Exhibit 3.3 - Reports
78 KB Posted
- Attached to
- PennDOT Mainframe Services
- Solicitation number
- 3525R03
- Issued by
- Pennsylvania
About this file
Exhibit 3.3 - Reports Summary
This document is an exhibit to RFP 3525R03 for Pennsylvania Department of Transportation (PennDOT) Mainframe Services, detailing the required reports and deliverables for IBM compatible mainframe hosting and management services covering approximately 100 applications. The exhibit establishes a comprehensive reporting framework across multiple functional categories including Services and Software, Change Management, Disaster Recovery, Incident Management, Projects, Problem Management, Service Requests, Service Level Agreements, Access Control, Administration, Information Security, Invoice Reporting, and Operations. Reports are generated through various tools and systems, with delivery locations primarily on the PennDOT Portal or via email, and frequency ranges from daily (7 a.m. EST) for critical operational reports to quarterly and annual submissions. Key operational reports include the Operations Morning Report (daily), Monthly Service Level Report, Incident Management Report, and Problem Management Report, while infrastructure reports cover asset inventory, software licensing, maintenance contracts, and end-of-life projections on a monthly to quarterly basis.
The Service Provider is required to produce both existing and new reports, with specific metrics and analysis requirements outlined for each deliverable. Financial reporting includes monthly ITFM Service Provider Billing Reports and Resource Unit Invoices in downloadable Excel format, tracking charges by category and resource unit. Security reporting mandates daily open security incident reports, monthly security incident listings, personnel background check and training completion reports, vulnerability scan analyses, and SIEM tool compliance tracking. Disaster Recovery reporting requires monthly RTO/RPO documentation, post-test results within 30 days of each test, and annual DR test schedules. Project and change management reports track status variances, deliverables completion, risk identification, CAB activities, and migration of application code changes. All reports are to be maintained in a Service Management Manual (SMM) with quarterly status updates, and SLA credits and earnback tracking is included in monthly administration reports.
Text of this file
Title Page
Pennsylvania Department of Transportation (PennDOT)
Mainframe Services
| Exhibit 3.3 |
| Reports |
| RFP 3525R03 |
Overview Overview
This Exhibit contains a summary description of the format, content, and frequency of key reports required by PennDOT. NOTE: The reports listed under the following Report Categories apply to all Service Components: Scorecard; Finance; CMDB/Software Reports; SLAs; and, Strategic.
| Column Name | Column Description |
| Contract Reference | Contract artifact reference, if applicable |
| Report Category | Functional category |
| Report ID | Identification title of the report, if applicable |
| Report Name | Name of report |
| Description | Short description of the report and report content |
| Milestone Deliverable Date (if other than Commencement) | The milestone deliverable date for each report |
| Frequency | How often the report is distributed |
| Recipient | For whom report is created |
| Report Location | Where the report is published (e.g., PennDOT Portal) |
| Report Generator Tool | Tool from which the Service Provider creates the report |
| Existing or New | If the report is currently provided by the Existing or being requested New |
&"Arial,Regular"Exhibit 3.3 (Reports)
Page &P of &N
Reports
| Contract Reference | Report Category | Report ID | Report Name | Description | Milestone Deliverable Date (if other than Commencement) | Frequency | Recipient | Report | ||
| Location | Report Generator Tool | Existing or |
New
| Services and Software | ||||||||||||
| Exhibit 2.1 | Services and Software | OPS-E&S01 | Services Inventory Summary Reports | Provide integrated Service Inventory reports in a format agreed with PennDOT at various aggregated levels (e.g., account, organization, subscription, resource group, resource type) that, at a minimum, includes: | ||||||||
