Award Authorized 1/31/06 Ciber NCDOT IT APPLICATION SUPPORT PROJECT HIGHWAY CONSTRUCTION AND MATERIALS SYSTEM

Transcription

1 Award Authorized 1/31/06 Ciber NCDOT IT APPLICATION SUPPORT PROJECT HIGHWAY CONSTRUCTION AND MATERIALS SYSTEM Scope Statement November 1, 2005 Tracking No. TECH Al Little Transportation Applications Manager NCDOT, IT

2 State of North Carolina Department of Transportation - Information Technology DOT HiCAMS Application Support Initiative Scope Statement Department/Agency Department of Transportation - Information Technology Issue Date November 1, 2005 Name Project Sponsor Project Contact Category Deadline for Vendor Questions Submit Questions to Deadline for Proposal Submissions Submit Proposals to HiCAMS IT Support (Tracking Number: TECH ) Mark Paxton NCDOT-IT Chief Information Officer Al Little NCDOT-IT Transportation Applications Manager Attachment 8 - Legacy Systems Support November 7, 2005 by 5:00 pm est vboykin@dot.state.nc.us November 17, 2:00 pm est DOT Procurement Office Attn: Vickie Boykin 401 Oberlin Road, Suite 250 Raleigh, N. C Submit all vendor questions to the address indicated above. Written questions must be submitted by the date and time stated above. Please put HiCAMS IT Support TECH Questions in the subject line of your . Responses to the questions will be ed to all the eligible vendors on Attachment 8 of the Technical Services Contract. Oral answers are not binding on the State. Vendor contact regarding this Scope Statement with anyone other than Vickie Boykin will be grounds for rejection of said Vendor s offer. IMPORTANT: Please return one (1) original and one (1) copy of this proposal to the address listed above. Indicate firm name and scope statement title on the front of each proposal envelope or package. 2

3 Scope Statement Purpose The purpose of this scope statement is to solicit proposals from eligible vendors for application support services for the existing highway construction and materials systems. The existing Agency implemented highway construction and materials management system is known as HiCAMS (Highway Construction and Materials System). This in-house developed system has been implemented by the North Carolina Department of Transportation Information Technology group for the North Carolina Department of Transportation Division of Highways. HiCAMS is further explained on Page 7 Section

4 Table of Contents SCOPE STATEMENT PURPOSE BACKGROUND INITIATIVE OVERVIEW SYSTEM OVERVIEW HiCAMS Purpose of HiCAMS Highway Construction Contract Management Materials and Test Standards and Management HiCAMS Modules DOH Vendor Modules COMMUNICATION PROCESS Communication and Issue Resolution Steps AGENCY PROJECT MANAGEMENT METHODOLOGIES INITIATIVE EXPECTATIONS AND RESULTS INITIATIVE EXPECTATIONS AND RESULTS VENDOR TEAM TRANSITION ASSESSMENT OF CURRENT ENVIRONMENT (PHASE I) SYSTEMS SUPPORT TRANSITION (PHASE II) FULL SYSTEMS SUPPORT (PHASE III) APPLICATION SUPPORT REQUIREMENTS PROJECT PERFORMANCE DATA AND METRICS APPLICATION SUPPORT PROCESSES ROLES & RESPONSIBILITIES DEPARTMENT RESPONSIBILITIES & ROLES Department Responsibilities End-User Training Application Support Hardware and Tools Software Quality Assurance Project Management Tools Department Roles Department-Provided Steering Committee Role Department-Provided Hardware and Database Server Support Role Department -Provided Citrix Server Support Role Department -Provided User Workstation Support Role Department -Provided Application Database Administration Role VENDOR RESPONSIBILITIES & ROLES Vendor Responsibilities Applications Support Responsibilities Project Planning, Tracking and Reporting (Project Management) Change Management Project Management Responsibilities Vendor Project Management Skills Applications Support Group Responsibilities Vendor Application Support Skills DELIVERABLES AND WORK PRODUCTS VENDOR PROPOSAL REQUIREMENTS

