Amendment+2_4-25-22+SEGAL+SIGNED.pdf

CONTRACT AMENDMENT

CONTRACT NAME: Technology Pension Consultant

AMENDMENT NUMBER: 2 (two)

This amendment is made to Technology Pension Consultant (Contract) between the State of North Dakota, acting through its North Dakota Retirement and Investment Office (STATE), and The Segal Company (Midwest), Inc. on behalf of itself and its affiliates collectively doing business as Segal (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.

The parties agree to amend the Contract as follows:

Renewal and Extensions Contract Section 5, Term of Contract. The Contract commenced on October 1, 2020, and ending on September 1, 2021, with 3 (three) options to renew the contract for up to 12 months each and an extension option for an additional period of time, not to exceed 12 months, beyond current termination date of the Contract.

The Contract was previously renewed for 1 (one) option of 12 months.

The parties have agreed to renew the Contract for an additional 12 months; therefore, the contract is amended to change the expiration date to August 31, 2023. The Contract has 1 (one) renewal remaining. The Contract can be extended for an additional 12 months.

Scope of Work Contract, Exhibit A – Scope of Work, C-Stage 3. The scope of work is hereby amended as follows:

Insert the attached detailed SOW into Stage 3 of Exhibit A.

This change is authorized in Amendment 1 (one) of Technology Pension Consultant Contract dated 8-26-2021.

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

The Segal Company (Midwest), Inc. Acting through its: North Dakota Retirement and Investment Office

BY: BY:

Jeffrey Mills Janilyn Murtha

Vice President and Senior Consultant Executive Director

Date: Date:

STATE OF NORTH DAKOTA

Acting through its: Information Technology Department

BY:

Shawn Riley

Title: Chief Information Officer

Date:

4/29/2022

Janilyn K. Murtha (May 4, 2022 12:32 CDT) Janilyn K. Murtha

05/04/2022

Shawn Riley (May 4, 2022 22:00 CDT)

05/04/2022 https://na2.documents.adobe.com/verifier?tx=CBJCHBCAABAAYgZxUY9VEXu5Twf2qhNGbu6AzQ7YaNHn https://na2.documents.adobe.com/verifier?tx=CBJCHBCAABAAYgZxUY9VEXu5Twf2qhNGbu6AzQ7YaNHn

EXHIBIT A – Scope of Work (Revised April 2022 for Segal Stage 3 Services)

North Dakota Teachers Fund for Retirement (TFFR) published Technology Pension Consultant RFP Number: 110.7-20-033 on June 2, 2020.

Segal provided a proposal on June 30, 2020, that addressed a three-stage approach to achieve the objectives. The proposal details the steps in the process and the approach. This Statement of Work (SOW) does not replace the scope, nor the approach in the document but does provide the key deliverables for Stage 3 Assistance with the New PAS and how they achieve the objectives. The table below maps the RFP Objectives to the stage, and activity in the project where it will occur as well as the deliverable that is defined in this Statement of Work.

Objective from RFP Stage, Task, Step, and Deliverable in SOW Oversee implementation of the replacement Pension Administration Solution (PAS)

Stage 3; Included in this Revised SOW

Participate in project planning, project management, quality assurance, data cleansing and oversight support.

Stage 3; Included in this Revised SOW

This SOW lists the tasks and steps envisioned for Stage 3 – Assistance with New PAS Implementation and is followed by a definition of each deliverable, the expectations, and the acceptance criteria.

1. DELIVERABLE 1: PROJECT KICKOFF MEETING

a. Description:

CONSULTANT shall assist with the planning and preparation activities and will participate in the Kickoff Meeting with the core project and planning team.

b. Expectations of CONSULTANT:

1) CONSULTANT shall review detailed agenda and materials produced by CONTRACTOR /

STATE in advance of the meeting.

2) CONSULTANT shall assist CONTRACTOR / STATE to finalize agenda and materials.

3) CONSULTANT shall assist and participate with the CONTRACTOR / STATE to facilitate the meeting.

c. Expectations of STATE:

1) Ensure CONSULTANT is included in Kick Off Meeting activities.

d. Acceptance Criteria:

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

1) Participation in Kickoff Meeting.

2) An introduction of critical CONSULTANT resources assigned to the project.

2. DELIVERABLE 2: PROJECT INITIATION AND PLANNING ACTIVITIES

a. Description:

CONSULTANT shall participate, contribute, and collaborate with CONTRACTOR / STATE in various Project Initiation and Planning Activities.

b. Expectations of CONSULTANT:

1) CONSULTANT shall participate, contribute, and collaborate with CONTRACTOR / STATE in various Project Initiation and Planning Activities.

