Exhibit 3.0 - Performance Model

Pennsylvania Department of Transportation (PennDOT)

Mainframe Services

Exhibit 3.0

Performance Model

RFP 3525R03

Exhibit 3.0 (Performance Model) RFP 3525R03

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Table of Contents 1 General 2 Reporting 3 Notice Requirements for Additions, Deletions, and Modifications 4 Service Level Default 5 Earnback 6 Additions, Modifications, and Deletions of Service Levels

6.1 Additions

6.2 Modifications

6.3 Deletions

6.4 Impact of Additions and Deletions of Critical Service Levels

6.4.1 Service Level Credit Allocation Percentages

6.5 Modifications of Service Level Credit Allocation Percentages

7 Service Delivery Failure, Corrective Action Plan Failure Event 8 Recurring Critical Deliverables 9 One-Time Critical Deliverables – After Effective Date 10 Commencement of Obligations 11 Improvement Plan for Key Service Levels 12 Improvement Plan for Critical Service Levels 13 Measuring Tools 14 Exceptions 15 Exclusions 16 Percentage Objectives 17 Continuous Improvement – Service Levels 18 Priority Levels – Introduction

18.1 Impact Definition Example

18.2 Urgency Definition Example

18.3 Priority Matrix Example

19 Low Volume

Figures

Figure 1 - Priority Matrix

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Tables

Table 1 - Minimum Compliant Items

1 General

The methodology set out in this Exhibit 3.0 (Performance Model) shall support the Performance Management cycle of monitoring, reporting, and improving the delivery of the Services to the Pennsylvania Department of Transportation (PennDOT).

As of the Commencement Date (or as otherwise specified in this Exhibit 3.0 (Performance Model) and its Attachments (incorporated herein)), the Service Provider shall perform the Services to which Service Levels apply so that the Service Level performance shall, in each month of the Term, meet or exceed the Service Level Performance Measures.

Attachments to Exhibit 3.0 (Performance Model) consist of:

• Exhibit 3.1 (Service Level and Deliverable Matrix)

• Exhibit 3.2 (Service Level Definitions)

• Exhibit 3.3 (Reports)

Critical Service Levels, Key Service Levels, One-Time Critical Deliverables, and Recurring Critical Deliverables may be added or substituted by PennDOT as specified in this Exhibit 3.0 (Performance Model) during the Term. For example, such additions or substitutions may occur in conjunction with changes to the environment and the introduction of new Service, Equipment, Software, or means of Service delivery – provided, however, that where such change is a replacement or Upgrade of existing technology, there shall be a presumption of equivalent or improved performance.

The achievement of the Service Levels by the Service Provider may require the coordinated, collaborative effort of the Service Provider with Third Parties.

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2 Reporting

Unless otherwise specified in this Exhibit 3.0 (Performance Model), each Critical Service Level, Key Service Level, Recurring Critical Deliverable, and One-Time Critical Deliverable shall be measured and reported by Service Provider monthly.

The Service Provider shall at a minimum:

1. Provide reports and data to PennDOT.

2. Comply with PennDOT’s tools, processes, and reporting formats. The format, layout, and content of any reports shall be agreed between PennDOT and the Service Provider and published by the Service Provider to the Portal.

3. Publish the Service Provider's monthly performance reports by the 20th calendar day of each month and make them available online such that PennDOT is able to verify the Service Providers performance and compliance with the Critical Service Levels, Key Service Levels, Recurring Critical Deliverables, and One-Time Critical Deliverables (for purposes of clarity, with respect to One-Time Critical Deliverables, such reporting is only required until all One-Time Critical Deliverables are received and approved by PennDOT).

4. The monthly performance reports must be updated daily throughout the month and made available for review by PennDOT.

5. The monthly reports shall describe any failure to meet Critical Service Levels and Key Service Levels for the month.

6. In addition to the reports described above, the Service Provider shall also provide detailed supporting information within the PennDOT Portal for each report to PennDOT in machine-readable form suitable for use on a personal computer.

7. The data and detailed supporting information shall include sufficient detail such that PennDOT can reproduce the calculations made by the Service Provider and validate the results reported in the monthly Service Level performance reports.

8. All detailed supporting information shall be PennDOT's Confidential Information, and PennDOT may access such information online and in real-time, where feasible, at any time during the Term.