5 6.0 BEST VALUE PROCUREMENT T TIMETABLE/SCHEDULE ADDITIONAL CONTRACTUAL TERMS PROPOSAL EVALUATION AND VENDOR SELECTION CRITERIA INFORMATION REGARDING AGENCY S EVALUATION PROCESS...42 RISK RELATED...43 RISK CATEGORY SUBTOTAL...43 BENEFIT RELATED...43 BENEFIT CATEGORY SUBTOTAL...43 COST CATEGORY SUBTOTAL...43 Vendor Total Evaluation Score ADMINISTRATIVE ITEMS COST PROPOSAL INSTRUCTIONS AND FORMAT EXECUTION OF SCOPE STATEMENT - TECH EXHIBIT 1 HICAMS APPLICATION SUPPORT GLOSSARY...46 DEFINITION OF ACRONYMS...46 EXHIBIT 2 COST SCHEDULE A BACKGROUND The North Carolina Department of Transportation (Department) is a very complex organization with an annual budget of over $3 billion. Its mission is to provide and support a safe and integrated transportation system for the citizens of North Carolina. The Department fulfills this mission through two major thrusts. First, the Department directs, plans, constructs, maintains and operates the second largest state-maintained transportation system in the nation to include aviation, ferry, public transportation, rail and highway systems. Second, the Department licenses and regulates the citizens and motor vehicles that utilize these transportation systems. Today, the Department employs over 14,000 people across the State. The Department is divided into 11 main divisions with 14 local division offices under the Division of Highways located geographically throughout the state. These 14 local division offices are responsible for construction, maintenance, roadside environmental programs, traffic services and the fiscal and facility operations involved in administering these functions. Additionally, the Division of Motor Vehicles operates 124 driver license offices, three mobile driver license offices; nine weigh stations and eight enforcement district offices. 1.1 Initiative Overview North Carolina Department of Transportation - Information Technology (IT) requires software applications support for the HiCAMS (Highway Construction and Materials System) Application. Software applications support activities shall include: 5

6 Software Development design and coding tasks in support of the maintenance and enhancement needs of the system. Requirements Collection & Analysis coordination with user groups to define and document the business processes and business rules supported by the system; analysis of business requirements to determine desired features and functions. Project Management Support including all project management activities associated with planning and oversight of the software maintenance, enhancement, release management, requirements collection and analysis, production support, system support, User support, quality control and quality assurance functions, and project administrative duties. Quality Control & Quality Assurance all planning and performance of software unit, module, system and integration testing, tracking and measurement of software defects, corrective actions and reporting; quality assurance of project team processes and procedures. Software Release Planning & Management - packaging of software deliverables into organized and scheduled releases coordinated with the User Groups and other North Carolina Department of Transportation Information Technology groups. Production support - response to and documentation of system issues reported by the user community and client organization Computer System Liaisons; coordination with the DOT IT Database Management System and Technical Services groups to address urgent and critical system interruptions (24 x 7) and critical Help Desk support calls. System support - including review and maintenance of system interfaces and existing functions and features; configuration and acceptance testing of new operating system and database version upgrades. User support - system research and inquiries, participation in User Group meetings, User outreach initiatives and website design and updates. 6

7 1.2 System Overview HiCAMS HiCAMS is an in-house developed construction and materials and test management system that the Agency has successfully implemented. HiCAMS is a two-tier application primarily written in PowerBuilder 8.0, with some Java and C components, using Sybase s Adaptive Server software as the database layer. The Sybase Open Client software is loaded on User workstations to provide database connectivity. New HiCAMS Version updates are deployed to user workstations via releases wherein the client portion of the code is replaced with the newest version. NCDOT has also deployed HiCAMS to specific user workstations via Citrix MetaFrame, for those users requiring off-network access. HiCAMS is hosted on Sun Solaris servers with a Unix operating system at the Department s Century Center data center located at 1020 Birch Ridge Drive, Raleigh NC. HiCAMS functionality is divided into two subsystems, which are highly integrated but developed and deployed separately HiCAMS and DOH (Division of Highway) Vendor. System Attributes Size and Complexity HiCAMS Application 54mb DOH Vendor Application 29.4mb Powerbuilder Objects Windows 100+ Standard Reports 63 Production Database Size approximately 5gb Production Database Tables 414 Production Database Triggers 413 Production Database Stored Procedures 185 Production Unix Shell Scripts 20 Development Unix Shell Scripts 23 Other databases Development, Test (4), VAL (copy of production) Major Processes Up to 3 Major Releases per year Periodic point (maintenance) releases, as required Up to 30 Production Issues handled per month Up to 30 Change Requests handled per month 600 plus Active Users, 14 DOT Divisions 4 External System Interfaces 7

8 HICAMS USERS and INTERFACES Materials & Test Blue Ridge Road (Raleigh) Materials & Test Labs (Statewide) (Raleigh) Division Offices (Statewide) Raleigh Sybase Database HiCAMS Development Team (Raleigh) Central Construction Transportation Building (Raleigh) Database Server Construction Resident Engineers (Statewide) Materials & Test Field Users (Statewide) SPECS System (Raleigh) Web Services Team (Raleigh) BSIP/R3 System (Raleigh) Dept of Insurance System (Raleigh) Purpose of HiCAMS HiCAMS is designed to provide Department of Highways personnel data entry, records processing and tracking, reference data retrieval, and reporting functionality in support of 8

