Implementation Advance Planning Documentitcaonline.com/wp-content/uploads/2016/05/MSC-IAPD-Approved-RFP-Version.pdfthe WIC Programs implement eWIC, the MIS used by the MSC must interface

May 10, 2016 Version 1.5

Multi-State Consortium eWIC Planning Project

Implementation Advance Planning Document

Inter Tribal Council of Arizona, New Hampshire and Kansas WIC Programs

MSC eWIC IAPD Page i Table of Contents

Table of Contents Table of Contents ........................................................................................................................................... i

Table of Exhibits ........................................................................................................................................... iv

Version History ............................................................................................................................................. vi

1 Executive Summary .............................................................................................................................. 1 1.1 Purpose of the IAPD ..................................................................................................................... 1 1.2 Project Background ....................................................................................................................... 1 1.3 Strategy ......................................................................................................................................... 2

1.3.1 ITCA: .................................................................................................................................................... 2 1.3.2 New Hampshire: .................................................................................................................................. 2 1.3.3 Kansas: ................................................................................................................................................ 2

1.4 High Level Schedule ..................................................................................................................... 3 1.5 Implementation Budget ................................................................................................................. 4 1.6 Operations Costs .......................................................................................................................... 5

2 Project Management and Resource Requirements .............................................................................. 7 2.1 Narrative Statement ...................................................................................................................... 7 2.2 Scope ............................................................................................................................................ 7

2.2.1 Implementation Activities Supported by Requested Funding ............................................................... 7 2.2.2 Statewide Expansion ......................................................................................................................... 10

2.3 Procurement Plan ....................................................................................................................... 10 2.3.1 ITCA ................................................................................................................................................... 11 2.3.2 Kansas ............................................................................................................................................... 12 2.3.3 New Hampshire ................................................................................................................................. 13

2.4 Staffing and Oversight ................................................................................................................. 13 2.4.1 Project Management .......................................................................................................................... 13 2.4.2 Project Organization .......................................................................................................................... 13 2.4.3 Roles of the eWIC Implementation Project ........................................................................................ 14

3 Schedule of Activities, Milestones, and Deliverables .......................................................................... 16 3.1 Schedule Narrative ...................................................................................................................... 16

4 Proposed Budget ................................................................................................................................ 20 4.1 Approach to Project Budget ........................................................................................................ 20 4.2 Implementation Budget ............................................................................................................... 20

4.2.1 ITCA ................................................................................................................................................... 20 4.2.2 New Hampshire ................................................................................................................................. 24 4.2.3 Kansas ............................................................................................................................................... 27

5 Cost Allocation Plan ............................................................................................................................ 30

6 Quality Management ........................................................................................................................... 31 6.1 Organization, Responsibilities, and Interfaces ............................................................................ 31 6.2 Tools, Environment, and Interfaces ............................................................................................ 32 6.3 Quality Management ................................................................................................................... 32

6.3.1 Quality Planning ................................................................................................................................. 32 6.3.2 Quality Assurance .............................................................................................................................. 33 6.3.3 Quality Control ................................................................................................................................... 33 6.3.4 Deliverable Acceptance ..................................................................................................................... 33

6.4 QA Support .................................................................................................................................. 34

MSC eWIC IAPD Page ii Table of Contents

7 Risk Management ............................................................................................................................... 35 7.1 Risk Management Planning ........................................................................................................ 35 7.2 Risk Identification Process .......................................................................................................... 36 7.3 Risk Analysis ............................................................................................................................... 37 7.4 Risk Response Planning ............................................................................................................. 37 7.5 Risk Monitoring and Control ........................................................................................................ 38 7.6 Issues Log ................................................................................................................................... 38

8 Change Management Plan ................................................................................................................. 40 8.1 Types of Change ......................................................................................................................... 40

8.1.1 Scope Changes ................................................................................................................................. 40 8.1.2 Schedule Changes ............................................................................................................................. 40 8.1.3 Budget Changes ................................................................................................................................ 40 8.1.4 Key Staff Changes ............................................................................................................................. 40

8.2 Key Change Management Components ..................................................................................... 41 8.3 Change Management Stakeholders ........................................................................................... 41 8.4 Change Management Processes ................................................................................................ 41

8.4.1 Change Request Initiation .................................................................................................................. 41 8.4.2 Change Management Process Steps ................................................................................................ 42 8.4.3 Change Management Log ................................................................................................................. 45 8.4.4 Change Request Form ....................................................................................................................... 46

8.5 Evaluating Changes .................................................................................................................... 48

9 Communications Management ........................................................................................................... 49 9.1 Communication Stakeholders ..................................................................................................... 49 9.2 High Level Communication Guidelines ....................................................................................... 49 9.3 Escalation Processes .................................................................................................................. 50 9.4 Types of Communication ............................................................................................................ 50

9.4.1 Written Communications .................................................................................................................... 50 9.4.2 Email Correspondence ...................................................................................................................... 50 9.4.3 On-Site Meetings ............................................................................................................................... 50

9.5 Communication Tools and Documentation ................................................................................. 51

10 State Agency/Contractor Assurances ................................................................................................. 54 10.1 National Universal Product Code (UPC) Database Interface ..................................................... 54 10.2 Technical Standards ................................................................................................................... 54 10.3 Standard Business Practices ...................................................................................................... 54

11 Vendor Enablement ............................................................................................................................ 55 11.1 Background ................................................................................................................................. 55 11.2 Vendor Readiness ....................................................................................................................... 55

11.2.1 ITCA: .................................................................................................................................................. 55 11.2.2 New Hampshire: ................................................................................................................................ 55 11.2.3 Kansas ............................................................................................................................................... 56

11.3 Vendor Enablement Support and Resources ............................................................................. 56 11.4 Vendor Enablement Activities ..................................................................................................... 56

11.4.1 eWIC Service Providers ..................................................................................................................... 56 11.4.2 MSC WIC Programs .......................................................................................................................... 57

11.5 Monitoring of Vendor Readiness ................................................................................................. 58 11.6 Sharing POS Terminals with SNAP ............................................................................................ 58

MSC eWIC IAPD Page iii Table of Contents

11.7 State Agency WIC Vendor Agreements ...................................................................................... 58 11.8 Pilot Area ..................................................................................................................................... 58 11.9 Statewide Rollout ........................................................................................................................ 59 11.10 Up-Front Investment and Ongoing Expenses ............................................................................. 59

11.10.1 ITCA ................................................................................................................................................... 59 11.10.2 New Hampshire ................................................................................................................................. 59 11.10.3 Kansas ............................................................................................................................................... 60

12 Request for Waiver of Depreciation .................................................................................................... 61

13 Security Plan ....................................................................................................................................... 62

14 Training Plan ....................................................................................................................................... 63 14.1 Training Expectations .................................................................................................................. 64 14.2 Types of Training ........................................................................................................................ 64

14.2.1 User Acceptance Test Training .......................................................................................................... 64 14.2.2 System Operations Training for State Agency Staff ........................................................................... 64 14.2.3 WIC Clinic Pilot Training .................................................................................................................... 65 14.2.4 WIC Clinic Staff Training Prior to Rollout ........................................................................................... 65 14.2.5 Vendor Training ................................................................................................................................. 65 14.2.6 Service Provider Help Desk Staff Training ......................................................................................... 66 14.2.7 Cardholder Training ........................................................................................................................... 66

15 Clinic Enablement ............................................................................................................................... 67 15.1 Pilot Clinics .................................................................................................................................. 68 15.2 Statewide Expansion of Clinics ................................................................................................... 68

Appendix A: Functional Requirements ........................................................................................................ 69

Appendix B: Acronyms ................................................................................................................................ 70

Appendix C: Budget Documents ................................................................................................................. 73 ITCA Budget .............................................................................................. Error! Bookmark not defined. New Hampshire Budget ............................................................................ Error! Bookmark not defined. Kansas Budget .......................................................................................... Error! Bookmark not defined.

Appendix D: MSC Change Management Process ...................................................................................... 74

MSC eWIC IAPD Page iv Table of Exhibits

Table of Exhibits Exhibit 1: Version Control ............................................................................................................................. vi

Exhibit 2: High Level Schedule of Milestones ............................................................................................... 3

Exhibit 3: Implementation Costs ................................................................................................................... 4

Exhibit 4: Paper vs. eWIC Costs ................................................................................................................... 6

Exhibit 5: MSC Attributes .............................................................................................................................. 7

Exhibit 6: High Level Schedule ..................................................................................................................... 8

Exhibit 7: Pilot and Rollout Plan .................................................................................................................. 10

Exhibit 8: Selected Procurement Approaches ............................................................................................ 11

Exhibit 9: Northeast Coalition of States WIC Services Contract Language ............................................... 13

Exhibit 10: EBT Implementation Organizational Structure .......................................................................... 14

Exhibit 11: Project Members and Roles ...................................................................................................... 15

Exhibit 12: ITCA eWIC Project Schedule .................................................................................................... 17

Exhibit 13: New Hampshire eWIC Project Schedule ................................................................................. 18

Exhibit 14: Kansas eWIC Project Schedule ................................................................................................ 19

Exhibit 15: Estimated eWIC Implementation Costs for ITCA ...................................................................... 21

Exhibit 16: Summary of ITCA Ongoing eWIC Costs ................................................................................... 23

Exhibit 17: Estimated eWIC Implementation Costs – New Hampshire ...................................................... 24

Exhibit 18: Summary of New Hampshire Ongoing eWIC Costs ................................................................. 26

Exhibit 19: Estimated eWIC Implementation Costs for Kansas .................................................................. 27

Exhibit 20: Summary of Kansas Ongoing eWIC Costs ............................................................................... 29

Exhibit 21: Quality Management Roles and Responsibilities ...................................................................... 31

Exhibit 22: Quality Management Tools ....................................................................................................... 32

Exhibit 23: Risk Management Approach ..................................................................................................... 35

Exhibit 24: Risk Log Components ............................................................................................................... 36

Exhibit 25: Issue Log Components ............................................................................................................. 38

Exhibit 26: Change Request Initiating Entities ............................................................................................ 42

Exhibit 27: Change Management Process Work Flow ............................................................................... 43

Exhibit 28: Change Process Steps ............................................................................................................. 44

Exhibit 29: Change Management Log Components ................................................................................... 45

Exhibit 30: Sample Change Request Form ................................................................................................. 47

Exhibit 31: On-site Meetings ....................................................................................................................... 51

Exhibit 32: Internal Communication ............................................................................................................ 51

Exhibit 33: Communication with MSC eWIC Team Members .................................................................... 52

MSC eWIC IAPD Page v Table of Exhibits

Exhibit 34: Communication with Clinics ...................................................................................................... 53

Exhibit 35: Communication with WIC Vendors ........................................................................................... 53

Exhibit 36: Communication with Participants .............................................................................................. 53

Exhibit 37: ITCA Vendor Enablement Costs ............................................................................................... 59

Exhibit 38: New Hampshire Vendor Enablement Costs ............................................................................. 59

Exhibit 39: Kansas Vendor Enablement Costs ........................................................................................... 60

Exhibit 40: Training Provision ..................................................................................................................... 63

Exhibit 41: Overview of eWIC Implementation Activities at the Local Level ............................................... 67

MSC eWIC IAPD Page vi Version History

Version History

Exhibit 1: Version Control

Version # Date Document Change Responsible Party

v 1.0 11/15/2015 Compiled Draft Mary Hinderer, MAXIMUS

v 1.1 12/4/2015 Updated based on comments provided by MSC

Ellen Thompson, MAXIMUS

V1.2 12/9/2015 Updated based on additional comments provided by MSC


V1.3 3/3/2016 Updated based on FNS comments


MSC eWIC IAPD Page 1 1: Executive Summary

1 Executive Summary The purpose of this IAPD is to request approval to proceed and funding for the implementation of eWIC in the member states of the Multi State-Consortium (MSC): Kansas, New Hampshire and Inter Tribal Council of Arizona (ITCA). It was written following the guidelines of the FNS Handbook 901.

1.1 Purpose of the IAPD The Special Supplemental Nutrition Program for Women, Infants and Children (WIC) is administered by the United States Department of Agriculture (USDA), Food and Nutrition Service (FNS). To fund the WIC Program, FNS provides Federal grants to states for supplemental foods, health care referrals, and nutrition education.

Multi-State Consortium member State Agencies, Kansas, New Hampshire and ITCA, administer WIC in their respective states. The three programs combined provide more than $70 million in food benefits annually to an average of approximately 106,000 clients per month at 238 clinic sites statewide in the three states. All WIC benefits are currently issued via paper checks which clients exchange for food at approximately 700 local retailers.

In December 2010, President Obama signed into law the Healthy Hungry-free Kids Act, which mandates that all states implement eWIC by October 2020. eWIC provides WIC Programs with the ability to issue benefits electronically to WIC participants, eliminating the need for paper WIC checks. An eWIC system(s) may be an on-line system, using magnetic stripe cards and real time transaction processing or an offline system using smart cards (cards embedded with an integrated circuit chip or ICC) and batch file processing. The MSC Consortium is currently in the planning stages for an on-line eWIC solution. When the WIC Programs implement eWIC, the MIS used by the MSC must interface with the selected eWIC system(s) and together the MSC MIS and the eWIC system(s) must provide the functions and interfaces to outside systems necessary to issue, redeem, and settle WIC benefits electronically.

In implementing eWIC, the MSC Consortium will meet this federal mandate and provide distinct benefits to the WIC Program’s stakeholders who include the State Agency staff administering WIC, WIC local agencies and clinics, WIC participants, and WIC authorized vendors. This eWIC Implementation Advance Planning Document (IAPD) has been created to assure the United States Department of Agriculture (USDA) Food and Nutrition Service (FNS) that the MSC Consortium WIC Programs understands the tasks necessary to implement eWIC and to request funding for the eWIC implementation.

1.2 Project Background The MSC Consortium WIC Programs contracted with MAXIMUS Health Services, Inc. in March 2015 to conduct eWIC planning activities. Initial planning activities included a series of deliverables. Deliverables completed to date include:

• Project Work Plan and Training • Gap Analysis • Procurement Options Study • EBT Affordability • Vendor Readiness


As a result of these deliverables, the MSC Consortium WIC Programs determined that the best options for procuring eWIC services prior to the 2020 mandate are those that involve partnering with other WIC agencies or through existing contracts vehicles.

