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Sample of Business Plan on Power Point Powered By Docstoc
					                                                     Revised May 2007


                                  Project Plan for Implementing
                                   Common Payment Service
                                                        For Either
                                                     Merchant Cards
                                                            Or
                                             Electronic Funds Transfer (ACH)

Instructions
This project plan identifies the tasks necessary to implement Common Payment Service (CPS) as part of your organization's business
solution. A separate plan is available on the SECP Website for those entities that do not utilize CPS for either ACH or Merchant Cards
Processing.

There is a project plan for implementing "Merchant Cards" as well as "ACH Implementation." (See each tab below.) Each plan is formated
such that your organization's tasks and deliverables are identified in columns C, D and E. Those tasks and deliverables for which OSC and
ITS are responsible are identified in columns F, G and H.

Prior to completion, information on OSC's Website should be reviewed. http://www.ncosc.net/SECP/EPP_Index.html
The plan is also outlined in Power Point Presentations found on OSC's SECP Website.
                                                                                                                                                 CORRESPONDING TASKS                                     Date
Step            AGENCY ACTIVITIES & TASKS                                TASK DESCRIPTION                          Agency/Project Deliverables                                                    By
                                                                                                                                                 (OSC & ITS Use Only)                                  Completed


                                                                                                                                                 OSC provides updated Website information
 1     Idenfify EFT Project                                                                                                                                                                    OSC
                                                                                                                                                 and answers any questions asked.
1.1    Review information on OSC's SECP Website        Review presentations, policies, agreements, and forms
                                                       Identify Outbound or Inbound payments, authority, and if
1.2    Idenfity potential payment applications
                                                       mandatory or voluntary participation
                                                       Identify system for payee/payor database for associated
1.3    Determine systems for database maintenance
                                                       bank account information
1.4    Determine method of ACH file transmission       Identify method of creating and submitting files.
                                                       Identify work to be performed, resources needed,
1.5    Develop internal statement of work                                                                         Statement of Work
                                                       security measures, timeframes, etc.
                                                       Request Pre-Project meetings for discussions. Topics
                                                                                                                                                                                               OSC
1.5a Obtain assistance from OSC and/or CPS             include security requirements; source of application                                      OSC & ITS meets with Agency
                                                                                                                                                                                               ITS
                                                       servers; involvement of ITS.
                                                       Cost-benfit analysis Includes costs of development and
1.6    Assess feasibility of implementation                                                                       Cost-benefit analysis
                                                       ongoing operation maintaince.
1.7    Obtain management approval for project          Consider cost-benefit analysis, staffing, and funding      Project Plan
                                                       Enroll with ITS Project Portfolio Management (PPM), if
1.8    Obtain ITS Project Management Office approval
                                                       applicable
1.9    Determine if convenience fee will be levied.    Consider OSC policy and obtain approval from OSBM

       Other

 2     Execute Enrollment Forms                                                                                                                  OSC provides all forms on Website             OSC
2.1    Master Services Agreement (MSA)                 Review MSA. Legal should review agreement
2.2    Agency Participation Agreement (APA)            Execute APA. Legal should review agrrement                 APA                            OSC approves or disapproves participation     OSC
2.3    EFT Participant Setup Form                      Execute Participate Setup Form - by Chief Fiscal Officer   Setup Form                     OSC processes form with DST & Wachovia        OSC
                                                                                                                                                 OSC adds the contact to the SECP Email
                                                                                                                                                                                               OSC
                                                                                                                                                 Contact List

 3     OSC Acts on Enrollment Forms
                                                                                                                                                 OSC processes agreements with DST and
3.1    Agency Participation Agreement (APA)                                                                                                                                                    OSC
                                                                                                                                                 Wachovia, & distributes
3.2    EFT Participant Setup Form                                                                                                                OSC processes form with DST and Wachovia      OSC
                                                                                                                                                 If OSC is Admin for Wachovia Connection,
                                                                                                                                                 agency users are set up, and users are notified OSC
                                                                                                                                                 of their UserID and initial password.

 4     DST Acts on Enrollment Forms
4.1    Agency Participation Agreement (APA)                                                                                                      DST executes APA                              DST
                                                                                                                                                CORRESPONDING TASKS                                       Date
Step           AGENCY ACTIVITIES & TASKS                                  TASK DESCRIPTION                        Agency/Project Deliverables                                                      By
                                                                                                                                                (OSC & ITS Use Only)                                    Completed

                                                                                                                                                DST authorizes Wachovia to establish
4.2    EFT Participant Setup Form                                                                                                                                                            DST
                                                                                                                                                settlement and Returns account
                                                                                                                                                DST determines if it will pay fees for bank
                                                                                                                                                                                             DST
                                                                                                                                                account
                                                                                                                                                If inbound transactions, establishes CIT
                                                                                                                                                account on CB$ and maps the ZBA account
                                                                                                                                                                                             DST
                                                                                                                                                number when received from Wachovia, if State
                                                                                                                                                agency
                                                                                                                                                If outbound transactions, establishes Electronic
                                                                                                                CB$ Request For Electronic      Warrant template on CB$, and sets up
4.3    CB$ Electronic Warrant Template Form                                                                                                                                                      DST
                                                                                                                Warrant Form                    corresponding repetitive wire instructions on
                                                                                                                                                Wachovia Connection, if State agency.