2) CONSULTANT shall review, provide suggestions, and discuss activities / tasks related to the detailed project schedule created in Microsoft Project by the CONTRACTOR / STATE.

3) CONSULTANT shall review and offer suggestions / edits to CONTRACTOR / STATE issued project deliverables and/or artifacts related to Project Initiation activities and deliverables.

c. Expectations of STATE:

Ensure CONSULTANT is participating, contributing, and collaborating in Project Initiation activities.

Ensure CONSULTANT is providing feedback on Project Initiation deliverables via written response (i.e., email or memo format) or verbal response in project management meetings.

For the acceptance of this deliverable to occur, Project Initiation and Planning results in:

1) Completed and approved project planning (i.e., Project Management Plan)

2) Completed and approved project schedule (i.e., Microsoft Project)

3) Completed and approved project governance structure, status reporting formats and status meeting recurrence / cadence.

3. DELIVERABLE 3: REVIEW / FEEDBACK ON CONTRACTOR’S DELIVERABLES

CONSULTANT to assist CONTRACTOR / STATE in the review, analysis, and confirmation of CONTRACTOR produced deliverables, activities, and services throughout the project.

b. Expectations of CONSULTANT:

1) CONSULTANT shall assist / participate in the review and analysis effort.

2) CONSULTANT shall review the Functional Requirements and Requirements Traceability

Matrix (i.e., RTM).

3) CONSULTANT shall assist with Requirements Management and Tracking.

4) CONSULTANT shall participate in CONTRACTOR / STATE configuration and collaboration sessions to elaborate on the confirmed requirements as per the defined project management plan and schedule.

5) CONSULTANT shall review and provide feedback on CONTRACTOR prepared design specifications containing a set of configurations and/or customization design artifacts.

6) CONSULTANT to assist STATE with identifying and providing requested information needed by CONTRACTOR for design / development purposes.

7) CONSULTANT to review CONTRACTOR provided development and configuration status updates.

8) CONSULTANT shall assist CONTRACTOR / STATE in various training / testing planning sessions.

9) CONSULTANT shall review and provide feedback on CONTRACTOR training syllabus to verify that desired areas are part of the training.

10) CONSULTANT shall review and provide feedback on CONTRACTOR Training Materials.

11) CONSULTANT shall participate / attend CONTRACTOR led Training Classes / Sessions to

STATE.

12) CONSULTANT shall assist STATE to develop and conduct survey of training participants to verify training was effective.

13) CONSULTANT shall assist STATE in actively participating in Data Conversion planning sessions.

14) CONSULTANT shall assist STATE / CONTRACTOR to develop approaches planned for STATE’s data cleansing efforts.

15) CONSULTANT shall assist STATE in the review and design of data elements applicable to data conversion.

16) CONSULTANT shall assist STATE with data cleansing effort.

17) CONSULTANT shall assist STATE with data reconciliation report review.

18) CONSULTANT shall assist STATE with testing of the data conversion in the conversion testing environment or the user acceptance testing environment.

19) CONSULTANT will assist STATE / CONTRACTOR in Roll-Out / Implementation planning sessions.

20) CONSULTANT shall participate, contribute, and collaborate with STATE for implementation preparations and readiness.

21) CONSULTANT shall assist STATE with needed activities for implementation efforts.

1) Ensure CONSULTANT is participating, contributing, and collaborating in the review / feedback of CONTRACTOR’s Deliverables and Activities.

2) Ensure CONSULTANT has access to all deliverables and related activities.

For the acceptance of this deliverable to occur, there must be consistent and thorough review and feedback of Contractor’s Deliverables and Activities resulting in:

1) Completed and approved Requirements

2) Completed and approved Design

3) Completed and approved Configuration and Development

4) Completed and approved Data Mapping and Conversion

5) Completed and approved Training

6) Completed and approved System Readiness and Implementation

7) Completed and approved Go-Live and Production / Operational Support.

4. DELIVERABLE 4: TESTING

a. Description:

CONSULTANT shall review CONTRACTOR provided Testing Management Plan and assist STATE with Testing related activities.

b. Expectations of CONSULTANT:

1) CONSULTANT shall participate in CONTRACTOR led working session(s) with STATE to review and finalize the Test Management Plan prior to start of testing.

2) CONSULTANT shall assist in the coordination with CONTRACTOR / STATE to schedule all testing activities where STATE staff would be involved.

3) CONSULTANT shall participate and attend CONTRACTOR led training to STATE to conduct user acceptance tests and report results.

