Attachment 9 - Service Level Agreements.docx

Attachment 9 – Service Level Agreements

1.0 Service Level Agreements

A service level agreement (SLA) provides a measurable framework for services to be delivered by the Contractor. The intent of the SLAs defined by the SEC is to set a high level of service to be provided by the Contractor, and to drive the right behavior to maintain the high level of performance. All Service Levels will be reported by the Contractor as outlined in this attachment, and are a critical element of the ISS contract.

This document sets forth the performance requirements subject to Quality Control by the Contractor and Quality Surveillance by the government. This document also defines key terms and credits for failure to meet performance standards.

These are the SEC SLA Targets as formulated for this solicitation; however, the final SLA will be validated and agreed upon with the successful Offeror during the Transition Period, and prior to Day 1 of full Operations.

1.1 Quality Control Plan (QCP)

All Service Levels defined within this attachment must be addressed with the Contractors Quality Control Plan (QCP). The Contractor shall develop a draft Quality Control Plan (QCP) and deliver it to the SEC within 120 days of contract award. The QCP will address how quality control activities will be documented, and the data stores for maintaining documentation.

1.2 Service Level Credits

There are four components to monitoring Contractor’s overall performance and issuance of credits based upon such performance – Performance Indicators, Performance Levels, Service Level Failures, and Service Level Credits.

· Performance Indicators (Service Levels or SLAs): a metric to be monitored, measured, and reported by Contractor. Each Service Level is classified as a Critical Performance Indicator (CPI) or a Key Performance Indicator (KPI) as further described below:

· CPI: a metric that possesses a documented and defined Expected and Minimum Service Level. CPIs will be subject to financial credits based on actual performance (i.e., Service Level Credits), and failure to meet a CPI may constitute a Service Level Failure.

· KPI: a metric that possesses a documented and defined Expected and Minimum Service Level. KPIs will not be subject to financial credits based on actual performance (i.e., Service Level Credits).

· Performance Level: the required level of performance for each Performance Indicator as defined by a “Minimum Service Level” and a “Target Service Level.”

· Minimum Service Level: the minimum standard of performance required for each Performance Indicator.

· Target Service Level: the expected standard of performance for each Performance Indicator.

· Service Level Credit: a financial credit payable to SEC by Contractor based on a Service Level Failure with respect to any CPI.

· Service Level Failure: inability to meet the Minimum Service Level for any CPI or KPI during a given month.

If the contractor misses the Minimum Service Level on a CPI in any given month, the SEC may assess a Service Level Credit. An example of a Service Level Credit is shown below:

· Contractor is expected to place 5% of its aggregate monthly fees at risk (referred to below as the “Amount at Risk”), depending on the number of Target Service Levels missed with respect to CPIs during the month.

· Each CPI will be assigned the same weight based upon the number of CPIs

· Failure to meet the Minimum Service Level of any CPI will lead to a proportional reduction of the Amount at Risk monthly fees.

For example, if there are 10 designated CPIs and there is a Service Level Failure with respect to one CPI in a month, the Service Level Credit will be calculated in accordance with the following example:

· Assumptions: Assume that the aggregate fees during the month were $1 million and that the Credit Percentage for the CPI with respect to which the Service Level Failure occurred was 10% (100% / 10 CPIs).

· Result: In that case:

· The Amount at Risk would be $50,000 (i.e., $1 million x 5%)

· One CPI achieved below Minimum Service Levels for the month, or 10% of CPIs

· The Service Level Credit would be $5,000 (i.e., $50,000 x 10%)

1.3 Service Level Reporting

Throughout the relationship, the Contractor shall be required to provide accurate documentation of quality control activities in accordance with the Quality Control Plan. Additionally, it is SEC’s expectation that the Contractor will work to continually improve performance and will improve the Minimum and Expected Service Levels to drive and reflect quality advancements.

1.4 Service Level Promotion

In response to its business needs, SEC may in its sole and reasonable discretion add, modify, or remove Performance Indicators and/or the associated Service Level Credits, and designate any KPI as a CPI no more than once per quarter. SEC will submit any changes to Performance Indicators in writing and Contractor will implement the changes within thirty (30) days of receipt for those Performance Indicators. Contractor will be obligated to measure, monitor, and report the Performance Indicators and meet or exceed the Service Levels throughout the term.

1.5 SLA Review and Acceptance

The SEC will work with the contractor during the initial 60 day period of the contract to review and assess SLAs and performance levels. Based on the operating environment and available tools, both parties will recommend any changes to the tools, measurement methodology, service levels and performance levels. All recommendations will be reviewed by the SEC, and only the SEC will maintain the rights to make adjustments to the tools, measurement methodology, service levels and performance levels. Additionally, both parties will also discuss and agree to CPIs and KPIs that should be continually improved. The amount of improvement in the performance level will be jointly defined and agreed to by both parties.

2.0 Service Levels Metrics

Performance standards and metrics are delineated below. Any Contractor request for an exception or waiver from any performance standard or metric, or to exclude any particular data from the calculation of any performance standard or metric, shall be made in writing by the Contractor to the SEC. Requests shall include relevant supporting documentation and rationale. Exceptions and waivers must be approved in writing by the SEC.

