MASTER SERVICES AGREEMENT between THE STATE OF TEXAS, ACTING

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Exhibit 20 – Part A

MASTER SERVICES AGREEMENT

between

THE STATE OF TEXAS, ACTING BY AND THROUGH THE TEXAS DEPARTMENT OF INFORMATION RESOURCES

and

INTERNATIONAL BUSINESS MACHINES CORPORATION

DATED NOVEMBER 22, 2006

EXHIBIT 20 – PART A

TRANSFORMATION PLAN - ENTERPRISE

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Exhibit 20 – Part A Page 1 of 92

EXHIBIT 20 – PART A

TRANSFORMATION PLAN - ENTERPRISE

TABLE OF CONTENTS

1.0 TRANSFORMATION OVERVIEW ............................................................................................ 5

1.1 Introduction................................................................................................................................... 5 1.1.1 TRANSFORMATION GUIDING PRINCIPLES ................................................................ 5

1.2 Transformation Objectives............................................................................................................ 7 1.3 Transformation Approach ............................................................................................................. 8 1.4 Overall Transformation Schedule ................................................................................................. 8 1.5 Transformation Work Streams.................................................................................................... 10

1.5.1 Facilities Transformation .................................................................................................... 11 1.5.2 Support Center .................................................................................................................... 14 1.5.3 Server Transformation ........................................................................................................ 16 1.5.4 Mainframe Transformation ................................................................................................. 21 1.5.5 Print and Mail Transformation............................................................................................ 25 1.5.6 Disaster Recovery ............................................................................................................... 27 1.5.7 Cross-Functional ................................................................................................................. 30

1.6 Changes to Transformation Services .......................................................................................... 35 1.6.1 Major Changes .................................................................................................................... 35 1.6.2 Minor Changes.................................................................................................................... 35

1.7 Transformation Lifecycle/Phases................................................................................................ 36 1.7.1 Preparation and Planning .................................................................................................... 38 1.7.2 Verify and Refine................................................................................................................ 43 1.7.3 Startup ................................................................................................................................. 44 1.7.4 Execution ............................................................................................................................ 45 1.7.5 Testing................................................................................................................................. 47 1.7.6 Control ................................................................................................................................ 48 1.7.7 Close, Cut-Over and Steady State Operations .................................................................... 51

1.8 Transformation Controls ............................................................................................................. 52 1.8.1 Introduction......................................................................................................................... 52 1.8.2 Transformation Processes ................................................................................................... 52 1.8.3 Risk Management and Mitigation....................................................................................... 53

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1.8.4 Quality Management........................................................................................................... 54 1.8.5 Schedule Management ........................................................................................................ 54

2.0 COMMUNICATIONS.................................................................................................................. 56 2.1 Introduction................................................................................................................................. 56 2.2 Process and Standards................................................................................................................. 56 2.3 Certain Communications............................................................................................................. 56

3.0 DIR AND DIR CUSTOMER ROLES AND RESPONSIBILITIES......................................... 67 3.1 Introduction................................................................................................................................. 67 3.2 Tasks ........................................................................................................................................... 67

4.0 GOVERNANCE TEAM TRANSFORMATION SUPPORT ................................................... 74 4.1 Introduction................................................................................................................................. 74 4.2 Approach..................................................................................................................................... 74

4.2.1 Management Tools and Processes ...................................................................................... 74 4.2.2 Transformation Administration Support ............................................................................. 74

4.3 Organizational Structure ............................................................................................................. 75 4.3.1 Key Roles............................................................................................................................ 75 4.3.2 Service Provider Transformation Team Structure and Responsibilities ............................. 76

4.4 Transformation Management ...................................................................................................... 76 5.0 SOLUTION SUMMARY ............................................................................................................. 78

5.1 Facilities Management & Support .............................................................................................. 78 5.1.1 Commencement Date through transformation: ................................................................... 78 5.1.2 Transformed Environment: ................................................................................................. 78 5.1.3 Tools/Technology to be utilized: ........................................................................................ 78

5.2 Physical Security Administration................................................................................................ 78 5.2.1 Commencement Date through transformed environment: .................................................. 78 5.2.2 Transformed Environment: ................................................................................................. 79 5.2.3 Tools/Technology to be utilized: ........................................................................................ 79

