Amendment_4_RIO_Sagitec+-+signed.pdf

CONTRACT AMENDMENT

CONTRACT NAME AND NUMBER: Retirement Pension Administration System #330

AMENDMENT NUMBER: Four (4)

This amendment is made to Retirement Pension Administration System #330 (Contract) between the State of North Dakota, acting through its North Dakota Retirement and Investment Office (STATE), and Sagitec Solutions LLC (CONTRACTOR).

The parties agree to the following terms and conditions and expressly agree that if any of the following terms and conditions conflict with any of the terms and conditions of the Contract, then, notwithstanding any term in the Contract, the following terms and conditions govern and control the rights and obligations of the parties.

A. Technology Contract Adjustments

1. Technology Contract – Scope of Work, Section 3, is hereby amended as follows:

Add the following lines:

Deliverables one through seventeen (1-17) shall be fully completed in the production environment of the Retirement Pension Administration System by February 10, 2025, or as agreed by both the parties. In the event of any non-performance by CONTRACTOR such as not implementing by February 28, 2025, or as agreed by both the parties, STATE may invoke Section 10 of the Technology Contract and, if assessed, liquidated damages will be deducted from any Retainage due CONTRACTOR. If the implementation is delayed due to reasons attributable to STATE or CONTRACTOR, the parties agree to initiate and execute a mutually agreeable Change Request pursuant to Section 25 of the Contract.

2. Technology Contract – Project Management, Section 25, Final Acceptance, Sub Section d (3) is hereby amended as follows:

Delete the following line:

STATE has sixty (60) calendar days thereafter in which to accept or reject it in writing.

Add the following line:

STATE has fifteen (15) calendar days thereafter in which to accept or reject it in writing.

B. Scope of Work and Price Adjustments

1. Contract Exhibit A – Scope of Work is replaced with Exhibit A attached hereto.

2. Contract Exhibit B, Compensation Details, Table 1 Project Deliverable Payment Schedule is hereby amended as follows per Change Request 11:

Delete the following line in the table as follows:

# Deliverable Deliverable Value

To be Retained (10%)

Invoice

17 Final Acceptance $507,312.50 Project Deliverable Total $5,073,125.00

Add the following lines in the table:

To be Retained (10%)

Invoice

17 Deferred Items from Pilots 3,4 – This Applies to Deliverables 17a - 17h:

17a Generate Member Statements –

DS1204

17b Process COLA/ Supplement Payment – DS906

17c Administer Meetings – DS1101

17d Generate ACFR Data – DS1205

17e Generate Actuarial Files – DS1203

17f Merge SSN –

DS108

17g Benefit Continuation –

DS1005

17h Post Retirement

QDRO – DS805

Final Acceptance $507,312.50 $507,312.50

3. Contract Exhibit B - Compensation Details, Table 7: Other Ongoing Services/ Costs is hereby amended as follows per Change Request 10:

Delete the following lines in the table:

Time Period Dollar Amount Twilio Short Code – 13,000 Annually at 5 years ($5.00 each)

$65,000.00

*Twilio SMS Messages (100,000) – Pay per use at $0.01 per SMS – 5 year consumption

$5,000.00

Add the following lines in the table:

Estimated Twilio Toll Free Number Fee $135.00 Estimated Twilio SMS (Carrier Fee, Lookup, and other features) $1,973.00 – 5-year consumption

$9,865.00

4. Contract Exhibit B - Compensation Details, Table 8: Hosting Costs is hereby amended as follows per Change Requests 8 and 11:

Delete the following line in the table:

Year 3 (Three), (9 months), Hosting Implementation Period $277,702.83

Add the following line in the table:

Year 3 (Three), (12 months), Hosting Implementation Period $336,328.98

5. Contract Exhibit B, Compensation Details, 9. Ongoing Maintenance and Hosting Total is hereby amended as follows: Delete $4,708,674.72 and replace with $4,707,300.87.

6. Contract Exhibit B, Compensation Details, 10. Grand Total of All Sections is hereby amended as follows: Delete $10,530,458.72 and replace with $10,529,084.87.

C. All other terms of the Contract remain in effect. This Contract Amendment is not effective until fully executed by all parties.

EXECUTION

CONTRACTOR STATE OF NORTH DAKOTA

Sagitec Solutions LLC Acting through its North Dakota Retirement and Investment Office

Signature: Signature:

Printed Name: Piyush Jain Printed Name: Chad Roberts

Title: CEO Title: Deputy Executive Director/ CRO

Date: Date:

STATE OF NORTH DAKOTA

Acting through its Information Technology Department Signature:

Printed Name: Greg Hoffman

Title: Deputy CIO

Date:

01/07/202501/08/2025

01/08/2025 https://na2.documents.adobe.com/verifier?tx=CBJCHBCAABAAWB3cPfDNnAxeSX3luJoDu6IYACnAIaG_ https://na2.documents.adobe.com/verifier?tx=CBJCHBCAABAAWB3cPfDNnAxeSX3luJoDu6IYACnAIaG_ https://na2.documents.adobe.com/verifier?tx=CBJCHBCAABAAWB3cPfDNnAxeSX3luJoDu6IYACnAIaG_

EXHIBIT A – Scope of Work

1. DELIVERABLE 1: PROJECT KICKOFF MEETING

a. Description:

CONTRACTOR shall coordinate with STATE to schedule a virtual Kickoff Meeting with the core project and planning team. CONTRACTOR’s Project Manager shall lead the meeting. The Kickoff Meeting must facilitate the introduction of CONTRACTOR and STATE individuals, and level-set understanding and awareness of project objectives, scope, governance, schedule, and project risks and issues.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall provide content to STATE for a detailed agenda in advance of the meeting.

