

(Streamlined internet access)

10

Reemployment related activities

such as skills assessment and
reemployment opportunity
matching

11

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

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

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

14

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

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2. Respondents history with similar systems, organizational structure, and

contact information of each reference: Name, title, phone number and email
address
Team Pegas 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: jennifer.canady@twc.state.tx.us
John Fowler Manager Pega Project
Phone Number: 512-463-2244
Email Address: <john.fowler2@twc.state.tx.us>
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 hadnt
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 BPMs 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 enterprisegrade 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 predefined 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-byminute 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 Pegas core strengths is its industry-leading Case Management capabilities. Most case
management solutions provide workflow capabilitiesreceiving, 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.
Pegas 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 seekers 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 seekers
skills assessment case and credentials case can be updated automatically, or users can be
assigned tasks to review and update those cases.
Pegas 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 )

Pegas 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 Pegas 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:

JSR-94

Connector
Call EJBs remote methods.
Act as a web services client.
Act as a .NET web services
client.
Call Java methods and
constructors from .jar files on the
server.
Send data via HTTP GET and
POST requests, and process the
response data
Use REST (GET, POST, PUT or
DELETE ) to send data via JSON
requests, and process the
response data
Process response messages
from a JMS queue.
Process response messages
from a WebSphere MQ.
Act as the container for Pega
when it calls a BPEL application.
Send complex SQL Statements
to an external database.
Sends messages to a server that
implements the JCA Common
Client Interface.
n/a

Portlets

n/a

CMIS

Integrate with external 3rd party

enterprise content management

EJB
SOAP
.NET
Java

HTTP

JSON

JMS
MQ
BPEL
SQL
JCA

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Service
Expose Pega functions as EJBs.
Expose Pega functions to web service clients.
Expose Pega functions to .NET web service
clients.
Expose Pega functions as though they were
public methods of a Java class.
Service HTTP POST requests and returns
response data. Supports inbound REST
requests for JSON services.
See HTTP.

Process request messages from a JMS queue.

Process request messages from a WebSphere
MQ.
Act as the container for Pega when a BPEL
application calls it.
n/a
n/a

Receive and respond to requests from external

applications (when the Pega application is
embedded in another Java-based application).
Display Pega application features and functions
in JSR 168-compliant portlets.

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Email
File

Connector
systems, such as EMC
Documentum, IBM FileNet,
Microsoft SharePoint and
Alfresco
Analyze, summarize, and convert
unstructured data (typically text) in
emails, social media posts, etc.
n/a
n/a

COM

n/a

UIMA

CORBA n/a

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Service

Import and evaluate e-mail messages.

Evaluate the contents of files that are stored
outside of Pega
Wrapper Pega functions into a custom ActiveX
control.
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
DEOs 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 RFIs 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 peoples
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

Business
Architects (BAs)

Business
Analysts

Senior Business
Architects

System
Analysts

Lead Business
Architects

Process
Analysts

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Description
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
System Architects
(SAs)
Senior System
Architects
Lead System
Architects

Traditional
Role
Developer
DBA
System
Analysts
Application
Architects
Integration
Architect

Description
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 architects 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-onone training sessions with our teams 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 youve 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.
4.
5.
6.

Shadow CSRs
Review all current training documentation
Review all system documentation
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.
b.
c.
d.
e.
f.
g.
h.
i.
j.

All steps of all paths identified

All SLAs identified
All scripting identified
All potential technical/functional solutions identified
All reports identified
All correspondence identified
All report and correspondence requirements complete
All draft screens in application
All draft flows in application
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.
b.
c.
d.
e.
f.
g.
h.
i.

Review specifications
Make updates during Session 1
Make final updates outside session for level 1 detail
Approve specifications at level 1 detail
Review specifications at level 2 detail
Make updates during review session for level 2 detail
Make final updates outside session for level 2 detail
Approve Specifications at level 2 detail
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.
ii.
iii.
iv.

v.
vi.

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Property/Data Rules all details around the data elements within Pega
Decision and Declarative Rules rules that process decisions, (if then
statements)
Activity Rules rules that modify or update data elements.
Integration Rules rules that communicate between Pega and other
applications.
1. Types of integration follow all of the most common types of
integration
GUI Rules - Rules that represent the Graphical User Interface of the
Pega application. (please see CPM documentation attached)
User/Administrative Rules

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2.
3.
4.
5.

Audit trail
User defined roles
SLA
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.
b.
c.
d.
e.
f.
g.

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Identify Change Request

Prepare Change Request Level 1
Review Change Request Level 1
Approval for Change request to level 1
Prepare Change Request Level 2
Review Change Level 2
Approval of Change level 2

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h.
i.
j.
k.
l.

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Execute Level 2 Change Request

Test Level 2 Change Request
Deliver Artifact of level 2 Change Request
Final Approval of Initial Change Request
Deliverable Artifacts
i. As Defined by approved Change Request

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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 Pegas 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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