9. In addition, the Service Provider shall provide PennDOT with direct, unaltered access to review and audit all raw data collection related to Service Levels.

10. The Service Provider shall create and maintain detailed procedure documentation of its Service Level Agreement (SLA) measurement process used to collect SLA data and calculate SLA attainment.

11. The process documentation must include quality assurance reviews and verification procedures.

12. The measurement process must be automated to the extent possible, and any manual data collection steps must be clearly documented, verified, and auditable.

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13. All methods, codes, and automated programs must be documented and provided to PennDOT for validation and approval.

3 Notice Requirements for Additions, Deletions, and Modifications

1. PennDOT will send notice to the Service Provider at least 90 calendar days prior to the date that additions or deletions to Performance Measures are to be effective. This notice may include:

a. Additions, changes, or deletions to performance measures, including the following:

i. The movement of Critical Service Levels to Key Service Levels.

ii. The movement of Key Service Levels to Critical Service Levels.

b. Modifications to Service Level Credit Allocation Percentages for any Critical Service Levels.

c. Modifications to Critical Service Levels and Key Service Levels measurement methodologies.

d. Additions or deletions to Recurring Critical Deliverables, provided that PennDOT may send only one such notice (which notice may contain multiple changes) each calendar quarter. Movement of Critical Service Levels to Key Service Levels and Key Service Levels to Critical Service Levels does not constitute creation of new Service Levels.

2. The Service Provider is required to implement into its SLA performance management system all additions, deletions, and modifications PennDOT makes to Service Provider Service Levels.

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4 Service Level Default

1. A Service Level Default occurs when performance for a particular Critical Service Level fails to meet the applicable Performance Target.

2. Service Level Credits shall not apply to Key Service Levels.

3. In the event of a Service Level Default, the Service Provider shall provide PennDOT credits as defined below:

a. Exhibit 3.1 (Service Level and Deliverable Matrix) sets forth the information required to calculate the Service Level Credit in the event of a Service Level Default. For each Service Level Default, the Service Provider shall pay to PennDOT, subject to Article 5 Earnback below, a Service Level Credit that shall be computed in accordance with the following formula:

Service Level Credit = A x B

Where:

A = The Service Level Credit Allocation Percentage for which the Service Level Default occurred as shown in Exhibit 3.1 (Service Level and Deliverable Matrix).

B = The At-Risk Amount

For example, assume that the Service Provider fails to meet the Service Level for a Critical Service Level, the Service Provider's Service Level Invoice Amount for the month in which the Service Level Default occurred was $100,000 and that the At-Risk Amount is 15% of these charges.

Additionally, assume that its Service Level Credit Allocation Percentage is 40%.

b. The Service Level Credit due to PennDOT for such Service Level Default would be computed as follows:

A = 40% (the Service Level Credit Allocation Percentage) multiplied by

B = $15,000 (fifteen percent (15%) of $100,000, the Service Provider's corresponding Service Level Invoice Amount)

= $6,000 (the amount of the Service Level Credit)

4. Subject to Item 4(6) below, if more than one Service Level Default has occurred in a single month, the sum of the corresponding Service Level Credits shall be credited to PennDOT.

5. In no event will the amount of Service Level Credits credited to PennDOT with respect to all Service Level Defaults occurring in a single month exceed, in total, the At-Risk Amount.

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6. The Service Provider shall notify PennDOT in writing if PennDOT becomes entitled to a Service Level Credit, which notice shall be included in the standard monthly reporting for Critical Service Levels and Key Service Levels as described in Article 2 Reporting.

7. The total amount of Service Level Credits that the Service Provider shall be obligated to pay to PennDOT, with respect to Service Level Defaults occurring each month, shall be credited on the invoice for the month following the month during which the Service Level Default(s) giving rise to such credit(s) occurred. For example, the amount of Service Level Credits payable with respect to Service Level Defaults occurring in August shall be set forth in the invoice for September issued in October.

8. The Service Provider acknowledges and agrees that the Service Level Credits shall not be deemed or construed to be a penalty or a sole and exclusive remedy or in derogation of any other rights and remedies PennDOT has hereunder or under this contract.

