STATEMENT OF WORK (SOW) For

California Department of Health Care Services (DHCS)

Date: February 22, 2012 Revision: Draft

Prepared By: Elyon Strategies INDEX 1.0 1.1 1.2 1.3 1.4 1.5 2.0 2.1 2.2 2.3 2.4 2.5 2.6 3.0 3.1 4.0 4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 4.9 5.0 INTRODUCTION / SCOPE AND OBJECTIVES ORGANIZATION STUDIED OVERVIEW INTRODUCTION SCOPE AND OBJECTIVES APPLICABLE REGULATIONS AND DOCUMENTS TASK REQUIREMENTS ENTERPRISE ARCHITECTURE SUPPORT PROGRAM MANAGEMENT CORE BUSINESS CASE ANALYSIS PROVIDE ENTERPRISE ARCHITECTURE ENGINEERING SUPPORT SUPPORT STRATEGIC PLANNING AND GOVERNANCE IMPLEMENTATION STRATEGY QUALITY ASSURANCE AUDITS/REVIEWS/WALKTHROUGHS DELIVERABLES CONTRACT SUBMISSION GOVERNMENT REVIEW DELIVERABLE AND DATA RIGHTS MONTHLY INVOICE MONTHLY STATUS REPORTS MONTHLY WORK PLAN DELIVERABLE MATRIX OTHER REPORTING INFORMATION PAST PERFORMANCE INFORMATION PERFORMANCE

5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 5.9 6.0 6.1 6.2 6.3 6.4 7.0 7.1 7.2 7.3 7.4 7.5

CERTIFIATION BY THE GOVERNMENT KICKOFF MEETING PERIOD OF PERFORMANCE PLACE OF PERFORMANCE HOURS OF WORK PERSONNEL RETENTION ESTIMATED STAFFING LEVELS KEY PERSONNEL GOVERNMENT FURNISHED EQUIPMENT SECURITY CLEARANCE IDENTIFICATION OF NON-DISCLOSURE REQUIREMENTS OGANIZATIONAL CONFLICT OF INTEREST SAFETY ADMINISTRATIVE CONSIDERATIONS GOVERNMENT REPRESENTATIVES PROCEDURES FOR PAYMENT PERSONAL SERVICE COMPLIANCE TO GOVERNMENT STANDARDS TRANSFER OF KNOWLEDGE BASE AND SYSTEM/SOFTWARE

1. INTRODUCTION / SCOPE AND OBJECTIVES 1.1. ORGANIZATION TO BE STUDIED: California Department of Health Care Service s (DHCS) 1.2. OVERVIEW This Statement of Work (SOW) describes the effort required to support the furthe r development and alignment strategy of a unified Enterprise Architecture (EA) f or the Department of Health Care Services (DHCS). Elyon Strategies shall provide consulting services that intricately analyze, re-architect and align the curren t enterprise architecture into a more robust system that provides needed informa tion in a timely manner across multiple channels. 1.3. INTRODUCITON The DHCS has developed a Strategic Plan (dated 10/2008) that serves to illustra te the complex nature of health care system and the sensitivity and political is sues surrounding the ever increasing cost of health care. With that in mind, DHC S has been mandated by the Federal Government to supply health care services to those eligible and provide efficient means of applying 1.4. PROJECT SCOPE AND OBJECTIVES The base objectives of the Alignment Strategy of Enterprise Architecture for the California Department of Health Care Services (CDHCS) are listed below. These are an initial assessment of objectives that the business architecture core team determined essential for the first phase. Other additional objectives may arise during consultation with the appropriate directors or managers within the agenc y. Elyon Strategies shall promote Enterprise Architecture (EA) that supports Califo rnia Department of Health Care Services (CDHCS) business, operational and techni cal requirements for a standardized technology as a health care application serv ice provider. This standardization shall facilitate integration design requireme nts for a broad Federal IT and E-Government initiatives, as well as promote the sharing, consolidation, and re-use of business processes and systems across Califo rnia. Elyon shall develop this strategy by focusing primarily on identifying, l everaging, and implementing the DHCS strategic initiatives for Enterprise Archit ecture, which shall be architected specifically to improve communications across all functional lines, provide a commonality between divisions, programs and pro jects and establish a central-repository for the collection of business, technol ogy and governance-related artifacts. Develop a Public Sector Architecture (PSA) that captures the changing agency nee