1.3 Strategy The cost of eWIC varies from contract to contract, based on a number of variables. Because the MSC WIC Programs operate within differing regions, this is especially true. After careful analysis of the options available to each WIC Program, the MSC Consortium WIC Programs identified the primary avenue they will pursue for eWIC services, and, in the case of ITCA and Kansas, a secondary option for obtaining eWIC services if the primary option does not produce the desired outcomes.

1.3.1 ITCA: ITCA considered the following two options:

• Primary: Procure through Arizona HANDS Consortium Contract • Secondary: Partner with Kansas

ITCA has identified working with the HANDS Consortium as the primary approach to procuring eWIC services, but will also maintain communication with Kansas about options for partnering for joint procurement. HANDS provides a procurement vehicle that is established, already includes ITCA, and is in progress. Kansas should continue to keep ITCA as part of future discussions with contractors (with either option pursued) so that ITCA can have a fallback position if issues arise with the HANDS Consortium.

1.3.2 New Hampshire: Because New Hampshire is a member of the Northeast Coalition of States (NCS) which has procured EBT services for SNAP and cash benefits and also offers the option for New Hampshire to procure services through this existing contract, New Hampshire only considered one option in procuring eWIC services:

• Primary: Proceed with Northeast Coalition of States

In a way, this option combines both partnering with New Hampshire SNAP as well as participating in a multi-state consortium. The NCS includes Connecticut, Massachusetts, New Hampshire, New York, Rhode Island and Vermont. Xerox is the current NCS service provider.

1.3.3 Kansas: The Kansas WIC Program considered the following two procurement options:

• Primary: Negotiate with State SNAP EBT Contractor • Secondary: Join the Western States EBT Alliance

Kansas WIC will pursue negotiations with their SNAP contract as the primary option as it is immediately available to them. At the same time, they will begin inquiries into joining WSEA so that they have the necessary information and could pursue it as a secondary option if needed when that contract becomes available for new members.


1.4 High Level Schedule During Federal Fiscal Year (FFY) 2015, the MSC Consortium WIC Programs’ planning contractor(s) will have prepared this IAPD and is contracted to prepare a Statement of Work (SOW), which may or may not be incorporated into a full Request for Proposals (RFP) for eWIC services. The SOW and RFP should be completed and reviewed by USDA FNS no later than March 25, 2016, the end of the planning contract. Moving forward into implementation will depend on federal funding. When developing the schedule for eWIC, we have assumed that federal funding will be available on May 2, 2016. Based on that assumption, we have developed a detailed schedule for each MSC member, which are being submitted with this IAPD. A high level schedule is provided in the exhibit below.

Exhibit 2: High Level Schedule of Milestones

Activity Start Date Completion Date

ITCA

Acquisition of eWIC Project Manager April 2016 September 2016

Acquisition of WIC EBT Service Provider March 2016 October 2016

Acquisition of single MSC WIC EBT QA Consultant April 2016 September 2016

eWIC System Modifications and Installation Activities October 2016 May 2017

MIS Modifications Complete March 2017 March 2017

Conduct UAT April 2017 June 2017

Pilot July 2017 September 2017

Statewide Rollout October 2017 April 2018

Project Closeout Complete May 2018 May 2018

New Hampshire







Statewide Rollout October 2017 February 2018

Project Closeout Complete March 2018 March 2018

Kansas

Acquisition of WIC EBT Service Provider February 2016 September 2016


MIS Modifications Complete February 2017 February 2017



Conduct UAT March 2017 May 2017

Pilot June 2017 September 2017

Statewide Rollout September 2017 April 2018


Please note the following concerning this schedule:

• ITCA and New Hampshire will share one procurement for an eWIC project manager for each state agency. Each state agency will have a separate contract with the winning bidder.

• Kansas and ITCA rollout activities may cross holiday months depending on the final eWIC service provider schedule. Because vendors typically prefer not to have rollout activities impact them during these months schedule includes two additional months to accommodate a pause in the rollout if needed..

• The schedule assumes that all modifications required for the MIS will be completed no later than February 2017.

• ITCA will procure a single Quality Assurance (QA) Contractor for use by all MSC members. • Kansas will be using internal resources instead of contracting with an eWIC Project Manager.

1.5 Implementation Budget In developing the implementation budget, we have assumed that the agencies will pursue their primary procurement strategies. The following table provides an overview of the implementation costs by grant type for each state agency.

Exhibit 3: Implementation Costs by Fund Source

Project Funding Sources

Source of funding Source

year Amount

Received Spent Requesting

() () ()

ITCA NSA Funds FFY 2016

ITCA Technology Funds FFY 2016



Total Project budget




year Amount


() () ()

KS NSA Funds FFY 2016

KS Technology Funds FFY 2016






year Amount


() () ()

NH NSA Funds FFY 2016

NH Technology Funds FFY 2016




1.6 Operations Costs The implementation of eWIC by October 2020 is mandated for WIC State Agencies. However, for the MSC State Agencies, the gap between cost savings and expenditures is significant. The following details the cost comparisons by CPCM for the paper environment and eWIC environment for each State Agency. The MSC will explore additional avenues and opportunities in moving forward to reduce the impacts of eWIC on current operating costs.


Exhibit 4: Paper vs. eWIC Costs

ITCA Cost Comparison

Cost Type Paper Environment Operations eWIC Environment Operations

Monthly

Annual

CPCM

New Hampshire Cost Comparison


Monthly

Annual

CPCM

Kansas Cost Comparison


Monthly

Annual

CPCM

MSC eWIC IAPD Page 7 2: Project Management and Resource Requirements

2 Project Management and Resource Requirements

2.1 Narrative Statement Multi-State Consortium (MSC) member state agencies, Kansas, New Hampshire and the Inter Tribal Council of Arizona (ITCA), administer WIC in their respective states and territory. The three programs combined provide more than $70 million in food benefits annually to an average of approximately 90,000 clients per month at 238 clinic sites statewide in the three states. All WIC benefits are currently issued via paper checks or vouchers which clients exchange for food at approximately 700 local retailers.

The following exhibit provides basic statistics for each MSC member. These statistics are fluid; participants, clinics, and vendors are subject to change.

Exhibit 5: MSC Attributes

Attribute Statistics

ITCA

Number of WIC Participants 9,301

Number of WIC Clinics 47

Number of WIC Vendors 140

New Hampshire




Kansas




2.2 Scope

2.2.1 Implementation Activities Supported by Requested Funding Implementation funding requested from USDA FNS will be used for specific implementation activities, services, hardware, and materials.

Specific services will include:

• eWIC system(s) design, configuration and implementation by the eWIC service providers (SP) • eWIC implementation management and support from the eWIC SP • MIS configuration for eWIC by the MIS contractor • Contracted project management for ITCA and NH


• The Management Information System (MIS)-EBT interface by the eWIC SP and the MIS contractor

• Quality Assurance (QA) support and subject matter expertise (SME) by a shared QA contractor • Security assessments and testing support from the members’ information technology

departments

Specific hardware will include:

• Magnetic stripe card swipe devices • Personal Identification Number (PIN) selection terminals • Point of sale (POS) terminals

Specific materials will include:

• Magnetic stripe cards • Operations manuals • Training materials • Participant brochures • Card protectors

Implementation of online outsourced eWIC will require an estimated $xxx in technology grant funding across the three state agencies.

The implementation of eWIC will require a myriad of activities supported by MSC WIC Program staff and contractors. The MSC WIC Programs are fully cognizant of these activities and the level of effort it will require to complete them. Given the current staff size, the following MSC WIC Programs intend to contract for additional services:

• ITCA: eWIC Project Manager, responsibilities include coordinating all eWIC implementation activities and resources

• New Hampshire: eWIC Project Manager, responsibilities include coordinating all eWIC implementation activities and resources

The following exhibit provides rolled up activities taken from the detailed project schedule. It includes the contract deliverables anticipated from the eWIC SP, the MIS contractor and the QA contractor.

Exhibit 6: High Level Schedule


ITCA



Acquisition of single MSC WIC EBT QA Consultant April 2016 September 2016







Completion of Pilot Evaluation / Rollout Go-No Go / Rollout Readiness Activities

September 2017 September 2017

Statewide Rollout October 2017 April 2018


New Hampshire









Statewide Rollout October 2017 February 2018

Project Closeout Complete March 2018 March 2018

Kansas

Acquisition of WIC EBT Service Provider February 2016 September 2016


MIS Modifications Complete February 2017 February 2017

Conduct UAT March 2017 May 2017

Pilot June 2017 September 2017



Statewide Rollout (with holiday break) September 2017 April 2018


Details of these activities and time frames can be found in the project schedule, included in Section 3.

The MSC WIC Programs issue benefits for three months or less, depending on participant needs and risk factors. As a result, all existing pilot participants will have been issued a card after three months of pilot operations. To ensure statewide implementation readiness, the MSC WIC Programs intend to conduct the pilot and its evaluation over three months, followed by two to three weeks to make the final go/no-go decision for rollout and receive approval by FNS before continuing with statewide implementation. This period will also be used for rollout readiness activities which may also begin prior to the end of pilot.


2.2.2 Statewide Expansion The MSC WIC Programs are planning to conduct a pilot over a three month period with an extra month to complete the evaluation and acquire FNS approval for statewide expansion. During these four months, the MSC WIC Programs are confident that the WIC Program and the eWIC service providers will have completed all activities necessary for statewide expansion. The MSC WIC Programs then intend to implement eWIC incrementally over several weeks. ITCA intends to roll out 3 areas across 5 weeks, KS intends to roll out 6 areas over the course of 12 weeks, and NH intends to roll out 3 areas across 6 weeks. This schedule will allow the MSC WIC Programs to provide training to clinic staff across the state or territory prior to implementing eWIC in that region and will also allow WIC vendors to implement eWIC efficiently statewide. The pilot and rollout locations are presented in the exhibit below:

Exhibit 7: Pilot and Rollout Plan

Agency ITCA Kansas New Hampshire

Pilot

Pilot Gila River Indian Community Shawnee Goodwin Community Health Center

Rollout

Rollout 1 Pascua Yaqui Tribe,

Tohono O'odham Nation

Northeast Belknap/Merrimack Community Action Program

Rollout 2 San Carlos Apache Tribe,

White Mountain Apache Tribe

Northwest Southern New Hampshire Service

Rollout 3 Native Health,

Salt River Pima-Maricopa Indian Community,

Yavapai Apache Nation

Southwest Southwest Community Action Program

Rollout 4 Hopi Tribe

Hualapai Tribe

Havasupai Tribe

Colorado River Indian Tribes

Northcentral

Rollout 5 Southcentral

Rollout 6 Southeast

2.3 Procurement Plan The procurement plan for each state agency was determined based upon the following assumptions.

• The MSC is pursuing online, outsourced eWIC services from a eWIC Service Provider. • The MSC is pursuing procurement options that are most feasible and affordable for the individual

MSC State Agency. • It is not assumed that the MSC will acquire eWIC services as a consortium although there may be

secondary options for two of the members to join together in a procurement effort.

These procurement strategies selected by each MSC member are summarized in the exhibit below:


Exhibit 8: Selected Procurement Approaches

MSC State Agency Primary Procurement Approach

ITCA Procure through Arizona Health and Nutrition Delivery System (HANDS) Consortium, which includes the Arizona Department of Health Services (DHS), American Samoa, the Commonwealth of the Northern Mariana Islands (CNMI), Guam, and the Navajo Nation.

New Hampshire Proceed with Northeastern State Coalition (NSC) NCS procured EBT services for SNAP, cash and WIC benefits with Xerox. The NCS includes the states of Connecticut, the Commonwealth of Massachusetts, New Hampshire, New York, Rhode Island, and Vermont.

Kansas Negotiate with State SNAP EBT Contractor

The following provides further explanation regarding the MSC procurement choices.

2.3.1 ITCA ITCA considered the following two options:

• Primary: Procure through Arizona HANDS Consortium Contract • Secondary: Partner with Kansas

ITCA has identified working with the HANDS Consortium as the primary approach to procuring eWIC services, but will also maintain communication with Kansas about options for partnering for joint procurement. HANDS provides a procurement vehicle that is established, already includes ITCA, and is in progress. Kansas should continue to keep ITCA as part of future discussions with contractors (with either option pursued) so that ITCA can have a fallback position if issues arise with the HANDS Consortium.

The following language is included in the HANDS Consortium RFP:

Part 2: 18.5. Inter Tribal Council of Arizona EBT Implementation Services

18.5.1. The Inter Tribal Council of Arizona, Inc. (ITCA) is a 501(c)(3) non-profit corporation that administers WIC as a state agency. ITCA WIC provides services to an average of 9,500 clients per month through 11 Tribal local agencies and 1 urban Indian health center. Through the local agencies, ITCA WIC operates 14 permanent clinic sites and 50 mobile sites on reservations throughout Arizona and in the Phoenix and Tucson urban areas. ITCA WIC contracts with 150 vendors that redeem the benefits issued to clients each month. Vendors range from small reservation based trading posts to large super centers. ITCA WIC is a member of the Multistate Consortium (MSC) with the States of Kansas and New Hampshire. The MSC operates a .NET based computer system developed by CQuest America, Inc. for certifications, issuance of benefits, vendor management and reporting.

18.5.2. ITCA WIC is interested in obtaining EBT implementation products and services outlined in the scope of work deliverables 11 through 17.3.1.5. ITCA WIC shall have the option to utilize any or all EBT implementation products or services.


Part 5: 1. Information for Offerors

This RFP is for Online WIC Electronic Benefit Transfer (EBT) implementation and processing services for the Arizona, American Samoa, Commonwealth of the Northern Mariana Islands, Guam, and Navajo Special Supplemental Nutrition Program for Women, Infants and Children (WIC). The Inter-Tribal Council of Arizona (ITCA) WIC Program has the option to purchase products and services from this solicitation. Proposals must be for all required and optional services.