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5 Earnback

The Service Provider shall have Earnback opportunities with respect to Service Level Credits as follows:

1. The Service Provider shall earn back a Service Level Credit for a given Service Level Default when Service Level Performance meets or exceeds the Performance Target for each of the four Measurement Windows immediately following the Measurement Window in which the Service Level Default occurred.

2. Whenever the Service Provider is entitled to an Earnback, the Service Provider shall include such Earnback as a charge to PennDOT (indicated as an Earnback) on the same the monthly invoice that contains charges for the Measurement Window giving rise to such Earnback and include such information in the Service Provider’s monthly performance reports as described in Article 2 Reporting.

3. Upon termination or expiration of this contract, Service Level Credits issued by the Service Provider are no longer subject to Earnback.

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6 Additions, Modifications, and Deletions of Service Levels

PennDOT may add, modify, or delete Critical Service Levels and Key Service Levels as described below by sending written notice in accordance with Article 3 Notice Requirements for Additions, Deletions, and Modifications.

6.1 Additions

PennDOT may add Service Levels in accordance with this Section 6.1 Additions and by providing written notice in accordance with Article 3 Notice Requirements for Additions, Deletions, and Modifications. Service Level commitments associated with added Service Levels shall be determined as follows:

1. The Parties shall attempt in good faith to agree on a Service Level commitment using industry standard measures or third-party advisory services (e.g., Gartner).

2. With respect to this individual Service Level, the period between the Service Level Effective Date and the Service Level Credit Start Date shall be used as a validation period. The Service Provider and PennDOT shall review the actual Service Level Performance during this validation period. If the Service Level Performance does not meet the Performance Target, the Service Provider shall create a Corrective Action Plan subject to PennDOT’s approval, and the Parties shall extend the validation period (reset the Service Level Effective Date) by a mutually agreed period not to exceed three months. The Service Provider shall implement the Corrective Action Plan and report on progress to PennDOT during the extended validation period. This process may be repeated if mutually agreed by the Parties. If the Parties eventually agree that the Services must be changed (e.g., staffing, tooling) or the Performance Target must be revised, the Parties shall enact such agreed changes through the Change Control Procedures.

6.2 Modifications

1. PennDOT may modify Service Level commitments or measurement methodology in accordance with this Section 6.2 Modifications and by providing written notice in accordance with Article 3 Notice Requirements for Additions, Deletions, and Modifications.

2. The Service Provider may propose modifications to Service Level measurement methodology for PennDOT approval. Upon PennDOT approval, Service Level measurement methodology shall be modified by updating Exhibit 3.2 (Service Level Definitions).

3. For any Service Level commitments associated with modified Service Levels, the Parties shall attempt in good faith to agree on a modification to current Service Level commitments using industry standard measures or third-party advisory services. In the event the Parties cannot agree on proposed modifications, MSA Article 18 Dispute Resolution applies.

6.3 Deletions

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PennDOT may delete Critical Service Levels or Key Service Levels by sending written notice in accordance with Article 3 Notice Requirements for Additions, Deletions, and Modifications.

6.4 Impact of Additions and Deletions of Critical Service Levels

6.4.1 Service Level Credit Allocation Percentages

1. When adding or deleting a Critical Service Level, PennDOT will modify the Service Level Credit Allocation Percentages for the Critical Service Levels such that the total Service Level Credit Allocation Percentages for all Critical Service Levels sums to less than or equal to Pool Percentage Available for Allocation as defined in Exhibit 3.1 (Service Level and Deliverable Matrix).

2. If PennDOT adds a Critical Service Level in accordance with Section 6.1 Additions, but does not modify the Service Level Credit Allocation Percentages for the Critical Service Levels under this Section 6.4 Impact of Additions and Deletions of Critical Service Levels, then, until PennDOT modifies such Service Level Credit Allocation Percentages, the Service Level Credit Allocation Percentage for such added Critical Service Level shall be zero.

6.5 Modifications of Service Level Credit Allocation Percentages PennDOT may modify the Service Level Credit Allocation Percentages for any Critical Service Levels by sending written notice in accordance with Article 3 Notice Requirements for Additions, Deletions, and Modifications. PennDOT will modify the Service Level Credit Allocation Percentages for two or more of the Critical Service Levels such that the sum of the Service Level Credit Allocation Percentages for all Critical Service Levels is less than or equal to the Pool Percentage Available for Allocation as defined in Exhibit 3.1 (Service Level and Deliverable Matrix).

