RRB12R004 FMIS Attachment 2 QASP updated 6-19-12.xlsx

Instructions RRB Financial System Quality Assurance Surveillance Plan (QASP)

Purpose The proposed Quality Assurance Surveillance Plan (QASP) provides both the RRB and the successful offeror a scorecard permitting fair and equitable performance measurement over the life of the contract. While the QASP in and of itself is a direct measure of contractor deliverables and performance, it should also serve as an incentive-tool for contractor motivation and innovation. As a partner with the RRB, the successful offeror is expected to examine this plan carefully, and in its resultant offer, provide the RRB with recommended alternative approaches for incentivizing and maximizing performance. Those incentives can, and should be based on: meeting or exceeding schedule, improving and sustaining quality-control, exceeding labor-costs and ODC savings, and sustaining continuous product improvements.

The RRB also envisions periodic revisions of the QASP and the incentive formulae to ensure fairness throughout the performance of the contract. Those revisits are intended to occur within the first six (6) months of system go live, and then either semi-annually, at or before exercise of an option year, or as determined necessary by the RRB Contracting Officer. The RRB welcomes, and invites, vendor innovation and creativeness in assisting the RRB in improving the content and scope of the QASP.

Instructions For purposes of responding to this solicitation, all offerors shall complete the QASP document by proposing measures/metrics where indicated, including the following post-implementation Service Level Agreements (SLAs):

• SLAs to mandatory areas

• System/Application Availability

• Unplanned Downtime

• System Response Time: Transactions

• System Response Time: Reporting

• Security Issue Notification

• Data Restoration- Incremental and Full Backups

• Disaster Recovery Testing

• Critical Issue Incident Resolution Time

• High Priority Issue Incident Resolution Time

• Low to Moderate Priority Issue Incident Resolution Time

• Help Desk: Incident Response Time- Phone Calls

• Help Desk: Email/Web Portal Request Response Time

• SLAs to optional hosting services

• Supportive Services

• Report Preparation Offerors shall include their own implementation and post implementation agreements where they deem it appropriate. All proposed SLAs shall align with the performance requirements identified in the SOW and RRB System Requirements, Attachment 1.

Performance Standard Definitions Target level- Level of service RRB is purchasing Minimum level- Bad performance and potentially harmful to the RRB

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Implementation RRB Financial System QASP Implementation Services Measure Measure Definition Surveillance Method Performance Standard Incentive and/or Penalty Timeliness of Deliverables Deliverables submitted in accordance with the SOW deployment schedule and project schedule. If there are issues in submitting deliverables based on the negotiated schedule, alert the COR and/or PM of the reason and recommend steps to ensure the project will remain on schedule, within scope and budget. The COR and/or PM will compare the negotiated schedule to the time of deliverable submission. The COR and/or PM will grant extensions as seen fit by the RRB. 100% of deliverables are submitted on time. Deliverables are not considered late when the COR and/or PM grant an extension.

A .5% deduction shall occur against the affected implementation year Migration Task SLIN(S) if overdue deliverables impact the ability to deliver a system that meets RRB requirements or causes delays migrating the system by 30 days (one month). An additional .5% will be deducted for each additional month late.

The contractor may receive up to a 1% bonus of the implementation year portion of CLIN 1 and CLIN 2 if the system is live and FY14 transactions are posted on October 1, 2013 and prior funding year transactions, such as invoices, are posted on or before October 14, 2013.

Quality of Written Deliverables Deliverables and reports are comprehensive, sound in content and accurate, containing no more than three (3) errors. Errors include, but are not limited to, content that changes the meaning or intent of the desired message, the exclusion of important or relevant information, and numerous grammatical mistakes. The RRB will evaluate the deliverables for accuracy and quality of content and will identify variances from reported activity and actual performance and RRB specifications. Deliverables with errors and inconsistencies will be considered incomplete and returned to the contractor for correction.

A $250 deduction shall be assessed for each deliverable where deliverables/discrepancies are not remedied within 10 days of identification or by the negotiated due date.

a) Unit Testing

b) Integration/End-to-End Testing

c) Data Conversion and Migration Testing

d) User Acceptance Testing (UAT)

e) Business Intelligence /Reporting Testing At least 90% of test scripts pass. Failed scripts have viable work arounds.

A .5% deduction against the total value of the implementation year testing SLIN (CLIN 1, SLIN 5) shall occur if failed tests impact the ability to deliver a system that meets RRB requirements or causes delays migrating the system by 30 days (one month). An additional .5% will be deducted for each additional month late.

Contractor may receive up to a 1% bonus of the total value of the implementation year testing SLIN (CLIN 1, SLIN 5) if 95% or more of the test scripts pass within schedule and budget.

and schedule performance issues. Updates EVM based on the project schedule. Provide EVM metrics to the RRB on a monthly basis.

Proactively uses trends in EVM metrics to identify and recommend corrective actions to potential problem areas before metrics hit threshold problem values. Proactively uses trends in EVM metrics to identify and use potential opportunities.