4.3.8.7 Operating Costs

4.3.8.7.1 The operating costs with WIC EBT are calculating by multiplying the number of households served in the previous month by the cost per case month (CPCM). The tiered active households represents the monthly combined households of Arizona, American Samoa, Commonwealth of the Northern Mariana Islands, Guam, Navajo Nation, any other WIC Agencies, and (ITCA, if applicable), that join the contract. The CPCM pricing may vary based on the combined households each month;

4.3.8.7.3 The flat fee differential represents the additional monthly costs to operate WIC EBT in remote locations and/or if ITCA joins he Contract.

4.3.8.7.9 The Contractor shall utilize the pricing schedule 2 and 3 for all hardware and operating services. ITCA WIC and the Contractor shall negotiate pricing for all other implementation related deliverables.

2.3.2 Kansas The Kansas WIC Program considered the following two procurement options:

• Primary: Negotiate with State SNAP EBT Contractor • Secondary: Join the Western States EBT Alliance

Kansas WIC will pursue negotiations with their SNAP contract as the primary option as it is immediately available to them. At the same time, they will begin inquiries into joining WSEA so that they have the necessary information and could pursue it as a secondary option if needed when that contract becomes available for new members.

The following language is included in the Kansas SNAP EBT Request for Proposals:

G. Future Additional Programs:

The Contractor must support the State in pursuit of future additional State and Federal program benefits including, but not limited to, WIC (Women, Infants and Children), Adoption Support, and Foster Care. The Contractor must agree to negotiate in good faith toward developing a contract amendment, subject to applicable State agency approval, to include pricing and development costs associated with any additional programs. At this time, the State has no intentions of adding any of these programs but wants to reserve this right for future considerations and/or mandates.

Vendors are encouraged to demonstrate any products which are not specifically requested in this RFP. Such demonstrations should be expressed in sufficient detail to enable the State to determine usefulness of the product(s). Although not included in this RFP, the State would be interested in but not limited to functional demonstrations of EBT WIC and Low Income Energy Assistance Program (LIEAP) products.

The executed Kansas SNAP/FIS Contract contains the following language:


E. Future Additional Programs:

The Contractor shall support the State in pursuit of future additional State and Federal program benefits including, but not limited to, WIC (Women, Infants and Children), Adoption Support, and Foster Care. The Contractor shall agree to negotiate in good faith toward developing a contract amendment, subject to applicable State agency approval, to include pricing and development costs associated with any additional programs. The State reserves this right for future considerations and/or mandates.

2.3.3 New Hampshire Because New Hampshire is a member of the Northeast Coalition of States (NCS) which has procured EBT services for SNAP and cash benefits and also offers the option for New Hampshire to procure services through this existing contract, New Hampshire only considered one option in procuring eWIC services:

• Primary: Proceed with Northeast Coalition of States

In a way, this option combines both partnering with New Hampshire SNAP as well as participating in a multi-state consortium. The NCS includes Connecticut, Massachusetts, New Hampshire, New York, Rhode Island, and Vermont. Xerox is the current NCS service provider. The language that addresses WIC services in the NSC contract has been included in the attached file below.

Exhibit 9: Northeast Coalition of States WIC Services Contract Language

wic_20150827124932.pdf

2.4 Staffing and Oversight

2.4.1 Project Management Each MSC state agency will assigned a dedicated project manager to support the eWIC implementation efforts. ITCA and New Hampshire will obtain an outsourced project manager and Kansas intends to use an internal resource.

2.4.2 Project Organization The following represents the eWIC Implementation Project Team organization in each MSC state agency. The graphic shows how each state agency will each manage their eWIC project, stakeholders and eWIC service provider. Additionally, each state agency will share the services provided by the MSC MIS contractor and a QA contractor.


Exhibit 10: EBT Implementation Organizational Structure

KS Project

NH Project

ITCA WIC Director

ITCA Project Manager

ITCA eWIC Service Provider

ITCA State Agency Staff

NH WIC Director

NH Project Manager

NH eWIC Service Provider

ITCA Project Stakeholders

NH Project Stakeholders

MSC MIS Contractor

NH State Agency Staff

KS WIC Director

KS Project Manager

KS eWIC Service Provider

KS State Agency Staff

KS Project Stakeholders

QA Contractor

USDA FNS(MPRO)

USDA FNS(WRO)

USDA FNS(NERO)

ITCA Project

The formal management structure includes multiple layers of oversight, which includes departmental support and FNS.

2.4.3 Roles of the eWIC Implementation Project

WIC Director

The WIC Director(s) is responsible for project oversight and has the overall authority for final decision making. The WIC Director(s) monitors all project progress, decisions, issues, risks, and resource usage. The WIC Director(s), with the support of their respective division/department, will make decisions concerning cost, schedule, and scope of the project activities. The WIC Director(s) is also responsible for communicating project progress with FNS.

eWIC Project Manager

The eWIC Project Manager(s) has demonstrated interest in the outcome of the project and has the authority to make decisions determining the operation, order, and management of the project including the prioritization of cost, schedule, scope, and quality. The eWIC Project Manager(s) will be responsible for day to day resource allocation, change management assistance, assistance with interagency coordination activities and in coordinating activities between the contractors and the state agency as well as reporting to the WIC Director. While New Hampshire and ITCA will contract individually for eWIC Project Managers, Kansas will use existing resources to fill this role.


Project Stakeholders

There are three primary stakeholders in this implementation: WIC vendors, WIC clinics, and WIC participants. During implementation, the MSC WIC Programs must ensure that WIC vendors and WIC clinics are sufficiently prepared to provide eWIC services to WIC participants. This means that the MSC WIC Programs or their contractors must interact with WIC vendors and clinics to ensure these stakeholder groups have sufficient knowledge (training) and hardware/software to provide cards, electronic benefits and benefit redemption services to WIC participants.

Project Members

Project members are those independent entities that are needed to successfully implement eWIC. They include the following:

Exhibit 11: Project Members and Roles

Team Member Role

State WIC Program Staff WIC Program staff will be assigned various tasks throughout the implementation based on their area of expertise. These include, but are not limited to:

• Support the contract negotiation process (or proposal evaluation) • Participate in design sessions • Review deliverables • Participate in UAT • Provide training to clinic staff

Quality Assurance Contractor The agencies plan to contract with a single QA contractor. The QA contractor support will begin prior to contracting with a eWIC contractor and continue through statewide implementation.

eWIC Service Provider The responsibility of each eWIC SP is to complete eWIC related contract deliverables and tasks successfully and on schedule per their eWIC SP contract.

MIS Contractor The responsibility of the MIS contractor is to make any required modifications to the MIS and to collaborate with the eWIC SP to establish the interface between the eWIC and the MIS systems.

IT Information Technology IT staff will provide as-needed technical support staff to review deliverables, including the system security plans, support system interface and testing and conduct system security scans.

MSC eWIC IAPD Page 16 3: Schedule of Activities, Milestones, and Deliverables

3 Schedule of Activities, Milestones, and Deliverables

3.1 Schedule Narrative During Federal Fiscal Year (FFY) 2015 and early 2016, the MSC WIC Programs’ planning contractor will assist in finalizing the IAPD. The contract for eWIC planning services also includes the preparation of a Statement of Work for eWIC services. The contract may be modified if the MSC WIC Programs determine they will go straight into negotiations with a service provider for an eWIC contract. All planning documents should be completed and reviewed by USDA FNS by March, 30, 2016.

Regardless of the approach for acquiring eWIC services, the implementation will depend on three critical factors, the availability of federal funding, the readiness of the MIS and, for New Hampshire and ITCA, the ability of the WIC Programs to hire an eWIC Project Manager.

We have developed three eWIC implementation schedules. All schedules assume that implementation funding will be available by May 2, 2016, and, while acquisition activities could begin prior to that date, the states could not enter into contracts prior to that date. The schedules also assume the MIS readiness for online eWIC by January 2017. The more detailed schedule is based on negotiating a contract with existing eWIC service providers or acquiring eWIC service providers using an open procurement as appropriate.

Please also note the following concerning these schedules:

• The MSC WIC Programs currently have limited staff members. While the design, development, and test period may seem extended considering the size of the state agencies, the spacing of deliverables has been scheduled so that major deliverable reviews do not overlap. This has slightly extended the implementation (design, develop and test) period but is considered necessary considering MSC WIC Programs’ staffing.

• The pilot will occur over a period of three months, with two to three weeks for the completion and approval of the pilot evaluation before starting statewide rollout.

• Statewide rollout will occur in stages over several weeks, depending on the state agency. Cards being issued to all existing participants will be completed within three months of the last week of rollout.

• Vendors prefer that major holidays be avoided for rollout activities, the schedule assumes that no rollout activities will occur across November and December to accommodate that preference. This extends the rollout schedule for Kansas.

• ITCA’s schedule is contingent on Arizona/HANDS Partners project schedule as the expectation is that Arizona will rollout before ITCA enabling a large majority of ITCA vendors for eWIC.

The following high-level schedules provide milestone completion dates for major activities of each project.


Exhibit 12: ITCA eWIC Project Schedule


Exhibit 13: New Hampshire eWIC Project Schedule


Exhibit 14: Kansas eWIC Project Schedule

MSC eWIC IAPD Page 20 4: Proposed Budget

4 Proposed Budget

4.1 Approach to Project Budget Within the MSC, each state agency will be responsible their own EBT implementation and ongoing costs with the exception of the following:

• A shared QA contractor • Back-end and front-end modifications required for the MSC MIS

These two costs will be included in the funding requested by ITCA and paid to the contractors by ITCA. The work effort to complete the MIS readiness enhancement will include:

• Back-end modifications estimated at $xxx • Architecture updates • EBT functionality development:

o Benefit Issuance o Void/replacement o Clinic business functions that affect the EBA o Account balance o Card management o Client portal

• Development of online messages and related processes • Development of batch files and related processes • Documentation updates • Testing

• Front-end modifications estimated at $xxx • Screen updates

o Card Issuance o Card inventory and management o Assigning benefits and proration o Benefit issuance/redemption screens o Moving clients between EBA’s o UPC management o Functionality to track certification of vendors front end systems

• Report updates o Vendor Management reports dealing with pricing o Food Package reports for redemption information

• Development of interface with PIN pad o Finding clients within the database with the swipe of the card o Managing EBA’s

4.2 Implementation Budget

4.2.1 ITCA The estimated costs for the ITCA WIC Program to implement and operate eWIC were based on current program data and additional knowledge gleaned from states that have recently implemented eWIC.


Assumptions

Assumptions include the following:

• The schedule assumes that o The implementation will include a year of preparation prior to the start of pilot o The eWIC Service Provider and QA Contractor will be engaged nine months prior to pilot. o Pilot will last three months o There will be three weeks between the completion of pilot and the start of rollout to

complete the pilot evaluation and prepare for rollout o Rollout will last two months

• ITCA will procure eWIC services with the Arizona HANDS Consortium. ITCA will have an upfront cost of $xxx that will be in additional to any upfront costs paid by Arizona or the other HANDS partners. This cost will include the development of the interface between the eWIC system and the ITCA MIS which is different from the system used by the HANDS consortium.

• It is anticipated that the Arizona project will cover vendor enablement for the majority of ITCA vendors. Funding has been included in the ITCA budget to enable any non-Arizona vendors.

• The CPCM is based on the estimated CPCM listed in the Arizona HANDS IAPD. • An outsourced Project Manager estimated at $95.00/hour will be hired. • Quality Assurance consulting services are based on recent QA services procured by other state

agencies including Wisconsin and Oregon. ITCA will procure a single QA contractor that will service all three agencies.

• Vendor enablement costs are based on the current number of WIC authorized vendors and results of the vendor survey. Costs include equipping seventeen vendors with stand-beside devices through pilot and rollout and supporting five vendors with their integration efforts.

• Total MIS updates are estimated to cost xxx. ITCA is requesting this amount as part of its eWIC implementation costs. The other MSC State Agencies will not request funding for MIS updates.

ITCA Implementation Budget

The following exhibit provides the preliminary estimates for implementation, including design, development, and testing of the eWIC system, pilot and pilot evaluation, and statewide rollout.

Exhibit 15: Estimated eWIC Implementation Costs for ITCA

Category Subcategory Cost

NSA FUNDED ACTIVITIES

State Resources Labor Indirect Costs Overhead

TOTAL NSA FUNDED

FUNDED BY FNS IMPLEMENTATION FUNDS

External Project Manager Project Management

Bank Identification Number Application Fee

One-time fee to apply for a BIN

Local Clinic Materials PIN Selection Devices/ Magnetic Swipe Devices/ Bulk Card Covers


Category Subcategory Cost Travel Conferences, Retailer Certification, UPC

Collection, Training, Pilot/Rollout

Technical Support Quality Assurance

Retailer Enablement ECR Software Install/Training, POS Terminal Lease During Pilot / Rollout

EBT Processor Implementation Costs

MIS Modifications CQuest Upgrades

Indirect Costs Overhead

TOTAL FUNDED BY FNS IMPLEMENTATION FUNDS

TOTAL PROJECT COST

For cost details, the eWIC Imple

mentation Budget is available in Appendix C.

MSC eWIC IAPD Page 23 4: Proposed Budget \

Ongoing Costs

The following assumptions were used in developing operations costs:

• CPCM to include stand beside terminal maintenance and supporting newly authorized WIC vendors. • Clinic equipment for pin pad terminals, card covers, and magnetic stripe readers will be replaced at a rate of 10% a year. • PIN pads will be purchased through the eWIC Service Provider • The ITCA WIC Program will not adjust staffing levels for eWIC.

A summary of estimated operating costs is provided in the following exhibit.

Exhibit 16: Summary of ITCA Ongoing eWIC Costs

Ongoing eWIC Operations Unit Initial Qty Rate of Replacement

Qty Purchased/ Year

Amt/Unit Monthly Quarterly Annually 5 Yr Total*

Materials/Equipment Card Covers (10% a year) Magnetic Stripe Card Readers Replacement (10% a year) Indirect Costs Total Materials

eWIC Service Provider Costs/Operations CPCM Stand-Beside POS Devices Pin Pad Replacement (10% a year) Indirect Costs Total Contractor Costs/Operations Total Ongoing eWIC Operational Costs


4.2.2 New Hampshire The estimated costs for the New Hampshire WIC Program to implement eWIC were based on current program data and additional knowledge gleaned from states that have recently implemented eWIC.

