Attachment Q - Implementation Roles & Responsibilities.xlsx

XLSX spreadsheet 39 KB Posted Mar 5, 2025

Attached to: Tax System Modernization
Solicitation number: Doc1288967193
Issued by: North Carolina

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Written by GovTribe AI · Mar 5, 2025

This is an Implementation Roles & Responsibilities matrix document for the North Carolina Department of Revenue (NCDOR) Tax System Modernization project (RFP 45-RQ161211). The document outlines 187 detailed tasks and responsibilities across 16 key categories including hosting services, system administration, database administration, configuration and testing, business rules, workflow, data conversion, reporting, interfaces, program management, organizational change management, training, and compliance. The matrix clearly delineates whether each task is the responsibility of the vendor (technical owner), the agency (NCDOR), or shared between both parties.

The document places significant emphasis on IRS Publication 1075 compliance requirements, security controls, and data protection measures. Key requirements include FedRAMP certification, multi-factor authentication, security testing, incident reporting, and maintaining all data within U.S. jurisdictional boundaries. The vendor must provide various compliance documentation, participate in audits, and ensure proper data sanitization procedures. Notable technical requirements include maintaining a three-tier help desk system, implementing zero trust architecture, and managing APIs to agency satisfaction. The document indicates a data warehouse component may be proposed but might not be included in the final scope.

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Other files

File	Type	Posted
Attachment J - Technical Specifications.xlsx	XLSX spreadsheet	Mar 5, 2025
Attachment M - Tax Schedule Matrix.xlsx	XLSX spreadsheet	Mar 5, 2025
Attachment N - Forms Inventory.xlsx	XLSX spreadsheet	Mar 5, 2025
RFP 45-RQ161211 NCDOR Tax System Modernization.pdf	PDF	Mar 5, 2025
Revised Attachment i - Functional Specifications.xlsx	XLSX spreadsheet	Mar 5, 2025
Attachment I - Functional Specifications.xlsx	XLSX spreadsheet	Mar 5, 2025
Attachment L - Staffing Plan.xlsx	XLSX spreadsheet	Mar 5, 2025
Attachment P - Interface Inventory.xlsx	XLSX spreadsheet	Mar 5, 2025
Attachment O - Systems Inventory.xlsx	XLSX spreadsheet	Mar 5, 2025
Attachment D - Cost Form.xlsx	XLSX spreadsheet	Mar 5, 2025
Attachment V - Statutory References.xlsx	XLSX spreadsheet	Mar 5, 2025
Addendum 1 RFP 45-RQ161211-State Response to Vendor Questions.pdf	PDF	Mar 5, 2025
Revised Attachment D - Cost Form.xlsx	XLSX spreadsheet	Mar 5, 2025
Revised Attachment H.pdf	PDF	Mar 5, 2025

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Cover Sheet Attachment Q Implementation Roles and Responsibilities