2) CONTRACTOR and STATE shall finalize agenda.

3) CONTRACTOR and STATE shall facilitate the meeting, and discuss, at a minimum, the following:

(a) Effective project communication

(b) Project vision, background, purpose, and objectives

(c) Project governance structure, and project roles and responsibilities

(d) Approach to creating the Project Management Plan

(e) Initial risk assessment

c. Expectations of STATE:

1) STATE shall send agenda to invitees.

2) STATE shall coordinate the logistics and co-facilitate the Kickoff Meeting.

3) STATE’s Project Sponsor and project team members shall participate in the Kickoff Meeting.

d. Completion Date:

CONTRACTOR shall start work with STATE within five (5) working days or a mutually agreed upon timeframe after the signing of this Contract to schedule the Kickoff Meeting.

e. Acceptance Criteria:

For the acceptance of this deliverable to occur, the Kickoff Meeting results in:

1) Facilitation of Kickoff Meeting using a clearly defined agenda.

2) An introduction of critical CONTRACTOR and STATE resources assigned to the project.

3) Review of STATE’s Project Charter to include project governance structure, roles and responsibilities, project purpose, objectives, and scope.

4) Discussion of communications approach and structure.

5) Discussion of known project risks and issues.

2. DELIVERABLE 2: PROJECT MANAGEMENT PLAN & SCHEDULE (KEY)

CONTRACTOR shall participate, contribute, and collaborate with STATE, led by STATE’s Project Manager, to develop a baseline plan Project Management Plan. The Project Management Plan will include the project schedule.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall participate, contribute, and collaborate with STATE to prepare content that includes, at a minimum, the following:

(a) Management plans to control cost, schedule, scope, and quality.

(b) Governance structure for the project.

(c) Roles and responsibilities of the project team.

(d) Integrated change control process.

(e) Communication management plan.

(f) Risk management plan.

(g) Issue management plan.

(h) Human resources management plan.

(i) Procurement management plan.

2) CONTRACTOR shall provide CONTRACTOR tasks and participate and collaborate with

STATE on a detailed project schedule created in Microsoft Project. The Microsoft Project format and settings will be mutually agreed-upon, and the project schedule will follow STATE best practices, including:

(a) Project has appropriate start date.

(b) Project has appropriate Work Breakdown Structure.

(c) All project tasks have appropriate predecessors and successors, with the exception of summary tasks.

(d) All project tasks are auto scheduled using predecessors to drive the task dates (dates are not manually entered).

(e) Minimal use of constraints.

(f) Both STATE and CONTRACTOR tasks are included.

(g) Project tasks are broken down into timeframes that can be reasonably managed.

(h) Project tasks have appropriate resources assigned with appropriate and reasonable allocation.

(i) Schedule has appropriate working times and incorporates STATE and CONTRACTOR holidays and nonworking times.

3) CONTRACTOR shall provide written confirmation from an authorized individual confirming contents of the Project Plan.

c. Expectations of STATE:

STATE will collaborate with CONTRACTOR on the Project Planning effort.

STATE’S Project Manager shall be responsible for the Project Plan.

The Project Plan shall follow STATE template.

STATE’s Project Manager shall incorporate STATE tasks into the project schedule.

4) STATE shall obtain written confirmation from an authorized individual at CONTRACTOR for the contents of the Project Plan.

d. Completion Date:

CONTRACTOR shall start work with STATE within five (5) working days or a mutually agreed to duration, after the signing of this Contract to create the Project Plan.

e. Acceptance Criteria:

1) For the acceptance of this deliverable to occur, CONTRACTOR shall collaborate with

STATE and provide content to STATE for the Project Plan regarding all services, tasks, and products delivered by CONTRACTOR:

(a) Mutually agreed-upon detailed baseline scope and schedule for the project.

(b) Management plans to control scope, schedule, cost, and quality, including the variance.

(c) Governance structure for the project.

(d) Roles and responsibilities of the project team.

(e) Quality assurance and quality control plans.

(f) Integrated change control process.

(g) Risk management plan.

(h) Issue management plan.

(i) Human resources management plan.

(j) Procurement management plan.

2) The Project Management Plan shall adhere to the Project Management Body of Knowledge.

3) For the acceptance of this deliverable to occur, approval must be obtained from STATE’s

Executive Steering Committee (ESC).

3. DELIVERABLE 3: REQUIREMENTS TRACEABILITY MATRIX (RTM) (KEY)

a. Description:

CONTRACTOR and STATE to review, analyze, confirm the understanding of the requirements specified in the “RFP” and prepare the Requirements Traceability Matrix (RTM) as part of the Requirements Confirmation phase of the project.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall lead the review and analysis effort.

2) CONTRACTOR shall document the confirmed requirements and map them to design specifications in the “RTM”.

c. Expectations of STATE:

1) STATE staff shall actively participate in work and analysis sessions.

2) STATE shall collaborate with CONTRACTOR to confirm requirements.

3) STATE staff provide information to CONTRACTOR, in a timely manner, on the business processes, current system functionality, interfaces and data.

d. Acceptance Criteria:

For the acceptance of this deliverable to occur, the following criteria must be met:

1) The requirements in the “RFP” have been reviewed and the confirmed requirements have been captured in the RTM.

4. DELIVERABLE 4: ELABORATION AND DESIGN (KEY)

This applies to Deliverables:

1) Deliverable 4a: Elaboration and Design – Pilot 1

2) Deliverable 4b: Elaboration and Design – Pilot 2

3) Deliverable 4c: Elaboration and Design – Pilot 3

4) Deliverable 4d: Elaboration and Design – Pilot 4

a. Description:

CONTRACTOR shall prepare the Design Specifications for the corresponding requirements mapped in the RTM. The design specifications will be prepared and delivered in four (4) pilots as defined in the Project schedule.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall collaborate with STATE to setup and conduct configuration and collaboration sessions to elaborate on the confirmed requirements as per the defined project management plan and schedule.