9 managing major construction projects in North Carolina. The system supports two primary user groups the Central Construction Unit (CCU) and the Materials & Test Unit (M&T) and supports both ongoing construction work and the control and testing of materials, producers and suppliers used in that work. HiCAMS offers an extensive list of user-defined standard reports, as well as an on-line query capability allowing users to define reporting parameters at their discretion. Primary system interfaces include the Specifications, Proposals, Estimates, Contracts System (SPECS) and the Business System Information Portal (BSIP), formally known as the Business Systems Improvement Project. The system provides mechanisms for: Authorizing and maintaining contract line items for Highway Projects Recording construction work via entry of Material Receipts, Pay Records and Tickets Calculating contractor payments based on Work Accomplished (Estimates) Processing contract changes and adjustments, such as Supplemental Agreements Processing and tracking Contractor Claims Recording information on Subcontracts Entering and maintaining reference data on Materials, Producers and Suppliers Entering and maintaining information about Technicians, Technician Certifications, and Certification Courses and Classes Entering Material Samples and Field Inspection Data Auditing materials, tests, and contractor payments for adherence to standards in support of Project Certification efforts Highway Construction Contract Management HiCAMS receives awarded contract data from the Specifications, Proposals, Estimates, Contracts System (SPECS). The Central Construction Unit (CCU) reviews the contract details 9

10 and authorizes the contracts for work in HiCAMS. Field construction staff in the Resident Engineer offices across the state then utilize HiCAMS for recording materials received and work accomplished on each contract, through a variety of on-line transactions. Construction staff process contract changes and additions in HiCAMS, and field personnel enter material samples and quality of work inspections for which they are responsible. Resident Engineers utilize HiCAMS for processing monthly contractor estimate payments for work accomplished and, upon approval in HiCAMS by Central Construction, the payment information is transmitted to the fiscal system Materials and Test Standards and Management The Materials & Test Unit (M&T) is primarily responsible for setting, maintaining and enforcing compliance standards for the materials used on construction projects for the State. In this role, M&T maintains much of the reference data in HiCAMS. This data includes lists of approved producers and suppliers, approved products, materials lists, concrete mix design, Asphalt Mix and Job Mix Formula information. The reference data is used within the system to enforce standards; for example, certain materials are allowed to be used in construction projects only if they are received from an approved producer or supplier, and the system contains data edits to ensure this rule is maintained. In addition, M&T personnel manage the testing of construction materials both on-site by construction personnel, contractor personnel and M&T staff, through Field Inspections, and through pre-testing of materials at producer sites. HiCAMS provides entry mechanisms for these tests and in addition supports the Independent Assurance and Quality Assurance/ Quality Control testing programs. To maintain testing integrity, M&T also utilizes the DOH Vendor subsystem of HiCAMS to maintain the list of certified testing technicians, schedule and enroll technicians for certification classes, and produce certification documentation. 10

11 Figure 1 Organization DOT Client Sponsors DOT HiCAMS Steering Committee DOT Materials & Test Functional Manager DOT Central Construction Unit Functional Manager DOT/IT Transportation Applications Manager DOT Materials & Test Liaison DOT Central Construction Unit Liaison VENDOR STAFF 11

12 HiCAMS Modules The HiCAMS application contains the following primary modules: Contract Setup provides an Authorization function for newly received contracts and allows review of pre-hicams converted contract information. Contract Maintenance field staff use functionality within this module to activate contracts and allow work to be recorded; sub-modules provide access to contract details (line items, WBS numbers); provides capability for entry and maintenance of Subcontract and Contract Times information. Contract Adjustments provides the capability to make modifications to basic contract information, including the management of Supplemental Agreements, Force Accounts, Eliminated Contract Items, and Left Over Materials. Contract Tracking supports entry of Material Receipts, Pay Records, and Tickets used to record work accomplished and materials used on construction projects, and provides capability for making adjustments to contract dollar amounts as Pay Adjustments or Prepayments for materials; Audit Materials functionality provides access to Project Certification data. Contract Estimates provides capability to generate, review, approve and print contract estimates (contractor payments for work accomplished), with additional functionality available to verify quantities of work and materials in preparation of Final Estimates; actions within this module generate the financial transactions which are transmitted to the fiscal system. Work Breakdown Structure (WBS) Maintenance provides capability to add, merge, split and re-distribute the percentages of amounts attributed to different funding sources of projects. Density sub-modules provide users with functionality to enter and maintain results of different kinds of density tests for Asphalt and other materials. 12