NCDOR RFP 45-RQ161211

Tax System Modernization

Roles and Responsibilities

	Attachment Q: Implementation Roles & Responsibilities
	ID	Category	Description	Vendor
(Technical Owner)	Agency	NCDOR Comments
	1	Hosting Services	Define and size environments for system set-up and configuration, customization, testing and training	X	X
	2	Hosting Services	Create and maintain technical architecture diagrams for environments used during set-up, configuration, customization, testing and training	X
	3	Hosting Services	Validate technical architecture diagrams for environments used during set-up, configuration, customization, testing and training		X
	4	Hosting Services	Define and size environments for all production and pre-production environments	X
	5	Hosting Services	Create and maintain technical architecture diagrams for production and pre-production environments	X
	6	Hosting Services	Validate technical architecture diagrams for production and pre-production environments		X
	7	System Administration	Maintain taxpayer facing system identity, authentication, and access security configuration and processes	X
	8	System Administration	Configure the initial setup for system identity, authentication, and security access	X
	9	System Administration	Maintain NCDOR facing system identity, authentication, and access security configuration and processes		X
	10	System Administration	Receive, log, and review functional releases		X
	11	System Administration	Maintain system configuration (e.g., application, process flows, workflow, reports, interface, customizations, etc.) documentation (e.g., Specifications, test scripts, training documentation, help desk material, etc.)	X	X
	12	System Administration	Document any customizations	X
	13	System Administration	Approved Documentation for any customizations		X
	14	System Administration	Design and build configuration changes in development environment	X
	15	System Administration	Promote change to test environment and perform testing	X	X
	16	System Administration	Promote to production and execute deployment tasks using NCDOR processes	X
	17	System Administration	Schedule and perform system backup	X
	18	Database Administration	Maintain and support all system database(s)	X
	19	Database Administration	Maintain a configuration log of distributed and implemented releases	X
	20	Database Administration	Determine the impact of the new release to the installed configuration	X
	21	Database Administration	Perform database tuning	X
	22	Database Administration	Implement, test, and deploy new releases	X
	23	Configuration, Customization, and Testing	Develop specifications for various development, testing, production environments	X
	24	Configuration, Customization, and Testing	Setup necessary environments (e.g., development, testing, production, etc.)	X
	25	Configuration, Customization, and Testing	Validate environments	X	X
	26	Configuration, Customization, and Testing	Develop application configuration design, configuration, and documentation of all software functionality, including process flow diagram(s) and business rules	X
	27	Configuration, Customization, and Testing	Review and approve all configurations and documentation		X
	28	Configuration, Customization, and Testing	Utilize a specifications traceability matrix and demonstrations, verify the specifications as described in the specifications document have been satisfied	X	X
	29	Configuration, Customization, and Testing	Develop a comprehensive testing schedule	X	X
	30	Configuration, Customization, and Testing	Develop Acceptance criteria for various test cycles and scenarios		X
	31	Configuration, Customization, and Testing	Create unit, integration (end-to-end), performance, stress, security, and regression test plans that are fully documented and repeatable	X
	32	Configuration, Customization, and Testing	Review and approve all test plans, including entry and exit criteria		X
	33	Configuration, Customization, and Testing	Create test cases, test data, and perform unit, integration, performance, stress, security, and regression testing, where applicable	X
	34	Configuration, Customization, and Testing	Manage Project functional, integration, and regression test environments and associated test data, including creation and maintenance during the testing period	X
	35	Configuration, Customization, and Testing	Provide defect tracking system for all tests	X
	36	Configuration, Customization, and Testing	Approve the defect tracking system		X
	37	Configuration, Customization, and Testing	Use the defect tracking system for all development and test activities, and provide access to Agency to view all test activities, as well as input defects, as needed	X	X
	38	Configuration, Customization, and Testing	Create UAT cases and test scripts		X
	39	Configuration, Customization, and Testing	Coordinate UAT (e.g., gain user involvement, establish, and define acceptance criteria, set high-level test objectives, establish high-level test scenarios, etc.)		X
	40	Configuration, Customization, and Testing	Support Agency in conducting UAT	X
	41	Configuration, Customization, and Testing	Conduct UAT, as required		X
	42	Configuration, Customization, and Testing	Provide shared access to the mutually agreed defect tracking system for purposes of allowing the Agency to initiate, track, and report found defects (i.e., UAT)	X
	43	Configuration, Customization, and Testing	Correct defects found as a result of testing efforts	X
	44	Configuration, Customization, and Testing	Conduct User Acceptance re-testing of corrected defects found		X
	45	Configuration, Customization, and Testing	Provide a comprehensive and complete set of documentation for testing results	X
	46	Configuration, Customization, and Testing	Review testing results for compliance with policies, procedures, plans, and test criteria and metrics (e.g., defect rates, progress against schedule, etc.)		X