 5     Wachovia Acts on Enrollment Forms
5.1    Agency Participation Agreement (APA)                                                                                                     Wachovia executes APA and returns to OSC         Wach
                                                                                                                                                Wachovia sets up transmission link with either
5.2    EFT Participant Setup Form                                                                                                                                                                Wach
                                                                                                                                                CPS or participant
                                                                                                                                                Wachovia sets up settlement bank account,
                                                                                                                                                and Returns account if inbound, and advises      Wach
                                                                                                                                                DST and OSC of account numbers
                                                                                                                                                Wachovia links account to Wachovia
                                                                                                                                                                                                 Wach
                                                                                                                                                Connection Administrator
                                                                                                                                                Wachovia sets up invoicing                       Wach
                                                                                                                                                Wachovia sets up statement rendering             Wach


 6     Establish processing environment with CPS
       1. Agency must complete a Security Risk
                                                          Submit SRA and Diagram by email to
       Assessment (SRA) questionnaire obtained from
                                                          osc.secp.info@ncosc.net
       OSC SECP Website.
                                                                                                                 Security Risk Assement Form    a) OSC forwards SRA and Network Diagram to
6.1    2. Agency must submit a detailed Network Diagram                                                                                                                                    OSC
                                                          Security Risk Assessment may be separately required by Network Diagram                ITS Security Office
       to OSC for review by ITS Information Security
                                                          PPM. Obtain assistance from ITS Information Security
       Office.
                                                          Office if necessary.
                                                                                                                                                b) CPS Team reviews, provides feedback, and
                                                                                                                                                                                             CPS
                                                                                                                                                discusses with Agency Project Manager (APM)
                                                                                                                                                                                             Team
                                                                                                                                                to resolve outstanding issues.
                                                                                                                                                c) APM submits revised Security Risk
                                                                                                                                                Assessment for signature and approval by OSC Agency
                                                                                                                                                and ITS.
                                                                                                                                                    CORRESPONDING TASKS                                       Date
Step            AGENCY ACTIVITIES & TASKS                                  TASK DESCRIPTION                           Agency/Project Deliverables                                                     By
                                                                                                                                                    (OSC & ITS Use Only)                                    Completed



                                                         Submit by email to CPSTechSupport@lists.ncmail.net to
                                                         obtain access to the Technical Implementation section of
                                                                                                                                                 a) Store the project CPS Set-up Form in the
                                                         the CPS Agency Guide, and agree on an implementation                                                                                       CPS
6.2    Submit CPS Set-up Form - Group 1 Data                                                                      CPS Set-up Form - Group 1 Data project folder under the P-drive Agency
                                                         schedule. Submit this as early as possible - AT LEAST 1                                                                                    Team
                                                                                                                                                 Activation tracking folder
                                                         MONTH prior to the agency's design phase. The form is
                                                         available from the SECP website under CPS Enrollment.

                                                                                                                                                    b) Open an iWise Ticket to track this project
                                                                                                                                                    (Detail="merchant activation support",          CPS
                                                                                                                                                    Description="agency/project name - ACH          Team
                                                                                                                                                    activation project")
                                                                                                                                                    c) Send CPS Technical Implementation access
                                                                                                                                                                                                     CPS
                                                                                                                                                    information to either the PM (if State employee)
                                                                                                                                                                                                     Team
                                                                                                                                                    or to the MIS Manager
                                                                                                                                                    d) Assess and discuss with Telecomms and
                                                                                                                                                    Computing Services:
                                                                                                                                                    - business volumes and cycles
                                                                                                                                                                                                    CPS
                                                                                                                                                    - project timing requirements
                                                                                                                                                                                                    Team
                                                                                                                                                    - access or hosting issues
                                                                                                                                                    Set up a meeting with the agency project if
                                                                                                                                                    needed to facilitate discussion.

                                                                                                                                                    e) Ensure all are in agreement about timelines,
                                                                                                                                                                                                    CPS
                                                                                                                                                    testing schedules, and roll-out approach.
                                                                                                                                                                                                    Team
                                                                                                                                                    Access issues must be resolved at this time.


                                                     The CPS Technical Implementation documents include
                                                     the sample interface code, class libraries, best practices
                                                     and program processing descriptions. These are                                                 CPS provide UserID and Password to              CPS
6.3    Review CPS Technical Implementation documents
                                                     sensitive information and given only to projects confirmed                                     Technical Implementation contact.               Team
                                                     by OSC (by the assignment of a Merchant Name or
                                                     Company Name).
                                                         Define application's payment processing requirements,
6.4    Develop the CPS interface                         establish testing environment, and develop the interface
                                                         to CPS

                                                         This is to be done with the agency's business operations.
6.5    Establish fulfillment process and logistics
                                                         Consult NACHA Rules for payment handling regulations
       Develop Test Plan and Application specific Test   Develop a test plan and test script incorporating the
6.6                                                                                                                  Test Plan, Test Script
       Script                                            various transactions that will be performed.
                                                                                                                                                  CORRESPONDING TASKS                                        Date
Step            AGENCY ACTIVITIES & TASKS                               TASK DESCRIPTION                           Agency/Project Deliverables                                                       By
                                                                                                                                                  (OSC & ITS Use Only)                                     Completed


                                                      A bill code is used by the ITS billing system to generate
                                                      the monthly invoice to the agency for the CPS Usage Fee.
       Establish payment arrangement with ITS for
6.7                                                   Agency must decide who will bear this operational cost      Bill Code Request Form          ITS sets up bill code                            ITS
       services acquired
                                                      (IT, business unit, or fiscal). Request for a bill code may
                                                      be made by contacting the ITS Service Desk.