13 Field Inspection Reports provides the ability to enter and review inspections of certain types of materials or finished products (guardrail, for example); also provides functionality to prepare Notices of Rejection when an inspected product fails. Independent Assurance supports the DOT s Independent Assurance program and allows correlation and verification of IA samples tests with other types of materials tests. Quality Assurance/Quality Control supports the QA/QC program at DOT, providing entry and comparison of tests for Aggregate Base Course from different sources, including producer quality control labs. Sampling provides mechanisms to enter, track and authorize samples taken on construction materials; sample statuses can be assigned, reviewed and updated and sample data is validated against contract and other reference information. Project Certification presents summary and detail information about contract activity in the form of materials received, paid for, and sampled; users can customize the data display and filters used to sort the data. Claims Tracking provides the ability to initiate, track, and approve claims made by contractors about work accomplished and paid for DOH Vendor Modules The DOH (Division of Highway) Vendor subsystem contains the following primary modules. Contractor Directory supports the entry, maintenance and classification of contractor data for contractors who do business with NCDOT. The module is used to ensure compliance with NCDOT s Disadvantaged Business Enterprise programs and to indicate which contractors have been approved for making bids on construction projects; vendor data is provided to the SPECS system on a daily basis; data collected in this module is used by other processes in the system (e.g., Subcontracts) as reference data. Technician - provides the capability to create and schedule technician training classes and courses, register and enroll technicians for the courses, capture test scores, and grant certifications, which are used to ensure that both DOT and non-dot technicians taking onsite samples are qualified to do so; technician data is used by other system areas (e.g., Sampling). 13

14 Products supports the entry and maintenance of submitted and approved products (paint, coatings, etc.); product data is utilized by other areas of the system as reference data. Producer/Supplier provides the ability to enter and maintain data on producers and suppliers of materials approved for use on NCDOT contracts; the module collects location data and classifications of the plants and facilities operated by the producer or supplier; information contained in this module is used by other system areas (e.g., Contract Tracking, Sampling) as reference data Reference Data and Common Modules The following modules contain reference data used throughout the system: Asphalt Mix Design provides entry, maintenance, and approval functionality for asphalt mixes and contains specific data about components and producers. Average Terminal Prices tracks the cost of asphalt at asphalt terminals over time so that payments to contractors can be adjusted when the contract allows for price adjustments. Batch Printing provides the ability for M&T staff to print sample test results in batch form by testing lab location. Concrete Mix Designs allows entry, maintenance and approvals of concrete mix designs and provides the ability to assign mix designs to contracts. Job Mix Formulas - provides entry, maintenance, and approval functionality for asphalt mixes defined in specific forms for specific uses and projects, and contains specific data about components and producers. Master Bill of Materials the Materials & Test Unit utilized this module to link all of the authorized materials in the system to specific pay items (master list of contract pay items); HiCAMS uses this list to dynamically create a Contract Bill of Materials for each contract as it is received from the SPECS system for authorization. Master Pay Items the Design Services Unit maintains this list in HiCAMS, which is used in conjunction with the Materials List to create the Master Bill of Materials; this represents the master list of all potential contract line items. 14

15 Materials this module is used by M&T to enter and maintain all of the materials approved for use on NCDOT construction projects. Minimum Sampling Guide used by M&T to delineate the sampling frequency, testing requirements, and other constraints for all of the materials on the Materials list. Test Formats /Test Formats Mapping - provides M&T labs the ability to record sample test results and link them to Samples in the system; serves as the basis for authorizing or rejecting samples. Independent Assurance (IA) Rating Units provides the ability for the Independent Assurance group within M&T to set tolerances and desired attribute limits (moisture content, specific gravity, compressive strength, etc.) for specific materials for use in IA sample verification. The following modules provide user inquiry, reporting, and maintenance functionality for the entire system: Inquiries provides customized query capability for different sets of system data; users can select display and sorting criteria, select data filters, and export query results. Standard Reports pre-defined reports on data sets defined by the users; most reports allow for some level of sorting and filter; for example, by date range. Organization Information lists staff and office information, staff office and group assignments, and provides access for authorized users to the Security module, which defines individual and group system access rules and restrictions. Notification Setup - allows authorized users to modify established notification parameters.. 15

