Exhibit 1.3 - Service Management Manual

Pennsylvania Department of Transportation (PennDOT)

Mainframe Services

Exhibit 1.3

Service Management Manual

RFP 3525R03

Exhibit 1.3 (Service Management Manual) RFP 3525R03

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Table of Contents 1 Introduction 2 Requirements 3 Delivery and Contents 4 Compliance 5 Maintenance, Modification, and Updating 6 Training 7 Annual Review 8 General Content and Organization

8.1 Service Provider-Led Service Management Manual Content

8.2 PennDOT-Led Service Management Manual Content

Tables

Table 1 - Service Provider-Led Service Management Manual Content Table 2 - PennDOT-Led Service Management Manual Content

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1 Introduction

This document describes the general content and organization of the Service Management Manual (SMM), which will be developed to support governance of Service Provider Services.

The broad structure of the SMM must be established in Exhibit 1.3 (Service Management Manual), further refined, and documented by the Service Provider and approved by the Pennsylvania Department of Transportation (PennDOT).

The SMM must be maintained and updated on a regular basis. The Service Provider shall develop and maintain the SMM to be applied in the performance of the Services by Service Provider as required in Exhibit 3.1 (Service Level and Deliverable Matrix).

2 Requirements

The Service Provider shall provide a recommended detailed structure and content management system, and document and maintain the SMM within the Portal.

3 Delivery and Contents

The Service Provider shall, at a minimum:

1. Deliver to PennDOT portions and versions of the SMM for PennDOT’s review and comment on the dates provided in this Exhibit and Exhibit 3.1 (Service Level and Deliverable Matrix). PennDOT will review the SMM drafts and provide the Service Provider with comments.

2. Incorporate PennDOT’s comments and revisions into the SMM and deliver subsequent versions thereof on or before the dates set forth in this Exhibit and Exhibit 3.1 (Service Level and Deliverable Matrix) for PennDOT’s review and comment in accordance with this Article.

3. Document assigned policies, processes, procedures, and work instructions for inclusion in the SMM to provide effective service interfaces between Service Provider and PennDOT.

As applicable, the work instructions are to include job runbooks.

4. Deliver a final version of the SMM to PennDOT on or before the date set forth in Exhibit

3.1 (Service Level and Deliverable Matrix) for PennDOT’s final approval, which PennDOT may withhold in its sole discretion.

a. In the event of a rejection, the Service Provider shall submit a revised SMM to PennDOT within 30 days of PennDOT’s rejection, addressing each point raised by PennDOT in its rejection.

b. The Service Provider shall continue to make subsequent revisions of the SMM until approved by PennDOT.

5. Include in the SMM, at a minimum:

a. A detailed description of the way each of the Services shall be performed by the Service Provider, including:

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i. The Equipment, Materials, Applications, and Systems to be procured, operated, supported, or used;

ii. Documentation (including operations manuals, user guides, specifications, policies, processes, procedures, and disaster recovery/business continuity plans) to be created and/or maintained by Service Provider while performing the Services;

iii. The specific activities to be undertaken by Service Provider in connection with each Service, including, where appropriate, the direction, supervision, monitoring, staffing, reporting, planning, and oversight activities to be performed by Service Provider;

iv. The testing, acceptance, controls, and other procedures to be implemented and used to assure service quality;

v. The PennDOT approved processes, methodologies, and controls to be implemented and used by Service Provider to comply and confirm compliance with PennDOT Rules;

vi. The processes, methodologies, and controls to be implemented and used by PennDOT and the Service Provider to identify data that the Parties are legally prohibited from disclosing, including any confidentiality requirements specific to PennDOT;

vii. The processes, methodologies, and controls to be implemented and used by Service Provider to comply and confirm compliance with applicable Laws (including applicable Privacy Laws relating to the privacy and security of PennDOT Data); and

viii. The processes, methodologies, and controls to be implemented and used by Service Provider to implement PennDOT-approved billing structure changes.

b. The policies, processes, and procedures for PennDOT and Service Provider interaction and communication, including interfaces between and among Service Provider and PennDOT.

4 Compliance

The Service Provider shall perform the Services in accordance with PennDOT’s then-current policies and procedures until the SMM is finalized and agreed upon by the Parties. Thereafter, the Service Provider shall perform the Services in accordance with the terms of this contract, including the SMM. In the event of a conflict between the provisions of this contract and the SMM, the provisions of this contract shall control unless the Parties expressly agree otherwise and such agreement is set forth in the relevant portion of the SMM.