Assumptions


• The schedule assumes that o The implementation will include a year of preparation prior to the start of pilot o The eWIC Service Provider and quality assurance contract will be engaged nine months

prior to pilot. o Pilot will last three months o There will be three weeks between the completions of pilot and the start of rollout to

complete the pilot evaluation and prepare for rollout o Rollout will last one month

• New Hampshire is a member of NCS which has procured EBT services for SNAP, cash and WIC benefits with Xerox. The NCS includes the states of Connecticut, the Commonwealth of Massachusetts, New Hampshire, New York, Rhode Island, and Vermont.

• Estimated eWIC Service Provider implementation fees are $xxx based on Xerox pricing for the NCS.

• An outsourced Project Manager estimated at $95.00/hour will be hired. • Quality Assurance consulting services will be procured by ITCA. • Vendor enablement costs are based on the current number of WIC authorized vendors and

results of the vendor survey. Costs include equipping seventeen vendors with stand-beside devices through pilot and rollout and supporting five vendors with their integration efforts.

Implementation Costs


Exhibit 17: Estimated eWIC Implementation Costs – New Hampshire


NSA FUNDED ACTIVITIES State Resources Labor Overhead

TOTAL NSA FUNDED


External Project Manager Project Management Bank Identification Number Application Fee On-time fee to apply for a BIN

Equipment / Materials PIN Selection Devices/ Bar Code Scanners / Magnetic Swipe Devices / Card Covers



Travel Conferences, Retailer Certification, UPC Collection, Training, Pilot/Rollout

Technical Support Quality Assurance Retailer Enablement ECR Software Install/Training POS Terminal Lease Cost MIS Modifications CQuest Upgrades EBT Processor Implementation Costs State Cost Allocation Overhead


TOTAL PROJECT COST

For cost details, the eWIC Implementation Budget is available in Appendix C.


Ongoing Costs


• CPCM to include stand beside terminal maintenance and supporting newly authorized WIC vendors based on participation in the NCS. • Clinic equipment for PIN pad terminals, card covers, and magnetic stripe readers will be replaced at a rate of 10% a year. • PIN pads and magnetic stripe readers will be purchased through the eWIC Service Provider with maintenance support provided • The New Hampshire WIC Program will not increase staffing levels for eWIC.


Exhibit 18: Summary of New Hampshire Ongoing eWIC Costs

Ongoing eWIC Operations Unit Initial Qty

Rate of Replacement

Purchased Qty/Year

Amt/Unit Monthly Quarterly Annually 5 Yr Total

Materials

Card Covers Cost Allocation Total Materials

eWIC Service Provider Costs/Operations

CPCM Stand-Beside POS Pin Pad Replacement (10% a year) Pin Pad Maintenance Magnetic Stripe Reader Replacement (10% a year) Magnetic Stripe Reader Maintenance Cost Allocation Total Contractor Costs/Operations Total Ongoing eWIC Operational Costs


4.2.3 Kansas The estimated costs for the Kansas WIC Program to implement eWIC were based on current program data and additional knowledge gleaned from states that have recently implemented eWIC.

Assumptions


• The schedule assumes that o The implementation will include a year of preparation prior to the start of pilot o The eWIC Service Provider and quality assurance contractors will be engaged nine

months prior to pilot. o Pilot will last three months o There will be three weeks between the completion of pilot and the start of rollout to

complete the pilot evaluation and prepare for rollout o Rollout will last three months but will include a break for holidays lasting through

November and December • An average contract and proposal cost of $xxx for eWIC Service Provider implementation

services, based on Oregon, Wisconsin and South Dakota pricing. • There will be an assigned PM for Kansas IT. There is a commitment of other SA staff to provide

additional PM support. • Quality Assurance consulting services will be procured by ITCA. • Vendor enablement costs are based on the current number of WIC authorized vendors and

results of the vendor survey. Costs include equipping 44 vendors with stand-beside devices through pilot and rollout and supporting up to 162 vendors with their integration efforts.

• An analysis of Oregon, Wisconsin and South Dakota pricing was created to assume the ongoing costs (including CPCM). This analysis assumes that Kansas will negotiate the CPCM with the State’s SNAP EBT Service Provider.

• The eWIC Service Provider implementation costs include additional funds to reduce the CPCM price.

Implementation Costs


Exhibit 19: Estimated eWIC Implementation Costs for Kansas


NSA FUNDED ACTIVITIES

State Resources Labor


TOTAL NSA FUNDED


Project Manager (KS IT) Project Management

Bank Identification Number Application One-time fee to apply for a BIN


Category Subcategory Cost Fee

Local Clinic Materials PIN Selection Devices/ Magnetic Swipe Devices/MICR Printer Replacement

Travel Conferences, Retailer Certification, UPC Collection, Training, Pilot/Rollout

Retailer Enablement ECR Software Install/Training

POS Terminals

Technical Support Quality Assurance

Testing/System Support (Kansas IT)

EBT Processor Implementation Costs



TOTAL Project Costs

For cost details, the eWIC Implementation Budget is available in Appendix C.


Ongoing Costs


• CPCM to include stand beside terminal maintenance and supporting newly authorized WIC vendors. (This calculation is based on a weighted average of the Oregon, Wisconsin, and South Dakota bids, based on caseload.)

• Clinic equipment for pin pad terminals, card covers, and magnetic stripe readers will be replaced at a rate of 10% a year. • PIN pads will be purchased through the eWIC Service Provider • The Kansas WIC Program will not adjust staffing levels for eWIC.


Exhibit 20: Summary of Kansas Ongoing eWIC Costs

Ongoing eWIC Operations Unit Initial Qty

Rate of Replacement

Qty Purchased/

Year

Amt/Unit Monthly Quarterly Annually 5 Yr Total

Materials/Equipment

Magnetic Stripe Reader Replacement (10% a year)

Indirect Costs

Total Materials

eWIC Service Provider Costs/ Operations

CPCM

Stand-Beside POS

Pin Pad Replacement (10% a year)

Indirect Costs

Total Contractor Costs/Operations Total Ongoing eWIC Operational Costs

MSC eWIC IAPD Page 30 5: Cost Allocation Plan

5 Cost Allocation Plan Cost allocation is the distribution of costs across two or more funding sources based on an approved cost allocation methodology, either proposed (new) or within an existing federal-approved statewide Cost Allocation Plan. At this time the MSC WIC Programs will not be acquiring services jointly with other state agency programs and the eWIC system(s) will only be used for the delivery of WIC benefits. A Cost Allocation Plan is not required.

MSC eWIC IAPD Page 31 6: Quality Management

6 Quality Management The MSC WIC Programs are committed to a successful implementation of eWIC. This will be accomplished through formal project management methodologies, one of which is Quality Management. Quality Management will help to ensure the objectives, milestones and deliverables of the MSC eWIC projects are met according to the schedule and budget, and are within the scope and quality standards established for the project.

6.1 Organization, Responsibilities, and Interfaces The following table identifies the roles of staff and contractors in supporting quality management.

Exhibit 21: Quality Management Roles and Responsibilities

Role Quality Responsibility

State Agency

WIC Director Quality Oversight and Monitoring

eWIC Project Manager Quality Management

Deliverable Review

Schedule and Scope Monitoring

Budget Maintenance

UAT

Vendor Management Staff Deliverable Review

UAT

Operations Management Staff

Deliverable Review

UAT

Nutrition Management Staff

Deliverable Review

UAT

eWIC Service Provider Internal Quality Assurance (QA) processes

Unit Testing

Interface Testing

UAT

MIS Contractor Internal QA processes

Unit Testing

Interface Testing

UAT


Role Quality Responsibility

QA Contractor QA monitoring

Deliverable Review

Schedule and Scope Monitoring

UAT

Retailer Certification Testing

6.2 Tools, Environment, and Interfaces The following table identifies the tools, environment and interfaces that will be used in supporting quality management for both the eWIC implementation project and any required modifications to the MIS.

Exhibit 22: Quality Management Tools

Tool Description Deliverable Review Process Formal methodologies to submit, review, update and finalize written

deliverables. Integrated Project Schedule A tool used to track completion of tasks, deliverables and milestones for

project support staff and companies. System Testing A formal methodology established in the Test Plan and using industry accepted

test scripts to conduct UAT. Status Calls and Status Reports A tool used to track project progress and identify risks, issues and action items. Performance Monitoring A methodology to assess whether the eWIC services provider is meeting

implementation and operational performance standards. Proposed performance standards are identified in the Functional Requirements.

6.3 Quality Management At the highest of levels, Quality Management involves planning, monitoring, and executing quality activities to improve project quality standards. Project Management Institute’s Project Management Body of Knowledge (PMBOK) breaks the practice of Quality Management into three (3) process groups: Quality Planning (QP), QA and Quality Control (QC). The following sections define how this project will apply each of these practice groups to define, monitor and control quality standards.

6.3.1 Quality Planning With this IAPD, the MSC WIC Programs have begun the QP process by identifying quality requirements and standards for the eWIC project and deliverables. Furthermore, the Functional Requirements, Attachment A, provides specific performance standards for eWIC operations and services. These are the standards that the eWIC services provider will be required to meet after contract award and will be used as part of ongoing quality management activities. The eWIC services provider will be required to provide a Quality Management Plan to demonstrate to the MSC WIC Programs how it intends to internally meet quality standards. In addition to performing quality control and assurance for eWIC services implementation, the MSC WIC Programs will perform similar processes for any impacts to the MIS system.


6.3.2 Quality Assurance QA is the process of auditing the quality requirements and the results from quality control measurements to ensure appropriate quality standards and operational definitions are used.

Following are the QA processes for the MSC eWIC projects:

• Integrated change control – Verifies that any changes to quality during the project are discussed and approved by the appropriate person

• Monitoring schedule and cost variance – Ensures oversight of the project schedule and cost in relation to the project baseline to provide visibility to any potential project schedule or cost issues

• Acceptance management – Verifies that the deliverables are of acceptable quality and that they meet the established project requirements

• Review of project documents by multiple team members – Major deliverables associated with this project will be reviewed by the appropriate staff from the MSC WIC Programs and by the QA Contractor

6.3.3 Quality Control QC is the process of monitoring and recording results of executing the quality activities to assess performance and recommend necessary changes.

Following are the QC measures each eWIC Project Manager will apply to each MSC eWIC project:

• At a project milestone, the project cost variance will not exceed the baseline budget by a percentage defined during project initiation

• Project schedule variance will not exceed the baseline schedule by a defined percentage or more • Acceptance management processes will require approval of certain deliverables as criteria to

move forward with the project (the submission of a deliverable does not constitute acceptance or approval)

6.3.4 Deliverable Acceptance All project deliverables are date-driven and aligned with the project schedule. When a deliverable is ready for acceptance, the responsible party creating the deliverable will submit the deliverable to the eWIC Project Manager. The eWIC Project Manager(s) will coordinate review and approval of the deliverable.

System Deliverables

Acceptance of the eWIC system, IVR, client and WIC vendor portals, and all system or document changes for the MIS is conditional on addressing all test scripts and any ad hoc testing during the UAT without errors or omissions. Conditional approval may be given after UAT with assurances that minor errors or omissions will be addressed prior to state agency’s respective Pilot or prior to their respective Rollout depending on severity or ability to work-around the issue. However, beginning with the Pilot, it is the intention that all systems must meet the functional requirements, as identified in contract and system documentation, and performance standards.

Material and Hardware Deliverables

Materials (e.g., cards, card sleeves, client brochures) must be reviewed and approved by the MSC WIC Programs prior to mass purchase or mass production. Hardware (e.g., stand-beside POS terminal, PIN selection terminal, magnetic stripe card reader) must perform to the specifications described within the Functional Requirements, Appendix A. Prior to acceptance, hardware must be tested prior to and during the UAT. Hardware will also be tested in production prior to the conversion of any participant to eWIC. In


addition, any MIS system or documentation changes will undergo the same review and approval processes in place for the eWIC implementation activities.

Written Deliverables

Written deliverables will be prepared using Microsoft Office 2010 or later unless otherwise indicated by the contract or permitted by the eWIC Project Manager.

Written deliverables are expected to be prepared to standards as described below:

• All deliverables and documents will be submitted on time as per the approved Work Plan. • All documents will be submitted in the formats proposed in response to the scope of work and the

format approved by the MSC WIC Programs eWIC Project Manager(s). • All deliverables will be prepared or executed as defined in the approved Work Plan. • All documents will follow the formal acceptance process.

6.4 QA Support The MSC WIC Programs intend to contract with a qualified firm to support quality management activities. The Programs will develop a scope of work and request for proposals for a joint procurement of QA services.

MSC eWIC IAPD Page 35 7: Risk Management

7 Risk Management Risk management is the systematic process of identifying, analyzing, and responding to project risks. It includes maximizing the probability and consequences of positive events, and minimizing the probability and consequences of adverse events to project objectives. Successful project management incorporates an active and on-going risk management methodology. The following exhibit graphically depicts the steps incorporated into risk management processes that will be used by the MSC. These steps will be described in the sections that follow.

Exhibit 23: Risk Management Approach

The eWIC Project Manager(s) will be the owner of risk management activities and any risk or issues logs. However, the QA Contractor is expected to take a major role in maintaining and updating the risk and issues log in support of the eWIC Project Manager.

7.1 Risk Management Planning A risk is considered to be an event that has the potential to occur. The practice of risk management is intended to plan and prepare for those possibilities and identify new potential risks throughout the duration of the project. A Risk Management Plan and the initial risk log will be the result of risk planning activities. The bulk of the planning activities will be performed by the QA contractor and key project stakeholders. Risk planning will involve the following tasks:

• Developing and updating the Risk Management Plan • Developing the risk log with an initial list of risks • Establishing a risk management work group • Establishing a meeting schedule for the work group

The Risk Log will be the primary tool for risk management activities. The following table provides a listing of components that are typically included in a risk log. The MSC will work with its QA contractor as part of project initiation to finalize the components of the log.