16 1.3 Communication Process The main groups involved with providing support to HiCAMS users are Central Construction Unit (CCU), Materials & Test Unit (M&T), Agency IT Help Desk, and HiCAMS Application Support. Both CCU and M&T have a designated Computer System Liaison position to provide business process, system usage and how to question support. Therefore, each primary business unit provides knowledgeable support to its application users. Most end-user questions are directed toward these positions first. End-users are also directed to call the Agency IT Help Desk for issues about hardware and software installations and connectivity. Users may also report problems and request application changes through the HiCAMS application web site, These reports are routed to the CCU and M&T Computer System Liaisons for review and action. The application users ask many questions on a daily basis, in order to carry out the work requested by Agency. The user questions are typically addressed by peers or supervisors or by the Computer System Liaisons. Users are encouraged to use the formal process and contact the Agency IT Help Desk in order to resolve issues regarding connectivity problems, hardware and software installation and maintenance. The CCU and M&T Computer System Liaisons act as the primary points of contact for communicating application issues to the HiCAMS Application Support team. A single point of contact within the HiCAMS team is designated as responsible for receiving, logging, tracking and performing initial research into reported issues. The HiCAMS Application Support team utilizes a software tool Rational ClearQuest to log and track reported problems and issues Communication and Issue Resolution Steps Due to the division of responsibilities and capabilities in responding to different types of issues, there are two primary issue resolution processes and communications flows. Users with issues regarding connectivity, system response time, hardware and software installation or configuration issues call the Department Help Desk. The Help Desk makes the determination if the help desk can address the question, or if the question needs to be distributed to another group within Department IT. The Department Help Desk tracks, manages and communicates the status of all help desk cases through the HEAT software package. The Technical Services and Database Management Systems (DBMS) groups within the Department IT organization are the primary support providers in these cases. The specific problem resolution steps are dependent on the reported problem and may vary. Users with other types of issues report problems, change requests and questions to their respective Computer System Liaison via telephone, , or web form. Often, how to and business process questions are handled by the Liaisons with no need to involve the HiCAMS 16

17 . Application Support team. In instances where the Liaisons believe there is an application or database defect, where data needs to be corrected, or when there are questions about application functionality, the Liaisons contact the HiCAMS Application Support team. Contact may be via , telephone, or by submitting a change request directly into the Rational defect tracking software, ClearQuest. The HiCAMS Application Support team distributes a daily report on the status and disposition of problems and change requests handled each day to the Liaisons. In addition, the Liaisons and CCU and M&T management have access to the ClearQuest defect tracking software and can check status and resolution on an as-needed basis. The HiCAMS Application Support team s first step in resolving any reported issue is to determine if the issue is a defect, a training issue, or a change request. Training issues are referred back to the appropriate Computer System Liaison and the defect log closed with an explanation of the resolution. Change requests are logged in the defect tracking system as such and placed in the proper queue for review and prioritization by CCU and M&T management. No work is performed on these change requests until prioritized and authorized by CCU or M&T. Issues which are defined as production problems are given first priority by the Application Support team. Depending on severity, the item may be deemed less critical and reserved to work on at a later time, or it may be defined as a critical immediate need. Critical production issues are worked immediately and their progress coordinated with the requesting Liaison. As with all other issues, statuses are reported back to the Liaisons at the end of each day. Resolution of an issue may depend on other groups within NCDOT IT such as Technical Services and/or the DBMS group; for example, for database changes or Unix batch job modifications. In these cases, the Applications Support team coordinates with the Liaisons and these other groups to effect the change. If resolution of an issue requires a new code release, the Application Support team coordinates with CCU and M&T management to determine if the code change can be made at the next scheduled release date, or if it requires an interim point release. This decision is made depending on factors such as business process and cost impact, application access impact, and the viability of system or procedural work-arounds. If a point release is necessary, the Application Support team coordinates with CCU, M&T, Technical Services, and the DBMS group to make and test the needed modifications, schedule and deploy the changes. 17

18 1.4 Agency Project Management Methodologies Department has implemented a project management methodology for use by all Department projects using the SAP Project Scheduling and Timekeeping application modules. The selected vendor must use these Department-provided applications to plan and report on all HiCAMS Application Support activities. It is the responsibility of the selected vendor to indoctrinate and implement the use of 1 these tools for their team members from contract start date. It is the Department s responsibility to provide training to the successful vendor s project personnel for the Department-provided project management applications

19 2.0 INITIATIVE EXPECTATIONS AND RESULTS This initiative will consist of three distinct phases: Assessment of the Current Environment, System Support Transition, and Full Systems Support. The expectations and results from each phase are described in detail below. Proposal cost will consist of all three phases. 2.1 Vendor Team Transition The vendor selected for this contract award shall bear the expense of transitioning the HiCAMS business knowledge and operations from the incumbent HiCAMS team. This is to minimize the risk of loss of critical operations support during the transition operations outlined below. 2.2 Assessment of Current Environment (Phase I) The selected vendor shall conduct an assessment of the business, software, hardware, database, and telecommunications infrastructure environments for the HiCAMS Application and its components and develop a transition plan for subsuming the Application Support activities from the incumbent vendor(s). Project-specific technical documentation and source code will be made available to the vendor for review to gain a technical understanding of the application and the associated technical architecture. Representatives of the Central Construction Unit (CCU) and Materials & Test Unit (M&T) business areas will be available to meet with the vendor to provide an understanding from the Department s business perspective of the requirements for application support of the HiCAMS Application Systems. The deliverable products for this phase, Transition Plans for Systems Support will be executed during the System Support Transition phase. 2.3 Systems Support Transition (Phase II) In this phase, support for the HiCAMS Application Systems will be incrementally transitioned to the vendor from the incumbent vendor and Department staff, as defined in the Transition Plan for Systems Support developed during Phase I. A baseline Service Level Agreement (SLA) shall be developed to establish the commitments and agreements for application systems support that the vendor will provide. The terms of the SLA(s) and any amendments thereto, shall be governed by the terms and conditions of the Technical Services Contract. The vendor shall be fully responsible for support of all HiCAMS Application System functions at the completion of this phase. a 2.4 Full Systems Support (Phase III) The vendor shall provide full application systems support for the HiCAMS Application System, which meets or exceeds the commitments defined in the SLA developed during Phase II. The vendor shall provide full support that will include on-call coverage 24 hours a day, 7 days a week. During this phase, the vendor shall be responsible for periodic SLA reviews with Department Senior Management and Business Owners for tuning of SLA commitments. a NOTE: The terms and conditions of the Technical Services Contract may not be modified by subsequent agreements except those amendments that are approved by ITS. 19