ds, strategic goals, and external influences and translate them into administrat ive / technology priorities for the State. First and foremost, the PSA shall foc us on the states limited organizational / technical resources by focusing their energy on fostering team work (Center Of Excellence) and developing a synergisti c work atmosphere. Second, we (Team) begin by obtaining a clear understanding of the strategic vision, mission, goals, objectives and the constraints of critica l business success factors. Thirdly, the organization as a whole shall define an d document the processes most critical to State operations. Elyon shall provide expertise in Strategic Management practices by implementing a project directed P roject Management Office (PMO) that supports all project initiatives, schedules, budgets and so on. Develop a Solutions Architecture (SA) with a framework and approach that governs how applications and systems are designed within the State. Solution Architectu re ensures that technology aligns with the goals outlined in the Public Sector A rchitecture. The SA streamlines the fulfillment of requirements and projects wit h enhancements of any system IT design strategies. These strategies evolve by al lowing the management, design and technology teams to gain access to critical ar tifacts, standards and technical documentation that provide and secure proven so lution designs. Elyon approach to EA intentionally separates SA from IA. The key differences between the two disciplines are in the deliverables and outcomes. Elyon shall define the Information Architecture (IA) as used in conjunction with the SA high-level designs to guide the construction of technology components in to complete solutions that can be leveraged to meet the needs of multiple agenci es. IA combines outputs from the other areas to drive standardization of produc ts and develop consistent implementation / operational policies. This architectu re is designed to model, classifies and leverages initiatives with Federal and l ocal governments. Elyons IA approach focuses on identifying and standardizing inn ovative ways to use information. Portfolio Management focuses on the common challenges the EA faces and how the E A provides a more thorough approach to addressing challenges in the area of port folio management. It looks at traditional approaches and modeling a new approach to design and benefits realized. Strategic Transformation focuses on how the organization uses the concepts of EA to transform their organization to achieve the strategy. Compliance Management focuses on how the organization uses the concepts of EA to manage regulatory and compliance requirements set forth by governing bodies. Architectural and technical oversight engagement activities include long and sho rt term participation with administrative and executive level providing Strategi c Management support, vision/mission/goals submission, mentoring and architectur al design and implementation support with consideration for service performance. 1.5. APPLICABLE REGULATIONS AND DOCUMENTS The following documents (revisions current at time of award) are a part of this contract. Succeeding revisions may be substituted or incorporated as required. T he Government will provide access to available documents and technical informati on as required upon contractor request for the performance of this task order. s. sary in DHCS Strategy Plan, 10/2008 DHCS Implementation Plan, Applicable DHCS Technical Information Advisory (TIA) documents, or official memo Federal Government Regulations, Policies, Recommendations, memos, etc. Other Policy, procedural, or technical documentation as the State may deem neces order to conduct work under this contract.

2. TASK REQUIREMENTS Initial analysis of the DHCS documentation revealed several unanswered questions with most of those questions concerning the objectives coming from the Strategi c office. What actions have taken place since the initiation of the Strategic P

lan dated October 2008, has the agency updated any further direction since then, where does the State stand with governance and/or health care mandatory require ments from the Federal Government? Most if not all of the documentation is either outdated, antiquated, lacks struc ture and most notably has no direction. For that reason, further consultation wi th executives is strongly required before any of the statements below can be ans wered. Alignment to the Mission: Placing your best efforts where you priorities are Reducing Cost: Giving back to the bottom while improving your investment Increased flexibility: Never having to say Thats the way we have always done it Improved employee relationships: Labor boards, furloughs, trust and loyalty Improved efficiency: What specific improvement can be made Existing as-is-state of technology outdated and antiquated How to manage the EA NOTE: Any items not listed here are considered out of scope for this project; th e addition of out of scope items to the Project Scope will not be made without p rior approval and authorization from <Sponsoring Organization Name> and will be handled through Change Requests or as separate SOWs. 2.1. ENTERPRISE ARCHITECTURE SUPPORT In accordance with Federal Policy, DHCS must have developed and issue a Prelimin ary Design of an Health Information Technology (HIT) platform in order to receiv e 90% funding available. In addition, the State of California will also contribu te an additional 10% of cost incurred. This is with the understanding the platfo rm is acceptable to the Federal Government and California officials. EA support shall include current stat modeling, enterprise analysis, target state definiti ons, and transition plans. In addition, the contractor shall support the continu ous maturity of DHCS-EA Program and process documentation in alignment with EA P rogram Charter. General task requirements may include, but are not limited to, these listed belo w: Provide consulting support services to Agency to assist in establishing, documen ting, maintaining, and maturing an EA Program that complies with State Agency gu idance, Agency, and unique Agency vision Assist with ensuring that Agency-level EA processes and tools support the Govern ment design requirements Provide EA practice through leadership, professionalism, and technical implement ation expertise in the design, development, and governance of a Service-Oriented Architecture, Web-Oriented Architecture, and manage the other programs currentl y on-going Provide subject matter expertise to ensure products meet enterprise technology s tandards for conducting, sustaining, and adapting to the business mission The business architects shall work with the Chief Architect to identify, documen t, and prioritize candidate business and enterprise services segment architectur e Identify and recommend industry best practices, and where feasible, collect exis ting information on the selected enterprise services segments through documentat ion reviews, interviews, as well as the knowledge gained by the contractor durin g portfolio analysis process. Leverage the State templates and Best Enterprise Architecture Methodology (BEAM) to document and develop or revise segment architecture for the selected enterpr ise segments. The results of the segment architecture analysis shall be leverag ed for the development of revisions to the Enterprise Architecture Transition Pl an (EATP). Identify, document, and support performance goals and metrics fo Business Archit ecture, Information Architecture, Public Sector Architecture, Solutions Architec ture and IT Infrastructure and Technology Support for the business strategy thro