                                                      Submit this as early as possible - NO LESS THAN 2
                                                                                                                                                  ACH Only
                                                      weeks before testing the CPS Interface - BY EMAIL to
                                                                                                                                                  a) Set-up the project in the Test Environment
                                                      CPSTechSupport@lists.ncmail.net to provide test
                                                                                                                                                  using test environment information provided on CPS
6.8    Submit CPS Set-up Form - Group 2 Data          environment set-up information and confirm testing time in CPS Set-up Form - Group 2 Data
                                                                                                                                                  the form. Carry out test environment access as Team
                                                      the CPS test environment. Use the same form submitted
                                                                                                                                                  agreed in 6.2). CPS Team to coordinate tasks
                                                      in Step 6.2. Attach a copy of the Test Plan and Test
                                                                                                                                                  with TS/CS as needed.
                                                      Script developed in Step 6.6.
                                                                                                                                                  ACH Only
                                                                                                                                                  b) Provide the following to the agency project:
                                                                                                                                                   - any issues detected from the Test Plan and
                                                                                                                                                  Script                                            CPS
                                                                                                                                                   - test application username                      Team
                                                                                                                                                   - test password
                                                                                                                                                   - test Virtual Pay Reporting account (if desired
                                                                                                                                                  by customer)

                                                                                                                                                  c) Review the production environment
                                                                                                                                                                                                  CPS
                                                                                                                                                  information provided by the project on the form
                                                                                                                                                                                                  Team
                                                                                                                                                  and resolve implementation issues detected.


                                                      Submit test results to CPS support. Testing is supported
                                                      by the CPS team during normal business hours. Make                                          Support project testing of the interface as      CPS
6.9    Perform CPS interface testing                                                                            Test Script with test results
                                                      arrangements well in advance if the project needs support                                   needed.                                          Team
                                                      beyond the normal hours.

6b     Perform Testing & Acceptance Tasks
                                                                                                                                                  a) OSC acts on the Acceptance Checklist:
                                                                                                                                                  - Forwards the checklist to the CPS Team and
     Develop an Acceptance Checklist, incorporating   Do this AT LEAST 2 WEEKS BEFORE the planned                                                 obtain feedback on CPS requirements
6b.1 tasks performed and to be performed, per this    migration to production. Attach supporting documents       Acceptance Checklist             - Reviews the checklist and supporting           OSC
     project plan.                                    and submit BY EMAIL to osc.secp.info@ncosc.net                                              documents
                                                                                                                                                  - Advises the agency with comments if there
                                                                                                                                                  are issues that require resolution
                                                                                                                                                  b) If there are no issues identified by OSC or
                                                                                                                                                                                                   OSC
                                                                                                                                                  ITS, advise the agency.
                                                                                                                                                       CORRESPONDING TASKS                                       Date
Step           AGENCY ACTIVITIES & TASKS                                TASK DESCRIPTION                                Agency/Project Deliverables                                                       By
                                                                                                                                                       (OSC & ITS Use Only)                                    Completed

                                                                                                                       Settlement Bank Account         OSC provides numbers obtained from
6b.2 Obtain approval and Production set-up numbers                                                                                                                                                      OSC
                                                                                                                       Numbers                         Wachovia

                                                     Brief the agency's IT support, business support, and fiscal
                                                     support about the proper communication protocol when
                                                     the application becomes operational. IT and business
                                                     POINTS-OF-CONTACT have to be identified.

                                                     Identify the agency personnel who may report problems
                                                     and issues to ITS and who will be in ITS's notification list if
6b.3 Conduct briefing on Contact information         there are problems, changes, or issues on the Common
                                                     Payment Service. All CPS-related problems, issues and
                                                     requests must be coursed through the ITS Service Desk.
                                                     Review website Contact Information page for details.

                                                     Business-related issues and Wachovia Connection issues
                                                     must be concucted through OSC. Review OSC's SECP
                                                     Website "Contact Us" page for details.

                                                                                                                                                      a) Using information from the Group 2 and
                                                     AT LEAST 1 WEEK before production migration and BY
                                                                                                                                                      Group 3 set-up data, define the agency store      CPS
6b.4 Submit CPS Set-up Form - Group 3 Data           EMAIL to CPSTechSupport@lists.ncmail.net to request               CPS Set-up Form - Group 3 Data
                                                                                                                                                      or profile in the respective CPS Production       Team
                                                     agency activation in the CPS Production environment
                                                                                                                                                      Environment.
                                                                                                                                                      b) Schedule customer access to Virtual Pay
                                                                                                                                                                                                        CPS
                                                                                                                                                      Reporting and orientation with the agency users
                                                                                                                                                                                                        Team
                                                                                                                                                      specified on the Set-up Form.
                                                                                                                                                       c) Obtain firewall policy change approval by
                                                                                                                                                       opening an iWise ticket for TS requesting a      CPS
                                                                                                                                                       firewall policy update for                       Team
                                                                                                                                                       - the agency production application servers
                                                                                                                                                                                                        CPS
                                                                                                                                                       d) Add the agency's Bill Code to the CPS table
                                                                                                                                                                                                        Team
                                                                                                                                                       e) Update the
                                                                                                                                                                                                        CPS
                                                                                                                                                       CPSClientAgencies@lists.ncmail.net list serve
                                                                                                                                                                                                        Team
                                                                                                                                                       with agency information provided.
                                                                                                                                                       f) Update the CPS Agency Database with
                                                                                                                                                                                                        CPS
                                                                                                                                                       Settlement and Maintenance windows, and
                                                                                                                                                                                                        Team
                                                                                                                                                       other set-up information
                                                     Coordinate migration activities and schedule with OSC
6b.5 Migrate agency application into production
                                                     and the CPS team.
                                                                                                                                                            CORRESPONDING TASKS                                          Date
Step             AGENCY ACTIVITIES & TASKS                                         TASK DESCRIPTION                           Agency/Project Deliverables                                                         By
                                                                                                                                                            (OSC & ITS Use Only)                                       Completed


                                                                 Agency may determine to send a Prenote (Zero Dollar)
                                                                 transaction through the ACH network. If the agency
6b.6 Perform Prenotification Transaction (optional)
                                                                 elects to send the Prenote, there must be a six banking
                                                                 day lag before a live transaction can be initiated.