5.3 Support Center ............................................................................................................................ 79 5.3.1 Commencement Date:......................................................................................................... 79 5.3.2 Transformed Environment: ................................................................................................. 79 5.3.3 Tools/Technology to be utilized: ........................................................................................ 79

5.4 Chargeback ................................................................................................................................. 80 5.4.1 Effective Date through transformation: .............................................................................. 80 5.4.2 Transformed Environment .................................................................................................. 81 5.4.3 Tools/Technology to be utilized: ........................................................................................ 81

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5.5 Mainframe - IBM........................................................................................................................ 81 5.5.1 Commencement Date through transformation: ................................................................... 81 5.5.2 Transformed Environment: ................................................................................................. 81 5.5.3 Tools/Technology to be utilized: ........................................................................................ 82

5.6 Mainframe - Unisys .................................................................................................................... 82 5.6.1 Commencement Date through transformation: ................................................................... 82 5.6.2 Transformed Environment : ................................................................................................ 82 5.6.3 Tools/Technology to be utilized: ........................................................................................ 83

5.7 Server .......................................................................................................................................... 83 5.7.1 Commencement Date through transformation: ................................................................... 83 5.7.2 Data Center Environment – 24 months:.............................................................................. 83 5.7.3 Remote Server Environment –36 months: .......................................................................... 83 5.7.4 Tools/Technology to be utilized: ........................................................................................ 84

5.8 Information Security ................................................................................................................... 84 5.8.1 Commencement Date through Transformation:.................................................................. 84 5.8.2 Transformed Environment: ................................................................................................. 84 5.8.3 Tools/Technology to be utilized: ........................................................................................ 85

5.9 Disaster Recovery ....................................................................................................................... 85 5.9.1 Commencement Date through transformation: ................................................................... 85 5.9.2 Transformed Environment: ................................................................................................. 85

5.10 Print and Mail ............................................................................................................................. 86 5.11 Commencement Date through transformation: ........................................................................... 86

5.11.1 Transformed environment:.................................................................................................. 86 5.11.2 Tools/Technology to be utilized: ........................................................................................ 87 5.11.3 Print Mail Disaster Recovery:............................................................................................. 87

5.12 Asset Management...................................................................................................................... 87 5.12.1 Effective Date through transformation: .............................................................................. 87 5.12.2 Transitioned environment: .................................................................................................. 87 5.12.3 Tools/Technology to be utilized: ........................................................................................ 88

5.13 Web Portal .................................................................................................................................. 88 5.13.1 Effective Date through transformation: .............................................................................. 88 5.13.2 Transformed environment:.................................................................................................. 88 5.13.3 Tools/Technology to be utilized: ........................................................................................ 88

5.14 Change Management................................................................................................................... 89 5.14.1 Commencement Date through transformation: ................................................................... 89

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5.14.2 Transformed environment:.................................................................................................. 89 5.14.3 Tools/Technology to be utilized: ........................................................................................ 89

5.15 Problem Management ................................................................................................................. 89 5.15.1 Commencement Date through transformation: ................................................................... 89 5.15.2 Transformed environment:.................................................................................................. 89 5.15.3 Tools/Technology to be utilized: ........................................................................................ 90

6.0 KEY SOFTWARE TO BE PROVIDED..................................................................................... 90 6.1 Support Center ............................................................................................................................ 90 6.2 Chargeback ................................................................................................................................. 90 6.3 Mainframe - IBM....................................................................................................................... 90 6.4 Mainframe - Unisys .................................................................................................................... 91 6.5 Server .......................................................................................................................................... 91 6.6 Security ....................................................................................................................................... 91 6.7 Print/Mail .................................................................................................................................... 91 6.8 Asset Management...................................................................................................................... 92 6.9 Web Portal .................................................................................................................................. 92 6.10 Change Management................................................................................................................... 92 6.11 Problem Management ................................................................................................................. 92

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1.0 TRANSFORMATION OVERVIEW

In accordance with Section 4.3 of the Agreement, this Exhibit 20 – Part A, the attached Attachment 20 – Part A, each Exhibit 20 – Part B and each Attachment 20 – Part B, all of which are incorporated herein by this reference, collectively constitute the Transformation Plan, and references to the Transformation Plan in this Agreement (including this Exhibit) shall be read and understood to collectively mean this Exhibit 20 – Part A, the attached Attachment 20 – Part A, each Exhibit 20 – Part B and each Attachment 20 – Part B. Service Provider shall maintain and implement the Transformation Plan, and any modifications to the Transformation Plan shall be subject to DIR’s review and approval in accordance with Section 4.3 of the Agreement.