2) CONTRACTOR shall prepare the design specifications containing a set of configurations and/or customization design artifacts.

c. Expectations of STATE:

STATE shall collaborate with CONTRACTOR to provide necessary information for the configuration and collaboration sessions as per the defined project management plan and schedule.

d. STATE shall review the submitted design specifications Acceptance Criteria:

For the acceptance of this deliverable including all the sub-deliverables to occur, the follow criteria must be met:

1) CONTRACTOR facilitate configuration and collaboration sessions.

2) STATE participate in configuration and collaboration sessions.

3) STATE shall review and approve the design specifications submitted for review in each Pilot phase.

5. DELIVERABLE 5: DEVELOPMENT

This applies to Deliverables:

1) Deliverable 5a: Development – Pilot 1

2) Deliverable 5b: Development – Pilot 2

3) Deliverable 5c: Development – Pilot 3

4) Deliverable 5d: Development – Pilot 4

a. Description:

CONTRACTOR shall configure the system according to the approved design specifications.

The development/configuration will be performed in four (4) pilots as defined in the project management plan and schedule.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall lead the configuration effort.

2) CONTRACTOR shall configure components as per the approved design specifications.

c. Expectations of STATE:

STATE shall provide requested information and documentation as needed to configure the system.

d. Acceptance Criteria For the acceptance of this deliverable to occur, the following criteria must be met:

1) System configured and visually demonstrated according to approved design specifications.

2) Submission of development completion certificate for each pilot by CONTRACTOR.

6. DELIVERABLE 6: TESTING MANAGEMENT PLAN:

a. Description:

CONTRACTOR shall create a Testing Management Plan that outlines the overall testing approach for CONTRACTOR and STATE testing.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall lead the test planning effort.

2) CONTRACTOR shall create a Testing Management Plan

3) CONTRACTOR shall conduct working session(s) with STATE to review and finalize the Test

Management Plan prior to start of testing.

4) CONTRACTOR shall coordinate with STATE to schedule all testing activities where

STATE’s staff would be involved.

5) CONTRACTOR shall provide tools, existing test cases, user acceptance test case templates, and reporting formats for testing.

6) CONTRACTOR shall train STATE to conduct user acceptance tests and report results.

7) CONTRACTOR shall participate, contribute, and collaborate with STATE in development of user acceptance test cases.

c. Expectations of STATE:

1) STATE shall actively participate in planning sessions for testing activities where STATE staff would be involved.

2) STATE shall provide support and make any necessary decisions for testing activities where

STATE staff would be involved.

3) STATE shall review and provide feedback to CONTRACTOR.

4) STATE shall be responsible for creating the test scripts for user acceptance testing, with support and guidance of CONTRACTOR.

5) STATE shall conduct user acceptance testing.

6) STATE shall assign a resource as a testing coordinator to facilitate

STATE’s testing activities.

d. Acceptance Criteria

For the acceptance of this deliverable to occur, the Testing Management Plan, at a minimum, must include,

1) Testing strategy containing:

(a) Agreed-upon high-level testing schedule in accordance with the project schedule.

(b) Testing assignments and responsibilities.

(c) Test script creation practices including detail regarding system environments used during testing.

(d) Method for reporting testing issues and tracking of remediation.

(e) Statistical reporting strategy for issues and fixes.

(f) CONTRACTOR support.

2) Outline of the approaches and strategies for testing the requirements, interfaces, data conversion, and performance.

3) User acceptance test case template.

4) User Acceptance Testing issues reporting approach containing:

(a) Template for reporting issues.

(b) Prioritization and severity methodology, defect response timeframe, and escalation procedure.

(c) Resolution approach.

5) Documentation of what priority and severity issues must be fixed before the system moves into production.

6) Description of resources for testing and necessary skillsets.

7) Executive summary.

7. DELIVERABLE 7: TESTING (KEY)

This applies to Deliverables:

1) Deliverable 7a: System Test – Pilot 1

2) Deliverable 7b: System Test – Pilot 2

3) Deliverable 7c: System Test – Pilot 3

4) Deliverable 7d: System Test – Pilot 4

5) Deliverable 7e: System Integration Testing

6) Deliverable 7f: UAT – Pilot 1

7) Deliverable 7g: UAT – Pilot 2

8) Deliverable 7h: UAT – Pilot 3

9) Deliverable 7i: UAT – Pilot 4

a. Description:

CONTRACTOR shall perform system testing and system integration testing for the configured application and also support STATE testing efforts, make fixes, and remediate testing issues during STATE’s user acceptance testing efforts.

The overall deliverable for Testing will be split across three types of testing, System Testing, System Integration Testing and User Acceptance Testing as defined in the Project Management Plan and Schedule.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall test the configured application against approved design specifications.

2) CONTRACTOR shall perform system testing of the application as per the process defined in the Testing Management Plan

3) CONTRACTOR shall perform System Integration Testing of the application as per the process defined in the Testing Management Plan.

4) CONTRACTOR shall demonstrate system functionality prior to commencement of user acceptance testing by STATE.

5) CONTRACTOR shall provide template to document testing results.

6) CONTRACTOR shall provide testing support to identify, troubleshoot, and resolve issues.

7) CONTRACTOR shall provide the testing environment, technical assistance with testing, verification, and classification of issues.

8) CONTRACTOR shall correct validated issues based on priorities and severities based on a mutually agreed approach.