| Full list of services provided to PennDOT including key supporting infrastructure and application components (network, compute, devices, modules, applications). Data for each to include name, unique Configuration Item (CI), description, classification attributes to categorize, deployment date, version, and other asset attributes needed to discern the type of resource and Services that are supported by the asset. | Monthly | PennDOT | PennDOT Portal | TBD | New | |||||||
| Exhibit 2.1 | Services and Software | OPS-E&S02 | Asset Inventory | Produce reports out of the CMDB to inform PennDOT on the configuration items covered by the Services and supporting infrastructure. | Monthly | PennDOT | PennDOT Portal | TBD | New | |||
| Exhibit 2.1 | Services and Software | OPS-E&S03 | Mainframe and Managed Server Services Inventory | Produce reports and electronic data, in an PennDOT agreed format, with all data required to report to PennDOT on services they consume and represent the official Mainframe and Managed Server Services CMDB of record. | Monthly | PennDOT | PennDOT Portal | TBD | New | |||
| Exhibit 2.1 | Services and Software | OPS-E&S04 | Third Party Maintenance Contract Renewal Report | |||||||||
| (30/60/90 day) | Notify PennDOT in advance about Service Provider-managed Third Party maintenance contracts (infrastructure and software) that are about to expire. | Monthly | PennDOT | PennDOT Portal | TBD | New | ||||||
| Exhibit 2.1 | Services and Software | OPS-E&S05 | Infrastructure & Software End of Life | On a quarterly basis provide PennDOT with a report showing a 24 month projection of infrastructure and software that is approaching, or has reached, end of life | Quarterly | PennDOT | PennDOT Portal | TBD | New | |||
| Exhibit 2.1 | Services and Software | OPS-E&S06 | Installed Software | Provide monthly reports of all installed Mainframe and Managed Server Software within the Mainframe and Managed Server Services environment with details that include, at a minimum: | ||||||||
| - Software vendor, product, product identifiers, product feature identifiers, expiration date, licensed holder/financial party responsible, version, number of licenses installed and utilized per LPAR and environment, and license entitlement compliance of the Software. | Monthly | PennDOT | PennDOT Portal | TBD | Existing | |||||||
| Exhibit 2.1 | Services and Software | OPS-E&S07 | Infrastructure & Software Upcoming Upgrade Report | At least 90 days in advance or at PennDOT's request, give written notice to PennDOT of all Upgrades and Software changes that are planned to occur in the following quarter. The Parties will mutually agree in writing on the timing for the implementation of upgrades. | Monthly | PennDOT | PennDOT Portal | TBD | New | |||
| Exhibit 2.1 | Services and Software | OPS-E&S08 | Software License Key Management | |||||||||
| (30/60/90 day) | Notify PennDOT in advance about all Mainframe and Managed Server software license keys that are about to expire. Provide reports for each Mainframe and Managed Server software with license keys expiration date. | Monthly | PennDOT | PennDOT Portal | TBD | New | ||||||
| Exhibit 2.1 | Services and Software | OPS-E&S09 | Software Certificates Management | |||||||||
| (30/60/90 day) | Notify PennDOT in advance about all Mainframe and Managed Server software certificates that are about to expire. Provide reports for each Mainframe and Managed Service software certificate attributes, including expiration date. | Monthly | PennDOT | PennDOT Portal | TBD | New | ||||||
| Change Management | ||||||||||||
| Exhibit 2.1 | Change Management | OPS-CHG01 | Change Report | Report all Open and Closed changes including but not limited to: normal changes, high risk, past due, three month look ahead. Includes at a minimum a breakdown of metrics by type, category, priority, effected Service or Business Owner, and success/failure. |
Provide integrated CAB reports containing all changes (both digitally and traditionally managed) that, at a minimum, includes per the SMM:
- Type (e.g., normal, standard, expedited)
- Status (e.g., submitted, active, implemented, failed)
- Change Advisory Board method used for review and approval (e.g., PennDOT digital CAB, PennDOT traditional CAB meeting, etc.)
- Provide statistical reporting on change activity to PennDOT as requested.