ugh the implementation and maintenance of the EA Program. 2.2. Project Requirement 1-Program Management: 2.2.1. The Senior Architect shall be prepared upon reasonable notice, to presen t and discuss with contracting officer technical representative (COT) or designa ted representative the status of contract activities. The Contractor must provid e quality assurance to all deliverables. Under this task, the Contractor shall p rovide the following: 2.2.2. Program Status Report, which includes a narrative describing, progress, issues, action items, risks, updates and revisions to the task order project pla n activities, milestones and deliverables. (CDRL #001) 2.2.3. Earned Value Management (EVM) data to be provided using a designated tem plate. The Contractor shall provide notification of hours expended during the re porting month by major DHCS WBS categories. (CFRL#002) 2.2.4. The Contractor shall execute the DHCS-EA configuration management (CM) p lan. The CMP defines management structures and processes for identifying, tracki ng, monitoring, reporting and auditing changes to the architecture products. The Contractor shall place DHCS products under configuration management. 2.3. Requirement 2 Provide Enterprise Architecture Alignment: 2.3.1. The Contractor shall assemble, arranged, analyze, design and implement d ocumentation architecture that meets the needs of the agency. This includes but not limited to: 1. DHCS and Core Capabilities concepts and requirements, segment capabiliti es concepts services provided. 2. The contractor shall conduct technical reviews and assist with eh develo pment of and provide analysis, comments, updates and recommendations to DHCS cor e competencies of designs and EA products and not limited to: a) Concept of Use b) Concept of Operations c) DHCS Operations documents d) DHCS Governance documents e) Architecture case studies f) Operational Improvement Roadmap/Models/Frameworks 2.3.2. The contractor shall assist with the development of a Draft registry int erface requirements document. The contractor shall assist with the development o f and provide analysis, comments, updates and recommendations to the Core Strate gy Team (defined) 2.4. Requirement 3 Provide Business-Case Analysis 2.5. Requirement 4 Support Strategic Governance and Planning 2.5.1. The contractor shall provide technical and management support to develop strategic plans to define the DHCS-EA implementation and governance. The contra ctor shall conduct technical assessment and document results. The contractor sha ll use the results of this assessment to recommend Strategic Enterprise Architec ture roadmaps for increasing the maturity of DHCS Strategy. 2.5.2. The contractor shall assist in the analysis, development and management of DHCS policy and guidelines including but not limited to: 1. Roles, responsibilities and artifacts requirements among major stakehold ers 2. EA Segment(s) strategic planning and analysis 3. System Segment(s) capability selection criteria and value analysis 4. DHCS functional development projects plan and implementation strategy 5. Governance Plan for developing, maintaining and implementing EA. 2.6. Requirement 5 Implementation Strategy 2.6.1 The Contractor shall assist the DHCS PO with the execution of the DHCS-E A Implementation Plan. The contractor shall develop, manage and support trade st udies and prototype development plans and procedures for Commercial Off Theoff t he Shelf (COTS) tool selection. The contractor shall provide engineering analysi s, including but not limited to: 1. 2. Trade Study and Prototype Support Definitions Develop Plans and Reports