9) CONTRACTOR shall work with STATE to ensure the development environment is correctly copied into the testing environment and all users have appropriate access.

c. Expectations of STATE:

STATE shall ensure the testing effort and issue resolution process is following the test management plan.

STATE shall ensure STATE testing occurs according to the project schedule, and test results and resolutions are documented.

STATE shall create test scripts according to the approved design specifications.

STATE shall provide adequate and knowledgeable system users to participate in testing.

STATE shall perform user acceptance testing.

STATE shall document any identified issues, assign priority and severity, and provide results to CONTRACTOR for troubleshooting.

d. Acceptance Criteria For the acceptance of the testing deliverable to occur, the following criteria must be met:

1) Completion of system testing and system integration testing by CONTRACTOR.

2) CONTRACTOR shall provide a completion certificate and a summary report for the completed system testing and system integration testing.

3) Completion of user acceptance testing by STATE and support by CONTRACTOR.

4) Testing issues are resolved as per the Testing Management Plan.

5) Testing approach and execution is in alignment with the Testing Management Plan.

8. DELIVERABLE 8: TRAINING MANAGEMENT PLAN

CONTRACTOR shall create a Training Management Plan. The plan will address training approaches, courses to be delivered, course instructors, overall objectives and competencies, training schedule, evaluation, required resources and System documentation.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall lead the training planning effort.

2) CONTRACTOR shall create a Training Management Plan with STATE support.

3) CONTRACTOR shall conduct working session(s) with STATE to review and finalize the

Training Management Plan prior to start of training.

4) CONTRACTOR shall coordinate with STATE to schedule all training activities.

c. Expectations of STATE:

1) STATE shall actively participate in planning sessions.

2) STATE shall provide support and make any necessary decisions.

3) STATE shall review and provide feedback to CONTRACTOR.

d. Acceptance Criteria For the acceptance of this deliverable to occur, the Training Management Plan must include:

1) Description of training session(s).

2) Identification of roles and responsibilities, intended audience, training objectives, , specific plan for training business personnel and evaluation methods.

3) Tasks and resources necessary to complete the training effort and identify tools and documentation that will be necessary to support proposed effort.

4) Types of training, the specific courses and course materials, the training approach for business personnel, and how training effectiveness will be measured and addressed.

5) Deliverables to support initial and ongoing training, including user manuals, and online help and training materials for technical/non-technical personnel.

6) Metrics for tracking progress in achieving training.

7) Method to report progress of training.

8) Approach to bring authorized user to appropriate level of understanding with the system.

9) Identification of agreed-upon high-level timing and approach for training.

10) Executive summary.

9. DELIVERABLE 9: TRAINING (KEY)

a. Description:

CONTRACTOR to conduct end user and administrator system training to State staff based on roles and responsibilities.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall provide up-to-date and accurate user manuals and any other training materials that can be given to training participants and future STATE staff.

2) CONTRACTOR shall provide a training syllabus to STATE for review and feedback in advance of the training.

3) CONTRACTOR shall provide qualified instructors.

4) CONTRACTOR shall conduct training sessions at location(s) and time(s) mutually agreed-upon with STATE.

5) CONTRACTOR shall collaborate with STATE to provide training modules that can be delivered to all end users specified by STATE.

6) CONTRACTOR shall train all end users and train-the-trainer.

1) STATE shall review and provide feedback on the training syllabus to verify that desired areas are part of the training.

2) STATE shall make assigned trainees available for the scheduled training sessions.

3) STATE shall provide training facilities and equipment.

4) STATE shall develop and conduct survey of training participants to verify training was effective.

d. Acceptance Criteria:

For the acceptance of this deliverable to occur, the following criteria must be met:

1) Delivery of user manuals and training documents in electronic format.

2) Delivery of training curriculum as defined in the Training Management Plan.

3) Training approach and execution is in alignment with the Training Management Plan

10. DELIVERABLE 10: IMPLEMENTATION AND TRANSITION PLAN (KEY)

a. Description:

CONTRACTOR shall collaborate with STATE to create an Implementation and Transition Plan to manage the implementation of the product, and also transition the product and work from the project structure to maintenance using the state’s methodology and applicable template:

Project Management | North Dakota Information Technology.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall lead the planning effort.

2) CONTRACTOR shall create an Implementation and Transition plan with STATE support.

3) CONTRACTOR shall conduct working session(s) with STATE to review and finalize the

Implementation and Transition Plan prior to any implementation or transition work.

c. Expectations of STATE:

1) STATE shall actively participate in planning sessions.

2) STATE shall provide support and make any necessary decisions.

3) STATE shall review and provide feedback to CONTRACTOR.

d. Acceptance Criteria:

For acceptance of this deliverable to occur, the Implementation and Transition Plan must include:

1) Implementation strategy.

2) Implementation resources and tasks.

3) Implementation entry and exit criteria, and go/no go decision requirements.

4) Implementation contingency plan.

5) Implementation go live checklist

6) Operational recovery plan

7) Business migration strategy.

8) Transition resources and tasks.

9) CONTRACTOR processes for moving product into maintenance and ensuring ongoing support.

(a) Areas of the most susceptible to failure or disaster that would result in downtime

(b) Recommendations for System recovery processes, or steps to take in the event of a downtime event https://www.ndit.nd.gov/it-services/find-or-improve-technology-solution/project-management

(c) Recommendations for the State on how to comprehensively and effectively mitigate the risk of a downtime event

(d) Recommendations for securing System components during a period of emergency operation

(e) Disaster Recovery requirements must include networking for disaster recovery datacenter access

10) Executive summary.

