DPO Exhibit 8 - SLA - FINAL_Remediated.pdf

PRP ITN Exhibit 8 Service Level Agreement (SLA) For Vendor Maintained Services

1. INTRODUCTION

This document sets forth and describes the provided Services to be performed by Vendor under the Contract and certain deliverables to be provided by Vendor in connection therewith.

The value of a Service Level Agreement (SLA) is two-sided; the State has an assurance that it is covered in times of emergency and provides a written description of how, when, and what Services will be provided by the Vendor during

Business and Non-Business Operating Hours. For the Vendor, the Contract states what it is expected to support and in what time frames; clarifying roles and responsibilities and helping to set mutual expectations.

1.1 Definitions, Acronyms, and Abbreviations

The capitalized terms in this Exhibit shall have the same meaning as set forth in the Contract. In addition, the following terms when used in this Exhibit shall have the meaning set forth below:

Term Definition

Available The definition is given in Section 15.1 (Service Availability Calculation) below

Business Day 7:00 a.m. – 7:00 p.m. MT, Sunday – Saturday, excluding State holidays

Business Operations Window 5:00 a.m. – 9:59 p.m. MT, Sunday– Saturday, excluding State holidays

Credit The definition is given in Section 3 (Service Level Credits) below

DR/BCP

The definition is given in Section 5.7 (Disaster Recovery / Business Continuity Plan) below

End User The ultimate consumer of a product, function, and/or System; the one for whom the product has been designed

Error

Any Failure or any other reproducible error, outage, or other condition that results in the System or any of the Services failing to meet any of the documentation, specifications, or other requirements set forth in the Agreement

Failure The definition is given in Section 3.3 (Service Failures) below

Force Majeure Event

Any event that is caused by a factor beyond the reasonable and foreseeable control of a party, including, without limitation, a natural disaster, civil disturbance, war, fire, flood, provided that the factor could not have been prevented by reasonable and customary precautions, including, in the case of Vendor, implementation of and compliance with the DR/BCP

Help Desk Support Business

Hours State help desk support available 24x7x365

Help Desk Support Non-

Business Hours State help desk support available 24x7x365

Help Desk Ticket

Document created (electronic or paper) for State, managed using CA Service Desk utility used for reporting, tracking, and resolving system issues or problems. Help

Desk Tickets are also referred to as Tickets

For Vendor Maintained Services

Incident An Error is referred to as an Incident in the ticket lifecycle. See the definition given for Error, above, and refer to Section 16 (Tickets) below

Maintenance Services The definition is given in Section 4.5 (Maintenance and Support) below

Measurement Interval The applicable interval of time over which a Service Level is measured

Month

The period commencing 12:00:00 a.m., Mountain Time, on the first day of each calendar month and ending 11:59:59 p.m., Mountain Time, on the last day of such calendar month

Monthly Status Report Refers to the Reports and their criteria specified in Section 4.2 (Periodic Reporting) and 4.3 (Report Criteria) below

Priority Level The definition is given in Section 17 (Priority Level) below

Regulatory Update Any Update to the System necessary to enable the State to comply with applicable

Law

Request The definition is given in Section 15 (Requests for Support) below

Scheduled Maintenance Maintenance Services occurring outside of Business Hours following at least 5 (five) business days’ notice to the State

Service Level The definition is given in Section 3 to this document

Service Level Credit

The definition is given in Section 3 (Service Level Credits) below. Credits will be applied for a failure to provide contracted services and are a remedy specifically called for in the Master Agreement under the section regarding Liquidated Damages

System Availability The definition is given in Section 8.1 (System Availability Calculation)

Ticket See definition for Help Desk Ticket

Transaction

A single add; change; inquiry; or delete unit of work initiated through the System. End

Users through the System may initiate one or more requests based on system requirements

Transaction Response Time The definition is given in Section 9.1 (Transaction Response Time Calculation)

Update

Any subsequent release of any Software within the System that addresses minor issues or provides minor enhancements to your existing version. Updates are designated by a change in the numeral in the version to the right of the decimal point (e.g. #.X)

Upgrade

Any subsequent release of any Software within the System that offers a significant change or improvement over your current version by replacing it with a newer version. Upgrades are designated by a change in the numeral in the version to the left of the decimal point (e.g. #.X)

2. OVERVIEW

2.1 Services

Vendor will support, maintain, and make available the System to the State and its respective End Users. Vendor will also provide support and other Services in connection with the operation of the System, in accordance with the terms and conditions of this Agreement.