Risk Management Planning

Risk Identification

Risk Assessment and Analysis

Risk Response Planning

Risk Monitoring and Control


Exhibit 24: Risk Log Components

Column Name Description # Identifies the risk by a number Open Date Date risk was added to the log Risk Status Identifies whether the risk is new, ongoing, realized or closed Topic (s) General topic area associated with the risk Risk Title A brief title to identify the risk (it is helpful to have a short name for reporting) Cause Effect Provides a cause and effect description of the risk Background Provides general background information about the risk that is not captured in the

Cause / Effect column. Risk Area Identifies whether the risk is related to quality, time, cost or scope Risk Owner Group or individual responsible for the risk Impact Identifies to what level this risk will impact the project if it becomes a reality Probability Identifies how likely it will be that the risk will become a reality. Exposure Score Impact score x Probability score Threat Level Identification based on the exposure score of Watch, Low, Medium, High and Issue

severity Risk Response Identification of a response: Avoidance, Acceptance, Mitigation, or Transference Mitigation Strategy Description of the approach or approaches to be used that will allow the risk to not

occur if Mitigation is the selected risk response Trigger Points / Dates Identification of specific points in the project or dates in the work plan where a risk

might be triggered into becoming an issue Last Review Last time the risk was discussed by the risk work group Next Review Next time the risk should be discussed based on threat level and trigger point / dates Monthly Analysis [Date] A monthly description of the current status of the risk within the project Monthly Work Group Notes [Date]

Notes from the monthly discussion with the risk work group.

7.2 Risk Identification Process Risk identification involves determining which risks might affect the project and documenting their characteristics. Once the project is in the execution phase, risk identification will be performed through the following:

• Analysis performed by the QA contractor • Discussion during monthly risk management meetings • Discussion during regular project status meetings • Ad hoc input by project stakeholders

The following project areas are typically considered:

• Schedule • Quality and timeliness of deliverables • Technical documentation completeness and accuracy • Completeness and understandability of project requirements • Adequacy of the project communications/ infrastructure • Adequacy of eWIC service provider resource staffing • Adequacy of State resource staffing


• Project environment • Cost • Project governance and oversight

Risk identification is crucial to project control factors, such as scope, quality, time, and budget. A risk identified in any one of these areas directly impacts one or all of these areas and always affects the resources of the project.

7.3 Risk Analysis The risk analysis process will assess each identified risk and evaluate it to determine whether further action is required, whether the risk should be dropped altogether (closed on the risk log), or whether the risk should be added to a watch list and reassessed periodically. Depending on the risk item, analysis involves qualitative and/or quantitative magnitude and probability of occurrence. Risk analysis involves comparing risk level with tolerability criteria and setting initial priorities for addressing the risks.

Risks will be assessed by defined scales for probability and impact. Using the probability and impact score a threat level will be determined. Each risk will be categorized by threat level using the following descriptions.

• Watch is a condition where the risk has no effect on project objectives and probability of occurrence is at the lowest level. Watch risks are documented to acknowledge all possibilities and to watch to identify if any watch item increases in probability or impact.

• Low Risk is a condition where risk is identified as having minor effects on project objectives; the probability of occurrence is sufficiently low to cause only minor concern.

• Medium Risk is a condition where risk is identified as one that could affect project objectives, cost, or schedule. The probability of occurrence is high enough to require close control of all contributing factors.

• High Risk is the condition where risk is identified as having a high probability of occurrence and the consequence would affect project objectives, cost, and/or schedule. The probability of occurrence is high enough to require close control of all contributing factors, the establishment of risk actions (or a mitigation strategy), and an acceptable fallback position.

• Issue is the condition where risk is identified as having occurred and the consequence is having a significant impact on cost, schedule, and/or performance of the project. The probability of occurrence is certain and therefore a fact that the risk has become an Issue. Issues require the identification of a corrective action plan and identification of a risk owner to carry out actions to reduce the risk.

7.4 Risk Response Planning Risk response planning is applied based on the results of the risk analysis activity. The following are risk responses that are considered:

• Risk Avoidance: Risk avoidance is changing the project plan to eliminate the threat of a specific risk event. Although the project team can never eliminate all risk events, some specific risks may be avoided. Creativity is often required in order to devise proper risk avoidance strategies.

• Risk Transference: Risk transference is seeking to shift the consequence of a risk to a third party via a contract provision with a third party, through an insurance policy, or a contractor warranty. In an eWIC project this could mean contracting out additional support, for example, in a project where State resource availability is limited, the responsibility for staff training could be provided by a contractor thereby transferring any associated risks to that contractor. In this project, the use of an eWIC service provider already includes transferring the risks associated


with maintaining and operating the eWIC system to the eWIC service provider as a third party. When transference is used as a risk response, the third party takes ownership of the risk and any associated risk responses. It is important to note that transferring the risk to another party does not eliminate it.

• Risk Mitigation: Mitigation is reducing the probability and/or the consequences of an adverse risk event to an acceptable threshold. Taking early action to reduce the probability of a risk occurring or its impact on the project is more effective than trying to repair the consequences after it has occurred. Mitigation costs should be appropriate, given the probability of the risk and its potential consequences.

• Risk Acceptance: This is a risk response strategy that prepares for, and deals with, the consequences of a risk event – either actively (developing a contingency plan) or passively (accepting the consequences). There is no plan on the part of the team to take action on this risk.

7.5 Risk Monitoring and Control Risk monitoring addresses the actions that could be taken to address or control risks identified. It is the process of deciding on and implementing options for dealing with identified risks. The process will include regular risk review meetings with key stakeholders. The QA contractor will also be responsible for monitoring risks and maintaining the Risk Log.

7.6 Issues Log In addition to a risk log, the MSC WIC Programs will ensure that an issues log is established. While each State Agency’s eWIC Project Manager is the owner of the issues log, the QA Contractor will play a primary role in maintaining the Issues Log. The following table provides a listing of components that are typically included in an Issues Log. The MSC will work with its QA Contractor as part of project initiation to finalize the components of the log.

Exhibit 25: Issue Log Components

Column Name Description # The ID number of the issue Open Date Date issue was added to the log Risk # The risk ID number if the issue had been identified as a risk previously Priority A representation of the level of escalation assigned to an issue

• Priority “1” is for issues that have been escalated to the Project Sponsor for resolution

• Priority ”2” is for issues that have been escalated to each eWIC Project Manager and, if necessary, the Sponsor for resolution

• Priority ”3” is for issues assigned to a person(s) for resolution Title A short name to identify the issue Description A description of the issue Potential Impact Identifies one or more areas that may be impacted by the issue if not resolved including

cost, schedule, scope, and quality Due Date The target date set for resolution of the issue (this date is dependent on multiple

factors and will be set by the Project Team) Owner (Initiator) The primary point of contact responsible for issue tracking and closure


Column Name Description Alternative(s) & Impact(s)

A description of one or more options to resolve the issue including the impacts to cost, schedule, scope, and quality for each option

Notes A free form area to record actions taken toward the resolution of the issue Assigned To The person assigned to resolve the issue Resolution A description of the final resolution of the issue Status Identifies whether the issue is open, resolved (responded to), or closed Date Updated The date information regarding the issue was last updated

MSC eWIC IAPD Page 40 8: Change Management Plan

8 Change Management Plan Over the life of a complex project such as an eWIC implementation project, it is inevitable that project changes will occur. Change, however, is not necessarily detrimental. As the dynamics of the project unfold, refinements in functionality or approaches may be uncovered, better ways of doing things may become apparent, or there may be shifts in program policies. The key to a successful project is active management and accountability as change occurs. The State Agencies do not want unplanned scope setbacks that gradually erode the viability of the project work plans and the integrity of the project. To that end, MSC WIC Programs follow the existing Change Management Process (CMP), available in Appendix D for all system changes. In addition, the MSC WIC Programs will develop and maintain change control procedures for their eWIC implementation projects. This section discusses the factors specifically associated with change management related to the eWIC implementation projects and the processes that will be implemented.

8.1 Types of Change For this project to meet its objectives, it is important to not only understand the types of change that might occur, but also have in place the necessary policies, procedures, and organizational constructs to control change. The following lists possible changes that may occur during the life of the project.

8.1.1 Scope Changes Scope changes are any change that will impact the scope of the project or in this case, the scope of work associated with a contractor supporting the project. Scope changes that depend on the level of effort associated with the change can also result in schedule and budget changes. The following are types of scope changes:

• Support or level of effort changes associated with a new task • Support or level of effort changes associated with an existing project task • System changes that may involve either the MSC MIS or the eWIC systems, which fall into the

following categories: o Design change: new function or modification of a function that will change how the

system operates o Remedial change: a change needed to resolve an issue identified within the system o Conforming change: a change needed to address inconsistency within the system o Enhancing change: a change that will result in an improvement to the system o Remedial, conforming and enhancing changes may also result in a design change.

8.1.2 Schedule Changes Schedule changes are any change that will impact the approved and base-lined schedule for the project. A schedule change may also result from a scope or budget change.

8.1.3 Budget Changes Budget changes are any change that will impact the approved project budget. A budget change may also result from a scope or schedule change.

8.1.4 Key Staff Changes Key staff changes may occur during the course of the project as MSC staff, eWIC Service Provider staff, or the QA Contractor staff incur staff transitions. All contract staff changes will be reviewed and approved


by the MSC State Agencies impacted by the change. Any staff changes incurred by the MSC State Agencies will be reviewed and any impacts will be mitigated as soon as possible by the respective agency.

8.2 Key Change Management Components The following are key components in the change management approach.

• Establish and maintain a change management system for controlling work products: A change management system includes the procedures and tools for recording and accessing change requests.

o For this project, a change management log will be developed and maintained on the project SharePoint site.

• Establish baselines: A baseline is a set of specifications or work products that have been formally reviewed and agreed upon, which thereafter serves as the basis for further development, and can be changed only through change control procedures.

o Original contracts and proposal documents, as well as the initial work plans, will serve as baseline documents.

o As the project progresses, approved design documents and plans will also become baseline documents.

• Track change requests for change items: Change requests address not only new or changed requirements, but also failures and defects in the work products. Change requests are analyzed to determine the impact that the change will have on the work product, related work products, and schedule and cost.

• Establish and maintain records describing change items: Typical work products include: o The revision history of each change item o A change log o Copies of the change requests o Status of change items o Differences between baselines

• Audit change management activities and processes: This is done to confirm that the resulting baselines and documentation are accurate and record the audit results as appropriate. Typical work products include change audit results and action items.

8.3 Change Management Stakeholders There are a number of stakeholders involved in the change management process. Change management activities are overseen by the MSC Change Control Board (CCB) with participation by additional stakeholders as needed. For this project, it is anticipated that the MSC WIC Program key staff will participate in the CCB for their State Agency.

8.4 Change Management Processes This section provides a description of the processes involved in change management. It includes an overview of change request initiation, change management process steps, change management log and change request form.

8.4.1 Change Request Initiation The change process begins with the identification of a needed change resulting in the initiation of a change request. Various project stakeholders are able to initiate a change request depending on the type


of change needed. The following table identifies entities that may initiate a change request and the types of changes that they are allowed to submit.

Exhibit 26: Change Request Initiating Entities

Initiating Entity Scope Change Schedule Change Budget Change

O

vera

ll Sc

ope

eWIC

serv

ice

prov

ider

Sc

ope

MIS

Con

trac

tor S

cope

QA

Cont

ract

or S

cope

Ove

rall

Sche

dule

eWIC

serv

ice

prov

ider

Sc

hedu

le

MIS

Con

trac

tor S

ched

ule

QA

Cont

ract

or S

ched

ule

Ove

rall

Budg

et

eWIC

serv

ice

prov

ider

Bu

dget

MIS

Con

trac

tor B

udge

t

QA

Cont

ract

or B

udge

t

MSC WIC Programs

eWIC service provider

MIS Contractor

QA Contractor

Once the change is identified, a change request form is completed and the change management process outlined in the following section will be followed.

8.4.2 Change Management Process Steps The diagram provided in Exhibit 27: Change Management Process Work Flow and the table provided in Exhibit 28: Change Process Steps define the change management process from change initiation to review and approval through change execution and implementation. Exhibit 27: Change Management Process Work Flow depicts how the overall flow of how the change process steps are followed and where decision points occur. Exhibit 28: Change Process Steps describes each step of the process and who is responsible.


Exhibit 27: Change Management Process Work Flow

StartChange Identified / Change Request

Submitted

Assign ID Number and Add to

Change Log

Change Request Submitted to CCB

Change Submitted for Contract

Change

Contract Change Received

Update Change Log

Change Request Executed

Change Assessed/Tested and

Results Submitted for Approval

Approved?

Change Implemented

Update Change Log

Yes

Yes

End

CCB Discusses Change

Approved?

Update Change LogEnd

Yes

No

Additional Information Needed?

No

Information Provided by Supporting

Stakeholder or CCB

Revisions/Updates Made

No


Exhibit 28: Change Process Steps

Process Step Description Responsible Party

1. Change Identified / Change Request Submitted

A change request form will be completed and submitted to the eWIC Project Manager(s)

Initiating Entity (Submittor)

2. Assign ID Number and Add to Change Log

The new request is added to the change management log and assigned a unique change request ID number

eWIC Project Manager(s)

3. Change Request Submitted to CCB

The change request is submitted to the CCB for review before meeting to discuss.


4. CCB Discusses Change The CCB meets to discuss change request. The CCB will assess for approval. If not approved there are two possible outcomes:

More information may be needed before the request can be fully assessed. It will be sent to one of the supporting stakeholders or initiating entity for more information.

The change is not approved and the change log is updated.

CCB

5. Information Provided by Supporting Stakeholder or CCB

More information is gathered to support CCB decision making

Supporting Stakeholder or Initiating Entity

6. Update Change Log The Change Log is updated to reflect whether the change has been approved (go to step 7) denied (update the log), or whether additional information is required (go to step 5).


7. Change Submitted for Contract Change

Once the change is approved and if a contract change is required, the contract changes are executed.

State Agency Contract Staff

8. Update Change Log The Change Log is updated if the contract change has been executed.


9. Contract Change Received If the change is approved, the contracting entity for which the contract change has been made receives the executed change and can begin work on the change request.