20 Specific Phase III application systems support requirements for HiCAMS Application Systems are described in the following sections Application Support Requirements Project resources assigned to support the HiCAMS Applications Support must have sufficient skills to perform the following common functions: project management; software design and development; technical architecture planning; requirements management; business analysis; software quality control; software quality assurance management and deployment; software configuration management; software release management; and documentation skills Project Performance Data and Metrics The vendor shall establish and maintain a centrally managed and accessible digital, historical repository of project plans, project correspondence, meeting agenda and minutes, action items, issues, change requests, actual and budgeted performance data, vendor submitted invoices, service level commitments and achievements, risk identification and mitigation plans, and lessons learned. All data that will be produced as a result of support provided for the HiCAMS Application, including planning data, re-planning data, and data related to all instances of support shall be documented and captured in a repository that the vendor must establish and maintain. This repository will also be used to capture specific performance data, as explicitly identified in the Service Level Agreement (SLA) for the HiCAMS Application. Initial Service Level commitments for HiCAMS Application Support must be established to meet Department information technology and business requirements, documented in a written Service Level Agreement, and agreed to by the vendor and Department Steering Committee representing the interests of the Department stakeholders. The Service Level Agreement for support of HiCAMS Applications Systems shall be subject to periodic review by Department Steering Committee. The Service Level Agreement may be modified to reflect revised commitments in accordance with the change procedures detailed within the governing SLA. Annually, Department Steering Committee shall conduct formal reviews of Service Level commitments for HiCAMS Applications to determine the actions needed to bring the support of HiCAMS Applications in line with the current and projected needs of the Department stakeholders. Any resulting proposed SLA changes shall be processed in accordance with the change procedures detailed within the governing SLA. 2.5 Application Support Processes Therefore, the vendor shall implement, and further tailor and improve existing defined processes for HiCAMS Application Support, as follows. Define and document any proposed changes to incumbent processes that the Vendor s approach would require for providing support of existing production application systems. The vendor shall provide defined and documented processes and procedures that specifically identify any proposed changes in the roles and role responsibilities for support activities and tasks that will be provided for the HiCAMS Application Systems. 20

21 3.0 ROLES & RESPONSIBILITIES 3.1 Department Responsibilities & Roles Department Responsibilities The following outlines the Department responsibilities End-User Training Department is responsible for training Department End-users of the HiCAMS Application System in system functionality and usage Application Support Hardware and Tools Department is responsible for providing: All hardware, including computers and peripherals All current application software, including all software modules necessary for execution and support of HiCAMS Application Systems All software development, maintenance, and configuration control/management tools needed to maintain existing applications, enhancements, upgrades, revisions or releases, or any new HiCAMS Application Systems approved by the Agency All communications and network equipment, software and connectivity, including LAN connectivity and all database support Access to all systems as needed to provide the HiCAMS Application Support The Department would be open to vendor proposals that would include the Department providing desktops and office space, as well as, a vendor proposal to locate the development team at their own facility with the senior analyst(s) or Project Manager located at the Department site Software Quality Assurance Department is responsible for providing: Software Quality Assurance (SQA) oversight for this initiative. The Department shall be responsible for conducting formal audits and reviews of the quality of the team s processes. The Department s EPMO will work with the HiCAMS Application Support team to support the vendor s development of: the HiCAMS Application Support team s SQA plans improvements to processes, methods, standards and procedures lessons learned documentation. 21