| Daily/ Monthly | PennDOT | PennDOT Portal | PennDOT Approved ITSM | New |
| Exhibit 2.1 | Change Management | OPS-CHG02 | CAB Report | Proposed changes undergoing CAB review, including but not limited to: |
• Post-implementation review for any emergency and failed changes with recommended future mitigation steps
• Analysis of changes that incurred issues or Incidents associated with them
| • Recommendations to improve CAB process | Quarterly | PennDOT | PennDOT Portal | PennDOT Approved ITSM | New | |||||
| Exhibit 2.1 | Change Management | OPS-CHG03 | Scheduled Maintenance Reports | Report of specific planned maintenance activities (including upgrades), and successfully implemented changes, Systems impacted, driver for change, duration, related Incidents or Problems | Monthly | PennDOT | PennDOT Portal | PennDOT Approved ITSM | New | |
| Exhibit 2.1 | Change Management | OPS-CHG04 | Change Management Migration Report | Report listing all application code changes that have been migrated | Monthly | PennDOT | PennDOT Portal | PennDOT Approved ITSM | New | |
| Disaster Recovery | ||||||||||
| Exhibit 2.1 | Disaster Recovery | OPS-DR01 | Application DR Recovery Time Objective (RTO) and Recovery Point Objective (RPO) | List of Services/Systems/Applications required for DR by enterprise supporting (e.g., SIEM, SOC), as agreed with PennDOT. Source of RTO data is the CMDB. | Monthly | PennDOT | PennDOT Portal | TBD | New | |
| Exhibit 2.1 | Disaster Recovery | OPS-DR02 | DR Test Results | Within 30 days of each test, at a minimum, these reports should include: results achieved, comparison of the results to the measures and goals identified in the respective DR test plan, report on the feedback from Authorized Users as to the adequacy of continuity for their respective areas, a plan and a schedule to remedy any gaps revealed during testing. | Within 30 days after each DR test | PennDOT | PennDOT Portal | TBD | New | |
| Exhibit 2.1 | Disaster Recovery | OPS-DR03 | DR Test Schedule | List of all the DR tests scheduled or planned for the upcoming year that clearly documents and demonstrates, in the event of a loss of the Service Provider’s ability to provide the Services, the Service Provider’s plan and capability to restore those Systems identified as necessary to PennDOT’s ability to conduct its business on Critical Applications. Service Provider will provide the plan in accordance with Section 6.13 IT Service Continuity Management of Exhibit 2.1 (Mainframe Services SOW) | Annual | PennDOT | PennDOT Portal | TBD | New | |
| Incident | ||||||||||
| Exhibit 2.1 | Incident | OPS-INC01 | Executive Operations Review Report | Executive overview of monthly statistics for Incidents | Monthly | PennDOT | PennDOT Portal | PennDOT Approved ITSM | New | |
| Exhibit 2.1 and Exhibit 3.1 | Incident | OPS-INC02 | Monthly Incident Management Report | Report showing: number of Incidents opened, closed and carried over during the month, grouped by priority, service, consumer / functional domain or group, classification or other criteria as appropriate. List of Incidents, short description, reference number, and a shortcut to detailed description. Detailed description, including timing of activities. Links to Problems and Known Errors. Trend analysis of the Incidents reported during the 13 most recent months. Calculate metrics and provide monthly reports to PennDOT, which include: |
The number of Incidents.
The duration of open Incident (average and quantities by age).
Number and percentage of Incidents Resolved upon first contact.
Trending metrics in terms of MTTRS (mean time to restore service) by category, priority and by service or SLA.
Number and percentage of Incidents (by category, priority, service and SLA) that were handled within the SLA targets.
Number and percentage of Incidents (by category, priority, service and SLA) reoccurring.
Number and percentage of Incidents that have resulted in the creation of problem records.
Number and percentage of Incidents escalated by organization, category, priority and Service.
| Analysis of Incident and Service Request trends with recommendations to reduce Incidents and streamline the Service Request activities. | Monthly | PennDOT | PennDOT Portal | PennDOT Approved ITSM | New | |||||
| Exhibit 2.1 and Exhibit 3.1 | Incident | OPS-INC03 | Incident Analysis and Recommendations Report | Analysis of Incident trends with recommendations to reduce Incidents and streamline Incident activities. | Quarterly | PennDOT | PennDOT Portal | TBD | New | |
| Exhibit 2.1 | Incident | OPS-INC04 | Event Management Report | Provides statistics, lists and charts illustrating the Events collected in the Service Provider supported environment including the number of, source, destination and type of event. |
Provides reports on Incidents and Problems initiated by the Service Provider Event Management system with trends over the past 13 months.
Number of events per CIs.
Number of occasions when an event is collected and can’t be matched with a CI Summary and details of events which resulted in an automated correction made to remediate errors.