Entity responsible for making requested change

10. Change Request Executed The changes outlined in the change request are completed and ready to be evaluated.



Process Step Description Responsible Party

11. Change Assessed/Tested and Results Submitted for Approval

The change is evaluated through testing, assessment or review depending on the nature of the change. The result will be approval of the change or the determination that additional updates or revisions are needed.

WIC Program staff, eWIC Project Manager, QA Contractor, other project stakeholders as needed

12. Revisions/Updates Made If the evaluation of the change determines that additional updates or revisions are needed, the change item will be returned to the entity responsible for the requested change to resolve issues and resubmit for approval.


13. Change Implemented Once approved, the change item will be implemented or finalized.


14. Update Change Log The Change Log is updated to reflect that the contract change has been implemented or finalized.


8.4.3 Change Management Log The Change Management Log is a critical component in the change management process for maintaining and tracking change information. The following table identifies the fields included in the log and used in the change management work flow.

Exhibit 29: Change Management Log Components

Title Description # Identifying number Date Submitted Date the change was requested Change Description Detailed description of the change requested, including impact on time, scope, and cost

(if available) Impact Area of project impact: time, scope, and cost (if available) Category Type of change request (Deliverable, Process, Requirements, Testing, Other)


Title Description Priority Indication of emergency, high, medium, or low priority

• Emergency: These changes are needed when the project has been halted; the change is needed to move the project forward, and must be completed as soon as possible.

• High: These changes have a major impact on the completion of components of the project and if not addressed will impact the ability to complete overall project. These changes should be completed as soon as possible after emergency changes.

• Medium: These changes will modify or add to components of the project to address an issue, but the issue is not one that is impacting the ability for the project to move forward or be completed. For example reduction in workarounds or streamline a process would be considered medium as they may allow the project to move forward more efficiently, but the project is not hampered if they are not implemented.

• Low: These changes would be considered as enhancements where new or additional functionality or support is provided to enhance and/or add additional value to the project. For example, a new function is added to improve the user experience, fields are aligned on a screen to be more visually appealing, or additional onsite support is provided by one of the contractors.

Change Control Board Decision

Documents the change control board’s decision or status of the change: Authorized, Need More Information, Pending, Rejected

Change Control Board Decision Date

Date of the change control board decision

Decision Explanation/ Conditions

Additional information about the decision and any conditions associated with approval

Evaluation Approach How the change will be evaluated before accepted as final / implemented Contract Change Needed

Yes/No

Contract Change Execution Date

Date contract change execution completed (if contract change needed)

Change Request Completed Date

Date change is complete and ready for evaluation

Evaluation Results Description of the outcome of the evaluation Completed Change Approval Date

Date completed change approved

Completed Change Implemented Date

Date completed change implemented

8.4.4 Change Request Form The following is the template for the change request for that is recommended for use for this project.


Exhibit 30: Sample Change Request Form

Change Request Information

CR# (Assigned by eWIC Project Manager)

Date Submitted XX/XX/XXXX

Date Required XX/XX/XXXX

Submitter Name

Initiating Entity

Category Deliverable Process Requirements Testing Other

______________________

Description of Request

Reason for Change

Priority Low Medium High Emergency

Project Areas Impacted Scope Schedule Budget Other ______________________

Project Documents Impacted

Analysis of Request (Completed by CCB)

Scope Impact

Budget Impact

Schedule Impact

Advantages to Implementing

Disadvantages to Implementing

Analysis of Request (Completed by CCB)

Decision Approved More Information Pending Rejected

Decision Date

Decision Explanation

Conditions

Evaluation Approach Testing Document Review

Interim Assessment

Outcome/ Milestone Assessment

Other_________________


8.5 Evaluating Changes The evaluation of the change occurs in Step 11 of the change control process described in Exhibit 28: Change Process Steps. In this phase of the process, the change has been completed, but not implemented or finalized. Before this can be done, it is critical that an evaluation be performed to ensure that the change meets the requirements defined in the change request. In addition to evaluating the change, validation should be performed to ensure that project baseline documents and artifacts have been appropriately updated.

Because the change may reflect a system change, a document change, a change to a task or responsibility, or a schedule change, different evaluation approaches will need to be considered. The following are evaluation activities that may be applied depending on the type of change that has been performed.

• System Change – Testing • Documentation Change – Document Review • Task or Responsibility Change – Interim Assessment • Schedule Change – Outcome and Milestone Assessment

MSC eWIC IAPD Page 49 9: Communications Management

9 Communications Management Communication management includes the processes required to ensure timely and appropriate generation, collection, dissemination, storage, and ultimately disposition of project information. In addition to the communication management procedures within this section, the MSC WIC Programs are requiring their eWIC service providers to provide a Communication Plan that will document contact information for eWIC service provider team members and for problem escalation purposes.

9.1 Communication Stakeholders The following stakeholders will be considered in project communications for each State Agency.

• WIC Director (Project Sponsor) • eWIC Project Manager(s) • WIC Management Staff (Nutrition/Policy, Operations, and Vendor) • Other State Agency Staff • Local Agency Staff • WIC Vendors • MSC MIS Contractor (CQuest) • eWIC Service Provider • QA Contractor • State Agency Executives • USDA FNS (Regional and National Offices)

9.2 High Level Communication Guidelines The following guidelines will be used in project communications by each State Agency:

• The eWIC Project Manager(s) will be the primary point of contact for eWIC project information. • All communication must be through or copied to the eWIC Project Manager. • The eWIC Project Manager(s) may escalate problems to the WIC Director. In turn, the WIC

Director may escalate problems to contractor executive management. • The person responsible for vendor management within each WIC Program will have the primary

responsibility of managing WIC vendor implementation. The eWIC Project Manager(s) may facilitate status calls with vendors during implementation.

• The person responsible for local agency and clinic management within each WIC Program will have the primary responsibility of managing local agencies and clinic implementation. The eWIC Project Manager(s) may facilitate status calls with local agencies and clinics during implementation.

• The person responsible for policy activities within each WIC Program will have the primary responsibility of developing policies and procedures for local agencies and clinics.

• The QA Contractor will communicate through the eWIC Project Manager. • The eWIC service provider may communicate directly with WIC vendors to support eWIC

enablement activities as defined in their contract. • State Agency information technology (IT) staff or the MSC MIS Contractor may communicate

directly with local agencies and clinics to schedule on-site installation of hardware and hardware drivers (if applicable).


• The eWIC service provider may communicate with the MSC MIS Contractor as part of interface development and testing efforts, the eWIC project manager should be copied on these emails and made aware of or participate in other communications such as conference calls or meetings.

9.3 Escalation Processes There may be times during implementation and operations where a problem is identified that cannot be resolved with existing team members. At that time, the eWIC Project Manager(s) may determine that the problem will need to be escalated in order to get resolved. Escalation procedures will be defined as part of project initiation activities with eWIC processor.

9.4 Types of Communication The communication tools and documents are used for communication between project team members and between the project team members and stakeholders. All of these documents will be stored on the SharePoint site for the project. All project team members will have access to this database. The following are types of communications that will occur in each MSC WIC Program’s eWIC implementation project.

9.4.1 Written Communications There are various types of written communications, most of which are described below. Standards required for communication include the following:

• Regardless of the communication, the date, version (if applicable), and author must be present on the document.

• All formal documentation must be stored on SharePoint. • All formal meetings should have advance written agendas and published meeting notes. Meeting

notes are the responsibility of the meeting facilitator or assigned staff. • Written materials and presentations provided by a contractor to an outside stakeholder (e.g., WIC

vendors and participants) must be reviewed and approved by the eWIC Project Manager(s) prior to dissemination to the audience.

9.4.2 Email Correspondence Email correspondence has become an essential method of communication. To ensure that all email communications are received the following processes should be followed during this project.

• Members of the eWIC service provider and QA Contractor teams will copy the eWIC Project Manager(s) on any e-mail communications sent to the MSC WIC Program staff.

• When communicating with the eWIC service provider, the MSC MIS Contractor or the QA Contractor, MSC WIC Programs staff will copy the eWIC Project Manager.

9.4.3 On-Site Meetings Meetings are one of the major communication tools used in this project and should be documented in the form of meeting notes stored in the project repository. The following are the types of meetings to be held during this project, the frequency of the meetings, and who should attend:


Exhibit 31: On-site Meetings

Meeting Type Frequency Facilitator(s) Attendees Kick-off Meeting with QA Contractor (combined for MSC)

One-time QA Contractor eWIC Project Manager(s) WIC Program Staff QA Contractor

Kick-off Meeting with eWIC Service Provider (separate for MSC)

One-time eWIC Service Provider eWIC Project Manager(s) WIC Program Staff eWIC Service Provider USDA FNS QA Contractor

Requirements Validation Sessions (separate for MSC)

TBD eWIC Service Provider eWIC Project Manager(s) WIC Program Staff eWIC Service Provider QA Contractor MSC MIS Contractor

User Acceptance Testing (separate for MSC)

One-time eWIC Project Manager(s) / QA Contractor

eWIC Project Manager(s) WIC Program Staff/Testers eWIC Service Provider QA Contractor

Other on-site visits by the eWIC service provider, the QA Contractor and USDA FNS may occur throughout the project as deemed necessary for project success.

9.5 Communication Tools and Documentation The following tables indicate the types of communication tools and documentation that are anticipated throughout implementation. Additional communication tools may be initiated as the need arises and some noted below may be modified or eliminated if no longer needed. The tools in these tables address:

• Internal communication • Communication with state agency eWIC team members • Communication with local agencies and clinics • Communication with WIC vendors • Communication with participants •

Exhibit 32: Internal Communication

Communication Tool Frequency Author or Facilitator Audience Type Status Report (separate for MSC)

Quarterly eWIC Project Manager(s)

WIC Directors, USDA FNS Written report sent by email

Status Meetings (separate for MSC)

TBD eWIC Project Manager MSC WIC Program Conference Call

Work Group Meetings (separate or combined as needed)

TBD by Work Group

Work Group Lead Work Group eWIC Project Manager

Conference Call


Exhibit 33: Communication with MSC eWIC Team Members

Communication Tool Frequency Author or Facilitator Audience Type Status Report (separate for MSC)

Weekly or bi-weekly depending on project phase

eWIC Service Provider eWIC Project Manager(s) WIC Program Staff QA Contractor

Written report

Monitoring Report (combined for MSC)

Monthly QA Contractor eWIC Project Manager(s) WIC Program Staff

Written Report

Status Meetings (separate for MSC)

Weekly eWIC Project Manager WIC Program Staff Contractors

Conference Call

Integrated Project Schedule (separate for MSC)

As needed eWIC Project Manager WIC Program Staff Contractors

MS Project

Change Request (combined for MSC unless state specific for eWIC)

As needed Requestor Change Control Board Written form

Change Request Log (combined for MSC unless state specific for eWIC)

Updated as needed

eWIC Project Manager Change Control Board Contractors

Spreadsheet

Risk Management Log (combined for MSC unless state specific for eWIC)

Updated as needed

eWIC Project Manager/ QA Contractor

WIC Program Staff Contractors

Spreadsheet

Issue Management Log (combined for MSC unless state specific for eWIC)

Updated as needed

eWIC Project Manager/ QA Contractor

WIC Program Staff Contractors

Spreadsheet

Deliverable Review Form (combined for MSC unless state specific for eWIC)

As needed eWIC Project Manager1 WIC Program Staff Contractors

Written form

Deliverable Acceptance Form (combined for MSC unless state specific for eWIC)

As needed eWIC Project Manager Contractors Written form

Meeting Notes (combined for MSC unless state specific for eWIC)

As needed Meeting Facilitator WIC Program Staff Contractors

Document

1 The QA Contractor will assist each State Agency eWIC Project Manager in reviewing eWIC service provider deliverables. The QA Contractor’s deliverables will be reviewed by each eWIC Project Manager and other key WIC Program staff.


Communication Tool Frequency Author or Facilitator Audience Type Status Calls with USDA Monthly eWIC Project Manager USDA Conference Call Joint MSC State Agency Calls

As needed MSC MIS Project Management Office

State Agency WIC Directors MSC MIS Contractor

Conference Calls

Exhibit 34: Communication with Clinics

Communication Tool Frequency Author or Facilitator Audience Type Status Updates TBD WIC Operations Staff Local Agency / Clinics Email Readiness Assessment (separate for MSC)

TBD, Prior to Local Agency Rollout

WIC Operations Staff Local Agency / Clinics Conference Call

Pilot / Rollout Status Meetings (separate for MSC)

Daily State Agency eWIC Project Manager

Local Agency / Clinics WIC Program Staff Contractors

Conference Call

Exhibit 35: Communication with WIC Vendors

Communication Tool Frequency Author or Facilitator Audience Type Status Updates (separate for MSC)

TBD WIC Vendor Management Staff

WIC Vendors Mailed Notice Web Notification

Planning Calls (separate for MSC)

Quarterly WIC Vendor Management Staff

WIC Vendor Stakeholders

Conference Call

WIC Stand-Beside Vendor Contracts (separate for MSC)

One Time Reminders if necessary

eWIC Service Provider WIC Vendors requiring stand-beside POS

Mailed Notice Follow-up by phone or mail

Information Dissemination Training (separate for MSC)

TBD WIC Vendor Management Staff eWIC Service Provider QA Contractor

WIC Vendors Webinar Conference Call

Exhibit 36: Communication with Participants

Communication Tool Frequency Author or Facilitator Audience Type Training (separate for MSC)

As needed Clinic Staff WIC Participants In-person

Training Material (separate for MSC)

As needed eWIC Service Provider WIC Participants Brochure

Training Video (Optional, separate for MSC)

Looped in WIC Clinic / On Demand Online

WIC Program WIC Participants DVD

MSC eWIC IAPD Page 54 10: State Agency/Contractor Assurances

10 State Agency/Contractor Assurances The MSC WIC Programs agree to comply with the e-WIC standards promulgated by FNS.

10.1 National Universal Product Code (UPC) Database Interface The MSC WIC Programs assure that their eWIC system(s) will utilize the UPC Category/ Subcategory codes developed by FNS. When fully developed and available, the MSC WIC Programs will utilize the national UPC database, as applicable.