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7 Service Delivery Failure, Corrective Action Plan Failure Event

1. If three Service Level Defaults for the same Critical Service Level occur in any six month period, then upon such third occurrence, this shall be deemed a "Service Delivery Failure". Within 30 days of the occurrence of a Service Delivery Failure, the Service Provider shall provide PennDOT with a written plan (the "Service Delivery Corrective Action Plan") for improving the Service Provider's performance to address the Service Delivery Failure, which plan shall include a specific implementation timetable and measurable success criteria. Within 30 days of plan submission, or such other timeframe agreed to by PennDOT, the Service Provider shall implement the Service Delivery Corrective Action Plan (CAP), which shall include making timely and appropriate investments in people, processes, and technology. In addition, the Service Provider shall demonstrate to PennDOT's reasonable satisfaction that the changes implemented by it have been made in normal operational processes to sustain compliant performance results in the future.

2. Upon the occurrence of (i) an additional Service Delivery Failure, or (ii) if the Service Provider fails to implement the Service Delivery Corrective Action Plan in the specified timetable or if after the implementation of the Service Delivery Corrective Action Plan performance has not consistently improved, then the Service Provider shall be liable for a Service Level Credit in an amount equal to one percent of the then-current Service Level Invoice Amount (the "CAP Failure Credit"). The CAP Failure Credit shall be applied to the monthly invoice until the Service Provider has demonstrated effective Service delivery, as evidenced by either (i) no reoccurrence of the Service Level Defaults which triggered the applicable Service Delivery Failure, or (ii) in PennDOT's reasonable judgment, the Service Provider has remedied the failure which caused such Service Delivery Failure.

3. The CAP Failure Credit shall not be subject to Earnback. The Service Provider acknowledges and agrees that the CAP Failure Credit shall not be deemed or construed to be a penalty or a sole and exclusive remedy or in derogation of any other rights and remedies PennDOT has hereunder or under this contract. For purposes of clarity, the CAP Failure Credit is separate from and therefore additive to any other Service Level Credits due in a given month, even if the Service Level Credits are for Service Level Defaults related to the Service Delivery Failure. In no event will the sum of the CAP Failure Credit and any Service Level Credits credited to PennDOT with respect to all Service Level Defaults occurring in a single month exceed, in total, the At-Risk Amount.

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8 Recurring Critical Deliverables

Certain of the Service Provider's obligations under this contract are periodic obligations to deliver key Recurring Critical Deliverables. Exhibit 3.1 (Service Level and Deliverable Matrix) sets forth the amounts that shall be payable, and frequency the credit applies, by the Service Provider to PennDOT in the event the Service Provider fails to deliver any of the Recurring Critical Deliverables in accordance with defined Acceptance Criteria which includes the required time specified in Exhibit 3.1 (Service Level and Deliverable Matrix) (the "Recurring Critical Deliverables Credit"). The following applies to Recurring Critical Deliverables:

1. Imposition of a Recurring Critical Deliverables Credit for failure to meet the Recurring Critical Deliverables obligations shall not be subject to or included in the At-Risk Amount.

2. The total amount of Recurring Critical Deliverables Credit that the Service Provider shall be obligated to pay to PennDOT shall be reflected on the invoice that contains charges for the month following that in which the Recurring Critical Deliverables Credits accrued (e.g., the amount of Recurring Critical Deliverables Credits payable for failure to deliver any Recurring Critical Deliverable(s) in August shall be set forth in the invoice for September charges issued in October).

3. Under no circumstances shall the imposition of the Recurring Critical Deliverables Credit described above, or PennDOT's exercise of any other rights hereunder be construed as PennDOT's sole or exclusive remedy for any failures described hereunder.

4. PennDOT may add, modify, or delete Recurring Critical Deliverables by sending written notice in accordance Article 3 Notice Requirements for Additions, Deletions, and Modifications, provided that after the implementation of any such addition or modification the aggregate amount of the Recurring Critical Deliverables Credits shall not exceed the maximum amount of Recurring Critical Deliverables Credits set forth in Exhibit 3.1 (Service Level and Deliverable Matrix).