	47	Configuration, Customization, and Testing	Conduct final System integration test which, in combination with UAT, will provide integrated System Acceptance	X	X
	48	Configuration, Customization, and Testing	Review and approve the System integration test results by Agency's Acceptance procedures		X
	49	Business Rules	Define business rules in collaboration with Agency	X	X
	50	Business Rules	Configure business rules	X
	51	Business Rules	Validate business rule definitions		X
	52	Business Rules	Design and document all business rules	X
	53	Business Rules	Train Agency technical resources for configuring and maintaining business rules in the future	X
	54	Workflow	Design workflows in collaboration with Agency	X	X
	55	Workflow	Validate and approve workflow design		X
	56	Workflow	Configure workflows	X
	57	Workflow	Validate workflow configuration		X
	58	Workflow	Design and document all workflows	X
	59	Workflow	Train Agency technical resources to maintain workflows in the future	X
	60	Data Conversion & Migration	Identify and document data to be migrated or converted to the designed System	X	X
	61	Data Conversion & Migration	Provide the data model for the designed System	X
	62	Data Conversion & Migration	Review and accept data model for the designed System		X
	63	Data Conversion & Migration	Develop approach for data conversion	X	X
	64	Data Conversion & Migration	Review and approve data conversion plans		X
	65	Data Conversion & Migration	Develop a data migration plan	X	X
	66	Data Conversion & Migration	Review and approve the data migration plan		X
	67	Data Conversion & Migration	Conduct mock conversions with NCDOR assistant	X
	68	Data Conversion & Migration	Verify results of mock conversions		X
	69	Data Conversion & Migration	Conduct data cleansing		X
	70	Data Conversion & Migration	Execute data migration	X
	71	Data Conversion & Migration	Validate data migration		X
	72	Reporting & Analytics / BI	Work with Agency to review the current standard and ad hoc reporting and analytics requirements and identify potential gaps	X	X
	73	Reporting & Analytics / BI	Create report designs	X
	74	Reporting & Analytics / BI	Approve all reporting requirements and design		X
	75	Reporting & Analytics / BI	Implement the required reporting and analytical functionality	X
	76	Reporting & Analytics / BI	User Acceptance Test (UAT) and approve reporting and analytical capability		X
	77	Data Warehouse	Analyze and recommend a data warehouse implementation plan based on Vendor’s assessment of Agency requirements	X		Data warehouse can be proposed but may not be included in scope
	78	Data Warehouse	Review and approve all assessments and data warehouse implementation plan		X	Data warehouse can be proposed but may not be included in scope
	79	Data Warehouse	Create a design document for the data warehouse, including architecture, implementation approach, detailed plan, tools, and operational details	X	X	Data warehouse can be proposed but may not be included in scope
	80	Data Warehouse	Review and approve specification for the data warehouse		X	Data warehouse can be proposed but may not be included in scope
	81	Data Warehouse	Implement the data warehouse and perform knowledge transfer with Agency	X		Data warehouse can be proposed but may not be included in scope
	82	Interfaces & Integrations	Design all interfaces and integrations	X
	83	Interfaces & Integrations	Document all interfaces and integrations	X
	84	Interfaces & Integrations	Review and approve all interface designs and integration documentation		X
	85	Interfaces & Integrations	Responsible for contacting and obtaining approval from outside agencies and other 3rd parties for interface changes		X
	86	Interfaces & Integrations	Build interfaces and integrations	X
	87	Interfaces & Integrations	Test all interfaces and integrations	X	X
	88	Interfaces & Integrations	Approve and accept all interfaces and integrations		X
	89	Program Management	Integrate with the existing project governance structure and policies	X
	90	Program Management	Work in collaboration to develop and maintain a project management plan and project control tools, including project schedule, risk and issue logs, and status reporting utilizing Agency templates, if available, or other standard templates approved by Agency	X	X
	91	Program Management	Review and approve all the work products and deliverables		X
	92	Program Management	Determine Vendor resource allocation and assignment for the entire duration of Project	X
	93	Program Management	Review and accept the resource allocation and assignment		X
	94	Program Management	Work collaboratively with the Agency Project Manager (PM) to develop communications with various Agency stakeholder groups about Project status, risks, and issues	X	X	DOR owns communications. Vendor may have input.
	95	Program Management	Provide budget, schedule, and resource updates to Agency and Project leadership	X
	96	Business Process Analysis	Review and approved business process flow and requirements documents		X
	97	Business Process Analysis	Validate and identify changes to the business processes to fit future requirements and functionality and impact on the organization in collaboration with the Agency	X	X
	98	Business Process Analysis	Identify gaps between required functionality and available ITS functionality and validate the gaps with Agency	X	X
	99	Business Process Analysis	Provide recommendations for business processes to fit standard configuration and/or software recommendations required to eliminate any functional gaps	X
	100	Business Process Analysis	Review and approve recommendations and changes to business processes		X
	101	Organizational Change Management (OCM)	Work collaboratively with Agency OCM Lead to conduct stakeholder analysis, stakeholder engagement, OCM, and communications planning	X	X
	102	Organizational Change Management (OCM)	Assist with preparing and aligning policy, process, organization, and any role changes to enable system adoption	X	X