5 Maintenance, Modification, and Updating

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The Service Provider shall, at a minimum:

1. Support the maintenance of the SMM so that it is accessible electronically to PennDOT and Authorized Users via the Portal or such other electronic means as approved by PennDOT, and in any case, in a manner consistent with PennDOT’s security policies.

2. Promptly and timely modify and update the SMM to reflect changes in the operations or procedures described therein and to comply with PennDOT Standards, PennDOT Rules, the Annual Technology Plan and Roadmap, and strategic plans.

3. Provide the proposed changes in the SMM for PennDOT’s prior review, comment, and approval, which PennDOT may withhold in its sole discretion.

6 Training

The Service Provider shall provide training to PennDOT personnel as required by PennDOT.

7 Annual Review

The Service Provider shall perform a formal annual review of each section of the SMM on a mutually agreed-upon review schedule (e.g., agreed sections per quarter). Reviews are coordinated by the Service Provider, agreed by PennDOT, and scheduled at quarterly intervals.

8 General Content and Organization

8.1 Service Provider-Led Service Management Manual Content

Service Provider-led SMM content (Table 1 below) provides the SMM organization and content that the Service Provider is required to develop. Although not intended to replicate this contract, the SMM must provide comprehensive documentation of the procedures that the Service Provider shall follow to implement and manage this contract and the overall relationship.

Specific references to detailed text or requirements in this contract may be incorporated within the SMM.

Please refer to Exhibit 3.1 (Service Level and Deliverable Matrix) for additional information on delivery requirements.

Due Dates are calendar days unless otherwise noted.

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Table 1 - Service Provider-Led Service Management Manual Content

Content Due Date Description

One-Time Deliverable Phase

Governance

Organizational Charts

14 days after Effective Date

Include Service Provider organization charts, clear lines of escalation, description of functions performed, contact information.

Phase 1

Key Personnel and Subcontractors

14 days after Effective Date

The Service Provider shall describe procedures for PennDOT approval regarding replacement or removal of Service Provider Key Personnel and major Service Provider Subcontractors.

Phase 1

Overall Management and Reporting Process

14 days after Effective Date

A description of Service Provider management structure, reporting, and review process associated with all Services.

Phase 1

Interim Relationship Management Process

14 days after Effective Date

The process and responsibility for communication and coordination with PennDOT, Service Provider employees, etc.

Phase 1

Human Resource Transition

14 days after Effective Date

The procedures and responsibilities regarding finalization of HR-transition and onboarding activities.

Phase 1

Contract Deliverables Management

14 days after Effective Date

The process for the Service Provider to produce, develop, track, revise, review, and submit Deliverables to PennDOT.

Phase 1

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Content Due Date Description

One-Time Deliverable Phase

Service Management Procedures

Portal

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

Describes the Operational Procedures that support the Service Provider’s Portal.

Includes processes and procedures necessary to inform PennDOT of the use of the tool.

Phase 2

Access Management

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

Access Management is focused on the tools, process, and operations to enable Authorized Users to request access to and use the Services. This process includes the Mainframe RACF process.

Phase 2

Asset Inventory and Management

1. Policies

2. Processes

3. Procedures Work Instructions

30 days prior to Commencement Date

Leverage automated asset inventory discovery and Data Quality Management (DQM) reconciliation capabilities and processes to capture, manage, and maintain assets for all Services.

Phase 2

Record Retention 30 days prior to Commencement Date

Defines the record retention process for handling documents that the Service Provider is obligated to maintain for this contract.

Phase 2

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One-Time Deliverable Phase

Request for Solution (RFS) and Project Management and Support

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

Supports projects from request through end-to-end solutioning, including PennDOT solution/project review, approval, project execution, and deployment to meet the project timing, quality, and cost objectives.

Phase 2

Operational Reporting

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

Procedures and activities regarding key standard Reports and requests for ad hoc reports from PennDOT.

Phase 2

Strategy Management

1. Policies

2. Processes

3. Procedures

30 days prior to Commencement Date

Strategy Management links the service demand with the supporting strategies and services, along with service enhancement initiatives, including a long-term strategy roadmap with timelines and high-level costs and shorter-term technology plans that guide the annual improvement and budgeting process.