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9 One-Time Critical Deliverables – After Effective Date

Certain of the Service Provider’s obligations under this contract are one-time or periodic obligations to deliver One-Time Critical Deliverables. Exhibit 3.1 (Service Level and Deliverable Matrix) sets forth the Deliverable Credits that shall be payable, and the frequency the credit applies, by the Service Provider to PennDOT in the event the Service Provider fails to deliver any of the One-Time Critical Deliverables in accordance with defined Acceptance Criteria which includes the required time specified in Exhibit 3.1 (Service Level and Deliverable Matrix). The following applies to One-Time Critical Deliverables:

1. Imposition of Deliverable Credits for failure to meet the One-Time Critical Deliverables obligations shall not be subject to or included in the At-Risk Amount.

2. The total amount of Deliverable Credits that the Service Provider shall be obligated to pay to PennDOT shall be reflected on the invoice that contains charges for the month following that in which the Deliverable Credits accrued (e.g., the amount of Deliverable Credits payable for failure to deliver any One-Time Critical Deliverable(s) in August shall be set forth in the invoice for September charges issued in October).

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10 Commencement of Obligations

The Service Provider shall be responsible for providing measurement data in support of the Critical Service Levels and Key Service Levels on the Commencement Date. Other obligations set forth herein shall commence on the Commencement Date or as otherwise specified in Exhibit 3.1 (Service Level and Deliverable Matrix) referencing the column "Comm +mos**" (the “Service Level Credit Start Date”) to reflect when the Service Provider shall be responsible for Service Level Credits for any failures to attain the Critical Service Level. Any Service Level Defaults prior to the Service Level Credit Start Date shall not be considered in the evaluation of a Service Delivery Failure.

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11 Improvement Plan for Key Service Levels

If the Service Provider fails to meet the Performance Target for the same Key Service Level for three months in any rolling six month period, the Service Provider shall provide PennDOT with a written plan for improving its performance to satisfy the Key Service Level within 30 days of the third failure to meet the Service Level for the Key Service Level. At the Service Provider’s sole cost and expense, it shall promptly implement such plan. If the Service Provider fails to implement the plan in the specified timetable, or if after 90 days after any such implementation of the plan, the Key Service Level has not consistently improved, then PennDOT may at its option declare that such failure shall constitute a Service Delivery Failure and the Service Provider shall comply with the requirements of Article 7 Service Delivery Failure, Corrective Action Plan Failure Event.

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12 Improvement Plan for Critical Service Levels

If the Service Provider fails to meet the Performance Target for a Critical Service Level, the Service Provider shall follow the Service Provider’s performance management process to provide PennDOT with a written Service Level Improvement Plan for improving the Service Provider's performance to satisfy the Critical Service Level within 30 days of the failure to meet the Service Level. The Service Provider shall track its progress in implementing the improvement plan, and it shall report to PennDOT the status of such plan.

The Service Provider shall initiate a Service Level Improvement Plan (SLIP) via the standard Problem Management Process when a Service Level underperforms. All SLIPs must contain information about the root cause of the Service Level miss and associated corrective actions. The objective of a SLIP is to identify the root cause and formulate corrective actions to move performance to acceptable levels, implement those actions, and to correlate implemented corrective actions with Service Level results. All approved SLIP corrective actions shall be measured in the Corrective Action SLA results. Customer may require a Service Level Improvement plan for service delivery performance issues not directly related to a Service Level, as well as Service Level performance related to a low volume service level calculation, as set forth in Article 19 Low Volume, whether or not the calculation meets the Minimum Compliant Items.

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13 Measuring Tools

As of the Effective Date, the measuring tools and methodologies set forth in Exhibit 3.2 (Service Level Definitions) represent acceptable measuring tools and methodologies for the Critical Service Levels and Key Service Levels designated.

If there are any Critical Service Levels for which the measuring tools and methodologies have not been agreed upon by PennDOT and the Service Provider, and for which measuring tools are not included in Exhibit 3.2 (Service Level Definitions), and the Service Provider fails to propose a measuring tool for such Critical Service Level that is acceptable to PennDOT prior to the date upon which the Service Provider shall be responsible for Service Level performance and Service Level Credits due for Service Level Default (Service Level Credit Start Date), such failure shall be deemed a Service Level Default for the Critical Service Level until the Service Provider proposes and implements such acceptable measuring tool. PennDOT will not unreasonably withhold approval for the Service Provider's recommendation for an alternate tool.