2.2 Roles and Responsibilities

Each Party will perform the roles and responsibilities set forth in Contract RACI Matrix to the Contract Statement of

Work (SOW). The following codes are used in defining roles and responsibilities:

R = Responsible to execute the activity, the role(s)/person responsible for getting the job done. At least one role/person must be responsible.

A = Accountable for the results, only one role/person can be accountable for each task.

C = Consulted to provide expertise and perspective, the people who are consulted and whose opinions are sought.

I = Informed to receive communication about the activity, the people who are kept up to date on progress

3. SERVICE LEVEL & FAILURES

3.1 System Functionality

Vendor will provide the State and its respective End Users with access to and use of the System in accordance with all applicable specifications and documentation, at or above the levels of functionality set forth in the Electronic

Licensing Management ITN to the Contract.

3.2 Service Levels

The Services will be provided at or above the applicable Service Levels set forth in this Exhibit.

3.3 Service Failures

Upon any failure of the System or any of the provided Services to meet any applicable Service Level (a “Failure”), Vendor will follow all outlined procedures set forth in this Exhibit applicable to such Failure.

3.4 Service Level Credits

The State shall have the right to receive from Vendor all applicable credits for any Failure as specified in this Appendix

(each, a “Service Level Credit” or “Credit”); provided that: (a) no Credit shall be owed to the extent that the Failure giving rise to such Credit resulted from a Force Majeure Event; and (2) in no Fiscal Year will the aggregate Credits paid by Vendor exceed 10% of the total amount payable to Vendor under the Contract for such Fiscal Year. All SLAs and applicable Credits will remain in effect during and notwithstanding any efforts by Vendor to correct any Failure. Unless agreed to in writing by the State, Vendor will deduct any Credit from the next succeeding invoice under the Contract following the applicable Failure. Any unused Credits owed by Vendor pursuant to the Contract will be paid to the State within 15 days after the earlier of the expiration or termination of the Contract. The payment (or deduction from payment) of any Credit shall not constitute a waiver or release of any other remedy that the State may have under the

Contract, including without limitation any termination right.

3.5 Calculation of Service Level Credits

In the event of a Failure with respect to any Service Level specified in this Service Level Agreement, the Vendor shall provide Credits as set forth herein for each such Failure.

3.6 Multiple Service Level Credits

If more than one Failure occurs in a single Month, the sum of the corresponding Credits shall be credited to the State.

3.7 Exclusions and Exceptions

The SLAs, and State's entitlement to Credits, shall not apply if a Failure was due solely to one of the following circumstances: (a) the performance of the portions of the public Internet controlled by companies other than Vendor;

(b) any equipment supplied by the State (including but not limited to browsers, modems, telecommunications lines, or other communication software or equipment) which are not Vendor-managed and are used to access the System or the

Provided Services; or (c) when the Failure occurs during or as a result of Scheduled Maintenance.

4. MEASUREMENT & REPORTING

4.1 Performance Metrics

Vendor will implement such systems, tools and procedures as specified in this Contract and as are otherwise necessary to: (1) measure, monitor, and verify Vendor’s performance of the provided Services against the applicable SLAs and other requirements of this Contract; and (2) submit reporting to the State at a level of detail sufficient to verify compliance with SLAs and other requirements of this Contract. Upon request of the State, Vendor will provide the State with information and access to such measurement and monitoring systems, tools and procedures for inspection and verification purposes. Vendor will revise and augment any such systems, tools, or procedures at the State’s request if such systems, tools, or procedures fail to meet the requirements of this Contract but will not implement any changes to such systems, tools and procedures without the State’s prior approval.

4.2 Periodic Reporting

Vendor shall provide the State with the following reports regarding the provided Services:

4.2.1 Monthly Status Report

Intended to allow the State to monitor and track performance of all Services. Within 5 (five) business days after the end of each Month.

4.2.2 Monthly and Quarterly Service Level Report

Shall be made available to the State for regularly scheduled Service Level Agreement performance reviews.

4.2.3 Annual Service Level Report

Shall be made available to the State for regularly scheduled annual Service Level Agreement performance reviews.