The provisions of the Transformation Plan are in addition to, and not in lieu of, the terms and conditions contained in the body of the Agreement and the other Exhibits and Attachments thereto; provided however, unless otherwise expressly stated, the provisions of this Transition Plan shall not control over conflicting provisions of the Agreement. Unless otherwise expressly defined in the Transformation Plan, capitalized terms used in the Transformation Plan shall have the meaning assigned to them elsewhere in the Agreement.

1.1 Introduction

Transformation consists of activities necessary for Service Provider to evolve from DIR’s existing environment to the environment (i.e. the infrastructure, processes, tools, etc.) required for the Service Provider to achieve its Service Levels in delivering the Services. Service Provider will implement the appropriate processes and tools. Transformation planning occurs shortly after contract signing, and occurs concurrently with Transition. The objective of transformation is to enable the beginning of steady state operations.

Transformation also consists of projects required to consolidate DIR Customer Data Centers into the DIR Consolidated Data Center and the Service Provider Consolidated Data Center. This consists of the following projects:

• Facilities transformation

• Support center

• Server transformation

• Mainframe transformation

• Print and mail transformation

• Disaster Recovery (DR) transformation

• Cross-Functional

1.1.1 TRANSFORMATION GUIDING PRINCIPLES

The Service Provider will:

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Provide a customized approach to meet the needs of DIR which includes:

♦ DIR and DIR Customer transformation model ♦ Experienced transformation project managers ♦ Leverage Service Provider's tools and templates customized to the DIR and

DIR Customer environments ♦ Aligns with the Texas Project Delivery Framework

Establish strong governance

♦ Clearly defined roles and responsibilities ♦ Jointly developed governance processes leveraging Service Provider’s

Program Management System (PgMS) framework, procedures and tools ♦ Meetings and reporting framework are effective at minimizing resource

requirements while achieving goals ♦ Mechanisms in place to identify and address risks and issues early

Maintain effective communications

♦ Consistent delivery of key messages through well-defined communication plans

♦ Tailored communications to target audiences and stakeholders ♦ Mutually agreed frequency of communications to meet the needs of the

stakeholders ♦ Utilize Client Service Advocates to review transformation status as needed

with DIR and DIR Customer

Promote collaboration and teamwork

♦ Detailed upfront project planning and feedback ♦ Joint agreement on Tower status for reporting purposes ♦ Plans will be adjusted to address DIR Customer differences in size and

complexity ♦ Feedback on deliverables will be solicited throughout the life of the project.

The following transition and transformation components will be developed and approved by December 22, 2006 and will continue to be developed according to the project and critical deliverable schedule:

Microsoft Project Plan for transition Microsoft Project Plan for transformation Acceptance Criteria and Acceptance Criteria approval processes DIR and DIR Customer tasks and dependencies

Transition and transformation will be initiated concurrently at the Effective Date. The Transition and Transformation Plans for DIR and each DIR Customer will be closely coordinated in order to effectively utilize Service Provider interactions with DIR Customers.

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The following diagram illustrates the project phases in relation to each other from project initiation through contract end. Service Provider will initiate transition and transformation activities concurrently at Effective Date. Service Provider will begin delivering Services at Commencement Date. Delivery of steady state Services will begin at the conclusion of standard transformation activities and Service Provider delivery of Services will conclude at contract end.

Transition and Transformation timeline

Transformation Services includes but is not limited to the solution functions included in Section 6.0 Solution Summary.