Tools for new Critical Service Levels shall be implemented according to the Change Control Procedures. Upon PennDOT’s written notice approving a proposed alternate or new measurement tool, such tool shall be deemed automatically incorporated into Exhibit 3.2 (Service Level Definitions) as of the date for completion of implementation set forth in PennDOT’s notification without requirement for an additional written amendment of this contract.

If, after the Effective Date or the implementation of tools for new Critical Service Levels, the Service Provider desires to use a different measuring tool for a Critical Service Level, the Service Provider shall provide written notice to PennDOT, in which event the Parties shall reasonably adjust the measurements as necessary to account for any increased or decreased sensitivity in the new measuring tools; provided that, if the Parties cannot agree on the required adjustment, the Service Provider shall continue to use the measuring tool that had been initially agreed to by the Parties.

It is not anticipated that changes in the measuring tools will drive changes in Service Levels;

rather, the need to collect and accurately reflect the performance data should drive the development or change in performance monitoring tools. The Service Provider shall configure all measurement tools to create an auditable record of each user access to the tool and any actions taken with respect to the data measured by or residing within the tool. All proposed measuring tools must include functionality enabling such creation of an auditable record for all accesses to the tool.

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14 Exceptions

The Service Provider shall not be responsible for a failure to meet any Service Level solely to the extent that such failure is directly attributable to any circumstances that excuse the Service Provider's performance in accordance with MSA Section 9.2 Savings Clause.

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15 Exclusions

Any Incidents or requests opened prior to Commencement Date by PennDOT are excluded from SLA measurements and shall be tracked separately.

Additional exclusions are indicated in Exhibit 3.2 (Service Level Definitions).

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16 Percentage Objectives

Both Parties understand that certain Service Levels may not be measured against an objective of 100%; for example, time (days, hours, etc.), defects where zero hours/days and zero percent, respectively, are the appropriate objectives. The calculations described in this Article 16 Percentage Objectives shall be modified when appropriate to reflect these objectives.

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17 Continuous Improvement – Service Levels

The Parties agree to the concept of continuous improvement and that the Critical Service Levels and Key Service Levels, unless otherwise noted as an exception in Exhibit 3.1 (Service Level and Deliverable Matrix), shall be modified during this contract in accordance with Article 3 Notice Requirements for Additions, Deletions, and Modifications to affect changes. To accomplish this, Critical Service Levels and Key Service Levels shall be modified each 12 month period following the commencement of obligations date specific to each Critical Service Level and Key Service Level as described below:

1. Each Performance Target shall be reset to the average of the four highest reported actual results at or above the Performance Targets achieved during the previous 12 months;

provided that, if fewer than four reported actual results exceeded the Performance Target, the Performance Target shall be reset by taking the four highest monthly actual results, replacing each such actual result that is below the Performance Target with the Performance Target, and dividing the sum of the resulting four numbers by four.

2. For example, if the Performance Target being adjusted were 99.6%, and there were three actual results that were higher and none equal (e.g., 99.90%, 99.80%, and 99.70%), the calculation would be ((99.90% + 99.80% + 99.70% + 99.60%) / 4) = 99.75% with the subsequent reset governed by Item (3) below.

3. Notwithstanding Item (1) above, in no event will any single increase in a Performance Target pursuant to Item (1) above exceed 10% of the difference between 100% and the then-current Performance Target.

4. For example, if the Performance Target being adjusted were 99.60%, the maximum increase for that reset would be 0.04% (i.e., from 99.60% to 99.64%).

5. For ease of administration, beginning with the second anniversary of the Commencement Date and continuing with every anniversary of the Commencement Date thereafter, the process described herein shall be performed as of the anniversary of the Commencement Date, utilizing the previous 12 months' data, replacing the Critical Service Level or Key Service Level unique dates that were based upon the commencement of obligations dates specific to each Critical Service Level.

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18 Priority Levels – Introduction

PennDOT has adopted the ITIL framework for service management. As part of this framework, each Incident and Problem shall be assessed in terms of its Impact on PennDOT's business and the Urgency with which PennDOT requires the Incident or Problem to be Resolved or a workaround to be implemented. The Incident or Problem shall be assigned a Priority Level based on this assessment. This section sets forth qualitative descriptions of Priority Levels associated with the Services.