Additionally, written explanation is required when variance thresholds are +10% for CV (from AC), SC (from PV), or VAC (from BAC) and scores more than 1.15 for SPI or CPI.

Contractor may receive up to a 1% bonus of the total value of the implementation year data conversion SLIN (CLIN 1, SLIN 3) for accurate data conversion and validation of the data conversion if completed within schedule and budget, by October 31, 2013.

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Post-Implementation RRB Financial System QASP Post Implementation Services SLAs Measure Measure Definition Surveillance Method Performance Standard Incentive and/or Penalty

The minimum uptime for production is __%, not including planned outages. One (1) or more failure may result in a downtime credit to the RRB.

Downtime credit will be determined by both parties through a participatory cost adjustment. Penalties can be waived or reduced at the RRBs discretion. System availability not meeting the availability metric requires the service provider to report on the cause of the issue and provide recommendations to resolve system availability issues.

Meeting or exceeding the standard for all post-implementation performance measures in a month may result in accelerated payment. Exceeding post-implementation standards for all performance metrics for a year may result in up to a 1% bonus of the total current option year value of the contract at the time of bonus determination, depending on funds availability.

The contractor shall propose the system availability performance standard for this metric.

Unplanned Downtime The number and duration of unplanned outages per year. Record the number and duration of outages for each Application. Report all types of outages, root causes and corrective actions. Report to COR for review monthly. The target unplanned outages on the same application per year shall not exceed __ instances OR the duration of an unplanned outage shall not exceed __ hours over any 24 hour period. Four (4) or more failures over a rolling 12 month period may result in a credit to the RRB.

The minimum unplanned outages on the same application per year shall not exceed __ instances OR the duration of an unplanned outage shall not exceed __ hours over any 24 hour period. One (1) or more failure may result in a credit to the RRB.

Credit will be determined by both parties through a participatory cost adjustment. Penalties can be waived or reduced at the RRBs discretion. The service provider shall report on the cause of the issue and provide recommendations to resolve issues.

Meeting or exceeding the standard for all post-implementation performance measures in a month may result in accelerated payment. Exceeding post-implementation standards for all performance metrics for a year may result in up to a 1% bonus of the total current option year value of the contract at the time of bonus determination, depending on funds availability.

The contractor shall propose the performance standards for this metric.

Credit will be determined by both parties through a participatory cost adjustment (ex. through the following formula:

(number of transactions)*(actual average seconds - minimum average seconds)*(rate factor TBD) ) Penalties can be waived or reduced at the RRBs discretion. The service provider shall report on the cause of the issue and provide recommendations to resolve issues.

Meeting or exceeding the standard for all post-implementation performance measures in a month may result in accelerated payment. Exceeding post-implementation standards for all performance metrics for a year may result in up to a 1% bonus of the total current option year value of the contract at the time of bonus determination, depending on funds availability.

The contractor shall propose the performance standards for this metric.

Credit will be determined by both parties through a participatory cost adjustment (ex. through the following formula:

(number of reports)*(actual average seconds - minimum average seconds)*(rate factor TBD) ) Penalties can be waived or reduced at the RRBs discretion. The service provider shall report the cause of the issue and provide recommendations to resolve response time issues.

Meeting or exceeding the standard for all post-implementation performance measures in a month may result in accelerated payment. Exceeding post-implementation standards for all performance metrics for a year may result in up to a 1% bonus of the total current option year value of the contract at the time of bonus determination, depending on funds availability.

The contractor shall propose the performance standards for this metric.

Meeting or exceeding the standard for all performance measures may result in accelerated payment.

Security Issue Notification The amount of time security issues are reported after detection to the RRB. Monthly incident reports reviewed by the COR. Security issues reported as soon as possible, but at a target of no more than __ hours, after detection. Four (4) or more failures over a rolling 12 month period may result in a credit to the RRB, to be determined by both parties through a participatory cost adjustment. At minimum, security issues are to be reported within __ hours after detection. One (1) or more failures may result in liquidated damages in the amount of $1,000.

Meeting or exceeding the target standard for all performance measures may result in accelerated payment.

The contractor shall propose the performance standards for this metric.

If performance standards are not met, the service provider shall report the cause of the issue and provide recommendations to resolve issues.

Meeting or exceeding the standard for all performance measures may result in accelerated payment.

The contractor shall propose the performance standard for this metric.

Disaster Recovery Testing The successful testing of the Disaster Recovery Plan elements as mutually agreed and retesting to occur as necessary. COTR and IT review of Disaster Recovery testing results. Target audit assessment: at least __ per year, unless issues are identified during the test, then additional tests are required until the issue is remediated.

Minimum audit assessment: __ per year, unless issues are identified during the test, then additional tests are required until the issue is remediated.

Meeting or exceeding the target standard for all performance measures may result in accelerated payment.

The contractor shall propose the performance standards for this metric.