11. DELIVERABLE 11: DATA CONVERSION PLAN

a. Description:

CONTRACTOR shall participate, contribute, and collaborate with STATE to create a Data Conversion Plan. The plan is intended to address the overall approach that will be followed for the data conversion effort and will be a subordinate plan to the Implementation Plan deliverable. The plan will define methodology, strategies, required competencies, tools, templates, quality standards, data cleansing, and data discrepancy resolution strategies.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall lead the data conversion planning effort.

2) CONTRACTOR shall create a Data Conversion Plan that will outline the approach to convert the agreed-upon data by collaborating with and gathering input from STATE.

3) CONTRACTOR shall be responsible for the final product.

c. Expectations of STATE:

1) STATE shall actively participate in planning sessions.

2) STATE shall provide support and make any necessary decisions.

3) STATE shall review and provide feedback to CONTRACTOR.

4) STATE shall work with CONTRACTOR to develop approaches planned for

STATE’s data cleansing efforts.

5) STATE will be responsible for the data cleansing effort.

d. Acceptance Criteria:

For the acceptance of this deliverable to occur, the Data Conversion Plan must include:

1) Data conversion methodologies and strategies to be used including a repeatable extract, transform, and load (ETL) process.

2) Details regarding the tools and templates to be used.

3) Outline of strategies and actions planned to resolve data discrepancies and mapping issues, which may include customizations and data cleansing.

4) Outline of the testing approach and methodology, including defined success criteria and quality standards.

5) Executive summary.

12. DELIVERABLE 12: DATA CLEANSING & CONVERSION (KEY)

This applies to Deliverables:

1) Deliverable 12a: Data Cleansing & Conversion– Pilot 1

2) Deliverable 12b: Data Cleansing & Conversion – Pilot 2

3) Deliverable 12c: Data Con Cleansing & Conversion version – Pilot 3

4) Deliverable 12d: Data Cleansing & Conversion – Pilot 4

CONTRACTOR shall perform data conversion as per the process defined in the Data Conversion Plan.

CONTRACTOR and STATE shall validate the data conversion effort by reviewing the data loaded into the user acceptance testing environment and making any fixes to the system or data conversion process to ensure data transfers accurately and completely.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall lead the data conversion design effort.

2) CONTRACTOR shall provide all necessary data conversion documentation to STATE.

3) CONTRACTOR shall initially validate the data conversion in the data conversion testing environment and resolve any issues prior to STATE data conversion validation efforts.

4) CONTRACTOR shall support STATE’s effort to identify and resolve any issues with the data conversion prior to Go Live.

5) CONTRACTOR shall provide example conversion files to STATE to assist STATE in generating successful data conversion files.

c. Expectations of STATE:

1) STATE shall assist CONTRACTOR’s review and design of data elements applicable to data conversion.

2) STATE shall provide necessary and relevant resources to make design decisions.

3) STATE shall test the data conversion in the conversion testing environment or the user acceptance testing environment.

4) STATE shall identify, document, trouble-shoot, and work with CONTRACTOR to resolve any data conversion issues.

d. Acceptance Criteria:

For the acceptance of this deliverable to occur, the following criteria must be met:

1) Conversion Design:

(a) Proposed system context and workflow to be accomplished with the customizations.

(b) Documentation of development and how the development meets the requirements outlined in the RTM deliverable

2) Conversion Validation:

(a) Successful upload of accurate and complete data extract from the legacy system to the agreed upon testing environment.

(b) CONTRACTOR review of STATE-documented user acceptance testing issues and recommendations for file extract changes to remediate issues.

(c) Subsequent load(s) of STATE-provided revised data extracts to confirm resolution of issues, or documented alternatives to resolution.

3) Data Conversion approach and execution is in alignment with the Data Conversion Plan.

13. DELIVERABLE 13: IMPLEMENTATION (KEY)

a. Description:

CONTRACTOR shall support implementation of the final system.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall participate, contribute, and collaborate with STATE for implementation preparations.

2) CONTRACTOR shall make any fixes required in a timely manner to implement the system as approved in the Acceptance Testing deliverable.

1) STATE shall participate, contribute, and collaborate with CONTRACTOR for implementation preparations.

2) STATE shall monitor the implementation and notify CONTRACTOR of any issues.

3) STATE shall provide support to CONTRACTOR as needed for implementation efforts.

d. Acceptance Criteria:

For the acceptance of this deliverable to occur, the following criteria must be met:

1) CONTRACTOR support during implementation.

2) System Go-Live based on the criteria defined in the Implementation & Transition plan.

14. DELIVERABLE 14: POST-IMPLEMENTATION REPORT AND CLOSE-OUT MEETING

a. Description:

CONTRACTOR shall coordinate with STATE to schedule a Closeout meeting in Bismarck, ND, or via tele-conference with the core project team and interested stakeholders. STATE shall lead the meeting, though CONTRACTOR may be asked to present on certain agenda items.

Because of the information discussed at this meeting, STATE will develop a Post- Implementation Report using the state’s methodology and applicable template: Project Management | North Dakota Information Technology

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall provide content to STATE for an agenda in advance of the meeting.

2) CONTRACTOR shall participate, contribute, and collaborate with STATE to develop a Post-

Implementation Report that provides, at a minimum, the following:

(a) Key metrics related to schedule, cost, scope, and quality

(b) Discussion of how well the business objectives were met

(c) Lessons learned from the project

(d) Success stories from the project

c. Expectations of STATE:

1) STATE shall finalize agenda and send agenda to invitees.

2) STATE shall lead the Closeout Meeting.