                                                                 Testers should be State employees or contractors whose
6b.7 Recruit production verification testers
                                                                 use of the live application can be directed and monitored.

                                                                 This process takes from 1 - 2 weeks. Production
                                                                 Verification means the agency application is live and will
                                                                 accept and process LIMITED live transactions from pre-
                                                                 identified State employees. The purpose is to determine if
                                                                 the agency's application has been set-up correctly: funds
                                                                                                                                                                                                                CPS
6b.8 Perform "production verification"                           are either remitted are received by the payees/payors on                                   a) Monitor the production transactions.
                                                                                                                                                                                                                Team
                                                                 the date anticipated, and the settlement bank account
                                                                 (and Returns account if applicable) can be viewed
                                                                 through Wachovia Connection. Any incorrect set-ups
                                                                 have to be corrected before making the online service
                                                                 open to the public.
                                                                                                                                                                                                                CPS
                                                                                                                                                            b) Monitor the batch settlement process.
                                                                                                                                                                                                                Team
                                                                                                                                                            c) Guide agency in their initial review of the
                                                                                                                                                                                                                OSC
                                                                                                                                                            Wachovia Connection reports.
                                                                 Report findings to OSC. OSC will work with Wachovia                                        Make any necessary changes in account
6b.9 Resolve agency set-up issues detected                                                                                                                                                                      OSC
                                                                 Bank for any account set-up issues.                                                        mapping on Wachovia Connection.
                                                                                                                                                            Review results to ensure there are no agency
6b.10 Submit "production verification" final results             Advise OSC and CPS of test results                                                                                                             OSC
                                                                                                                                                            set-up issues remaining.
                                                                                                                                                            a) Brief agency points of contact on the use of
        Issue public announcement / availability of service if                                                                                                                                                  CPS
6b.11                                                                                                                                                       ITS Service Desk support from this point
        needed                                                                                                                                                                                                  Team
                                                                                                                                                            onward.
                                                                                                                                                            b) Close the iWise ticket for this CPS activation   CPS
                                                                                                                                                            project.                                            Team
                                                                                                             Workplan Template
                                                                                        For Applications using the Common Payment Service (CPS)


               Merchant Card
                                                                                              Name of Agency:                                                                                 Revised     5/30/2007
         Implementation Plan w/ CPS
               Website link for Presentation:          http://www.ncosc.net/SECP/SECP_MerchantCard_Enrollment.html                                OSC Support Center Contact Info:               919.875.4357
                                                                                                                                                  ITS Service Desk Contact Info:                 800.722.3946
                                                          AGENCY ACTIVITIES & TASKS                                                                               OSC and ITS ACTIVITIES & TASKS

                                                                                                                                                  CORRESPONDING TASKS                                     Date
Step            AGENCY ACTIVITIES & TASKS                                TASK DESCRIPTION                           Agency/Project Deliverables                                                 By
                                                                                                                                                  (OSC & ITS Use Only)                                  Completed


                                                                                                                                                  OSC provides updated Website information
 1     Idenfify Merchant Card Project                                                                                                                                                         OSC
                                                                                                                                                  and answers any questions asked.
                                                       Review presentations, policies, agreements, and forms,
1.1    Review information on OSC's SECP Website
                                                       including PCI Security Standards information
1.2    Idenfity potential payment applications         Identify "card-present" and "card not-present" situations
                                                       Consider POS Terminals, POS Electronic software, Web-
1.3    Determine capture methods to be used            based applications, CPS Virtural Credit Card Termial
                                                       (VCCT), Gateway (CPS or third-party)
                                                       Identify method of transmitting authorizations and batch
1.4    Determine method of transmission
                                                       transactions.
                                                       Identify work to be performed, resources needed,
1.5    Develop internal statement of work                                                                       Statement of Work
                                                       security measures, timeframes, etc.
                                                       Request Pre-Project meetings for discussions. Topics
                                                       include security requirements; source of application                                                                                   OSC
1.5a Obtain assistance from OSC and/or CPS                                                                                                        OSC & ITS meets with Agency
                                                       servers; involvement of ITS. Determine ability to compy                                                                                ITS
                                                       with PCI Security Standards.
                                                       Cost-benfit analysis Includes costs of development and
1.6    Assess feasibility of implementation                                                                     Cost-benefit analysis
                                                       ongoing operation maintaince.
1.7    Obtain management approval for project          Consider cost-benefit analysis, staffing, and funding    Project Plan
                                                       Enroll with ITS Project Portfolio Management (PPM), if
1.8    Obtain ITS Project Management Office approval
                                                       applicable
1.9    Determine if convenience fee will be levied.    Consider OSC policy and obtain approval from OSBM

       Other

 2     Execute Enrollment Forms                                                                                                                   OSC provides all forms on Website           OSC
                                                       Review MSA. Legal should review agreement. Consider
2.1    Master Services Agreement (MSA)
                                                       the potential fines and other liabilites.
2.2    Agency Participation Agreement (APA)            Execute APA. Legal should review agrrement.                 APA                            OSC approves or disapproves participation   OSC
2.3    Merchant Card Participant Setup Form            Execute Participate Setup Form - by Chief Fiscal Officer