1.2 Transformation Objectives

Service Provider shall execute the Transformation Plan to deliver the Transformation Services in accordance with the requirements and intent of the Agreement. The main objectives of the Transformation Services include:

♦ The Infrastructure will be built prior to the actual migrations to ensure that all Services are available at production cutover;

♦ The co-located Server environments (associated with the Mainframe environment) will be migrated to the DIR Consolidated Data Center and Service Provider Consolidated Data Center in conjunction with the scheduled Mainframe migration;

♦ The Server environments (e.g. Novell, Solaris, AIX, HP, Wintel, AS400) environments and associated workloads will be migrated to the DIR Consolidated Data Center and Service Provider Consolidated Data Center as scheduled;

Delivery Steady State


Effective Date Commencement Date

Engagement Interim Service Delivery

Transition and TransformationTransition

Standard TransformationSpecial Transformation Projects

Time Line



Contract end

Engagement Interim Service Delivery

Transition and TransformationTransition

Standard TransformationSpecial Transformation Projects

Time Line

Transitioned environment

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♦ No unscheduled Application or Equipment outages or adverse impacts on DIR’s or any DIR Customer’s Retained Systems and Processes;

♦ All migration testing and actual cutovers will be planned, scheduled and approved by DIR;

♦ Active coordination with DIR and each DIR Customer to achieve a successful migration with each migration phase or wave;

♦ User acceptance testing will be conducted and completed for each phase of migrations by the affected DIR Customers; and

♦ No disruption to or adverse effect upon disaster recovery capabilities after migrations are completed.

1.3 Transformation Approach

Service Provider shall migrate and consolidate all in-scope data center environments into the DIR Consolidated Data Center and Service Provider Consolidated Data Center in accordance with the timetable and the Transformation Milestones set forth in this Exhibit and, with respect to each DIR Customer, the particular Exhibit 20 – Part B that is applicable to that DIR Customer. The attached Attachment 20 – Part A identifies the Transformation Milestones and deliverables (including the Critical Deliverables) that Service Provider shall meet and/or provide as part of its performance of the Transformation Services in respect of all DIR Customers, and each Attachment 20 – Part B identifies the Transformation Milestones and deliverables that Service Provider shall meet and/or provide as part of its performance of the Transformation Services in respect of the applicable DIR Customer. The Acceptance Criteria for such Transformation Milestones and deliverables are summarized in Attachment 20 – Part A or the relevant Attachment 20 – Part B and further detailed in Section 3.2 to this Exhibit and Section 6.2 to each Exhibit 20 – Part B, as applicable. Acceptance by DIR and DIR Customers of such Transformation Milestones and deliverables shall be in accordance with Section 4.6 of the Agreement. Service Provider shall observe and comply with any additional or unique requirements set forth in Section 3.3 to this Exhibit and Section 6.3 to each Exhibit 20 – Part B, as applicable, in connection with DIR’s Acceptance of each such Transformation Milestone and deliverable, if any.

1.4 Overall Transformation Schedule

Service Provider shall perform the Transformation Services in accordance with the following overall schedule:

Transformation Milestone and/or Deliverable Completion Date

Facilities Transformation April 1, 2009

- Metric 12 Data Center Build-Out Complete June 1, 2007

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- TxSDC Build-Out Complete January 15, 2008

- DIR Customer Data Center Shutdown April 1, 2009

Support Center Go-Live April 1, 2007

Command Center Go-Live April 1, 2007

Server Transformation April 1, 2010*

- Server Environment Assessment April 1, 2007

- Deploy Support Tools December 1, 2007

- Design Consolidated Server Environment May 23, 2008

- Data Center Server Consolidation April 1, 2009

- Remote Server Consolidation April 1, 2010

Mainframe Transformation December 31, 2007

- Metric 12 Data Center Mainframe Consolidation December 31, 2007

- TxSDC Mainframe Consolidation December 31, 2007

Print and Mail Transformation June 1, 2008

- Metric 12 Production Print/Mail Center Go-Live September 1, 2007

- Print File Enhancements April 3, 2008

- Application Migration to Production Print/Mail Center June 1, 2008

Disaster Recovery Transformation April 1, 2009

- Develop Interim DR Plans for DIR Customers December 15, 2007

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- Develop Enterprise DR Plan, Metric 12 December 15, 2007

- Develop Enterprise DR Plan, TxSDC December 15, 2007

- Develop Enterprise Print/Mail DR Plan September 1, 2007

- Update DR Plans as Work Streams Transform April 1, 2009

Cross-Functional April 1, 2009

- Asset Management December 1, 2007

- Chargeback January 1, 2008

- Logical Security April 1, 2009

- Physical Security April 1, 2009

- Policy and Procedures Manual Deployment October 1, 2007

- Web Portal Deployment October 1, 2007

- Problem, Change and Request Management May 1, 2007

- Service Level Measurement and Reporting December 1, 2007

*Data Center Server consolidation completes by April 1, 2009; Remote Server consolidation extends to April 1, 2010.