	103	Organizational Change Management (OCM)	Work collaboratively with Agency OCM Team to conduct an Organizational Change Impact Assessment (OCIA) for each release of tax type functionality	X	X
	104	Organizational Change Management (OCM)	Provide an independent assessment of go-live readiness along with risk mitigation recommendations	X
	105	Organizational Change Management (OCM)	Assist with establishing accountability for pre-go-live, cutover, and immediate post-go-live activities	X	X
	106	Organizational Change Management (OCM)	Advise Agency as to remaining activities necessary to stand up information technology (IT) organizational capabilities (e.g., people, skills, processes, tools, etc.) to ensure Agency is appropriately ready for post-production support sustainment	X
	107	Organizational Change Management (OCM)	Provide recommendations regarding any organizational changes required to support Agency’s adoption and ongoing support and sustainment of the System	X
	108	Organizational Change Management (OCM)	Implement organizational changes required to support Agency's adoption, ongoing support, and sustainment of the System		X
	109	Organizational Change Management (OCM)	Provide input into Project communications as necessary	X
	110	Organizational Change Management (OCM)	Deliver Project communications to Project stakeholders		X
	111	Organizational Change Management (OCM)	Assist Agency with executive communications to ensure ongoing alignment and support as well as to facilitate consensus on "go/no-go" decisions for each phase/ release to- live	X
	112	Organizational Change Management (OCM)	Assist with Project team communications to ensure alignment with priorities, decisions, risks, etc.	X
	113	Organizational Change Management (OCM)	Work collaboratively with Agency OCM Team to monitor benefits associated with the Program's benefit strategy	X	X
	114	Training & Knowledge Transfer	Develop training and knowledge transfer strategy	X
	115	Training & Knowledge Transfer	Develop training needs analysis that documents all skills gaps, by role, in collaboration with the Agency	X	X
	116	Training & Knowledge Transfer	Develop training plan with courses and curriculum by role, and how training will be delivered	X
	117	Training & Knowledge Transfer	Develop knowledge transfer plan that specifies the required courses and curriculum by role, knowledge achievement milestones, and a description of how the knowledge transfer will be conducted	X
	118	Training & Knowledge Transfer	Review and approve training and knowledge transfer plans		X
	119	Training & Knowledge Transfer	Develop a plan for development and delivery of training and knowledge transfer modules	X
	120	Training & Knowledge Transfer	Develop materials required for training delivery and knowledge transfer, including PowerPoint presentations, graphics, classroom exercises, computer-based training (CBT) modules, job utilities, user guides, etc.	X	X
	121	Training & Knowledge Transfer	Ensure training content meets the requirements and Agency quality standards		X
	122	Training & Knowledge Transfer	Work closely with the Project Manager and business leads to develop a schedule for training	X	X
	123	Training & Knowledge Transfer	Administer end user training, including scheduling resources, classrooms, recordings, etc.		X
	124	Training & Knowledge Transfer	Deliver end user training	X	X
	125	Training & Knowledge Transfer	Conduct knowledge transfer	X	X
	126	Training & Knowledge Transfer	Develop and manage an evaluation mechanism that allows training and knowledge transfer participants to provide feedback on curriculum and materials	X
	127	Training & Knowledge Transfer	Improve curriculum and materials based on evaluations and feedback	X
	128	Support & Warranty Service Level Agreement (SLA)	Define standard service hours	X
	129	Support & Warranty Service Level Agreement (SLA)	Define non-standard and holiday service hours	X
	130	Support & Warranty Service Level Agreement (SLA)	Define defect classification levels	X
	131	Support & Warranty Service Level Agreement (SLA)	Propose resolution timing for each defect classification	X
	132	Support & Warranty Service Level Agreement (SLA)	Approve defect resolution timing definitions		X
	133	Support & Warranty Service Level Agreement (SLA)	Define warranty extension criteria	X
	134	Help Desk Support	Work with Agency to develop an integrated process to manage a three-tier help desk	X
	135	Help Desk Support	Provide Level 1 Help Desk support		X
	136	Help Desk Support	Provide training for identified Help Desk resources for Level 1 Help Desk support	X
	137	Help Desk Support	Provide Level 2 Help Desk Support integrated with the Agency's ticketing system	X
	138	Help Desk Support	Coordinate with the application Vendor to provide Level 3 support integrated with the Agency's ticketing system	X
	139	Compliance Reporting & Auditing Support	Configure the System such that IRS Publication 1075 Safeguards requirements are met. Provide quarterly Nessus 1075 compliance scan results and IRS audit support every 3 years.	X
	140	Compliance Reporting & Auditing Support	Review quarterly compliance scan results including Pen Tests and application security testing for compliance with IRS Publication 1075 Safeguards requirements.		X
	141	Compliance Reporting & Auditing Support	Provide responses to external documentation as needed by Agency to meet compliance requirements with external authorities	X
	142	Compliance Reporting & Auditing Support	Review responses to external documentation as needed by Agency to meet compliance requirements with external authorities		X
	143	Compliance Reporting & Auditing Support	Facilitate on-site data center inspections with 24-hours’ notice	X
	144	Compliance Reporting & Auditing Support	Apply all applicable and current IRS Safeguards SCSEMs to the Agency GRC-accepted and Architecture Team approved architecture with responsibility of application defined in the contract and the Agency Control Responsibility Matrix form. When SCSEMs are updated, new SCSEMs will be applied within 30 business days of the upload date on the Safeguards website. Where SCSEMs are not available CIS benchmarks will be applied.	X	X