                                                       Execute Outlet Setup Form for each outlet or line of
2.4    Merchant Card Outlet Setup Form                                                                             APA
                                                       business (merchant number) needed - by Fiscal Officer
                                                       Prepare form designating users who will need access to
2.5    MyMerchant View Setup Form                      MyMverchant View online reporting with STMS - by Fiscal
                                                       Officer
                                                       Other forms, as referenced on OSC SECP Website may
                                                       be needed (Wachovia Connection, POS Terminal Order,
2.6    Other applicable forms                                                                                  Setup Form
                                                       PCI Security Self-Assessment Certification) - by Fiscal
                                                       Officer


 3     OSC Acts on Enrollment Forms




       c5340cac-0a33-4e4b-a784-1e44d5090db2.xls                                                                                                                                                                       Page 8
                                                                       Workplan Template
                                                  For Applications using the Common Payment Service (CPS)


                                                                                                            OSC processes agreements with DST and
3.1   Agency Participation Agreement (APA)                                                                                                                    OSC
                                                                                                            STMS, & distributes
                                                                                                            OSC processes form with DST, STMS, &
3.2   EFT Participant Setup Form                                                                                                                              OSC
                                                                                                            Wachovia
                                                                                                            OSC updates the participant info in the Heat
                                                                                                                                                              OSC
                                                                                                            database, and email contact list
                                                                                                            OSC processes form with STMS, and updates
3.3   Merchant Card Outlet Setup Form                                                                                                                 OSC
                                                                                                            the Heat database with the Merchant info
                                                                                                            OSC processes from with STMS, setting up
                                                                                                            users and obtaining UserIDs and initial
3.4   My Merchant View Setup Form                                                                                                                             OSC
                                                                                                            passwords. Users are notified directly of their
                                                                                                            UserIDs and initial passwords.
                                                                                                            If POS terminals are needed, OSC orders the
3.5   Other Applicable Forms                                                                                terminals from STMS, with delivery being          OSC
                                                                                                            made directly to agency
                                                                                                            If OSC is Admin for Wachovia Connection,
                                                                                                            agency users are set up, and users are
                                                                                                                                                              OSC
                                                                                                            notified directly of their UserID and initial
                                                                                                            password.
                                                                                                            Determination is made as to whether
3.6   PCI Security Certification                                                                            application is to be enrolled with                OSC
                                                                                                            AmbironTrustWave


 4    DST Acts on Enrollment Forms
4.1   Agency Participation Agreement (APA)                                                                  DST executes APA                          DST
                                                                                                            DST authorizes Wachovia to establish
4.2   Merchant Card Participant Setup Form                                                                                                            DST
                                                                                                            settlement account for agency
                                                                                                            DST establishes CIT account on CB$, and
                                                                                                            maps the ZBA account number when received DST
                                                                                                            from Wachovia, if State agency


5     STMS Acts on Enrollment Forms
                                                                                                            STMS executes APA and returns to OSC. Non-
5.1   Agency Participation Agreement (APA)                                                                  State agencies may be subject to a credit    STMS
                                                                                                            check
                                                                                                            STMS sets up profile for agency, assigning a
5.2   Merchant Card Participant Setup Form                                                                  Chain Number tor the agency Merchant Name, STMS
                                                                                                            and advises OSC
                                                                                                            STMS assigns a merchant number to each
5.3   Merchant Card Outlet Setup Form                                                                       outlet, mapping them to the agency's chain   STMS
                                                                                                            number. Also sets up invoicing.
                                                                                                            STMS sets up users and provides UserIDs
5.4   MyMerchant View Setup Form                                                                            and initial passwords to OSC, which then        STMS
                                                                                                            notifies each user separately, normally by Fax.
                                                                                                            If terminals are ordered, STMS ships terminals
5.5   POS Teminal Order Form                                                                                                                               STMS
                                                                                                            directly to agency



6     Establish processing environment with CPS




      c5340cac-0a33-4e4b-a784-1e44d5090db2.xls                                                                                                                      Page 9
                                                                                                                  Workplan Template
                                                                                             For Applications using the Common Payment Service (CPS)


      1. Agency must complete a Security Risk
      Assessment (SRA) questionnaire obtained from
      OSC SECP Website.                                     Submit SRA and Diagram by email to
      2. In conjuction with the SRA, the agency must also   osc.secp.info@ncosc.net
      complete the PCI Security Self-Assessment                                                                    PCI Security Questionnaire          a) OSC forwards SRA and Network Diagram
6.1                                                                                                                                                                                                    OSC
      Questionnaire.                                        Security Risk Assessment may be separately required by Network Diagram                     to ITS
      3. Agency must submit a detailed Network Diagram      PPM. Obtain assistance from ITS Information Security
      to OSC for review by ITS Information Security         Office if necessary.
      Office.


                                                                                                                                                       b) CPS Team reviews, provides feedback, and
                                                                                                                                                                                                   CPS
                                                                                                                                                       discusses with Agency Project Manager (APM)
                                                                                                                                                                                                   Team
                                                                                                                                                       to resolve outstanding issues.
                                                                                                                                                       c) APM submits revised Security Risk
                                                                                                                                                       Assessment for signature and approval by        Agency
                                                                                                                                                       OSC and ITS.