3) STATE shall be responsible for the Post-Implementation Report.

d. Acceptance Criteria:

For the acceptance of this deliverable to occur, CONTRACTOR shall participate in the Closeout Meeting and provide content to STATE for the Post-Implementation Report:

1) Key project metrics related to schedule, cost, scope, and quality.

2) Comprehensive lessons learned valuable to future projects.

3) Success stories from the project.

15. DELIVERABLE 15: PROJECT GOVERNANCE

Applicable through the life of the project

Project Governance is periodic status meetings and status reports intended to keep the project’s management team and executive steering committee abreast of project status and to make them aware of elements for which their support may be needed.

https://www.ndit.nd.gov/it-services/find-or-improve-technology-solution/project-management https://www.ndit.nd.gov/it-services/find-or-improve-technology-solution/project-management

b. Expectations of CONTRACTOR:

1) CONTRACTOR will participate in status meetings with STATE. In these meetings, CONTRACTOR will communicate the status of the project, how it is tracking to deadlines, and updates on issues or risks.

2) CONTRACTOR will contribute and collaborate with STATE to develop a status report that includes, but not limited to, the following.

a) Project achievements and progress made during the reporting period

b) Progress planned for the next reporting period

c) Any variance from the baselined schedule that may materially impact the project’s critical path

d) Issues or impediments and recommended actions

e) Risks and risk response

f) Status of any change requests

3) CONTRACTOR will participate, contribute, and collaborate with STATE to update the schedule, showing the resources, dependencies, and planned effort for the set of tasks and activities that make up the project.

c. Responsibilities of STATE:

1) The STATE shall participate in status meetings with CONTRACTOR. In these meetings, CONTRACTOR will communicate the status of the project, how it is tracking to its deadlines, and any new issues or risks that have been identified.

2) The STATE shall provide an update on the status of any change requests that are in process.

3) The STATE’S Primary Project Manager will collaborate with CONTRACTOR’s Project Manager to identify and resolve schedule variances, risks, issues, and potential changes.

4) The STATE’S Primary Project Manager will collaborate with CONTRACTOR’s Project Manager to identify any resource constraints or impediments that could impact the project schedule.

5) The STATE’S Primary Project Manager will be responsible for updating the schedule and status in ND View.

6) The STATE’S Primary Project Manager will be responsible for the distribution of the status report to the STATE staff.

d. Acceptance Criteria:

For the acceptance of this deliverable to occur, the following criteria must be met:

1) The status report is due as mutually agreed upon and defined in the Project Management

Plan but no less frequent than bi-weekly.

2) Status report to contain, but not limited to, the following information:

a) Project progress made during the reporting period

b) Project progress planned for the next reporting period

c) Variances from the baseline schedule that may impact the critical path

d) Issues and potential recommendations for consideration

e) Updates to risks and risk response

f) Potential changes in scope and the status of any outstanding change requests

g) Actual percent complete, actual start dates, and actual finish dates for tasks in the schedule are provided. Planned dates are to be updated on tasks that are not 100% complete so finish dates are not in the past

16. DELIVERABLE 16: ELECTRONIC CONTENT MANAGEMENT (ECM)

INTEGRATION AND MIGRATION

a. Description:

CONTRACTOR shall conduct an integration of Pension Administration System (PAS) with the STATE Electronic Content Management (ECM-FileNet) system. CONTRACTOR shall conduct a document migration all identified STATE documents and images required for PAS.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall participate, contribute, and collaborate with the STATE for integration of existing ECM-FileNet system with the new PAS and the migration of existing pension documents and images to a new documents repository.

2) CONTRACTOR shall make any fixes required in a timely manner to implement the system as approved in the Acceptance Testing deliverable.

c. Expectations of STATE:

1) STATE shall participate, contribute, and collaborate with CONTRACTOR for integration and migration of ECM.

2) STATE shall provide support to CONTRACTOR as needed for integration and migration efforts.

3) STATE shall provide the required ECM-FileNet infrastructure set up for Test and

Production regions for creating a Repository, Classes, Indexes, Service IDs, and Security.

4) STATE shall perform Scanning related activities such as modifying existing Scanning batches and exporting scanned documents to the new ECM-FileNet repository.

5) STATE shall verify the document migration and provide sign-off.

b. Acceptance Criteria:

For the acceptance of this deliverable to occur, the following criteria must be met:

1) Completion of existing ECM-FileNet system integration with the new PAS.

2) Completion of existing pension related documents migration into a new document repository.

3) STATE users must be able to search and access pension documents from new documents repository through the new PAS.

4) New correspondences generated from PAS must be uploaded to the new documents repository in the ECM-FileNet system.

17. DELIVERABLE 17: DEFERRED ITEMS FROM PILOTS 3, 4

This applies to Deliverables:

1) Deliverable 17a: Post Retirement QDRO – DS805

2) Deliverable 17b: Generate Member Statements – DS1204

3) Deliverable 17c: Process COLA/ Supplement Payment – DS906

4) Deliverable 17d: Administer Meetings – DS1101

5) Deliverable 17e: Generate ACFR Data – DS1205

6) Deliverable 17f: Generate Actuarial Files – DS1203

7) Deliverable 17g: Merge SSN – DS108

8) Deliverable 17h: Benefit Continuation – DS1005:

CONTRACTOR shall configure the system according to the approved design specifications and shall perform system testing and system integration testing for the configured application for the deferred items or Sub-deliverables 17a through 17h.

CONTRACTOR to conduct end user and administrator system training to State staff based on roles and responsibilities for the deferred items or Sub-deliverables 17a through 17h.

CONTRACTOR shall support STATE testing efforts, make fixes, and remediate testing issues during STATE’s user acceptance testing efforts for the deferred items or Sub-deliverables 17a through 17h.