“Impact” is defined as “the measure of the effect that an Incident is having or might have on the business.” As such, it can be assessed based on the effect of an Incident or Problem on PennDOT business operations. An Impact may be assessed by taking into account the number and business roles of the people affected, the business functions supported by the Systems affected or mandates (e.g., regulatory, legal, or business) for provision of outputs in a prescribed timeframe.

“Urgency” is defined as “the measure of amount of time until an Incident has a significant impact on the business.” As such, it can be assessed by how quickly PennDOT's business will be affected by the loss of Service resulting from the Incident or Problem. A high-Impact Incident does not necessarily have an immediate Impact. For example, a system supporting end-of-month processing (impact “high”) can be assessed as urgency “low” if it occurs early in the monthly processing cycle but may be assessed as “high” if it nears the end of the cycle. A System that supports PennDOT in dealing directly with customers, or that supports online, real-time transactions, may always be assessed as a “high” Urgency, even if it is only of moderate Impact.

There may be different Service Levels associated with the Resolution of an Incident or Problem based on the assigned Priority Level. The impact, Urgency, and associated Priority Level assignments used by PennDOT are documented in the SMM. As a sample, the Impact, Urgency, and associated Priority Levels currently in effect, but may change as PennDOT updates the SMM, are noted below:

18.1 Impact Definition Example

Impact Description

1-High (Entire Agency) Major System or Application down or unstable.

Critical Impact to business functions.

Impacts PennDOT’s ability to do business.

2-Medium (Multiple Users or VIP)

Single VIP User impacted Non-critical business Impact; alternative or workaround immediately available.

System or component down, or degraded (limited effectiveness, slow response time, etc.).

Failure of one or more non-critical Applications; a problem that involves an environmental problem or a problem that impacts several Users.

3-Low (Individual) Affects single End User; minor service interruption or problem that is not critical but needs to be addressed.

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18.2 Urgency Definition Example

Urgency Description Example

1-High Immediate turnaround is required

The impact to PennDOT caused by the Incident is increasing rapidly.

Issue reported is an interruption of service to a major System or service.

Issue which is currently leading to a financial impact to the business.

Critical work cannot be completed that is highly time sensitive.

2-Medium Quick turnaround is required

The impact to PennDOT caused by the Incident is increasing considerably over time.

Issue reported is a potential interruption of service.

3-Low Immediate turnaround is not required

Contracted or average turnaround time is acceptable.

Issues which are for information; items that are not issues now but are issues in the future.

18.3 Priority Matrix Example

Figure 1 - Priority Matrix

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19 Low Volume

Some Service Levels are expressed in terms of achievement of a level of performance over a percentage of items occurring during a Measurement Window. In these instances, if the number of items occurring during a given Measurement Window is less than or equal to 100, the following algorithm shall be used to determine the number of compliant items that Service Provider must successfully complete to achieve the Service Level concerned (Minimum Compliant Items), notwithstanding the percentage expressed in Exhibit 3.1 (Service Level and Deliverable Matrix) as the target.

1. The number of items occurring during such Measurement Window shall be multiplied by the Performance Target; and

2. If the product of that multiplication is not a whole number, then such product shall be truncated to a whole number.

3. For example:

a. Assume that a Service Level states that the Service Provider must complete 95% of Incidents within four hours to achieve this Service Level.

b. The following sample calculations illustrate how the above algorithm would function to determine the Minimum Compliant Items (Incidents completed within 4 hours) to achieve this Service Level, in each case given a different number of total Incidents occurring during the corresponding Measurement Window:

i. If the number of Incidents is 100, the Minimum Compliant Items is 95 incidents (100 Incidents x 95 percent = 95 Incidents).

ii. If the number of Incidents is 99, the Minimum Compliant Items is 94 Incidents (99 Incidents x 95 percent = 94.05 Incidents, truncated to 94).

iii. If the number of Incidents is nine, the Minimum Compliant Items is eight

(8) Incidents (9 Incidents x 95 percent = 8.55 Incidents, truncated to 8).

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Table 1 - Minimum Compliant Items

Target Service Level

Number of Items Minimum Compliant Items

100 95

90 85

80 76

70 66

60 57

50 47

40 38

30 28

20 19

10 9

6.5 Modifications of Service Level Credit Allocation Percentages

19 Low Volume