In addition, Service Provider shall perform the Transformation Services in accordance with the detailed schedules set forth in Attachment 20 – Part A and each Exhibit 20 – Part B and Attachment 20 – Part B with respect to the work streams and phases described therein.

1.5 Transformation Work Streams

The Transformation Services shall be subdivided into the following work streams:

• Facilities transformation • Support Center

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• Server transformation • Mainframe transformation • Print and mail transformation • Disaster Recovery • Cross-Functional

The timing of these work streams within the overall schedule for performing the Transformation Services is represented in the following table.

Work Stream Timing

Facilities Transformation 12/15/06 – 4/1/09

Support Center 12/15/06 – 6/1/07

Server Transformation* 12/15/06 – 4/1/10

Mainframe Transformation 12/15/06 – 12/31/07

Print and Mail Transformation 4/1/07 – 6/1/08

Disaster Recovery 12/15/06 – 4/1/09

Cross-Functional 12/15/06 – 4/1/09

* Data Center Server consolidation completes by April 1, 2009; Remote Server consolidation extends to April 1, 2010 Sections 1.5.1 through Section 1.5.7 describe at an enterprise level the major activities that Service Provider shall accomplish across all DIR Customers during each work stream comprising the Transformation Services.

1.5.1 Facilities Transformation

The objective of the facilities and facilities management solution is to monitor and manage existing DIR Customer in-scope data center facilities during the transformation activities in accordance with best business practices, the Security Design Document (as defined in Attachment 17-C), Federal and/or State laws and regulations, DIR and DIR Customer requirements, and to provide two data centers that will house and support the consolidated IT environment.

Service Provider will use the existing DIR Consolidated Data Center, located on the campus of Angelo State University, (Texas State Data Center or TxSDC), as one of two consolidated data centers, and a commercial facility that is located within the Austin city limits, Metric 12, as the Service Provider Consolidated Data Center. These sites will be enhanced to meet the Service Level Agreements (SLA) of the agreement. The solution includes build-out requirements for both the Metric 12 site and TxSDC. Metric 12 will be a 72,000 square foot facility that will house a 15,000 square foot data center along

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with the Program Management Office (PMO), command and support centers, and the print and mail operations. The TxSDC will be expanded from its current 8,500 to 13,000 square feet of conditioned, raised floor and the facility will be enhanced. Service Provider will assess the facilities requirements for any equipment installation and routine maintenance issues. The Service Provider will provide facility and equipment product specialists to support these activities. The Service Provider will conform to the maintenance windows for such facilities changes and will coordinate the activities of pertinent third parties (ex. Texas Building and Procurement Commission, Angelo State University) as needed. Facility engineering changes will be incorporated into the change management process, whether performed by the Service Provider or a third party. The consolidated data centers will be equipped with monitoring and automated functions that will automatically switch over to alternate electrical infrastructure in the event of a failure. This infrastructure will also allow the shutdown of one side of the electrical environment to allow maintenance or repair without disruption of the systems on the data center floor. Environmental elements, such as temperature and humidity will also be continually monitored and will automatically alert operational staff in the event of a malfunction, failure, or a situation where a predetermined threshold has been exceeded.

Facilities management during transformation includes tasks and responsibilities that are consistent with consolidation planning and migration to consolidated data centers. Service Provider will work with individual DIR Customers to plan the movement of In-Scope Equipment to the targeted data center. As the movement of assets nears its completion, Service Provider will work with DIR Customer management to plan the orderly transfer of facility related management and monitoring of the DIR Customers’ data center back to the DIR Customer. Service Provider will also provide properly trained and appropriately sized management and support staff to oversee the facilities, Equipment, and power needs for the DIR contract during the transformation phase.