CONTRACTOR shall support implementation of the Sub-deliverables 17a through 17h.

b. Expectations of CONTRACTOR:

1) CONTRACTOR shall lead the configuration effort for Sub-deliverables 17a through 17h.

2) CONTRACTOR shall configure components as per the approved design specifications for Sub-deliverables 17a through 17h.

3) CONTRACTOR shall system test and system integration test Sub-deliverables 17a through 17h.

4) CONTRACTOR shall lead the training planning effort for Sub-deliverables 17a through

17h.

5) CONTRACTOR shall create a Training Management Plan with STATE support for Sub-deliverables 17a through 17h.

6) CONTRACTOR shall conduct working session(s) with STATE to review and finalize the

Training Management Plan prior to start of training for Sub-deliverables 17a through 17h.

7) CONTRACTOR shall coordinate with STATE to schedule all training activities for Sub-deliverables 17a through 17h.

8) CONTRACTOR shall participate, contribute, and collaborate with STATE for implementation preparations for Sub-deliverables 17a through 17h.

9) CONTRACTOR shall make any fixes required in a timely manner to implement the for Sub-deliverables 17a through 17h.

c. Expectations of STATE:

1) STATE shall ensure the testing effort and issue resolution process is following the test management plan for Sub-deliverables 17a through 17h.

2) STATE shall ensure STATE testing occurs according to the project schedule, and test results and resolutions are documented for Sub-deliverables 17a through 17h.

3) STATE shall work with CONTRACTOR to create test scripts according to the approved design specifications for Sub-deliverables 17a through 17h.

4) STATE shall provide adequate and knowledgeable system users to participate in testing.

STATE shall perform user acceptance testing for Sub-deliverables 17a through 17h.

5) STATE shall document any identified issues, assign priority and severity, and provide results to CONTRACTOR for troubleshooting for Sub-deliverables 17a through 17h.

6) STATE shall participate, contribute, and collaborate with CONTRACTOR for implementation preparations for Sub-deliverables 17a through 17h.

7) STATE shall monitor the implementation and notify CONTRACTOR of any issues for

Sub-deliverables 17a through 17h.

8) STATE shall provide support to CONTRACTOR as needed for implementation efforts for

Sub-deliverables 17a through 17h.

d. Acceptance Criteria:

For the acceptance of this deliverable to occur, the following criteria must be met:

1) Completion of system testing and system integration testing by CONTRACTOR Sub-deliverables 17a through 17h.

2) CONTRACTOR shall provide a completion certificate and a summary report for the completed system testing and system integration testing Sub-deliverables 17a through 17h.

3) Completion of user acceptance testing by STATE and support by CONTRACTOR for Sub-deliverables 17a through 17h.

4) Testing issues are resolved as per the Testing Management Plan for Sub-deliverables 17a through 17h.

5) Testing approach and execution is in alignment with the Testing Management Plan for Sub-deliverables 17a through 17h.

6) CONTRACTOR support during implementation Plan for Sub-deliverables 17a through 17h.

7) System Go-Live based on the criteria defined in the Implementation & Transition plan for Sub-deliverables 17a through 17h.

18. DELIVERABLE 18: FINAL ACCEPTANCE

Upon completion of all deliverables, and upon mutual agreement of STATE and CONTRACTOR, the project work will be considered complete, and retainage paid to

CONTRACTOR.

b. Expectations of CONTRACTOR:

CONTRACTOR shall address any outstanding issues or completion of deliverables.

c. Expectations of STATE:

STATE shall alert CONTRACTOR to any outstanding issues.

d. Acceptance Criteria:

For the acceptance of this deliverable to occur, the following criteria must be met:

1) No outstanding or unfinished deliverables.

2) No outstanding project issues.

EXHIBIT B – Compensation Details

1. PROJECT DELIVERABLE PAYMENT SCHEDULE:

The following table defines all payment points.

To be Retained (10%)

Invoice

1 Project Kickoff Meeting $100,000.00 $10,000.00 $90,000.00 2 Project Management Plan & Schedule (KEY) $114,000.00 $11,400.00 $102,600.00 3 Requirements Traceability Matrix (RTM)

(KEY)

$369,600.00 $36,960.00 $332,640.00

4 Elaboration and Design (KEY) - This applies to Deliverables 4a – 4d:

4a Deliverable 4a: Elaboration and Design – Pilot

$369,600.00 $36,960.00 $332,640.00

4b Deliverable 4b: Elaboration and Design – Pilot

$369,600.00 $36,960.00 $332,640.00

4c Deliverable 4c: Elaboration and Design – Pilot

$369,600.00 $36,960.00 $332,640.00

4d Deliverable 4d: Elaboration and Design – Pilot

$369,600.00 $36,960.00 $332,640.00

5 Development - This applies to Deliverables 5a - 5d:

5a Deliverable 5a: Development – Pilot 1 $172,800.00 $17,280.00 $155,520.00 5b Deliverable 5b: Development – Pilot 2 $172,800.00 $17,280.00 $155,520.00 5c Deliverable 5c: Development – Pilot 3 $172,800.00 $17,280.00 $155,520.00 5d Deliverable 5d: Development – Pilot 4 $179,925.00 $17,992.50 $161,932.50 6 Testing Management Plan $66,560.00 $6,656.00 $59,904.00 7 Testing (KEY) - This applies to Deliverables 7a

– 7i:

7a Deliverable 7a: System Test – Pilot 1 $100.000.00 $10,000.00 $90,000.00 7b Deliverable 7b: System Test – Pilot 2 $100.000.00 $10,000.00 $90,000.00 7c Deliverable 7c: System Test – Pilot 3 $100.000.00 $10,000.00 $90,000.00 7d Deliverable 7d: System Test – Pilot 4 $100.000.00 $10,000.00 $90,000.00 7e Deliverable 7e: System Integration Testing $108,000.00 $10,800.00 $97,200.00 7f Deliverable 7f: UAT – Pilot 1 $108,000.00 $10,800.00 $97,200.00 7g Deliverable 7g: UAT – Pilot 2 $108,000.00 $10,800.00 $97,200.00 7h Deliverable 7h: UAT – Pilot 3 $108,000.00 $10,800.00 $97,200.00 7i Deliverable 7i: UAT – Pilot 4 $108,000.00 $10,800.00 $97,200.00 8 Training Management Plan $50,000.00 $5,000.00 $45,000.00 9 Training (KEY) $150,000.00 $15,000.00 $135,000.00 10 Implementation and Transition Plan (KEY) $50,000.00 $5,000.00 $45,000.00 11 Data Conversion Plan $44,800.00 $4,480.00 $40,320.00 12 Data Cleansing & Conversion (KEY) - This applies to Deliverables 12a – 12d.

12a Deliverable 12b: Data Cleansing & Conversion

– Pilot 1

$80,000.00 $8,000.00 $72,000.00

12b Deliverable 12b: Data Cleansing & Conversion

– Pilot 2

$80,000.00 $8,000.00 $72,000.00

12c Deliverable 12c: Data Con Cleansing & Conversion version – Pilot 3

$80,000.00 $8,000.00 $72,000.00

12d Deliverable 12c: Data Con Cleansing & Conversion version – Pilot 4

$80,000.00 $8,000.00 $72,000.00

13 Implementation (KEY) $399,640.00 39,964.00 $359,676.00 14 Post-Implementation Report and Close-Out

Meeting $75,000.00 $7,500.00 $67,500.00

15 Project Governance (Quarterly - $24,125.00) x 8 (eight) quarters

$193,000.00 $19,300.00 $173,700.00

16 Electronic Content Management (ECM) Integration and migration

$23,800.00 $2,380.00 $21,420.00

17 Deferred Items – This Applies to Deliverables 17a - 17h:

17a Generate Member Statements – DS1204 17b Process COLA/ Supplement Payment – DS906 17c Administer Meetings – DS1101 17d Generate ACFR Data – DS1205 17e Generate Actuarial Files – DS1203 17f Merge SSN – DS108 17g Benefit Continuation – DS1005 17h Post Retirement QDRO – DS805

18 Final Acceptance Amount $507,312.50 $507,312.50

2. LICENSES:

Proposed licenses $415,000.00 Hosting setup/initialization (if applicable) $200,000.00 SQL server 2016 - standard 2 $10,312.50 $20,625.00 Knowtion annual subscription 440 $90.00 $39,600.00 SQL server enterprise 1 $66,000.00 $66,000.00 SQL server standard 1 $7,434.00 $7,434.00

3. INITIAL PROJECT TOTAL

The total budget for the initial project portion of this Contract (Sections 1 and 2) is $5,821,784.00.

4. ONGOING SOFTWARE SUPPORT SERVICES

Year 1 (One), (1,000 @ $150 each) $150,000.00 Year 2 (Two), (1,000 @ $154.50 each) $154,500.00 Year 3 (Three), (1,000 @ $159.14 each) $159,135.00 Year 4 (Four), (1,000 @ $163.91 each) $163,909.05 Year 5 (Five), (1,000 @ $168.83 each) $168,826.32

5. ONGOING SOFTWARE MAINTENANCE

Year 1 (One) $176,760.00 Year 2 (Two) $182,062.80 Year 3 (Three) $187,524.68 Year 4 (Four) $193,150.42 Year 5 (Five) $198,944.94

6. ONGOING KNOWTION/SHAREPOINT SUBSCRIPTION SERVICES

Year 1 (One) $21,829.00 Year 2 (Two) $22,921.00 Year 3 (Three) $24,067.00 Year 4 (Four) $24,789.00 Year 5 (Five) $25,533.00

7. OTHER ONGOING SERVICES / COSTS

ADSelfService – 600 Annually at 5 years ($5.00 each) $3,000.00 Implementation of STATE’s NDIT Azure AD B2C authentication solution – one-time fee

$20,400.00

Twilio Toll Free Number Fee $135.00

Twilio SMS (Carrier Fee, Lookup, and other features) $1,973.00 – 5-year consumption

$9,865.00

8. HOSTING COSTS

Year 1 (One), Hosting Implementation Period $208,558.70 Year 2 (Two), Hosting Implementation Period $250,270.44 Year 3 (Three), (12 months), Hosting Implementation Period $336,329.00

Year 1 (One) $381,378.55 Year 2 (Two) $392,819.91 Year 3 (Three) $404,604.51 Year 4 (Four) $416,742.64 Year 5 (Five) $429,244.92

9. ONGOING MAINTENANCE AND HOSTING TOTAL

The total budget for the ongoing maintenance, support, services, and hosting of this Contract (Sections 4 - 8) is $4,707,300.87.

10. GRAND TOTAL OF ALL SECTIONS: $10,529,084.87

Amendment_4_RIO_Sagitec Final Audit Report 2025-01-08

Created: 2025-01-07

By: Sowmya Karumanchi (skarumanchi@nd.gov)

Status: Signed

Transaction ID: CBJCHBCAABAAWB3cPfDNnAxeSX3luJoDu6IYACnAIaG_

"Amendment_4_RIO_Sagitec" History Document created by Sowmya Karumanchi (skarumanchi@nd.gov) 2025-01-07 - 2:39:11 PM GMT- IP address: 165.234.252.245

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Agreement completed.

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