4.3 Reporting Criteria

In addition to any details specified above, the reports will summarize at minimum: (i) each Error occurring during the applicable period to which the report applies; (ii) any Failure with respect to any Service Level during the applicable period to which the report applies (including the applicable Service Level, root cause of the problem resulting in such

Failure, immediate solution to such Failure, and proposed permanent correction of such Failure); (iii) all Credits, if any, imposed for any such Failures; and (iv) the raw calculation data for all such Service Levels and Credits. Each report shall include all the details and back-up information reasonably required for the State to verify the cause, impact, extent, and resolution of any Failure. Vendor shall be responsible for the cost of all software, hardware, and other equipment necessary to perform the required measurements necessary to generate all reports and for all labor and other personnel costs associated with measuring and reporting performance of the System and the Services against all Service Levels and in accordance with all documentation, specifications and other requirements in this Contract.

Vendor shall provide detailed supporting information for each report to the State electronically (in a form agreed to by the State) as well as in hard copy format.

4.4 Governance

Following the completion of each calendar month, Vendor will meet with the State to: (1) review the previous period’s service level results; (2) review prior Monthly Status Reports; (3) review the Service delivery process; (4) discuss improvements in the Service delivery process; (5) review the status of outstanding Failures, Errors, and System concerns; (6) review commendable performance; and (7) discuss possible improvements or other revisions to the

Service Levels. In addition to such scheduled meetings, the State may call a review of the Services as needed to ensure compliance with any Service Levels.

4.5 Maintenance and Support

Vendor will, at no cost to the State, provide the support Services and maintenance services for the System. The maintenance and support Services will include all such Services as are required to maintain and support the System, including, without limitation, any pre-existing software comprising the System, such that the System continues to perform in accordance with all SLAs and all documentation, specifications and other requirements in this Contract.

Without limiting the foregoing, maintenance and support Services will include, without limitation: (a) weekly maintenance; (b) regular checks for database integrity issues (corruption, invalid data, etc.); (c) reorganization and/or rebuild of indexes based on state of fragmentation; updates of all database statistics information; (d) full backups of all user and system databases; (e) clean-up of backups over 2 weeks old; (f) daily maintenance; (g) updates of modified statistics; (h) rebuilds of highly fragmented table indexes; (i) backup of day-over-day changes since the last full backup; (j) cleanup of daily backups over 3 days old; (k) intra-day maintenance; (l) backup of all transactions every 15 minutes; and (m) cleanup of transaction backups over 3 days old.

4.6 Service Interruptions

Vendor will promptly investigate and use best efforts to correct all Errors (including, without limitation, any Failures) in accordance with this Contract at no charge to the State.

5. UPDATES, UPGRADES. BUILDS

5.1 Updates

Vendor will notify the State at least 30 business days in advance of each Update as it becomes available for commercial release. At the request of the State, Vendor will provide an Update to the State in a test/training environment for testing, evaluation, and acceptance in accordance with the Contract. Following acceptance of the Update by the State, Vendor will implement such Update in the System according to a plan agreed to in advance by the State at no charge, which Update shall become part of the System, pre-existing software, specifications or documentation, as applicable, for purposes of the Contract.

5.2 Upgrades

Vendor will notify the State at least 90 business days in advance of each Upgrade as it becomes available for commercial release and the applicable price to include such Upgrade in the System. At the request of the State, Vendor will provide the Upgrade to the State in a test/training environment for testing, evaluation, and Acceptance in accordance with the Contract. Following acceptance of the Upgrade by the State, Vendor will implement such Upgrade in the System according to a plan agreed to in advance by the State, which Updates shall become part of the System, pre-existing software, specifications or documentation, as applicable, for purposes of the Contract.

5.3 Build Schedule Implementation Timeline

A build is the end result of the process of converting source code file change resulting from Updates, Upgrades, and/or

Enhancements into standalone software artifacts that can be run on a system. Implementation is the period of time allotted to complete the system transactional process to fully execute the system update. If the time required to complete the update falls outside the established window; the Build implementation is considered late. This is measured in the number of minutes, hours, days that a Build implementation is not completed on time. Vendor shall provide the State with schedule of standard windows for the introduction of changes to the System.

5.4 Change Management

The change management process in systems engineering is the process of requesting, determining attainability, planning, implementing, and evaluating changes to a system. Vendor will establish with the State processes for communicating upcoming System changes. Changes to the System will not be implemented into a production environment until Vendor has received formal written acceptance of proposed changes from the State.