3. Conduct Reviews and Audits of documentation, models and systems 4. Evaluation of Project Work Activities 5. Evaluation of Strategic Business Units (SBU) schedules, plans and proced ures. 6. Determine Key Process Indicators (KPI) and performance measures. 7. Look closely into the evaluation factors for conducting business and wor k ethics. 2.6.2 The contractor shall provide technical expertise to support acquisition tasks associated with COTS procurement in support of EA Core Methodology Practic es, tools and methods. The Contractor shall leverage knowledge gained form past COTS acquisition, modeling, testing and evaluation to assist with additional COT S evaluation to include but not limited to EA Framework / Modeling, Business Mod eling, Systems Modeling and process improvement strategies. 3. QUALITY ASSURANCE This section shall be devoted to how the Contractor will conduct Project Quality Assurance oversight. 3.1 AUDITS/REVIEWS/WALKTHROUGHS 4. DELIVERABLES

Deliverables and due dates are identified in subsequent paragraphs The architectural core team shall build an inventory listing of documents, provi de for their subsequent location within the Zachman Framework and publish a list that cross-references. The core team shall review mandatory documentation, make a determination as to place within the framework and assign a specific location within that framework. 4.1. CONTRACT SUBMISSION

Deliverables are to be transmitted with a cover letter, on the prime contractors letterhead, describing the contents, electronically through States web-based proc urement system, and to any other destination(s) as required per contract line it em. The contractor shall provide hard copy deliverables as required per the Stat es request. All deliverables shall be produced using recommended software tools/v ersions as approved by the State. All reports shall be accomplished utilizing t he MS Office Software Suite Professional. 4.2. GOVERNMENT REVIEW

Government personnel will have 10 workdays to review deliverables (to include re submission) and provide written acceptance/rejection. The authorized client repr esentative and/or COTR will notify the contractor of deliverable acceptance or p rovide comments in writing. The contractor shall incorporate Government comments , or provide rationale for not doing so within 5 workdays of receipt of comments . Government acceptance of the final deliverable will be based on resolutions of Government comments or acceptance of rationale for non-inclusion. 4.3. DELIVERABLE AND DATA RIGHTS

All Enterprise Architecture materials, documents, notes, records, analysis, soft ware tools acquired, and/or software modified or produced by the contractor unde r this SOW shall become the property of the State of California Department of He alth Care Services. The contractor shall be required to deliver electronic copi es of all documents, notes records any other project documentation to the State at designated intervals and upon termination of the contract services

4.4. 4.5. 4.6. 4.7.

MONTHLY INVOICE MONTHLY WORK PLAN REPORT WORK PLAN DELIVERABLE MATRIX Zachman Framework R1/C1 Strategic Business Plans, Goals, Objectives and Strategies Enterprise Mission and Value Statements, Program Directives, Industry and Progra m Best Practices, Key Performance Indicators, Organizational Chart, etc. R1/C2 <Description of component 2> R1/C3 <Description of component n> R1/C4 <Description of component 2> R1/C5 <Description of component n> 1. <Deliverable n> This <thing> will be provided in <this format> and will contain the following: <Component 1> <Description of component 1> <Component 2> <Description of component 2> <Component n> <Description of component n> 4.8. 4.9. 5. 5.1. 5.2. 5.3. 5.4. 5.5. 5.6. 5.7. 5.8. 5.9. 6. 6.1. 6.2. 6.3. 6.4. 7. 7.1. 7.2. 7.3. 7.4. 7.5. OTHER REPORTING REQUIREMENTS PAST PERFORMANCE INFORMATION PERFORMANCE CERTIFICATE BY THE GOVERNMENT KICKOFF MEETING PERIOD OF PERORMANCE PLACE OF PERFORMANCE HOURS OF WORK PERSONNEL RETENTION ESTIMATED STAFFING LEVEL KEY PERSONNEL GOVERNMENT FURNISHED EQUIPMENT/INFORMATION/ACCESS SECURITY CLEARANCE INDENTIFICAITON OF NON-DISCLOSURE REQUIREMENTS ORGANIZATIONAL CONFLICT OF INTEREST SAFETY ADMINISTRATION CONSIDERATIONS GOVERNMENT REPRESENTATIVES PROCEDURES FOR PAYMENT PERSONAL SERVICES COMPLIANCE TO GOVERNMENT STANDARDS TRANSFER OF KNOWLEDGE BAES, SYSTEMS AND SOFTWARE