Meeting or exceeding the standard for all post-implementation performance measures in a month may result in accelerated payment. Exceeding post-implementation standards for all performance metrics for a year may result in up to a 1% bonus of the total current option year value of the contract at the time of bonus determination, depending on funds availability.

The contractor shall propose the resolution performance standard for this metric.

High Priority Issue Incident Resolution Time Incident resolution timeliness for issues where the RRB can function with a temporary workaround but requires immediate attention for resolution because it is preventing or could prevent a department from performing its main business processes. Monthly incident reports contain timestamps for user report of issues, response time, status updates and resolve time, to be reviewed by the COR. The target incident resolution time is __ after issues were reported for 95% of issues. Four (4) or more failures over a rolling 12 month period may result in a credit to the RRB. At minimum, 90% of issues are resolved within __ amount of time after issues were reported. One (1) or more failures may result in a credit to the RRB. Credits will be determined by both parties through a participatory cost adjustment.

Meeting or exceeding the standard for all post-implementation performance measures in a month may result in accelerated payment. Exceeding post-implementation standards for all performance metrics for a year may result in up to a 1% bonus of the total current option year value of the contract at the time of bonus determination, depending on funds availability.

The contractor shall propose the resolution performance standard for this metric.

Low to Moderate Priority Issue Incident Resolution Time Incident resolution timeliness for issues where the RRB could still function, but with reduced throughput, staff disruption and/or a potential impact on service quality. Monthly incident reports contain timestamps for user report of issues, response time, status updates and resolve time, to be reviewed by the COR. The target incident resolution time is __ after issues were reported for 95% of issues. Four (4) or more failures over a rolling 12 month period may result in a credit to the RRB. At minimum, 90% of issues are resolved within __ amount of time after issues were reported. One (1) or more failure may result in a credit to the RRB. Credit will be determined by both parties through a participatory cost adjustment.

Meeting or exceeding the standard for all post-implementation performance measures in a month may result in accelerated payment. Exceeding post-implementation standards for all performance metrics for a year may result in up to a 1% bonus of the total current option year value of the contract at the time of bonus determination, depending on funds availability.

The contractor shall propose the resolution performance standard for this metric.

Help Desk: Incident Response Time - Phone Calls Incident response timeliness. Monthly incident reports contain timestamps for user report of issues, response time, status updates and resolve time, to be reviewed by the COR. The target incident response time is __ minutes for 90% of incidents. At minimum, 80% of incidents are responded to within __ minutes.

Response times not meeting the minimum response time require the service provider to report on the cause of the issue and provide recommendations to resolve response time issues.

Meeting or exceeding the standard for all post-implementation performance measures in a month may result in accelerated payment. Exceeding post-implementation standards for all performance metrics for a year may result in up to a 1% bonus of the total current option year value of the contract at the time of bonus determination, depending on funds availability.

The contractor shall propose the performance standards for this metric.

[(# of requests answered within target / total # of requests during measurement period) * 100%] Monthly incident reports contain timestamps for user report of issues, response time, status updates and resolve time, to be reviewed by the COR. The target response time is __ minutes for 90% of requests. At minimum, 80% of requests responded to within __ minutes.

Response times not meeting the minimum response time require the service provider to report on the cause of the issue and provide recommendations to resolve response time issues.

Meeting or exceeding the standard for all post-implementation performance measures in a month may result in accelerated payment. Exceeding post-implementation standards for all performance metrics for a year may result in up to a 1% bonus of the total current option year value of the contract at the time of bonus determination, depending on funds availability.

The contractor shall propose the performance standards for this metric.

Penalties shall be assessed on a quarterly basis. A .5% deduction against the total value of the assessed quarter of the option year Optional Hosting Services: Transaction Processing SLIN shall occur if two (2) or more overdue and/or inaccurate transaction processing loads impact RRBs ability to meet external deadlines.

Meeting or exceeding the standard for all post-implementation performance measures in a month may result in accelerated payment. Exceeding post-implementation standards for all performance metrics for a year may result in up to a 1% bonus of the total current option year value of the contract at the time of bonus determination, depending on funds availability.

The contractor shall propose the performance standards for this metric.

Report Preparation The contractor shall propose the measure definition for this metric and/or a set of specific SLAs for Report Preparation (e.g., monthly and year end reporting). The RRB will evaluate reports for timeliness and accuracy and will identify variances from reported activity and actual performance and RRB specifications. 100% of reports are submitted on time. Reports with errors and inconsistencies will be considered incomplete and returned to the contractor for correction.

Penalties shall be assessed on a quarterly basis. A .5% deduction against the total value of the assessed quarter of the option year Optional Hosting Services: Report Preparation SLIN shall occur if two (2) or more overdue and/or returned reports impact RRBs ability to meet external deadlines.

Meeting or exceeding the standard for all post-implementation performance measures in a month may result in accelerated payment. Exceeding post-implementation standards for all performance metrics for a year may result in up to a 1% bonus of the total current option year value of the contract at the time of bonus determination, depending on funds availability.

The contractor shall propose the performance standards for this metric.

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