1.5.1.1 Environment Assessment

1. The definition of work to be done begins with an assessment of the current state of the two consolidated data centers. Service Provider has reviewed available documentation regarding the TxSDC and Metric 12 to gain an understanding of the current capacity and capabilities of the data centers and to identify the enhancements necessary to meet the requirements as specified in the Agreement.

2. Based on the documentation describing the DIR Customer infrastructure and Server consolidation models, the Service Provider has mapped the migration of the existing infrastructure to the two data centers and proposed a timeline for site preparation. The Service Provider has used this data to develop a plan detailing the build-out of the Data Centers supporting the planned Infrastructure.

3. The Service Provider will develop requirements documents for both the TxSDC and Metric 12, and will review them with DIR. Before working with TxSDC facilities, the Service Provider will establish a working relationship agreement with Angelo State University for the use of TxSDC facilities. The Service

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Provider will proceed with the TxSDC build-out as required by the approvals and information provided by DIR.

4. ISeC based security design document must be created before the facility build-out begins. It addresses planned facility physical security implementation.

1.5.1.2 Build-Out

The Service Provider will manage the build-out of the facilities to the build-out implementation plan and each facility’s specifications per the requirements documentation. Build-out will include the following items, as required:

• Raised floor

• HVAC

• Power

• Network connectivity

• Equipment racks

• Network cabling

• Other facilities needs per the requirements documentation

1.5.1.3 Facility Readiness Check

As the facilities are built out in preparation for consolidation activities, facilities readiness checks are conducted. These checks validate that facilities are functioning to specification upon build-out completion.

1.5.1.4 DIR Customer Data Center Shutdown

Once the DIR Customer’s IT infrastructure has been migrated into one of the consolidated data centers, Service Provider will assist the DIR Customer in shutting down the DIR Customer Data Center. Service Provider will deliver a shutdown plan to the DIR Customer. Service Provider will remove any IT equipment that Service Provider is responsible for disposing and send it to Service Provider’s warehouse including end of life Servers and personal computers that are currently residing in DIR Customers data centers. Facility infrastructure including but not limited to uninterruptible power supplies, air conditioners, and cabling not affiliated with Servers and personal computers are not included. Service Provider will clean the vacated raised floor space, and then conduct a final inventory of the assets remaining in the data center. That inventory, along with the keys, will be turned over to the DIR Customer.

Services that must be retained at the DIR Customer data centers post consolidation require exception approval and will be addressed on a case by case basis.

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1.5.2 Support Center

The Support Center is responsible for Level 2 Support and Level 3 Support. Each DIR Customer retains Level 1 Support. Calls from DIR Customers to the Support Center will originate at the Level 1 Support Help Desk for each customer. Level 1 Support Help Desk agents will take the initial call and determine if the issue can be resolved at the DIR Customer level. For issues that cannot be resolved at that level, the Level 1 Support agent will contact the Support Center to pass the problem on for investigation and resolution. The Support Center coordinates between DIR Customers and resolver groups in order to provide minimal disruption to the DIR Customer’s operations.

The implementation of the Support Center begins with an assessment, followed by designing the solution, implementing the solution, testing the solution, and then commencing of Services. The Service Provider will conduct a kick-off meeting to commence the Support Center solution activities. DIR, DIR Customer Help Desk leads, and other pertinent resources will be requested to attend. The purpose of this meeting is to discuss high level timelines, resource requirements, and subproject activities. Once the subproject has been kicked off, the Service Provider will primarily be working with DIR Customer resources to implement the Support Center solution. The Service Provider will need access to DIR Customer resources to carry out a kick-off meeting and conduct interviews to understand in-scope resolver group structure, processes and procedures, reporting, and current DIR Customer Help Desk workload and structure. The Service Provider will also need access to DIR Customer resources for training on new processes, procedures, and tools, as well as to review the assessment and design documentation.


Service Provider will assess the DIR Customer’s current support environment. This assessment will be conducted at the DIR Customer level. Items that are assessed include:

• Call and ticket volumes

• Software support procedures

• Hardware support procedures

• Network and Server support procedures

• Security, LAN admin, and password reset procedures

• End user data elements requirements

• Current reporting

• Other DIR or DIR Customer specific business and/or support procedures

Once these items have been assessed, Service Provider will prepare documentation that highlights Service Provider’s findings. This document will then be presented back to the DIR Customer to verify that it captures the current state of the support environment correctly.