| Summary and details of events which resulted in an automated initiation of an Incident ticket. | Monthly | PennDOT | PennDOT Portal | TBD | New | |||||
| Projects | ||||||||||
| Exhibit 2.1 | Projects | OPS-PROJ01 | Project Summary Status | Project list including custom and standard project requests, solutions, approved and active projects, completed projects. | Weekly | PennDOT | PennDOT Portal | TBD | New | |
| Exhibit 2.1 | Projects | OPS-PROJ02 | Active Projects Status Report | Status report will include, at a minimum, the following: (a) any variances to the schedule set forth in the applicable RFS Proposal; (b) if the Project is behind schedule, a recovery plan that describes the actions that Service Provider will undertake in order to return to such schedule; (c) Deliverables and other Work Product that have been created, developed, and/or completed, in whole or in part, pursuant to the RFS Proposal or otherwise as part of the Project and the status of each such Deliverable and other Work Product; (d) variances, if any, to the specifications of the Project; (e) any Charges incurred to date, including infrastructure, Software, labor and any other charges associated with the performance of the Project and execution of the RFS Proposal, to the extent that such charges are relevant to PennDOT's payment obligations; (f) an identification of any potential known or reasonably anticipated risks regarding the Project (such as potential disruptions to PennDOT or Consumer operations), and the actions that would need to be taken in order to mitigate and/or eliminate such risks; (g) any relevant issues identified by either Party since the previous report; and (h) report on system, accessibility, and User Acceptance Test (UAT) results. | Weekly | PennDOT | PennDOT Portal | TBD | New | |
| Problems / RCA | ||||||||||
| Exhibit 2.1 and Exhibit 3.1 | Problems / RCA | OPS-RCA01 | Problem Management Report | Percentage and number of Problems in total and grouped by category, priority, priority, status, system/component or other criteria as appropriate. Report to include: |
Statistics on total numbers of Problems.
Logged (by requestor, site, category, summary, detail) Outstanding (by assigned group, assigned manager, assigned owner, category, site, status, summary, detail, aging timeframe) Completed (by assigned group, assigned manager, assigned owner, category, site, status, summary, detail, resolution timeframe, within target timeframe, outside of target timeframe).
Repeat Problems.
Problem trends and analysis.
| Monthly | PennDOT | PennDOT Portal | PennDOT Approved ITSM | New |
| Service Requests | ||||
| Exhibit 2.1 and Exhibit 3.1 | Service Requests | OPS-REQ01 | Monthly Service Request Report | Report showing: number of Requests opened, closed and carried over during the month, grouped by priority, service, classification or other criteria as appropriate. List of Requests, short description, reference number, and a shortcut to detailed description. Trend analysis of the Requests reported during the 13 most recent months. Calculate metrics and provide monthly reports to PennDOT, which include: |
The number of Requests.
The duration of open Request (average and quantities by age).
Number and percentage of Requests Resolved upon first contact.
Number and percentage of Requests (by category, priority, service and SLA).
Number and percentage of Requests (by category, priority, service and SLA) reoccurring.
| Number and percentage of Requests escalated by organization, category, priority and Service. | Monthly | PennDOT | PennDOT Portal | PennDOT Approved ITSM | New | |||||
| Exhibit 2.1 and Exhibit 3.1 | Service Requests | OPS-REQ02 | Service Request Analysis and Recommendations Report | Analysis of Service Request trends with recommendations to improve and streamline the Service Request activities. | Quarterly | PennDOT | PennDOT Portal | TBD | New | |
| SLAs | ||||||||||
| Exhibit 3 | SLAs | OPS-SLA01 | Monthly Service Level Report | Report showing: Monthly Service Level compliance per Service Level, including the ability to view the detailed information for each record or event included in the denominator for each Service Level, and the records or events that achieved and failed the Service Level target. | Monthly | PennDOT | PennDOT Portal and in a downloadable format | TBD | New | |
| Access | ||||||||||
| Exhibit 2.1 | Access | OPS-ACCESS01 | Tool Access Review Report | List of who has access to each tool managed by the Service Provider and last use of that access. These tools may include the PennDOT Portal, SIEM, SOAR, etc. with the full list agreed to and maintained by Service Provider in the SMM. | Monthly | PennDOT | PennDOT Portal | TBD | New | |
| Administration | ||||||||||
| Exhibit 1.3 | Administration | OPS-ADMIN01 | Service Management Manual Status Updates and Review | List of the SMM document status, including those complete, in review, and coming up for review. | Quarterly | PennDOT | Excel | New | ||
| Exhibit 3 | Administration | OPS-ADMIN02 | Service Level Credit and Earnback Report | Tracks all SLA credits and any prior period adjustments to credits in the appropriate month of service. Indicates whether and what portion of a credit in each SLA performance measure has lost earn back and what portion remains eligible for earn back. | Monthly | PennDOT | PennDOT Portal and in a downloadable format | Excel | New | |
