Appendix B - Change Control Procedure.pdf

APPENDIX B

CHANGE CONTROL PROCEDURE

Change Request (“CR”) The State prepares the CR for all changes. The State Change Control Representative (“CCR”), designated by the State Agencies affected, creates the CR, including the following:

▪ Change environment (information systems, operations, other)

▪ Change category (enhancement, fee)

▪ Change request information (contract number, tax type, fiscal year, change control number)

▪ Priority of change, within outstanding change requests

▪ Information systems change type, if applicable

▪ Description of the current process, the system(s)/plan(s) affected, and the required change

▪ Determination of need and condition necessitating change (legislative mandate, production problem, audit/monitoring results, etc.)

▪ Suggested implementation approach

▪ Required implementation date

▪ Date by which the Change Analysis (“CA”) is required (two weeks from the date the CR is sent to the Contractor; if the Contractor requires more than two weeks to prepare the CA, the Contractor and the State will negotiate a mutually agreed-upon date)

▪ List of attachments

▪ Primary State contacts (Change Control Manager, Program Area Manager) Source documents are appended to the CR as needed and provided to the State CCR.

NOTE: Where the Contractor desires a change, the Contractor contacts the appropriate State

CCR for discussion and, upon agreement, the State CCR prepares and submits the CR. If the State does not agree with a proposed change, it will provide in writing the basis for the decision; Contractor must not proceed with the change. Any preliminary analysis completed as part of these discussions shall be included in the procurement record.

Analysis of Implementation Alternatives

Upon receipt of the CR, the Contractor initiates discussion with the State CCR to identify alternatives and determine suggested implementation approach. The State CCR may engage additional State staff as appropriate.

Change Analysis (“CA”) The Contractor completes the CA, including:

▪ Change environment (information systems, operations, other)

▪ Confirmation of the State’s preliminary change category (enhancement, fee) o If not in agreement, initiate negotiation with the State CCR

▪ Recommended implementation approach

▪ Development and implementation time frames

▪ Impacts on other systems and/or plans

▪ Resource requirements (staff, by staff category; equipment; facilities). The CA must indicate the current and new level of resources and the current and new workload volumes supported by those resources.

▪ Additional information required for enhancement (design specifications, schedule of deliverables, workflow, as applicable)

▪ State agency dependencies

▪ Contract reference, if applicable

▪ Proposed fees (one-time development costs and other costs, if any). See Fees below.

▪ Contractor CCR approval and contact information

The CA is sent to the State CCR on or before the CA required date.

Fees One-time development costs are the costs of the business analyst, project manager, programmer, tester, and specialist for the requested change which are to be calculated based on the hours necessary to effectuate the change utilizing the titles and rates provided in the Contractor’s Cost Proposal in response to RFP 17-01.

Other costs are new transaction fees or periodic flat fees, changes to existing transaction fees due to CPI-U or enhancement, and travel. Travel-related expenses shall be reimbursed in accordance with the NYS Office of State Comptroller guidelines.

For new transaction fees or periodic flat fees, the CR package must also include:

▪ Proposed transaction fees and any development fees; both total and by function

▪ All documentation and cost analysis as stated above

▪ Requested effective date (if approved, any new fee or fee change must be firm for at least one year and cannot increase until the first Contract anniversary after the one-year period).

For changes to existing transaction fees, the CR package must also include, as applicable.

▪ Current transaction fee for relevant transaction or report

▪ Proposed change to current fee, by function(s) and total

▪ How proposed fee is justified

These fees, as negotiated between the State and the Contractor, are a final price to effectuate the change. No add-on costs will be allowed.

No maintenance charges are allowed.

The State reserves the right to require from the Contractor information needed to validate any changed costs subsequent to fee approval.

Negotiation The State and Contractor CCRs negotiate and document technical details and costs:

▪ State Change Control Manager and State Program Area Manager sign-off

▪ Copy of approved CA provided to the State CCR

Approvals State Agencies involved have final approval for all changes defined herein, regardless of the party initiating the change. State Agencies involved have final approval for all change controls without a cost associated. All change controls with a cost require authorization from the State Agencies involved and may require additional approvals of other control agencies, including the NYS Office of the State Comptroller.

Notification The State notifies the Contractor in writing of final approval.

Development/ Implementation

Upon approval of the CA, development and implementation commences in accordance with an accepted methodology.

PRIOR TO IMPLEMENTATION, the Contractor updates all related documentation. The State may require that development/implementation of legislatively mandated changes proceed prior to agreement approvals.

Administrative Documentation

The State CCR or its designee shall maintain files of the approved change controls (CR, CA, and all related documents).

CR, CA, and all related documents become official Contract documentation.

Payment Upon completion of the Service and acceptance of the Change by the State, the Contractor may submit an invoice for payment.

NEW YORK STATE CHANGE REQUEST

Change Environment:

Information Systems:

Operations

Other

Change Category:

Enhancement

Fee

Contract #:

Tax Type:

Fiscal Year:

Change Control #:

Priority:

High

Medium

Low

For Information Systems Change: Existing Return

New Method of Filing Option

New Return or Form

New Method of Data Delivery

New Report or Report Change

Other

I. Description of Process:

System(s)/Plan(s) Affected:

II. Description of Change Requested:

III. Why Needed:

IV. Suggested Implementation Approach:

V. Required Implementation Date: / / VI. Date Change Analysis Due: / /

VII. Attachments:

VIII. Approvals/Contacts

A. State Change Control Manager:

Signature: Signature Date: / /

Office: Phone: ( ) - Fax: ( ) -

Contact Person: Phone: ( ) - Fax: ( ) -

B. State Program Area Manager:

Signature: Signature Date: / /

Office: Phone: ( ) - Fax: ( ) -

Contact Person: Phone: ( ) - Fax: ( ) -

NEW YORK STATE CHANGE ANALYSIS

Change Environment:

Information Systems;

Operations

Other

Change Category:

Enhancement

Fee

Contract #:

Tax Type:

Fiscal Year:

Change Control #:

Priority:

High

Medium

Low

I. Recommended Implementation Approach:

II. Development/Implementation Timeframes:

III. Impacts on Other Systems/Plans:

IV. Resource Requirements:

V. Additional information required for enhancement; attach the following required information:

For Information Services Change: For Operations Change:

Design Specifications Schedule of Deliverables Workflow

VI. State Dependencies:

VII. Contract Reference, if applicable:

VIII. Proposed Fees (Attach additional documentation, if necessary):

One-time Development Cost:

Title breakdown:

• Business Analyst: hours

• Project Manager: hours

• Programmer: hours

• Tester: hours

• Specialist: hours

• Total Hours: hours

Other Costs:

IX. Approvals/Contacts

A. Contractor Change Control Representative Name:

Signature: Signature Date: / /

Office: Phone: ( ) - Fax: ( ) -

B. State Approval of Change Analysis

State Change Control Manager:

Signature: Signature Date: / /

Office: Phone: ( ) - Fax: ( ) -

C. State Program Area Approval – Name:

Signature: Signature Date: / /