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1.5.2.2 Support Center Design

Service Provider will review information collected in the assessment to finalize the design and workflows for each DIR Customer:

• Workflows that will be used for call resolution and other Support Center requirements

• Integration with Level 1 Support Problem Management tools

• Identification of resolver groups: Specialist teams that work to close incidents and service requests that Level 1 and Level 2 Support is unable to resolve (e.g. Service Provider Functional Service Areas, DIR Customer Application support staff).

Collected information is used to create a comparison and design document.

Once completed, Service Provider will review this document with the DIR Customer to verify that it captures the appropriate requirements in the design.

1.5.2.3 Support Center Implementation

Service Provider will train agents and resolver groups, finalize the user guides, and implement the BMC® Remedy® tool set. Additionally:

1. Service Provider will develop resolver group training, a user guide, and agent training based on the comparison and design document, and will then implement BMC® Remedy® and configure it to support the required workflows and resolver groups. This information will be captured in the comparison and design document. Operational and SLA (Service Level Agreement) reports will be configured.

2. Staff will be hired and trained. Support Center telecommunications infrastructure will be deployed. Service Provider will train DIR Customer staff and trainers on the policies and procedures, workflows, and tools that will be used for the Support Center.

3. The DIR Customer’s Authorized Users will be able to engage the Support Center through:

• Phone

• e-mail

• Web Portal entry

1.5.2.4 Support Center System and Process Testing

Prior to Support Center go-live, Service Provider will test Support Center processes and systems to validate their readiness by performing the following:

1. Conduct DIR or DIR Customer service center training: Testing is conducted by the Service Provider and DIR Customers to confirm that Support Center workflows are working properly.

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2. Perform end to end systems testing: Testing is conducted to verify that end to end Support Center systems are working properly.

3. Test resolver group contact information by making contact: Testing is conducted by the Service Provider and DIR Customers to confirm that Support Center contact information is correct.

4. Test SLA reporting from ACD (Automatic Call Distributor): Testing is conducted to confirm that SLA reporting is working properly from ACD.

5. Test reports configured for systems management system: Testing is conducted to confirm that reports which are generated out of systems management system are configured properly.

1.5.2.5 Support Center “Go Live”

1. Conduct meeting with DIR and DIR Customer Representatives to review subproject documentation and make a decision to move forward with “Go Live”.

2. Go live of Support Center production activities.

1.5.3 Server Transformation

In accordance with the Server environment assessment, Servers and associated storage will be consolidated from existing DIR Customer data centers into the TxSDC and Metric 12 consolidated data centers. Based on business impact assessments, a sub-set of Servers will remain in DIR Customer locations. During the course of the data center consolidations, Servers will be consolidated, and brought to N or N-1 levels of the OS (Operating System).

1.5.3.1 Server Environment Assessment

1. Documentation reviews: Service Provider’s transformation team will begin preparation and planning for Server consolidation by reviewing technical documentation and existing processes and procedures.

2. Automated data collection: Service Provider will use automated tools to collect hardware inventory and technical information to refine the enterprise consolidation plan.

2.1. Preparation: Service Provider will work with DIR and DIR Customer resources to gain access to DIR Customer intranets and obtain the appropriate credentials to run the scanning tools.

2.2. Detailed Server inventory: Automated collection tools, which are listed below, will run scans to identify and inventory Servers. Applications will be mapped to Servers, and interdependencies between applications, Servers, Mainframes, storage, and other devices will be documented. Server workloads will be analyzed.

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o Snapshot: Inventory the Servers for application and Server data. Snapshot provides detection, inventory, warehousing, analysis, and reporting of Windows, Novell, and UNIX/Linux domain Server and application configuration and utilization data.

o IBM Tivoli Application Dependency Discovery Manager (TADDM): Identify the links to applications and databases (create work flows). TADDM creates a comprehensive top-down view of how the IT infrastructure delivers applications. TADDM automatically creates and maintains application infrastructure maps, including software, system, and network tier components, run-time dependencies, configuration values, and change history. TADDM’s agent-free discovery detects details such as OS patches, deployed application objects, and hundreds of configuration values. TADDM uses industry standard secure protocols such as SSH in the discovery process, enabling sensitive data to be both secure and accessible only by authorized access. TADDM can be configured to provide discovery across firewall zones, without compromising security or requiring changes in firewall policy.