5.5 Documentation and Specifications

Prior to the commencement for the delivery of Services, and again prior to the implementation of any Updates, Upgrades, or Enhancements to the System or Services, Vendor shall provide the State and free of charge with all documentation and specifications for the System and such Updates, Upgrades, or Enhancements.

5.6 Training

Prior to the commencement for the delivery of Services, and again prior to the implementation of any Updates, Upgrades, or Enhancements to the System or Services, Vendor shall provide the State free of charge with all training necessary for End Users to operate the System and Services.

5.7 Disaster Recovery / Business Continuity Plan

Identifies the State’s exposure to internal and external threats and synthesizes hardware and software assets to provide effective prevention and recovery for the systems.

Vendor shall develop and provide to the State a Business Continuity and Disaster Recovery Plan (DR/BCP). The DR/BCP shall be approved by the State as part of the final acceptance of the Contract SOW. Vendor shall fully implement and comply with the provisions of the DRP at all times. Vendor may propose changes to the DRP from time to time during the provided Services phase. All such changes will be subject to approval by the State in advance of such changes becoming effective or any implementation of such changes by Vendor.

The DR/BCP will provide for the requirements including, at a minimum: (1) restoration of System functionality and all

Provided Services within 4 (four) hours of any service interruption, including, without limitation, any Failure or Error;

(2) daily incremental backup of all application data; (3) full weekly backup of all application data; (4) data to be stored locally at State premises and also stored remotely via disk based replication; (5) ability for the State’s sites disk-based restoration on-demand; and (6) weekly backup of operating systems.

6. UPDATES, UPGRADES. BUILDS

6.1 Vendor

Vendor shall not be liable for any Service Level Credit resulting from nonperformance or delay in performance of any obligation due to a Force Majeure Event, provided that Vendor: (a) provides the State with reasonable notice under the circumstances prior to (if possible) such nonperformance or delay; and (b) uses best efforts to resume performance as soon as possible despite such Force Majeure Event. In all cases, if such nonperformance or delay in performance persists for 30 (thirty) calendar days, the State may terminate the Contract upon notice Vendor. For the avoidance of doubt, (i) upon any such termination of this Contract by the State, the State may request and Vendor shall provide

Transition Assistance as set forth in this ”Contract and (ii) the existence of a Force Majeure Event will not excuse

Vendor from the obligation to implement and comply with Vendor’s DRP.

6.2 The State

The State shall not be liable for nonperformance or delay in performance caused by any Force Majeure Event, provided that the State: (a) provides Vendor with reasonable notice under the circumstances prior to (if possible) such nonperformance or delay; and (b) uses best efforts to resume performance as soon as possible despite such Force

Majeure Event.

7. ROOT CAUSE ANALYSIS

7.1 Procedure

Vendor shall develop and provide to a procedure for conducting root cause analyses of each Error (a “Root Cause

Analysis Procedure”). The Root Cause Analysis Procedure shall be approved by the State as part of the Final Acceptance of the Contract SOW and in any case prior to the commencement of the Services. Vendor's Root Cause Analysis

Procedure shall include, at a minimum, the following actions at the request of the State:

7.1.1 Convene a meeting of the State and Vendor management to identify the causes of the Errors and propose a solution to the Error;

7.1.2 Develop a solution to the Error, including any measures required to prevent a recurrence of the Error;

7.1.3 Obtain any outside consulting assistance, at its own expense, necessary to resolve the Error; and;

7.1.4 Provide hourly updates (or as otherwise agreed) to both the State and Vendor senior management until the Error is resolved.

7.2 Analysis

To ensure the highest quality delivery of the Services, Vendor shall conduct a root cause analysis for each Failure in accordance with the Root Cause Analysis Procedure (“Root Cause Analysis”), at the Vendor’s sole expense. Such Root

Cause Analysis will conform to the requirements of this Contract and to the Root Cause Analysis Procedure. In addition, if requested by State, Vendor will also perform, at its expense, a root cause style analysis for any condition that State reasonably believes could result in a future Failure.