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One-Time Deliverable Phase

Service Level Performance

(SLP)

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

The process responsible for monitoring SLAs, ensuring they are met, and IT Service Management processes are appropriate for the agreed Service Level targets. SLP monitors and reports on Service Levels, facilitates Service Delivery Failure actions with the appropriate Governance Committee, and holds regular reviews.

Phase 2

Invoice Reporting

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

Procedures for providing sufficient data and detail to support the Business Model, PennDOT state and federal funding accounting, grant, and audit requirements.

Service Level Credits and Earnback

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

Procedures for calculating Service Level Credits on invoices and Earnback calculations.

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One-Time Deliverable Phase

IT Service Continuity Management

(ITSCM)

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

5. Recovery Time

Objectives (RTO) and Recovery Point Objectives

(RPO)

30 days prior to Commencement Date

The process responsible for managing risks that could seriously impact availability of the Services. ITSCM ensures that the Service Provider shall always provide minimum agreed Service Levels by reducing the risk to an acceptable level and Planning for the recovery of IT Services. RTO and RPO must align with PennDOT-agreed RTO and RPO targets.

Phase 2

Information Security

Information Security Management

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

The process that ensures the confidentiality, integrity, and availability of the Services, information, and data. As required, includes handling of Systems, paper, building access, phone calls, etc., for the entire Service Provider organization.

Includes Service Provider security operations management procedures.

Phase 2

Contract Management Procedures

Deliverables Management

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

Defines the process of delivering and obtaining feedback, approval, or remediation for Service Provider-provided tangible items or outcomes that PennDOT reviews and approves at a specified date/frequency during the term of this contract.

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One-Time Deliverable Phase

Service Provider Operational Procedures

Each Service

1. Policies

2. Processes

3. Procedures

4. Work

Instructions and Runbooks

30 days prior to Optional Service Commencement Date

Document Service Provider processes and procedures necessary to deliver Services included in the respective Statements of Work.

8.2 PennDOT-Led Service Management Manual Content

PennDOT-led SMM content (Table 2 below) provides the SMM organization and content that PennDOT will lead and create with the support of the Service Provider.

Please reference Exhibit 3.1 (Service Level and Deliverable Matrix) for additional information on the requirements for delivery.

Due Dates are calendar days unless otherwise noted.

Table 2 - PennDOT-Led Service Management Manual Content

Content Due Date Description

One-Time Deliverable Phase

Service Catalog Management

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

A System with information about Services the Authorized User or PennDOT may order, change, submit an incident, request, or change, or submit a project request to obtain or enhance. The Service Catalog is the only part of the Service portfolio published to PennDOT and is used to support the request and delivery of select Services. The Service Catalog may include information about Service, approval process, cost, contact points, ordering, and request processes.

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One-Time Deliverable Phase

Service Desk

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

The facilities, associated technologies, and fully trained staff who respond to Calls, coordinate all Incident Management, Problem Management and Request Management activities, and act as a single point of contact for Authorized Users regarding the Services.

Phase 2

Incident Management

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

The use of people, processes, and technology with the primary goal to restore normal Service operations as quickly as possible and minimize the adverse impact on business operations, thus ensuring that the best achievable levels of service quality and availability are maintained.

Includes Major Incident Management.

Phase 2

Problem Management

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

The process, Software, techniques, and procedures that aid in identification, tracking, communication, and resolution of Problems arising with Services provided to PennDOT errors within the Services, and to prevent recurrence of Incidents related to these errors. To achieve this goal, Problem Management gets to the root cause of Incidents and then initiates actions to improve or correct the situation.

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One-Time Deliverable Phase

Request Management and Fulfillment

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

The process responsible for managing the lifecycle of all Service Requests.

Phase 2

Change Management

1. Policies

2. Processes

3. Procedures

4. Work

Instructions

30 days prior to Commencement Date

The processes relating to planning and performing all changes in environment pertaining to the Services, including changes to individual components and coordination of changes across all components.

The Change Management processes will support and include checkpoints to determine any potential or required Change Control Procedures and include a process of controlling changes to the infrastructure, applications, or any aspect of Services, in a controlled manner, enabling approved changes with minimum disruption.

Phase 2

Satisfaction - Service Desk Satisfaction Surveys

1. Policies

2. Processes

3. Procedures Work Instructions

60 days after Commencement Date

Process to be used for conducting customer satisfaction surveys.

Content must include procedures regarding action items and attempts to resolve PennDOT issues.

Phase 3