22 Project Management Tools Department is responsible for providing the tools, and guidance for managing the baseline HiCAMS Application Support effort, enhancements and any future projects. The Department EPMO is responsible for providing all Department project management and control activity training necessary for the HiCAMS Application Support team to use the Department provided tools to effectively track and report the status of all work assigned under the terms of the contract. Department is responsible for providing: SAP Project Assistant project management methodology training and project plan creation and maintenance assistance Department Roles This section discusses the Department application-support roles as well as any special skills needed for each role Department-Provided Steering Committee Role This section describes the duties performed by the HiCAMS Department Steering Committee, see Table 1. HiCAMS Steering Committee Duties for the role based duties and performance frequency. This group is critical in managing the widespread and decentralized users and support organizations. The Steering Committee provides a business vision and communicates and coordinates activities to support this vision across the User Community. Table 1. HiCAMS Steering Committee Duties Item HiCAMS Steering Committee Duties Frequency and Id Comments 1 Set Application Policy Reviewed every 3-6 months, or as requested. 2 Conducts regular reviews of the progress made using Application and the institutionalization through the Department. This is partially based on feedback from the User Groups 3 Resolves Application related issues by communicating the urgency and priority across Department groups and external parties and managing the resolution or delegating the authority to resolve the issue in a timely manner as deemed by the Applications Support group Reviewed every 3-6 months, or as requested. As Needed. Department s HiCAMS Steering Committee already exists and performs the duties as recommended above. The membership of the Steering Committee currently consists of the following Department participants: State Construction Operations Engineer, Sponsor 22

23 State Materials Engineer Construction Estimates and Claims Engineer State Materials Operations Engineer State Materials Quality Engineer IT Highway Projects Director Department-Provided Hardware and Database Server Support Role This section lists the functional duties for Department IT Hardware and Application Server Support and the person or group identified to provide this function. See for the role based duties and performance frequency. Table 2. Department IT Hardware and Application Server Support Duties Item Department IT Hardware and Database Comments Id Server Support Duties 1 Managed entirely by Department IT. No steps or information provided by Vendor Sun Solaris Servers, Unix operating System with Sybase Adaptive Server Schedule the interfaces through a scheduling tool In coordination with the Application Support group 3 Verify that the scheduled interface jobs initiated In coordination with the Application Support group Department -Provided Citrix Server Support Role This section lists the functional duties for Department IT Citrix Support and the person or group identified to provide this function. See for the role based duties and performance frequency. Table 3. Department IT Citrix Support Duties Item Department IT Citrix Support Duties Id 1 Maintains the Citrix Server Farm and Citrix Neighborhood setup. Responds to forwarded questions or concerns from the Application Administrator. Comments Citrix Server Farm currently hosted at Department Century Center data center 23

24 Department -Provided User Workstation Support Role This section lists the functional duties for Department -provided user workstation support and the person or group identified to provide this function. See for the role-based duties and performance frequency. Table 4. Department -Provided User Workstation Support Duties Item Department User Workstation Support Duties Comments Id 1 Respond to forwarded questions or concerns from As Needed. the Application Support group, Business Unit principals, Computer System Liaisons, and directly from users via Help Desk Currently the Department IT Technical Services group provides this support Department -Provided Application Database Administration Role This section lists the functional duties for the Department -provided Application Database Server and the person or group identified to provide this function for the application. Table 5. Department -Provided Application Database Administration Duties Item Department IT Database Administration Duties Comments Id 1 Backup the Data and manage the data storage Per SLA between Department IT Database Group and Project Sponsors. 2 Create and distribute the database change scripts for As Needed, in coordination with Production Environment Application Support group. 3 Sybase Administration As Needed, in coordination with Application Support group. 4 Run database change scripts for Production As Needed, in coordination with Environments Application Support group. Currently the Department IT Database Group (DBMS) provides this support. 3.2 Vendor Responsibilities & Roles Vendor Responsibilities Specific vendor responsibilities are identified in the following sections: 24

25 3.2.1 Applications Support Responsibilities The vendor shall: Track and report on metrics as mutually agreed upon within the governing SLA. See Page 17, 2.3 regarding the Service Level Agreement. Provide appropriate processes, procedures and controls necessary to establish and maintain integrity of all deliverables and work products for which the vendor has responsibility in accordance with the contract, including: All planning and re-planning documents All reports Other work products. Conduct formal, documented quality reviews of each deliverable produced prior to submission to Department and throughout the support process, according to documented tasks and timeframes detailed within the Department approved project plans and schedules. Supply all required cell phones and pagers for their staff Note: The Department would be open to vendor proposal to locate the development team at their own facility with the senior analyst(s) or Project Manager located at the Department site Project Planning, Tracking and Reporting (Project Management) The vendor shall be responsible for planning and tracking budget and actual hours and costs for support tasks, performance metrics, and other activities required for providing the HiCAMS Application Support, following the Department project management methodology and further detailed in governing SLA Change Management The vendor shall use the mutually agreed upon change management processes detailed within the governing SLA Project Management Responsibilities This section describes the IT Project Management Responsibilities. Please see Table 3.9 for those responsibilities and performance frequency. The Vendor Project Manager will report directly to the DOT / IT Transportation Applications Manager and is responsible for planning and implementing an IT project. The Vendor Project Manager works with the Client Liaisons to define deliverables and related acceptance criteria and establish project parameters relative to scope, schedule and cost. He/she is also responsible for the day-to-day activities of the Project Team - assigning work, identifying and resolving issues, monitoring work quality, and tracking 25