8. ROOT CAUSE ANALYSIS

8.1 System Availability Calculation

For purposes of this Contract: (a) the System will be deemed “Available” when the System is available for access by

End Users and (b) the “System Availability” is calculated each Measurement Interval as follows:

System

Availability

(Minutes per Measurement Interval in which the System is Available) X 100

(Total minutes in the Measurement Interval – minutes of Scheduled Maintenance during such Month)

8.2 System Availability Service Level

The System and all Services will be provided by Vendor at or above the following levels of System Availability in both production and non-production environments:

System Environment Required System Availability

Service Level Measurement Interval

Non Production 90.000% Month

Production 99.950% Month

8.3 Credits for System Availability Service Level Failures

If either of the required System Availability Service Levels set forth in Section 16.2 (Minimum System Availability

Service Level) are not met with respect to the State during the Measurement, the applicable Credit for such Month shall be calculated as follows:

Minutes per Month Beyond the Allowed Non-Available Minutes that the System or any Provided Services are not Available to State or a State Credit Payable to such State

0 - 45 minutes $1,000

46 - 90 minutes $2,000

91 - 120 minutes $4,000

Over 2 hours $6,000

In addition to the Credits set forth above, if the System or Services are not Available to the State during Business Hours more than 3 (three) times during any Month, Vendor shall pay a Credit to the State equal to $2,500 per incident in which the System or Services were not Available during Business Hours (including the 3 (three) initial incidents), in addition to any other Credits related to lack of Availability.

9. SERVICE LEVEL FOR TRANSACTION AVAILABILITY (RESPONSE TIME)

9.1 Transaction Response Time Calculation

For purposes of this Contract, the “Transaction Response Time” is calculated each Month as follows:

Transaction

Response Time

Duration = Time between receipt by the System of a User’s web server request;

Minus the System’s transmission of the required response to such User request*

*Excludes large reports, uploading files, document images and external interfaces

9.2 Transaction Response Time Service Level

The System and all Services will be provided by Vendor at or above the following levels of Transaction Response Time:

Maximum Response Time Required Transaction Response

Time Service Level Measurement Interval

<= .1 seconds 99% of transactions Month

9.3 Credits for Transaction Response Time Service Level Failures

If the required Maximum Response Time set forth in Section 17.2 (Minimum Transaction Response Time Service Level) is not met in at least the percentage of transactions represented by the Required Transaction Response Time Service

Level, the applicable Credit for such Month shall be calculated as follows:

Transaction Response Time in excess of Minimum Transaction Response Time Service

Level Credit Payable to Such State

95.0% to 98.9% of transactions $1,000

90.0% to 94.9%% of transactions $2,000

88.0% to 89.9% of transactions $4,000

Less than 87.9% of transactions $6,000

10. SERVICE LEVEL FOR SYSTEM DATABASE MANAGEMENT

10.1 Services Performed for Database Maintenance

The following maintenance Services will be performed by Vendor in compliance with maintenance requirements:

10.1.1 Check for database integrity issues (corruption, invalid data, etc.).

10.1.2 Reorganize and/or rebuild indexes based on impact of fragmentation.

10.1.3 Update all statistics.

10.1.4 Full backups of all user and system databases weekly.

10.1.5 Cleanup backups over 2 weeks old.

10.2 Credit for Database Maintenance Service Level Failures

If the required Database Maintenance steps are not met according to defined Service Level, the applicable Credit for such Month shall be assessed at $5000 per month.

10.3 Database Access

Where applicable Vendor shall make the System database and server available to external monitoring tools, to be performed by the State directly, or through the use of authorized third party.

11. SERVICE LEVEL FOR SYSTEM DATABASE MANAGEMENT

11.1 Performance Levels for Production Report Jobs

The following maintenance Services will be performed by Vendor in compliance with maintenance requirements outlined in the Contract SOW:

• 95% of all report jobs run within the Business Operations Window.

• 100% of all report jobs completed prior to the next Business Operations Window.

11.2 Credit for Production Report Service Level Failures

If the required delivery parameters for production Reports are not met according to defined Service Level, the applicable Credit for such Month shall be assessed at $5000 per month.

12. SERVICE LEVEL FOR PRODUCTION BATCH JOBS

12.1 Performance Levels for Production Report Jobs

The following maintenance Services will be performed by Vendor in compliance with maintenance requirements outlined in Contract SOW:

• 95% of all batch jobs run within the Non-Business Operations Window.

• 100% of all batch jobs completed prior to the next Non-Business Operations Window.

12.2 Credit for Production Batch Service Level Failures

If the required delivery parameters for production Reports are not met according to defined Service Level, the applicable Credit for such Month shall be assessed at $5000 per month.