                                                            Submit by email to CPSTechSupport@lists.ncmail.net to
                                                            obtain access to the Technical Implementation section of
                                                                                                                                                    a) Store the project CPS Set-up Form in the
                                                            the CPS Agency Guide, and agree on an implementation                                                                                       CPS
6.2   Submit CPS Set-up Form - Group 1 Data                                                                          CPS Set-up Form - Group 1 Data project folder under the P-drive Agency
                                                            schedule. Submit this as early as possible - AT LEAST 1                                                                                    Team
                                                                                                                                                    Activation tracking folder
                                                            MONTH prior to the agency's design phase. The form is
                                                            available from the SECP website under CPS Enrollment.
                                                                                                                                                       b) Open an iWise ticket to track this project
                                                                                                                                                       (Detail="merchant activation support",          CPS
                                                                                                                                                       Description="Merchant name - Merchant           Team
                                                                                                                                                       Activation project")
                                                                                                                                                       c) Send CPS Technical Implementation
                                                                                                                                                                                                       CPS
                                                                                                                                                       access information to either the PM (if State
                                                                                                                                                                                                       Team
                                                                                                                                                       employee) or to the MIS Manager
                                                                                                                                                       d) Assess and discuss with Telecomms and
                                                                                                                                                       Computing Services:
                                                                                                                                                       - business volumes and cycles
                                                                                                                                                                                                       CPS
                                                                                                                                                       - project timing requirements
                                                                                                                                                                                                       Team
                                                                                                                                                       - access or hosting issues
                                                                                                                                                       Set up a meeting with the agency project if
                                                                                                                                                       needed to facilitate discussion.
                                                                                                                                                       e) Ensure all are in agreement about timelines,
                                                                                                                                                                                                       CPS
                                                                                                                                                       testing schedules, and roll-out approach.
                                                                                                                                                                                                       Team
                                                                                                                                                       Access issues must be resolved at this time.


                                                    The CPS Technical Implementation documents include
                                                    the sample interface code, class libraries, and program
                                                                                                                                                       CPS provide UserID and Password to              CPS
6.3   Review CPS Technical Implementation documents processing descriptions. These are sensitive information
                                                                                                                                                       Technical Implementation contact.               Team
                                                    and given only to projects confirmed by OSC (by the
                                                    assignment of a Merchant Name).
                                                    Define application's payment processing requirements,
6.4   Develop the CPS interface                     establish testing environment, and develop the interface
                                                    to CPS. Ascertain if AVS will be used.
                                                            This is to be done with the agency's business operations.
6.5   Establish fulfillment process and logistics
                                                            Consult STMS's MSA and Operating Guide.
      Develop Test Plan and Application specific Test       Develop a test plan and test script incorporating the
6.6                                                                                                                     Test Plan, Test Script
      Script                                                various transactions that will be performed.




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                                                                                                             Workplan Template
                                                                                        For Applications using the Common Payment Service (CPS)


                                                      A bill code is used by the ITS billing system to generate
                                                      the monthly invoice to the agency for the CPS Usage
      Establish payment arrangement with ITS for
6.7                                                   Fee. Agency must decide who will bear this operational         Bill Code Request Form       ITS sets up bill code                             ITS
      services acquired
                                                      cost (IT, business unit, or fiscal). Request for a bill code
                                                      may be made by contacting the ITS Service Desk.


                                                      Submit this as early as possible - NO LESS THAN 2                                           Merchant Card Only
                                                      weeks before testing the CPS Interface - BY EMAIL to                                        a) Set-up the project as a CPS Store in the
                                                      CPSTechSupport@lists.ncmail.net to provide test                                             Test Environment using test environment
                                                                                                                                                                                                    CPS
6.8   Submit CPS Set-up Form - Group 2 Data           environment set-up information and confirm testing time CPS Set-up Form - Group 2 Data      information provided on the form. Carry out
                                                                                                                                                                                                    Team
                                                      in the CPS test environment. Use the same form                                              test environment access as agreed in 6.2).
                                                      submitted in step 6.2. Attach a copy of the Test Plan and                                   CPS Team to coordinate tasks with TS/CS as
                                                      Test Script.                                                                                needed.
                                                                                                                                                  Merchant Card Only
                                                                                                                                                  b) Provide the following to the agency project:
                                                                                                                                                  - any issues detected from the Test Plan and
                                                                                                                                                  Script
                                                                                                                                                  - test application username                       CPS
                                                                                                                                                  - test password                                   Team
                                                                                                                                                  - test visa card number ($1 limit)
                                                                                                                                                  - test mc card number ($1 limit)
                                                                                                                                                  - test VCCT username & password
                                                                                                                                                  - point agency users to VCCT Online Help

                                                                                                                                                  c) Review the production environment
                                                                                                                                                                                                  CPS
                                                                                                                                                  information provided by the project on the form
                                                                                                                                                                                                  Team
                                                                                                                                                  and resolve implementation issues detected.


                                                      Submit test results to CPS support. Testing is supported
                                                      by the CPS team during normal business hours. Make                                          Support project testing of the interface as       CPS
6.9   Perform CPS interface testing                                                                             Test Script with test results
                                                      arrangements well in advance if the project needs support                                   needed.                                           Team
                                                      beyond the normal hours.