2.1 Speed to Answer – Phone

100% of the time

2.2 Speed to Answer – Messages

≤ 60 minutes, 95% of the time

2.3 Speed to Answer – Chat Messages

2.4 Speed to Answer – Call Abandonment Rate

2.5 Incident Resolution – First Contact Resolution

2.6 Incident Resolution – First Contact Resolution (Afterhours)

2.7 Incident Resolution – Follow-On Calls

2.8 Incident Response and Resolution – Priority 1

Resolution: (Number of instances resolved within performance target / total number of instances resolved at Level 1 during Measurement Interval)*100 = percent (%) attained

2.9 Incident Response and Resolution – Priority 2

Resolution: (Number of instances resolved within performance target / total number of instances resolved at Level 1 during Measurement Interval)*100 = percent (%) attained

2.10 Incident Response and Resolution – Priority 3

Resolution: (Number of instances resolved within performance target / total number of instances resolved at Level 1 during Measurement Interval)*100 = percent (%) attained

2.11 Incident Response and Resolution – Priority 4

Resolution: (Number of instances resolved within performance target / total number of instances resolved at Level 1 during Measurement Interval)*100 = percent (%) attained

2.12 Scheduled Service Requests – 5 or less and 6-10 Scheduled Service Requests

2.13 Scheduled Service Requests – 10 or greater Scheduled Service Requests

2.14 Service Requests Response and Resolution Times – Priority 1

Resolution times for Priority 1 Service Requests

2.15 Service Requests Response and Resolution Times – Priority 2

2.16 Service Requests Response and Resolution Times – Priority 3

2.17 Service Responsiveness – Account Adds

2.18 End User Account Administration – Account Changes

2.19 Service Responsiveness – Account Termination

2.20 Incident Resolution – Closure

2.21 End User Account Administration – Active Directory Creation

2.22 End User Account Information – Active Directory Maintenance

2.23 Software Installation – Basic Packaging

2.24 Software Installation – Packaging/Deployment

2.25 Software Installation – Complex Packaging

2.26 Software Installation – Enterprise-Wide Deployment, Complex and Basic

2. Active system defined as communicating with TEM during the 90 day period and having unlocked availability during the 90 day period

2.27 Response Time

2.28 Security and Vulnerability, and Anti-Virus Patch Management – Patch Management

2.29 Imaging – Desktop Update

2.30 O&M – Tool Availability

Where Unavailability is defined as:

[(Sum of Unavailable Duration) / (Scheduled Time)]% Scheduled Time = (Total possible time in Measurement Interval – Maintenance Window time)

2.31 O&M – Infrastructure Updates (Major)

2.32 O&M – Infrastructure Updates (Minor)

2.33 Adaptive Technologies Support – Deployment

Completed within 10 business days once approval received from the Office of Disability and Accommodation if equipment needs to be ordered.

2.34 NOC Response Time – Notifications

2.35 Data Center Operations Support – Priority 1

100% of the time < 1 hour 95% of the time

2.36 Data Center Operations Support – Priority 2

100% of the time < 4 hours

2.37 Data Center Operations Support – Priority 3

100% of the time < 24 hours

2.38 Data Center Operations Support – Priority 4

100% of the time < 72 hours

2.39 Hardware and/or Software Inventory – Accuracy

2.40 Inventory Disposal – Inventory Disposal

2.41 Hardware and/or Software Inventory Accuracy – Capitalized Property

2.42 Hardware and/or Software Inventory Accuracy – Accountable Property

2.43 Hardware and/or Software Inventory Accuracy – System Updates

2.44 Recording – Status Reports

2.45 Finance – System of Record

2.46 Service Availability – Infrastructure Availability

(example: 24 hours x 21.16 days [average work days in a month] = "monthly available" to define if service level attained).

2.47 Physical Infrastructure Provisioning – Infrastructure Systems

2.48 Virtual Infrastructure – Infrastructure Systems

2.49 Planned Change – Implementation of Change

success rate

2.50 Incident Report and Escalation – Time to Notify

2.51 Backup – Completion

2.52 Restore – Data and Database Restoration

2.53 Infrastructure Vulnerability Management – Vulnerability Mitigation

2.54 eDiscovery – Response Time to Congress

2.55 eDiscovery – Response Time to FOIA

2.56 Resource Management – Skills Review

2.57 Resource Management – Filling Positions

2.58 Customer Satisfaction – End User Customer

2.59 Customer Satisfaction – IT

3.0 Priority Levels

3.1 Incident Priority Levels

INCIDENT PRIORITY LEVELS

3.2 Service Request Priority Levels

SERVICE REQUEST PRIORITY LEVELS

1 – Critical

Service request for an activity with a legitimate urgent deadline Service request for something with an immediate impact to productivity such as:

· Password reset

· Account unlock or re-enable

· No deadline or impact on immediate productivity

· Equipment deployment or software installation with minimal impact on daily productivity

· General questions

· How-to or procedural questions