13. SERVICE LEVEL FOR SYSTEM DATABASE MANAGEMENT

The following table sets forth the committed service levels, measurable event, and target levels for Vendor responses to Enhancement Requests:

Measurable Event Service Level Requirement

Measurement Interval

The State’s receipt of Vendor’s written concurrence or disagreement with the State designation of an Enhancement Request as major or minor.

5 (five) Business Days of

Vendor’s receipt of the applicable Enhancement

Request

N/A

The State’s receipt of Vendor’s proposal for 95% of all Enhancement Requests designated as major.

10 (ten) Business Days of

Vendor’s receipt of the

Enhancement Request.

Calendar Quarter

The State’s receipt of Vendor’s proposal for 95% of all Enhancement Requests designated as minor.

5 (five) Business Days of

Vendor’s receipt of the

Enhancement Request.

Calendar Quarter

The State’s receipt of Vendor’s proposal for all

Enhancement Requests designated as urgent or essential.

1 (one) Business Days of

Vendor’s receipt of the

Enhancement Request.

N/A

Completion of all mutually agreed upon

Enhancement Requests in accordance with the applicable schedule

85% of all mutually agreed upon Enhancement

Requests

Calendar Quarter

14. SUPPORT SERVICES

Vendor shall provide Support Services to the State and their respective End Users as set forth in this agreement.

15. REQUEST SUPPORT

The State may place requests for Support Services (“Request”) using the existing State help desk platform. Vendor will maintain access to the CA Service Desk System and provide support and documentation within the existing system.

16. TICKET

Upon becoming aware of an Error, whether through receipt of a Request or through any other means (in either case, an

Error, is referred to as an “Incident”), Vendor’s Support Services group will assign the Incident to the appropriate vendor support staff.

17. PRIORITY LEVEL

Each Incident subject to a Ticket will be assigned a priority level (the “Priority Level” of the Incident) based on the severity of the Incident and the effect of the Incident on the System, Services, and affected End User(s). The initial

Priority Level for each Incident will be as specified by the State when making the applicable Request with Vendor. If no

Priority Level is provided by the State when making a Request, Vendor will assign a Priority Level to the applicable

Incident resulting from the Request based on the following criteria:

Security Level

Incident Description

Level 1 The System, or any Subsystem or function, is totally unusable or unavailable for multiple End Users.

Level 2 The ability to use the System, or a Subsystem or Function, is severely limited.

Level 3

The System, or a Subsystem or Function, is usable, but there is some degradation of a normally provided function.

Impact on End Users is significant but not disabling or severe.

Level 4 The Error is apparent, but circumvention or alternative is available.

Impact on End Users is minimal.

If the State disagrees with any Priority Level assigned to any Incident by Vendor, or if the State requires a change in any

Priority Level at any time before Resolution of an Incident, the State may request a change to the Priority Level at any time by contacting Vendor, such change will be effective upon contacting the Vendor.

18. ASSIGNED VENDOR PERSONNEL

Vendor’s Support Services group shall be used as a central contact point for Incident progression, escalation, and resolution.

19. VENDOR FOLLOW-UP

Upon becoming aware of each Incident, Vendor shall contact the State (if necessary) to establish the exact nature of the applicable Error and begin the incident resolution process. All Incidents shall be resolved by Vendor as set forth herein.

20. REQUEST RESOLUTION & CLOSURE PROCEDURE

20.1 Priority 1 and 2 Incidents

The Vendor is required to resolve all Priority 1 and 2 Incidents. When Vendor believes that a Priority Level 1 or Priority

Level 2 Incident has been Resolved, Vendor will notify the State personnel required to be notified in the RACI. The

State may verify that the underlying Error has been corrected to its satisfaction (for purposes of such Priority Level 1 or

Priority Level 2 Incident, a “Resolution”). Upon such independent verification, the State will notify Vendor that the applicable Ticket may be resolved within the Tracking System. Vendor may thereafter close the applicable Ticket on the Tracking System. The Vendor will log all communications and applicable details in real time in the Tracking System.

20.2 Priority 3 and 4 Incidents

The Vendor is required to resolve all Priority 3 and 4 Incidents. When Vendor believes that a Priority Level 3 or Priority

Level 4 Incident has been resolved, Vendor will notify the applicable End User making the Request applicable to the

Incident. The End User will verify that the underlying Error has been corrected to their reasonable satisfaction (for purposes of such Priority Level 3 or Priority Level 4 Incident, a “Resolution”). Upon such verification, such End User will notify Vendor that the applicable Ticket may be resolved within the Tracking System. Vendor may thereafter close the applicable Ticket on the Tracking System. The Vendor will log all communications and applicable details in real time in the Tracking System.