26 progress - ensuring that deliverables are produced on time and within defined acceptance standards. Table Project Management Responsibilities Item Id Project Management Responsibilities 1 Project oversight activities 2 Manage Integrated Change Management Process 3 Manage project applying Department IT Methodology 4 Perform project administrative duties 5 Manage and coordinate cross-functional teams efforts to achieve project objectives 6 Facilitate communications between Project Team, Sponsor, clients, IT management and other project stakeholders 7 Provide project management expertise to Department Frequency and Comments Day-to-day management of project staff, including work assignments, staff development, issue tracking and resolution, and monitoring work progress. Perform project initiation, planning, execution, controlling, and closure activities in accordance with Agency project management guidelines using Agency-provided PS tools. Record time worked. Ensure timely distribution of any meeting agendas and recorded meeting minutes. Schedule meetings. Weekly. Prepare weekly status reports. Establish and manage project agreements with other Agency project teams as required for application interface development or ongoing operations. Coordinate with Agency cross-functional units to obtain project objectives. Facilitate effective communication among business unit and IT teams. Manage risks, ensure stakeholder consensus on priorities and approach of team activities and milestone progress. 26

27 Item Id Project Management Responsibilities Steering Committee 8 Ensure project team compliance with applicable Department policies, procedures, and guidelines. 9 Develop, manage, and obtain Sponsor and client approval for the project s software release schedule in accordance with business priorities. 10 Establish, manage and monitor Quality Assurance standards for system modifications and enhancements. Frequency and Comments Attend and participate in Department Steering Committee meetings as required to meet project objectives, establish priorities, and resolve issues. Monitor timekeeping, project repository maintenance, documentation of application administration procedures, project management processes, risk management, quality assurance, change management, etc. are kept up to date and accessible. The software Release schedule needs to be balanced against ongoing maintenance and production support needs of the system. As distinct from Quality Control (testing), QA standards will be derived from DOT IT, industry and business standards. 27

28 Vendor Project Management Skills The person(s) shall have the following skill set / knowledge: PMI/ PMP or equivalent certification Experienced in managing in-house software development, enhancements, implementation and maintenance projects Knowledge and experience in managing similarly scoped state transportation related system projects Ability to manage and coordinate issue resolution across the Department organization Applications Support Group Responsibilities The responsibilities of the Applications Support Group are described in the following table. Table Applications Support Group Responsibilities Item Id Applications Support Group Responsibilities 1 Management of project repository 2 Perform software design and development in accordance with documented Business Requirements and Rules, in support of maintenance and production support needs, and in support of the agreed-upon Release schedules. Ensure client agreement and sign-off on specifications. Frequency and Comments Create and maintain digital repository index. Maintain master project repository for all project documents: deliverables, contractual documents, project management files, etc. Perform repository archival and backup for business continuity purposes. Work assignments must be made in accordance with established priorities and managed on a daily basis to ensure progress in meeting project objectives. 28

29 Item Id Applications Support Group Responsibilities 3 Service Level Agreement Management 4 Develop and Maintain Application Procedures and Policies. 5 Manage the defect tracking and reporting processes. Frequency and Comments As directed by IT Project Manager, develop and maintain the Vendor s Service Level Agreement document. Project defect tracking and reporting tool currently is Rational s ClearQuest. 6 Perform business and systems analysis of client requests for modifications and Provide systems analysis support for proposed enhancements, and in support of ongoing application enhancements. Business rules, design maintenance and production support decisions, option papers, and all related specification needs. information must be documented in a form and using tools as determined by DOT IT and the Business Unit. 7 Perform application software quality control 8 Prepare project meeting agendas, record and distribute meeting minutes. 9 Perform software configuration management functions. Test application enhancements, upgrades, releases, and revisions for defects. Develop test plans, and test results. Facilitate user acceptance testing and documentation of user acceptance test results. For cross-functional, technical and other required meetings to attain project objectives prepare meeting agendas, record meeting minutes, develop consensus on minutes, and make distribution of minutes to attendees. Current software configuration needs are met using PVCS. Vendor Application Support Skills The Application Support Group shall have the following skill set/knowledge in accordance with their role: Development experience with Powerbuilder 8 or later version. Experience using PVCS as a configuration management tool. Business and systems analysis experience, including Use Case development and formal documentation processes. Experience in establishing test plans and procedures and testing Powerbuilder software. 29