	145	Compliance Reporting & Auditing Support	Provide guidance for application of SCSEMs and SCSEM-specific questions		X
	146	Compliance Reporting & Auditing Support	All physical and logical access controls will be applied as stated in IRS Publication 1075 with the responsibility of application defined in the contract and in the Agency Control Responsibility Matrix	X	X
	147	Compliance Reporting & Auditing Support	Apply Payment Card Industry (PCI) Standards to any area where PCI is required as outlined in the contract in relation to receiving, processing, storing, or transmitting payment information	X
	148	Compliance Reporting & Auditing Support	Complete the Agency Control Responsibility Matrix	X
	149	Compliance Reporting & Auditing Support	Provide FedRamp Authorization Packages for any FedRamp JAB Authorized cloud environment within 30 days of contract signing and upon Agency request	X
	150	Compliance Reporting & Auditing Support	Complete a Agency Sanitization Plan Template for any areas outlined in the Agency GRC-accepted and Agency Architecture Team approved architecture for all areas that will receive, process, store, or transmit Agency Data prior to beginning the certification process	X
	151	Compliance Reporting & Auditing Support	Review and approve Sanitization Plan and Certificate of Sanitization Templates	X
	152	Compliance Reporting & Auditing Support	Provide a Sanitization Plan and Certificate of Sanitization Templates		X
	153	Compliance Reporting & Auditing Support	Complete the Certificates of Sanitization and execute the latest approved sanitization plan signed off on by both parties whenever sanitization is required	X
	154	Compliance Reporting & Auditing Support	Approve the Certificates of Sanitization and execution of the latest approved sanitization plan		X
	155	Compliance Reporting & Auditing Support	Return data that is no longer needed in a universal and agreed upon format	X
	156	Compliance Reporting & Auditing Support	Provide all staff and information needed to complete the Agency onboarding process to the satisfaction of the Agency CIO	X
	157	Compliance Reporting & Auditing Support	Provide onboarding process	X
	158	Compliance Reporting & Auditing Support	Provide all staff and information needed to complete the Agency certification process to the satisfaction of the Agency CIO	X
	159	Compliance Reporting & Auditing Support	Participate in any IRS Safeguards required inspections to the satisfaction of the IRS and the Agency CIO	X
	160	Compliance Reporting & Auditing Support	Ensure that data and staff are located inside of the legal jurisdictional boundary of the United States (inside of the United States, its territories, embassies, or military installations	X
	161	Compliance Reporting & Auditing Support	Provide information related to Agency security and compliance as needed for Agency to comply with agreements, MOUs, contracts, or state and federal laws, statutes, or requirements by the Agency imposed deadlines	X
	162	Compliance Reporting & Auditing Support	Provide MFA solutions to the satisfaction of the Agency CIO or CISO	X
	163	Compliance Reporting & Auditing Support	Ensure that all patches, hotfixes, and updates to systems are applied to the satisfaction of the Agency CIO and Ensure that all components and software are under support	X
	164	Compliance Reporting & Auditing Support	Provide patching, hotfix, and update timeline requirements	X
	165	Compliance Reporting & Auditing Support	Provide all scan, penetration test, and other Agency required security testing requirements	X
	166	Compliance Reporting & Auditing Support	Provide scans, penetration tests, and other Agency required security tests as required	X
	167	Compliance Reporting & Auditing Support	Report all suspected security incidents within 12 hours of discovery as defined by Agency through a breach letter	X
	168	Compliance Reporting & Auditing Support	Provide instructions on who to contact for reporting of suspected security incidents	X
	169	Compliance Reporting & Auditing Support	Ensure that the most current FIPS 140 validation is in place for any part of the solution that will receive, process, store, or transmit Agency Data	X
	170	Compliance Reporting & Auditing Support	Ensure that any part of the service provided where Agency Data will be received, processed, stored, or transmitted is approved by the CIO prior to receiving any new data streams	X
	171	Compliance Reporting & Auditing Support	Ensure that any part of the service provided where Agency Data will be received, processed, stored, or transmitted is logged in accordance with IRS Publication 1075 requirements and that logs are received or are accessible to Agency IT Security to the satisfaction of the CIO and CISO	X
	172	Compliance Reporting & Auditing Support	Ensure that any Federated Identity Management used as part of the service delivery or for any systems that receive, process, k store, or transmit Agency Data is FedRamp Certified as moderate by the JAB The certification package must be provided as outlined in the contract	X
	173	Compliance Reporting & Auditing Support	Provide all information related to cloud services as needed by Agency for any system that will receive, process, store, or transmit Agency Data or that is listed in the Agency GRC accepted and Agency Architecture Team approved architecture diagram	X
	174	Compliance Reporting & Auditing Support	Facilitate integration of vendor processes and any subcontracted staff processes that are the same or similar into the following Agency Processes as it relates to delivery of services for any system that will receive, process, store, or transmit Agency Data or that is listed in the Agency GRC accepted and Agency Architecture Team approved architecture diagram:

- Onboarding

- Change Management

- Security Incident Management

- Security Awareness and Role-based Training

- Contingency Plan Testing and Training	X
	175	Compliance Reporting & Auditing Support	Develop a contingency plan for the services provided to the satisfaction of the Agency CIO and CISO prior to any system going into production	X
	176	Compliance Reporting & Auditing Support	Provide a contingency plan template	X
	177	Compliance Reporting & Auditing Support	Provide a 60 day plan for compliance for major updates to IRS Publication 1075 to be completed by the IRS-provided effective date for the updated publication	X
	178	Compliance Reporting & Auditing Support	Conduct security audits or inspections to validate compliance with the contract	X
	179	Compliance Reporting & Auditing Support	Submit to security audits or inspections to validate compliance with the contract	X
	180	Compliance Reporting & Auditing Support	Adhere to the principle of least functionality as defined by NIST and the IRS	X
	181	Compliance Reporting & Auditing Support	Manage and secure APIs to the satisfaction of the Agency CIO and CISO	X
	182	Compliance Reporting & Auditing Support	Ensure that all protocols used in the services provided in relation to this contract are supported	X
	183	Compliance Reporting & Auditing Support	Provide a plan to move to a zero trust environment if a zero trust environment is not already supported	X
	184	Compliance Reporting & Auditing Support	Provide information to complete external required documentation by the due date imposed by the Agency to facilitate Agency's compliance with external entities	X
	185	Compliance Reporting & Auditing Support	Ensure all data access can be tracked by data classification so that access to , modification if, and deletion of any Agency Data ties back to an individual	X
	186	Security	Document approach for ensuring security is designed into the solution	X
	187	Security	Review and approve document approach for ensuring security is designed into the solution		X

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