6b    Perform Testing & Acceptance Tasks
                                                                                                                                                  a) OSC acts on the Acceptance Checklist:
                                                                                                                                                  - Forwards the checklist to the CPS Team and
     Develop an Acceptance Checklist, incorporating   Do this AT LEAST 2 WEEKS BEFORE the planned                                                 obtain feedback on CPS requirements
6b.1 tasks performed and to be performed, per this    migration to production. Attach supporting documents           Acceptance Checklist         - Reviews the checklist and supporting            OSC
     project plan.                                    and submit BY EMAIL to osc.secp.info@ncosc.net                                              documents
                                                                                                                                                  - Advises the agency with comments if there
                                                                                                                                                  are issues that require resolution
                                                                                                                                                  b) If there are no issues identified by OSC or
                                                                                                                                                                                                    OSC
                                                                                                                                                  ITS, advise the agency.
                                                                                                                                                  c) Send an acceptance confirmation email to
                                                                                                                                                  the agency project including fiscal and
                                                                                                                                                  business areas, and to the CPS Team that          OSC
                                                                                                                                                  includes MID,TID , and User Profile
                                                                                                                                                  information.
6b.2 Obtain approval and Production set-up numbers                                                                                                OSC provides numbers obtain from STMS             OSC




      c5340cac-0a33-4e4b-a784-1e44d5090db2.xls                                                                                                                                                             Page 11
                                                                                                          Workplan Template
                                                                                     For Applications using the Common Payment Service (CPS)



                                                  Brief the agency's IT support, business support, and fiscal
                                                  support about the proper communication protocol when
                                                  the application becomes operational. IT and business
                                                  POINTS-OF-CONTACT have to be identified.

                                                  Identify the agency personnel who may report problems
                                                  and issues to ITS and who will be in ITS's notification list if
                                                  there are problems, changes, or issues on the Common
6b.3 Conduct briefing on Contact information
                                                  Payment Service. All CPS-related problems, issues and
                                                  requests must be coursed through the ITS Service Desk.
                                                  Review website Contact Information page for details.

                                                  Business-related issues, MyMerchantView, and Wachovia
                                                  Connection issues must be conducted through OSC.
                                                  Review OSC's SECP Website "Contact Us" page for
                                                  details.

                                                  AT LEAST 1 WEEK before production migration and BY                                                 a) Using information from the Group 2 and
                                                  EMAIL to CPSTechSupport@lists.ncmail.net to request                                                Group 3 set-up data, define the agency store     CPS
6b.4 Submit CPS Set-up Form - Group 3 Data                                                                          CPS Set-up Form - Group 3 Data
                                                  merchant agency activation in the CPS Production                                                   or profile in the respective CPS Production      Team
                                                  environment                                                                                        Environment.
                                                                                                                                                     b) Set-up customer access to Virtual Credit
                                                                                                                                                     Card Terminal and orientation with the agency
                                                                                                                                                                                                   CPS
                                                                                                                                                     users specified on the Set-up Form. Check
                                                                                                                                                                                                   Team
                                                                                                                                                     that the users have reviewed the User Guide
                                                                                                                                                     and know how to use the reports.
                                                                                                                                                     c) Obtain firewall policy change approval by
                                                                                                                                                     opening an iWise ticket for TS requesting a      CPS
                                                                                                                                                     firewall policy update for                       Team
                                                                                                                                                     - the agency production application servers
                                                                                                                                                                                                      CPS
                                                                                                                                                     d) Add the agency's Bill Code to the CPS table
                                                                                                                                                                                                      Team
                                                                                                                                                     e) Update the
                                                                                                                                                                                                      CPS
                                                                                                                                                     CPSClientAgencies@lists.ncmail.net list serve
                                                                                                                                                                                                      Team
                                                                                                                                                     with agency information provided.
                                                                                                                                                     f) Update the CPS Merchant Agency Database
                                                                                                                                                                                                      CPS
                                                                                                                                                     with Settlement and Maintenance windows,
                                                                                                                                                                                                      Team
                                                                                                                                                     and other set-up information
                                                  Coordinate migration activities and schedule with OSC
6b.5 Migrate agency application into production
                                                  and the CPS team.
                                                  Testers should be State employees or contractors whose
6b.6 Recruit production verification testers
                                                  use of the live application can be directed and monitored.

                                                  This process takes from 1 - 2 weeks. Production
                                                  Verification means the agency application is live and will
                                                  accept and process LIMITED live transactions from pre-
                                                  identified State employees. The purpose is to determine if
                                                  the merchant agency had been set-up correctly: the
                                                  funds are received within the next business day,                                                                                                    CPS
6b.7 Perform "production verification"                                                                                                               a) Monitor the production transactions.
                                                  processing rates applied on transactions are correct,                                                                                               Team
                                                  processing charges are not debited against the daily
                                                  funding deposits, the settlement bank account can be
                                                  viewed through Wachovia Connection, etc. Any incorrect
                                                  set-ups have to be corrected before making the online
                                                  service open to the public.




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                                                                                                                     Workplan Template
                                                                                                For Applications using the Common Payment Service (CPS)


                                                                                                                                                                                                                    CPS
                                                                                                                                                                b) Monitor the batch settlement process.
                                                                                                                                                                                                                    Team
                                                                                                                                                                c) Guide merchant agency in their initial review
                                                                                                                                                                                                                    CPS
                                                                                                                                                                of the VCCT reports after the settlement is
                                                                                                                                                                                                                    Team
                                                                                                                                                                completed.
                                                                                                                                                                d) Guide agency in their initial review of the
                                                                                                                                                                Wachovia Connection reports.
                                                                                                                                                                e) Guide agency in their initial review of the
                                                                                                                                                                MyMerchant View reports.
                                                                                                                                                                a) Make any necessary changes in account
                                                              Report findings to OSC. OSC will work with STMS and                                               mapping on Wachovia Connection.
6b.8 Resolve agency set-up issues detected                                                                                                                                                                          OSC
                                                              Wachovia Bank for any agency-set-up issues.                                                       b) Rectify any setup issues with MyMerchant
                                                                                                                                                                View
                                                                                                                                                                Review results to ensure there are no agency
6b.9 Submit "production verification" final results           Advise OSC and CPS of test results                                                                                                                    OSC
                                                                                                                                                                set-up issues remaining.
                                                                                                                                                                a) Brief agency points of contact on the use of
        Issue public announcement / availability of service                                                                                                                                                         CPS
6b.10                                                                                                                                                           ITS Service Desk support from this point
        if needed                                                                                                                                                                                                   Team
                                                                                                                                                                onward.
                                                                                                                                                                b) Close the iWise ticket for this CPS activation   CPS
                                                                                                                                                                project.                                            Team