10.2 Technical Standards The MSC WIC Programs will require their eWIC service providers to use the Accredited Standards Committee (ASC) X9, standard for eWIC. The eWIC service providers will be required to use the most current version of the American National Standards Institute (ANSI) X9.93 standard messaging, as delineated in Appendix A: Functional Requirement A.1.1 and required batch formats for their electronic transaction processing.

The eWIC systems will be required to meet all applicable federal and state regulations and conform to the Operating Rules for eWIC systems as defined by FNS, and as delineated in Appendix A: Functional Requirement A.1.2.

The eWIC systems and CQuest (where applicable) will be required to conform to the latest version of the Technical Implementation Guide (TIG) and the FNS Universal Interface Specifications for EBT to MIS data transfers, as delineated in Appendix A: Functional Requirements A.1.3 and A.1.4.

eWIC cards will be required to meet payment and EBT industry standards and specifications, as delineated in Appendix A: Functional Requirements.

10.3 Standard Business Practices The MSC WIC Programs agree to use the standard business practices and/or the technical specifications developed for eWIC by FNS. The MSC WIC Programs are committed to meeting standard business practices as they are established in other state agencies with operational eWIC systems. As an indicator of their commitment, the MSC WIC Programs have defined a preliminary set of performance standards, found in Appendix A: Functional Requirements M.1.

Over the life cycle of the project, the MSC WIC Programs will adhere to standard project management practices that include but are not limited to status reporting, maintaining system documentation, risk management, and configuration management. Project management practices will include scope, cost, schedule, and quality management. Project management practices for implementation are managed and monitored by the eWIC Project Manager(s), WIC Director(s) and the individual information technology authorities within each agency.

MSC eWIC IAPD Page 55 11: Vendor Enablement

11 Vendor Enablement

11.1 Background Authorized WIC vendors are those vendors that have been authorized by the MSC WIC Programs to accept WIC food instruments from WIC participants. Per the data provided to MAXIMUS, the MSC WIC Programs have a combined 688 authorized WIC vendors (chain stores are counted as 1 authorized vendor per chain). As part of the eWIC Planning Project, a survey was sent to authorized vendors to assess readiness for eWIC. Survey data indicates that a large percentage (88-89%) of vendors in each of the MSC State Agencies have the capability to integrate or have already integrated eWIC into their systems, although it is not guaranteed that they will all integrate. Each State Agency will continue to work with their state’s vendors to keep track of their integration status, and encourage vendors that may be unsure about integration. Ultimately, this effort will be supported by their eWIC processor.

11.2 Vendor Readiness With the exception of three vendors, MAXIMUS determined that all chain stores are certified with at least one of the eWIC service providers. The data collected indicates that all three chain stores were either in the process of integrating in other states or plan to be integrated in sufficient time for implementation in the MSC WIC Program territories. For non-chain vendors, the following sections describe the level of readiness.

11.2.1 ITCA: For ITCA, the status of vendor readiness as of April 2015 is as follows:

• Five of the respondents are highly likely to integrate because they have systems that have been integrated for eWIC and indicated that their systems have credit/debit integrated. Four of these five indicated that they have SNAP EBT integrated into their systems and the one that does not, stated that, “No matter what is technically required, we will upgrade, if needed, any and all systems necessary to implement eWIC.”

• Four vendors were identified as highly likely to need a stand-beside device. These vendors have cash register systems that do not support bar code scanning and have a separate device for their SNAP/cash EBT transaction.

• The remaining five vendors have systems that support bar code scanning, but have systems that are not known to be integrated and may or may not have SNAP/cash or credit/debit integrated into their systems.

For planning purposes, it is assumed that of the surveyed vendors, five will be integrated and the remaining nine plus the eight that did not respond to the survey will use a stand-beside.

11.2.2 New Hampshire: For New Hampshire, the status of vendor readiness as of April 2015 is as follows :

• Seventeen of the respondents are highly likely to integrate because they have systems that have been integrated for eWIC and additionally they indicated that they have credit/debit and SNAP/cash EBT integrated into their systems.

• One vendor has been identified as potentially being candidate for integration because they indicated that they will be obtaining a new system, but it is unclear from their response if this system will support eWIC.


• Five vendors were identified as highly likely to need a stand-beside device. These vendors have cash register systems that do not support bar code scanning and have a separate device for their SNAP/cash EBT or credit/debit transactions.

• The remaining nine vendors have systems that support bar code scanning, but have systems that are not known to be integrated and may or may not have SNAP/cash or credit/debit integrated into their systems.

For planning purposes, it is assumed that seventeen of the surveyed vendors will be integrated. The remaining 20 surveyed vendors will use a stand-beside device.

11.2.3 Kansas For Kansas, the status of vendor readiness as of April 2015 is as follows:

• One hundred sixty-seven (167) of the respondents are highly likely to integrate because they have systems that have been integrated for eWIC and additionally they indicated that they have credit/debit and SNAP/cash EBT integrated into their systems. Also included in this list are two vendors that noted they would be obtaining a new cash register system in the next two years that will be eWIC capable.

• One hundred sixty-two (162) vendors have been identified as potentially being candidates for integration because they have retail systems that scan bar codes and appear to have SNAP/cash EBT and credit/debit transaction integrated into their systems.

• Forty-four (44) vendors were identified as highly likely to need a stand-beside device. These vendors have cash register systems that do not support bar code scanning and have a separate device for their SNAP/cash EBT or credit/debit transactions.

For planning purposes, it is assumed that 329 of the survey vendors will be integrated. This is made up of the 167 vendors that are highly likely to be integrated and 162 of the potential candidates for integration. The remaining 44 vendors are anticipated to use a stand-beside device unless additional information can be identified.

11.3 Vendor Enablement Support and Resources The MSC WIC Programs will be contracting with full service eWIC service providers. Many of the WIC vendor support activities will be the responsibility of their respective contractor. The MSC WIC Programs will also play a key role in supporting the WIC vendor community, supplementing the work performed by the eWIC service providers.

11.4 Vendor Enablement Activities The following implementation activities will be undertaken to prepare MSC WIC vendors for eWIC. They have been organized by tasks undertaken by the MSC WIC Programs and those handled by the eWIC service provider.

11.4.1 eWIC Service Providers • Provide a Vendor Implementation Plan • Vendor and TPP contracts with the EBT service providers

o Contract content must be approved by the MSC WIC Programs and FNS. o Contracts must be signed in time to provide sufficient access for WIC participants during

rollout.


• Support for WIC vendors with integrated ECR/POS systems o Provision of interface specifications, which must conform to latest version of applicable

national standards. o Technical advice. o System testing and certification. o Site testing and certification.

• Flexible data communication between the WIC vendor and the eWIC host system o Credit/debit networks. o Dedicated phone line.

• Direct connect through the Internet. • Provision of stand-beside configurations for non-integrated WIC vendors

o Provision of certified hardware/software in time to provide sufficient access for WIC participants during rollout.

o Provision of training materials. o On-site training or installation support o On-going equipment support and maintenance.

• Toll-free line dedicated to technical support for WIC vendors with stand-beside configurations • Settlement and reconciliation of WIC vendor accounts

o Settlement through the Automated Clearinghouse (ACH) network to WIC vendor financial institutions or to their designated TPPs.

o Provision of a toll-free WIC vendor line to support claims

11.4.2 MSC WIC Programs • Update WIC vendor contract language to include eWIC requirements • Ensure all WIC vendors have signed the updated contract • Update training materials and incorporate the updated materials into regular WIC vendor training

sessions • Prepare WIC vendor policies and procedures relative to eWIC and ensure policies and

procedures are put into place and that applicable policies are being followed when conducting store visits

• Distribute eWIC information to WIC vendors • Support communications between the eWIC service provider and WIC vendors • Respond to WIC vendor questions concerning eWIC and/or direct the WIC vendor to the

appropriate WIC contractor • Train internal staff on supporting WIC vendors with eWIC issues • Monitor the progress of WIC vendor readiness for eWIC • Establish and maintain a working relationship with VARs • Develop process for providing integration funds • Participate in integrated retail system testing or designate a representative to attend Level One

and Two certification testing • Conduct Level Three testing (in-store transactions) at random and at specific stores (eWIC

service provider) • Conduct a final WIC Vendor Readiness assessment • Prepare a WIC Vendor Enablement and Implementation Plan • Obtain WIC vendor and TPP contracts

o Contract content must be approved by the MSC WIC Programs and USDA FNS o Contracts must be signed in time to provide sufficient access for WIC participants during

rollout


11.5 Monitoring of Vendor Readiness In order to reduce risk of rolling out eWIC without independent vendors being ready to accept a transaction, the progress of the contracts will be closely monitored in a weekly report from the eWIC service provider that indicates the following:

• Rollout area • Number of WIC vendors with integrated retail systems • Number of WIC vendors with integrated retail systems that are certified for eWIC • Number of WIC vendors requiring stand-beside terminals • Number of WIC vendors sent contracts • Number of signed, returned contracts • Number of stand-beside terminals shipped • Total number of WIC vendors ready for eWIC

Additional information that the MSC WIC Programs will request includes:

• Names of proprietary or commercial systems that need to be modified for eWIC • Number of WIC vendors impacted • Status of modification • Status of testing

o Location of testing o Date testing scheduled o Results of testing

11.6 Sharing POS Terminals with SNAP The MSC WIC Programs will continue to explore the possibility of sharing POS terminals with their respective SNAP Programs.

11.7 State Agency WIC Vendor Agreements The MSC WIC Programs will modify their existing WIC agreements to include requirements related to eWIC. The MSC WIC Programs will ensure their vendors will sign the new WIC contract in sufficient time prior to the pilot/rollout. The contract will incorporate requirements that WIC vendors comply with the Operating Rules for eWIC as established by FNS and sign an agreement with the eWIC service providers.

11.8 Pilot Area The eWIC service providers will be required to provide an Implementation Plan that will detail the activities and schedule required to implement eWIC, with one section specifically focused on WIC vendor readiness. The following is the breakdown of vendors by type in each MSC members’ pilot area:

• ITCA o Chains – 5 (18 stores total) o Independents - 2

• Kansas o Chains – 4 (13 stores total) o Independents – 5 (7 stores total)

• New Hampshire o Chains – 5 (15 stores total)


o Independents - 7 o Pharmacies - 1

11.9 Statewide Rollout The MSC WIC Programs have elected to rollout eWIC to their respective territories over the course of several weeks after the completion of the pilot, pilot evaluation, and permission to proceed from FNS. The pilot evaluation will include a readiness assessment of the remaining non-integrated vendors for eWIC. The chain systems will have been certified prior to the pilot or in another state and the small chains with commercial off the shelf (COTS) software will be supported by their maintenance/support providers. However, many vendors are anticipated to require a stand-beside solution. The eWIC service providers will help the MSC WIC Programs determine the practicality of providing stand-beside solutions across their state agencies prior to statewide implementation.

As with the pilot, the eWIC service providers must support WIC vendor readiness by providing the following services:

• Ensure WIC vendor and TPP contracts are in place. • Deploy stand-beside terminals or solutions, as needed. • Test ECR/POS systems, ensuring compliance with the policies in place at the time of the

certification. • Ensure sufficient WIC vendor coverage is available to WIC participants prior to rollout.

The MSC WIC Programs will closely monitor WIC vendor enablement and associated eWIC service providers’ activities throughout statewide rollout.

11.10 Up-Front Investment and Ongoing Expenses The MSC WIC Programs estimates that an upfront investment for vendor enablement would cost the following:

11.10.1 ITCA The following costs for vendor enablement have been calculated for ITCA.

Exhibit 37: ITCA Vendor Enablement Costs

Type of Vendor Number Cost

Major Chains (All Expected to Integrate) 117

Other Assumed Integrated Vendors 5

Assumed Stand-Beside Vendors 17

Total

11.10.2 New Hampshire The following costs for vendor enablement have been calculated for New Hampshire.

Exhibit 38: New Hampshire Vendor Enablement Costs







Total

11.10.3 Kansas The following costs for vendor enablement have been calculated for Kansas.

Exhibit 39: Kansas Vendor Enablement Costs





Total

For Kansas, given the number of possible integrated non-chain vendors, it was assumed that only half would require financial assistance. For ITCA and New Hampshire, it was assumed, due to the small number, all integrated non-chain vendors would receive financial assistance to integrate.

MSC eWIC IAPD Page 61 12: Request for Waiver of Depreciation

12 Request for Waiver of Depreciation The eWIC services provider(s) contracts will be services contracts. Implementation and operation of the eWIC systems will not involve the acquisition of any capital equipment or buildings by the MSC Programs. Therefore, the MSC WIC Programs are not seeking waivers of depreciation related to this project.

MSC eWIC IAPD Page 62 13: Security Plan

13 Security Plan The MSC Consortium WIC Programs will follow industry standards defined for eWIC and payment systems. These standards include:

• Security of data exchange and interface between the eWIC system(s) and the MSC WIC Programs MIS, CQuest

• Encryption of PINs • Secure maintenance of PIN data (online) • Secure access to eWIC data

o Via the interface with MSC MIS o Via the eWIC system’s web administrative access o Via a cardholder web portal and customer services (online) o Via a vendor web portal and customer services

• eWIC user access roles and authentication methods • Secure maintenance of data by the eWIC service providers • Secure facilities housing the eWIC system(s) and the fail over system • Secure data exchange between WIC vendor electronic cash register (ECR) and POS systems

and the eWIC system • Secure transaction processing • Secure settlement to WIC vendors and third party processors (TPPs)

As part of their contract, the eWIC service providers will be required to meet all FNS, state agency, and applicable industry standards for their internal security and will be required to provide a eWIC Systems Security Plan during the design phase of the project. General areas that will be required to be covered within the security plan include:

• Physical Site Security • System Data Security • System Application Security • Cooperation in Inspections and Audits

The eWIC service providers will be required to remain in compliance with all applicable Federal and state agency regulations regarding security throughout the contract.

MSC eWIC IAPD Page 63 14: Training Plan

14 Training Plan The purpose of training is to ensure that stakeholders involved in and impacted by the efforts to implement and operate eWIC are fully knowledgeable in the procedures for eWIC as applicable to their role in the eWIC process. The MSC WIC Programs will require their eWIC service providers to develop and submit for approval a comprehensive Training Plan. A high-level description of the anticipated training needs and approach is provided in the following exhibit.