| Information Security | ||||||||||
| Exhibit 2.1 | Information Security | OPS-SEC01 | Open Security Incidents Report | A summary and status of any open critical or high security incidents | Daily, 7 am EST | PennDOT | PennDOT Portal | TBD | New | |
| Exhibit 2.1 | Information Security | OPS-SEC02 | Monthly Security Incident Reports | List of Security Incidents and their status | Monthly | PennDOT | PennDOT Portal | TBD | New | |
| Exhibit 2.1 | Information Security | OPS-SEC03 | Security Initiative Reports | Current status reports of any security initiatives. Criteria dependent on the initiative | Monthly | PennDOT | PennDOT Portal | TBD | New | |
| Exhibit 2.1 | Information Security | OPS-SEC04 | Security Background Check for Service Provider Personnel | Report on the completion of all new and renewed personnel that have completed the screening and compliance background checks | Monthly | PennDOT | PennDOT Portal | TBD | New | |
| Exhibit 2.1 | Information Security | OPS-SEC05 | Security Training for Service Provider Personnel | Report on the completion of all personnel Security training, as define in the SMM. | Monthly | PennDOT | PennDOT Portal | TBD | New | |
| Exhibit 2.1 | Information Security | OPS-SEC06 | Secure Configuration Compliance Report | Report on vulnerability scan analysis based on scans and analysis of approved Information Security Configuration Controls (ISCC). This report, at a minimum, is to contain vulnerability scan information, analysis results, actions taken and status, remaining open items with schedule to close, and items with approved PennDOT Information Security exceptions. | Monthly | PennDOT | PennDOT Portal | TBD | New | |
| Exhibit 2.1 | Information Security | OPS-SEC07 | Security Tool Compliance Report | Report that includes active asset configuration items targeted to provide SIEM logs, asset configuration items that are actively providing SIEM logs, asset configuration items with approved SIEM exceptions, and open actions with the associated service management ticket demonstrating work activities to resolve the open action. Report includes the listing of items above, and percent of the environment configuration items actively reporting to the SIEM, percent of the environment with approved SIEM exceptions, percent of the environment with open actions, and other scenarios that make up 100% of the environment. | Monthly | PennDOT | PennDOT Portal | TBD | New | |
| Invoice Reporting | ||||||||||
| Exhibit 2.1 | Invoice Reporting | OPS-IR01 | ITFM Service Provider Billing Report | Produce monthly invoice report required for PennDOT to view the Service Providers monthly charges, including summary charges and detailed information as required in Exhibit 4.3 (Form of Invoice), and support utilization data at the Charge Category and Resource Unit level as PennDOT requires. | Monthly | PennDOT | PennDOT Portal and in a downloadable format | TBD | New | |
| Exhibit 2.1 | Invoice Reporting | OPS-IR02 | Resource Unit Invoice | Provide enterprise level invoice by Service Category and Resource Units showing Unit Price x Quantity amounts, other changes and credits, total amount due for the current month, amount carried forward from disputes, and total outstanding. | Monthly | PennDOT | PennDOT Portal and in a downloadable format | Excel | New | |
| Operations | ||||||||||
| Exhibit 2.1 | Operations | OPS-OPS01 | Operations Morning Report | Provide operational reports and dashboards (e.g., daily, weekly, monthly) that provide status of operational activities, production issues and key operational metrics. Includes a listing of scheduled daily jobs, IPLs, and other operating activities along with the target, actual and escalated times. |
Also included are:
- Updates on open Priority 1 and Priority 2 Incidents and Resolution
- Status on High-priority service requests and Resolution
- Updates on Changes and Releases completed and planned, and service impact
- Updates on key priority items for the upcoming day
| Daily, 7 am EST | PennDOT | PennDOT Portal | TBD | New |
| Exhibit 2.1 | Operations | OPS-OPS02 | Critical Issues Reports | A summary of any critical issue that needs attention beyond the service delivery teams, including: |
- Missed Service Levels and remediation status
- Open critical issues not Resolved
| - Decisions pending review and approval that can lead to Priority 1 or Priority 2 Incidents if not addressed | Daily, 7 am EST | PennDOT | PennDOT Portal | TBD | New | |||||
| Exhibit 2.1 | Operations | OPS-OPS03 | Monthly Availability Metrics Report | Report of LPAR availability per month that contains details and summary per month, per LPAR of scheduled available time and actual time down, and net uptime percentage | Monthly | PennDOT | PennDOT Portal and in a downloadable format | TBD | New |
&"Arial,Regular"Exhibit 3.3 (Reports)
Page &P of &N image1.jpeg
Other files
Show all 35
On GovTribe
Work with this file
- Download the original file
- Contacts named in this file
- Similar government files
- Ask GovTribe AI about this file
File details come from the government source that posted it. Updated .