21. SERVICE LEVEL FOR FIRST CONTACT RESOLUTION RATE & INCIDENT WAITING TIME

21.1 Contact Resolution Rate and Incident Waiting Time Calculation

For purposes of this Contract: (a) the “First Contact Resolution Rate” is equal to the percentage of Incidents resolved during the first contact between Vendor and the person placing the Request upon which the Incident is based or, if

Vendor otherwise becomes aware of the Incident, the first contact between Vendor and the End User initially contacted by Vendor to resolve the Incident; and (b) “Incident Waiting Time” is equal to the period of time starting when an Incident by the State to make a Request is transferred by the State team to the vendor and when that Incident or Request is responded to by a live Vendor staff member.

21.2 First Contact Resolution Rate Service Level

Vendor will achieve a First Contact Resolution Rate of not less than 85% for all Incidents determined to be Training related during each Month. Actual defects will be addressed in accordance with the Response and Resolution Time

Service Levels based on the Priority Level of the Incident.

21.3 Incident Waiting Time Service Level

Vendor will achieve a Incident Waiting Time of not more than the Response Times indicated in the Response Time

Service Levels in the table below 95% of the time each Month.

22. SERVICE LEVEL FOR RESPONSE & RESOLUTION TIMES

22.1 Response and Resolution Time Calculations

For purposes of this Agreement: (a) the “Response Time” is the period of time starting when a Request is transferred by

State staff to the Vendor and when a Vendor staff member begins taking material action toward implementing a

Resolution for the Incident; and (b) the “Resolution Time” is the period of time starting a Request is transferred by

State staff to the Vendor and when the Incident subject to that Request actually reaches Resolution and the applicable

Ticket closed in accordance with the terms of this agreement.

22.2 Response Time and Resolution Time Service Levels

Vendor will: (a) respond to each Request for Support Services within the applicable Response Time set forth below; and

(b) arrive at a Resolution for and close the applicable Ticket for each Request for Support Services within the applicable Resolution Time set forth below. In each case the Response Time and Resolution Time will be based on the

Priority Level of the Incident subject to the Request and the time period in which the Request is made, as set forth below.

Priority Levels Response Time (During Support Business Hours)

Response Time (Outside of Support

Business Hours)

Response Time (Holidays)

Resolution Time

Level 1

System not Available –

10 (ten) minutes

System not Available –

1 (one) hour

System not Available –

1 (one) hour

Defect/Fault Identified –

1 (one) hour

Solution Agreed – 2

(two) hours

Ticket Resolved– 4 (four) hours

Major Component

Failures – 10 (ten) minutes

Major Component

Failures – 1 (one) hour

Major Component

Failures – 1 (one) hour

Minor Component

Failures – 10 (ten) minutes

Minor Component

Failures – 1 (one) hour

Minor Component

Failures – 1 (one) hour

Level 2 System Down – 1 (one) hour

System Down – 2 (two) hours

System Down – 2 (two) hours

8 hours

Major Component

Failures – 1 (one) hour

Major Component

Failures –2 (two) hours

Major Component

Failures – 2 (two) hours Solution Agreed – 24

(twenty-four) Hours

Ticket Resolved – 3

(three) Business Days Minor Component

Failures – 1 (one) hour

Minor Component

Failures – 2 (two) hours

Minor Component

Failures – 24 (twenty-four) hours or start of next business day whichever is sooner.

Level 3 4 (Four) Hours

24 (twenty-four)

Hours

24 (twenty-four)

Hours

3 Business Days Solution

Agreed – 5 Business

Days

Ticket Resolved – 14

(fourteen) Business Days

Level 4 4 (Four) Hours 36 (thirty-six) Hours System Down – Next

Business Day

Defect/Fault Identified –

5 Business Days Solution

Agreed – 10 Business

Days

Ticket Resolved – 21

(twenty one) Business

Days

Level 5

Reserved for problems that can only be addressed through

Enhancement/Chang e

Requests

Reserved for problems that can only be addressed through

Enhancement/Change

Requests

Reserved for problems that can only be addressed through

Enhancement/Chang e

Request

State and Vendor jointly determine a workaround and/or Resolution

23. SERVICE LEVEL FOR RESOLUTION RATE

Vendor will achieve a Resolution of all Service Levels in each Priority Level at or above the following percentages:

Priority Level

Service Level Requirement Measurement Interval

Level 1 A Resolution of 98% of Priority Level 1 Tickets will be reached within 4 (four) hours of Incident receipt Monthly

Level 2 A Resolution of 98% of Priority Level 2 Tickets will be reached within 3 (three) business days of incident receipt Monthly

Level 3 A Resolution of 95% of Priority Level 3 Tickets will be reached within 14 business days of Incident receipt Monthly

Level 4 A Resolution of 85% of Priority Level 4 Tickets will be reached within 21 calendar days of Incident receipt Monthly

All Levels A Resolution of 93% of all Tickets (all Priorities) will be reached within the applicable Resolution time set forth in this chart Monthly

24. APPLICABLE CREDITS

If any of the Service Levels specified in this Exhibit are not met by Vendor during any Month the Vendor will issue the

State a Credit of $1,000 for each instance in which an applicable Service Level is not met.

25. ESCALATION PROCESS & PROCEDURE

To meet the service level requirements, Vendor shall monitor and identify any Incident that has not reached Resolution within 75% of the applicable Resolution Time. The Vendor will notify the State Technical Contact in writing and include information on the anticipated resolution and time frame. These notifications continue every 1 (one) hour for Level 1

Priorities, every 3 (three) hours for Level 2 Priorities, every 1 (one) day for Level 3 Priorities, every 2 (two) days for

Level 4 Priorities, and as agreed upon for the individual Level 5 priority during Support Business Hours until the Incident has reached Resolution. Level 1 and 2 Priorities require notification Outside of Support Business Hours as well. If a

Ticket remains outstanding beyond the applicable Resolution Time set forth in this agreement, Vendor shall escalate the Incident to Vendor senior management, who will contact his/her counterpart within the State to agree to a course of action to be taken.

Vendor shall notify the identified State personnel if it is apparent that resolution of an Incident may result in a protracted time frame. The State may escalate any Incident at any time should they deem it to be appropriate. There are 2 levels of escalation as shown in the table below. As an Incident is escalated, regular contact will be maintained between Vendor and the State.

Priority Level Escalation

Levels

Resolution

Time Target

Exceeded by

Vendor Contact State Contact

Level 1 Level 1 1 hour Insert name Insert name

Level 2 4 hours Insert name Insert name

Level 2 Level 1 4 hours Insert name Insert name

Level 2 8 hours Insert name Insert name

Level 3 Level 1 8 hours Insert name Insert name

Level 2 24 hours Insert name Insert name

Level 4 Level 1 24 hours Insert name Insert name

Level 2 48 hours Insert name Insert name

26. EMERGENCY RESPONSE PROCESS

If Vendor becomes aware of an Incident that has been reported as a Priority 1, the Vendor response shall include, at a minimum, the following emergency escalation process:

1. The appropriate Vendor support personnel will be contacted by Vendor’s support services group immediately via the CA Service Desk software and by phone if necessary;

2. The manager over the team responsible for resolving the Ticket will also be contacted;

3. If deemed appropriate by the manager, the Delivery Service Director and/or the Chief Information Officer will also be informed;

4. Vendor shall update the tracking system detailing the issue, and notify the appropriate OIT contact at the State via phone; and

5. Vendor will require all necessary staff, including Subcontractors and other third if necessary, to work to resolve the Incident until the Incident is resolved.

27. END OF CONTRACT SERVICES

Upon request by the State made before or within 60 (sixty) calendar days after the effective date of termination of the

Contract Vendor will make available to the State a complete and secure (e.g. encrypted and authenticated) access to all data, including all schema and transformation definitions and/or delimited text files in their native format.

At no additional cost to the State, Vendor shall:

• Identify data classification

• Identify all server and application service dependencies, including ports and protocols

• Identify all servers and current capacities at the time of transition. Compute (CPU/RAM], Storage

(drives/capacity), Network (throughput capacity avg. and peak) and Backup (current retention policy and capacity) via Microsoft Excel, Word, and Visio diagram

• Identify underlying storage configuration (RAID group design for servers)

• List of all software versions and updates at the time of transition

• Identify all monitoring and associated reporting for the systems