Exhibit 40: Training Provision

Group to be Trained Training Focus How Provided Training Provider

UAT Team UAT Protocols Instructor-led

Hands-on

eWIC Service Provider QA Contractor

MIS Contractor, as applicable

State-level WIC Staff System Operations

Security Administration

Settlement & Reconciliation

Reports, Data Analysis

Fraud Investigation

WIC Clinic eWIC Operations

WIC Vendor Operations

Instructor-led

Hands-on


eWIC Service Provider (primary)

MIS Contractor, as applicable

WIC Clinic Staff

WIC Clinic eWIC Operations

Use of the eWIC Card

WIC Purchase Transactions

Instructor-led

Hands-on

State Staff with support from the eWIC Service Provider and the MIS Contractor, as needed

WIC Vendors with EBT-only Solution

POS Operations


UPC Maintenance

Hands-on

eWIC Service Provider

WIC Vendors with New System Purchase or System Upgrade

POS Operations


UPC Maintenance

Per contracts With Value Added Resellers (VARs)

VAR (ECR/POS sales and support vendor)

WIC Vendors With TPPs (online)

POS Operations


UPC Maintenance

Per contracts With TPPs or by Corporate Policy

TPP or Corporate Trainers

WIC Vendors with Proprietary Systems

POS Operations


UPC Maintenance

By Corporate Policy TPP or Corporate Trainers

Customer & Vendor Service Staff

Customer & Vendor Help Desk Services

TBD by Employer eWIC Project Manager

eWIC Service Provider


Group to be Trained Training Focus How Provided Training Provider

WIC Participants Use of the eWIC Card

eWIC Points of Customer Service (Clinic, Phone, Web)

One-on-one Instruction

Brochures


WIC Clinic Staff

State Staff

14.1 Training Expectations The objective of a rigorous training approach is to ensure all eWIC stakeholders fully understand and utilize the functions of the eWIC system. Training will be monitored by the eWIC Project Manager(s) and QA Contractor and assessed to ensure the effectiveness of the eWIC Service Provider trainers, the training materials provided by the eWIC service provider, and the training approach used by the eWIC service provider. Assessments will verify whether:

• Training is directly related to the applicable eWIC functions. • Trainees demonstrate the capability of performing their applicable eWIC functions at the

completion of training. • Training and training materials meet state agency standards and are provided at the appropriate

level of understanding for the stakeholder group. • Training is conducted at an appropriate time; this means training has to occur prior to a

stakeholder using the system, but not so far in advance that training is forgotten prior to the stakeholder using the system.

The eWIC service providers will modify training materials or training approaches determined to be ineffective. In addition, the eWIC service providers will replace trainers that do not meet the state agency’s expectations.

14.2 Types of Training This section provides a description of each type of training required with the implementation of eWIC.

14.2.1 User Acceptance Test Training In order to participate in the UAT, members of the UAT Team will need to understand the end-to-end operations and functions of the eWIC system, changes in functions as a result of the MIS upgrades, and the UAT protocols. Prior to training, the eWIC service providers will have prepared a UAT plan and associated test scripts. The eWIC service providers or designated trainer (e.g., the QA Contractor or the MIS Contractor) in coordination with the eWIC Project Manager(s) will provide UAT training during the week prior to the UAT, using the test scripts and other materials prepared specifically for the UAT training session. UAT scripts may be supplemented by scripts developed by the MSC WIC Programs, the QA Contractor, FNS, or their contracted representative(s).

14.2.2 System Operations Training for State Agency Staff The eWIC service providers in coordination with the eWIC Project Manager(s) will provide specific MSC WIC Program and other applicable state agency staff with training in the following areas:

• System Operations • Security Administration • Settlement & Reconciliation • Reports, Data Analysis • Fraud Investigation


• WIC Clinic eWIC Operations • WIC Vendor Operations

Training will be provided prior to the implementation of the eWIC pilot and will incorporate appropriate training materials. In addition, to support ongoing operations, the eWIC service providers will be required to provide and maintain the following:

• Administrative Functions Manual • Reports Manual • Settlement & Reconciliation Manual • User’s Manual for WIC staff

Additional training will be required from the MIS contractor as the MIS will take on new functions such as card issuance and tracking, acceptance of the eWIC daily activity file and associated reconciliation activities and reporting.

14.2.3 WIC Clinic Pilot Training WIC clinic training for the pilot will take place at clinics in the respective pilot area for each MSC WIC Program and will include, but may not be limited to:

• Card control/card audit procedures • Card issuance for primary participant PIN selection • PIN unlock • Card status monitoring • Benefit issuance • Benefit voids • Access to transaction data • Reports and analysis • Benefit aggregation • Participant training needs

o Care of the card o PIN selection and PIN privacy o Reporting lost or stolen cards o How to access a benefit balance o How to conduct a eWIC transaction

Clinic staff will be trained on screen changes to the MIS that will support eWIC; the MSC WIC Programs may request that this training be supported by the MIS contractor. MSC WIC Program staff will also train clinic staff on the policy and procedure changes which will be implemented along with eWIC.

14.2.4 WIC Clinic Staff Training Prior to Rollout The same training provided to clinic staff during pilot will be provided to the remaining applicable clinic staff prior to the implementation of eWIC statewide. Using an established methodology, training will occur in each rollout region with clinic staff travelling to the applicable location to receive training. Training is not anticipated to last more than one day.

14.2.5 Vendor Training The MSC WIC Programs are committed to keeping their WIC authorized vendors informed of the status of the eWIC initiative and providing their WIC vendors with appropriate education on eWIC. The MSC WIC Programs have already started WIC vendor outreach and will continue throughout eWIC implementation.


Initial outreach has included “eWIC 101” webinars provided to educate the state agencies WIC vendors. WIC may provide updates on the eWIC initiative and on changes in policies and procedures using various means of communication, for example articles in newsletters, WIC vendor conference calls, WIC vendor webinars, mailings, placing news items and providing reports and other options.

The eWIC service providers are responsible for training WIC vendors provided with stand-beside EBT-only POS terminals. Vendor training will occur upon completion of terminal installation and will cover areas such as log on/log off, using the terminal for all types of eWIC transactions, and the settlement and reconciliation process.

WIC vendors using TPPs to acquire credit, debit and EBT transactions will be trained by their TPPs on how to conduct a eWIC transaction and on the settlement and reconciliation process. Large chains may elect to train store managers, back-office staff, and cashiers using the corporate processes and trainers. Other integrated vendors will be trained by their ECR maintenance and support provider.

14.2.6 Service Provider Help Desk Staff Training The eWIC service providers will provide a training course for their own customer service staff to ensure access to cardholder data is secure, cardholder questions or requests are answered correctly, and cardholders are treated with respect and cultural sensitivity. As part of their deliverables, the eWIC service providers will be required to provide for state agency approval a Customer Service Manual. This manual will support customer service operations and will also provide the MSC WIC Programs with guidelines to support their ongoing assessment of the quality of customer service. The manual will be updated after pilot and statewide rollout to reflect lessons learned; specifically to address WIC participant concerns and complaints.

14.2.7 Cardholder Training Initial outreach has included “eWIC 101” webinars provided to educate participants. In addition, WIC participants will be trained by clinic staff when they are issued their initial eWIC card. Training will include how to conduct a eWIC transaction, how to care for a eWIC card and PIN, how to determine an account balance, and the various means of acquiring information. Participants will be provided with a brochure, or a similar form of training material, in English or Spanish to help them with eWIC once they leave the clinic. Participant training will include, but will not be limited to:

• Care of the eWIC card • Setting and resetting a PIN • Reporting lost, stolen, or damaged cards • Getting lost, stolen or damaged cards replaced • How to conduct transactions, such as balance inquiry, purchase or mixed basket, at the grocery

store • Where to go to get support and information on eWIC • Rights and Responsibilities, such as what happens if card or benefits are misused • How benefits are aggregated at the family level

MSC eWIC IAPD Page 67 15: Clinic Enablement

15 Clinic Enablement WIC clinics will conduct a series of activities to prepare for eWIC implementation. The experience of other states indicate that these activities can be accomplished within existing clinic resource levels (i.e., clinics will not need additional staff during the transition to EBT). These activities should be scheduled and conducted to ensure a smooth transition from the issuance of WIC benefits using WIC checks or vouchers to the issuance of WIC benefits using EBT cards. The following exhibit provides an estimated timetable and a summary of EBT implementation activities that should occur in preparation for the implementation of EBT at pilot clinics and at clinics prior to statewide expansion.

Exhibit 41: Overview of eWIC Implementation Activities at the Local Level

Time Period Activity

6 Months in Advance Schedule clinic activities for first month of roll out (schedule certifications, nutritional classes, etc., “lightly” during first few days of transition)

Determine quantity of marketing materials (brochures, posters, etc.,) needed by clinics (SA)

4 Months in Advance Receive any marketing materials (displays, DVDs, etc.) for the waiting room area

Receive FAQ sheet for clinic staff

2 Months in Advance Re-check the clinic schedule for the first week of eWIC for adequate staffing and lighter schedules

Receive eWIC cards

1 Month in Advance Work with the EBT contractor to ensure equipment is installed

Work with the EBT contractor to ensure participant materials are on site

Attend training sessions on eWIC

2 Weeks in Advance Work with the EBT contractor to ensure equipment is installed

Attend training sessions on eWIC /MIS (LA)

1 Week in Advance Ensure the clinics have the contact phone numbers for vendor, participant and agency/clinic support for eWIC

Day of Cutover Discontinue WIC check issuance

Issue EBT cards to returning and new clients

Issue food packages electronically via EBT

Post Implementation Surplus MICR printers per processes recommended by WIC Program

Follow state agency procedures for disposing of left over check stock

Store audit materials from paper issuance according to specified guidance

Participants will have the ability to use the WIC checks or vouchers issued to them prior to the cutover to eWIC to purchase WIC-authorized foods until the WIC checks or vouchers have expired. Beginning the day of cutover, participant households will be issued a eWIC card during their next WIC clinic visit. During the initial three months of eWIC operations, all existing households will receive a card at their regularly scheduled visit. The level of effort to issue cards to existing clients is within the capacity of existing clinic resource levels as food instruments will no longer be printed. Participant households will retain their eWIC cards for the duration of their eligibility. After the initial two-month period, only new participant households and participants that report lost, stolen, or damaged cards will be issued a card.

MSC eWIC IAPD Page 68 15: Clinic Enablement

15.1 Pilot Clinics Each state agency has selected a single region for pilot operations:

ITCA: Gila River Indian Community – 1,200 Participants

New Hampshire: Goodwin Community Health Center – 2,520 Participants

Kansas: Shawnee – 4,442 of Participants

15.2 Statewide Expansion of Clinics Statewide expansion will be accomplished by repeating the activities previously conducted for the pilot. Clinic staff training will be provided at each of the areas identified for rollout in the order that services will be rolled out. Staff members must attend training at the appropriate location. It is expected that all MSC WIC Program families will be provided with eWIC cards within three months of starting statewide operations. The MSC WIC Programs will be supported in clinic readiness activities by an on-site, full time staff member provided by the eWIC service providers.

MSC eWIC IAPD Page 69 Appendix A: Functional Requirements

Appendix A: Functional Requirements

MSC Funct-Serv Rqmts v4 2016-02-23

MSC eWIC IAPD Page 70 Appendix B: Acronyms

Appendix B: Acronyms Acronym Definition

ACH Automated Clearinghouse

AFM Administrative Functions Manual

ANSI American National Standards Institute

APL Approved Product List

ARF Auto Reconciliation File

ASC Accredited Standards Committee

ARU Automated Response Unit

BIN Bank Identification Number

CBA Cost Benefit Analysis

CDP Custom Data Processing, Inc.

CMP Change Management Plan

COTS Commercial Off-the Shelf Software

CPCM Cost Per Case Month

CSR Customer Service Representative

DDD Detailed Design Document

DDI Design, Development and Implementation

DFDD Detailed Functional Design Document

EBA Electronic Benefits Account

EBT Electronic Benefits Transfer

ECR Electronic Cash Register

ESC Executive Steering Committee

FFY Federal Fiscal Year

FI Food Instrument

FIS Fidelity National Information Services

FNS Food and Nutrition Service

FReD USDA FNS Functional Requirements Document

FTE Full time equivalent

FTP File Transfer Protocol

HCL Hot Card List

IAPD Implementation Advanced Planning Document


Acronym Definition

ICC Integrated Circuit Chip

IIN Issuer Identification Number

ISO International Organization for Standardization

IT Information Technology

ITCA Inter Tribal Council of Arizona

IVR Integrated Voice Response

KS The State of Kansas

MICR Magnetic Ink Character Recognition

MIS Management Information System

NACHA National Automated Clearing House Association

NH The State of New Hampshire

NTE Not-to-exceed

OMB Office of Management and Budget

PAN Primary Account Number

PIN Personal Identification Number

PLU Price Look-up Code

POS Point-of-Sale

QA Quality Assurance

VIS Vendor Interface Specifications (VIS)

RFP Request for Proposals

SAS Statement on Auditing Standards 70

SNAP Supplemental Nutrition Assistance Program

SOIP Systems Operations & Interface Procedures (SOIP) Manual

SOR FNS Operating Rules for eWIC

SOW Statement of Work

SRM Settlement & Reconciliation Manual

SSAE Statement on Standards for Attestation Engagements No. 16

SSL Secure Socket Layer

SSP Systems Security Plan

SP Service Provider

TIG Technical Implementation Guide

TPP Third Party Processor


Acronym Definition

TTY Teletypewriter

UAT User Acceptance Test

UI WIC MIS-EBT Universal Interface

UPC Universal product code

USDA United States Department of Agriculture

WIC Special Supplemental Nutrition Program for Women, Infants and Children

WMV Windows Multiple Media Format

MSC eWIC IAPD Page 73 Appendix C: Budget Documents

Appendix C: Budget Documents Removed

MSC eWIC IAPD Page 74 Appendix D: MSC Change Management Process

Appendix D: MSC Change Management Process

MSC Change Management Proces