4) CONSULTANT shall assist CONTRACTOR / STATE with development of user acceptance test cases.

5) CONSULTANT to assist STATE in conducting user acceptance testing.

6) CONSULTANT to assist STATE to ensure the testing effort and issue resolution process is following the test management plan.

7) CONSULTANT to assist STATE in creating test scripts according to the approved design specifications.

8) CONSULTANT to assist STATE in documenting any identified issues, assign priority and severity, and provide results to CONTRACTOR for troubleshooting.

1) Ensure CONSULTANT is participating, contributing, and collaborating in Test Management

Planning as well as actively participating and assisting in Testing activities.

For the acceptance of this deliverable to occur, Test Planning and Test Execution must be completed, resulting in:

1) Completed and approved Test Management Planning

2) Completed and approved Testing activities

3) Completed and approved Error Identification and Resolution

4) Completed and approved System Readiness

5. DELIVERABLE 5: POST-IMPLEMENTATION REPORT AND CLOSE-OUT MEETING

CONSULTANT shall participate in the Closeout meeting in Bismarck, ND, or via tele-conference with the core project team and interested stakeholders, as well as review and provide feedback on post-Implementation activities and report.

1) CONSULTANT shall assist STATE in finalizing a project close-out agenda.

2) CONSULTANT shall participate and contribute to STATE to develop a Post-Implementation

Report that provides, at a minimum, the following:

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

(b) Lessons learned from the project

(c) Success stories from the project

3) CONSULTANT shall assist STATE with the coordination / scheduling of a Project Closeout meeting.

4) CONSULTANT shall participate in the close out survey.

5) CONSULTANT shall assist STATE with Closeout Meeting.

6) CONSULTANT shall assist STATE with development of Post-Implementation Report.

1) Ensure CONSULTANT participates in Project Closeout Meeting and contributes to the Post- Implementation Report.

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

1) Contribute comprehensive lessons learned valuable to future projects.

2) Share success stories from the project.

6. DELIVERABLE 6: PROJECT GOVERNANCE

CONSULTANT shall provide and assist STATE with Project Governance 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.

1) CONSULTANT will participate in status meetings with STATE.

2) CONSULTANT will participate in the communication of the status of the project, how it is tracking to deadlines, and updates on issues or risks.

3) CONSULTANT will contribute and/or review CONTRACTOR provided status report.

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

5) CONSULTANT will provide a bi-weekly detailed status report of their project activities / involvement including a dashboard summary, activities during the current month, activities planned for next month, any scope / budget changes, and any issues / risks arising or outstanding this period.

1) Ensure CONSULTANT is continuously providing Project Governance throughout the project’s duration; along with a bi-weekly Status Report detailing their involvement, findings, and recommendations.

For the acceptance of this deliverable to occur, STATE will review and accept CONSULTANT issued Status Report and Monthly Project Invoice:

1) Ongoing Project Governance

2) Completed and accepted bi-weekly Status Report

3) Completed and approved Monthly Project Invoice

7. DELIVERABLE 7: FINAL ACCEPTANCE

Upon completion of all deliverables, and upon mutual agreement of STATE and CONSULTANT, the project work will be considered complete.

1) CONSULTANT shall address any outstanding issues or completion of deliverables.

1) STATE shall alert CONSULTANT to any outstanding issues.

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.

Amendment 2_Draft_4-25-22 SEGAL SIGNED (002) Final Audit Report 2022-05-05

Created: 2022-05-04

By: Emmalee Riegler (eriegler@nd.gov)

Status: Signed

Transaction ID: CBJCHBCAABAAYgZxUY9VEXu5Twf2qhNGbu6AzQ7YaNHn

"Amendment 2_Draft_4-25-22 SEGAL SIGNED (002)" History Document created by Emmalee Riegler (eriegler@nd.gov) 2022-05-04 - 1:03:52 PM GMT- IP address: 165.234.253.23

Document emailed to Janilyn K. Murtha (janilynmurtha@nd.gov) for signature

2022-05-04 - 1:06:13 PM GMT

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Document shared with Darla Van Vleet (davanvleet@nd.gov)

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Document e-signed by Janilyn K. Murtha (janilynmurtha@nd.gov) Signature Date: 2022-05-04 - 5:32:09 PM GMT - Time Source: server

Document emailed to Shawn Riley (sriley@nd.gov) for signature

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Document e-signed by Shawn Riley (sriley@nd.gov) Signature Date: 2022-05-05 - 3:00:28 AM GMT - Time Source: server- IP address: 165.234.248.3

Agreement completed.

2022-05-05 - 3:00:28 AM GMT