 7      Establish Business Procedures
                                                              Review presentations, policies, agreements, forms, and
 7.1    Educate staff on SECP website
                                                              contact information
                                                              Base procedures on STMS Operating Guide and Card
                                                              Association Rules. Topics should include signature
        Establish procedures for face-to-face transactions
 7.2                                                          verification, address verification, expiration date
        and card not-present transactions.
                                                              verification, processing inadvertent duplicate transactions,
                                                              refunds, chargebacks, etc.
                                                              Base procedures on STMS Operating Guide and Card
                                                              Association Rules. Topics should include voice
 7.3    Establish procedures for obtaining authorizations
                                                              authorization as backup, suspected fraud situations
                                                              (Code 10 Procedures), etc.
        Provide necessary training for operating POS          Obtain guidance from STMS Technical Services Help
 7.4
        terminals and POS software applications.              Desk if necessary.
        Establish procedures for closing out terminals and
                                                              Base procedures based on cut-off times provided by CPS
 7.5    other applications, and tranmitting batches to either
                                                              or STMS.
        CPS or STMS.
        Establish procedures for retaining transaction slips, Devise procedures based on OSC E-Commerc Policies,
 7.6    records retention, and handling disputed              STMS Operating Guide, and Card Association Rules.              Internal Policies and Procedures
        transactions.                                         Use template on OSC's SECP Website
                                                                                                                                                                OSC reviews and approves policies and
 7.7    Submit Internal Agency Policies & Procedures          Submit by email to osc.secp.info@ncosc.net for review.                                                                                                OSC
                                                                                                                                                                procedures


 8      Establish Fiscal Procedures
                                                              Review presentations, policies, agreements, forms, and
 8.1    Educate staff on SECP website
                                                              contact information
        Establish procedures for reporting of funds           Incorporate Reconcilement Function requirements on
        received for settlement of transactions; and          SECP website. Consider settlement of proprietary card
 8.2
        Refunds and Chargebacks that are netted out of        transactions that may be received on a different day than
        daily ZBA sweep.                                      Visa or MasterCard.
                                                              Verify all users have received userIDs and passwords,
        Establish procedures for Wachovia Connection
 8.3                                                          and have access to all required functions and settlement
        users
                                                              accounts




        c5340cac-0a33-4e4b-a784-1e44d5090db2.xls                                                                                                                                                                           Page 13
                                                                                                                 Workplan Template
                                                                                            For Applications using the Common Payment Service (CPS)


                                                            Verify all users have received userIDs and passwords,
8.4   Establish procedures for MyMerchant View users        and have access to all merchant numbers and required
                                                            reports
                                                            Verify all users have received userIDs and passwords,
8.5   Establish procedures for VCCT users                   and have access to all merchant numbers and required
                                                            reports
      Establish procedures for multiple merchant number
      settling into same bank account, and associated   Incorporate Reconcilement Function requirements on
8.6
      reconcilement with the decentralized department's SECP website
      captured transactions.
      Establlish procedures for reviewing, verifying, and   Develop controls, and periodically examine to enusre that
8.7
      paying STMS monthly invoice                           the appropriate Interchange rates are being applied.

                                                            Describe Internal Policies and Procedures, incorporating
8.8   Prepare an updated Cash Management Plan               procedures established, and any applicable E-Commerce Internal Policies and Procedures
                                                            policies on SECP websie, utilizing sample format.
                                                                                                                                                      OSC reviews and approves policies and
8.9   Submit Internal Agency Policies & Procedures          Submit by email to osc.secp.info@ncosc.net for review.                                                                              OSC
                                                                                                                                                      procedures


9     Obtain PCI Security Compliance
                                                            Review OSC's Website pertaiing to PCI Security,
      Educate staff on PCI Security Standards               including presentations, policies, Visa and MasterCard
9.1
      requirements                                          Websites. Consider the potential fines for non-compliance
                                                            or security breaches.
                                                            Consider requirement associated with business
      Establish procedures from the business
9.2                                                         processing, to include physical security, employee
      perspective
                                                            background checks, etc.
                                                            Consider requirement associated with technical
      Establish procedures from the technical
9.3                                                         processing, to include hardware, software, firewalls,
      perspective
                                                            encryption, etc.
                                                            Complete questionnaire regardless of types of capture
9.4   Complete Security Assessment Questionnaire
                                                            used.
                                                            If third-party gateways or other service providers are
9.5   Ascertain compliance of third party providers
                                                            used, obtain certificate of compliance
                                                            Provide one contact for entire agency to OSC, on
9.6   Designate individual for PCI Security
                                                            Merchant Card Participant Setup Form
                                                            If outward facing IPS URLs are used, enroll with
9.7   Enroll with AmbironTrustWave if applicable            AmbironTrustWave, for annual questionnaire completion                                       OSC enrolls each merchant number with ATW OSC
                                                            and quarterly vulnerability scans.
                                                            For merchant numbers not required to be enrolled with
                                                                                                                      PCI Self Assessment Certification
9.8   Complete Self Assessment Certification                ATW (i.e., POS Terminals) complete Self Assessment
                                                                                                                      Form
                                                            Certification Form




      c5340cac-0a33-4e4b-a784-1e44d5090db2.xls                                                                                                                                                          Page 14

				
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