o Custom Application Migration Analyzer (CAMA): identifies data flows between Servers (application/database links). It collects a list of application data consisting of fully qualified file specifications as well as predefined files (.C, .CPP, .java etc), producing an inventory of source and application names. CAMA will scan files for:

♦ File name and location (Server name/directory/file name) ♦ Lines of code ♦ Portability issues ♦ Comparison of apps to discover redundancy ♦ Objects that are shared ♦ Code dependencies ♦ System service calls

This data is stored in Snapshot and mapped back to the Server.

3. Manual data collection: The automated data collection processes and tools may fail to collect the necessary data on some Servers. Service Provider will use manual processes to collect information from these Servers.

1.5.3.2 Deployment of Server Support Tools

Service Provider will deploy tools to monitor and support the Server Infrastructure. Where appropriate, some existing tools and utilities will be retained. Some support tools will require an on-site visit to perform the installation. Support tools include:

• Monitoring: establish availability and integrate events from monitoring tools

• Problem and Change

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• Measurement and Reporting

• Security

• Performance and Capacity

• Software distribution

In cases where the tool or utility is specific to the hardware or software solution that is replaced during transformation, those components will be migrated to a standard set of tools.

1.5.3.3 Support of Remote Servers

Service Provider will use the same approach to support remote Servers that will be used to support Servers located in the consolidated data centers. The solution approach used is designed for minimal physical interaction regardless of Server location. In addition to the support tools listed above, remote access hardware (such as IBM’s Remote Server Access card) will be enabled where present to minimize physical ‘touches’ of the Servers.

DIR Customer interaction supporting remote Servers will be minimized. On site DIR Customers may be engaged to assist with actions that cannot be accomplished remotely:

• Provide access to the site and to the Server

• Physical swap of magnetic media

• Observation of Server condition, such as error messages on display

• Physical power on / power off

It is not anticipated that DIR Customer staff will be asked to type commands into the command line. Following transformation, remote backups, and other remote media functions will be limited. Service Provider will dispatch technicians to the site to perform technical tasks such as hardware maintenance. Service Providers’ field services organizations will leverage experienced service personnel and hardware depots distributed across the State of Texas.

1.5.3.4 Consolidation of Remote Servers

Service Provider will consolidate remote Servers concurrently with the consolidation of the DIR Customer Data Centers.

1. File and print services will be migrated to Network Attached Storage (NAS) at the consolidated data centers. Wide Area Application Services (WAAS) devices will be deployed to provide near LAN speed access to files stored at the Data Centers as well as continuing to provide print services local to the users

2. Application Servers will be migrated to the consolidated data centers. Approximately 25% of applications Servers will remain on site (e.g. network bandwidth requirements, network protocol requirements, authentication)

3. Infrastructure Servers can be eliminated from remote sites in a number of instances

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• Backup and restore infrastructure will be reduced due to elimination of remote file and print Servers; data will be moved to consolidated data centers and be backed up there.

• IP related functions (e.g. DNS and DHCP) will be migrated to appliances (e.g. WAAS; network router)

• Elimination of remote authentication Servers where feasible as functionality is either replaced or provided from the consolidated data centers

• Email Servers will be consolidated into the consolidated data center where feasible; due to caching capabilities with Microsoft Exchange 2003 and Lotus Notes network impact of remote email Servers is greatly reduced.

1.5.3.5 Design Consolidated Server Environment

1. Consolidation planning: Based on information obtained from the Server environment assessment, an enterprise consolidation plan will be created. This plan, outlined in section 1.7.1.2 of the Preparation and Planning section below, will document how the Server environment will be consolidated. It will define the consolidation of existing Servers onto virtual Server partitions in the consolidated data centers, where appropriate. It will also document consolidation strategies and dependencies.

2. DIR Customer planning: Detailed consolidation steps and task schedules will be documented in the implementation plans that are developed for each DIR Customer’s Server transformation. To develop these plans, Service Provider will assess the existing workloads and constraints of the DIR Customers so that the implementation plans can be executed with minimal impact to the end users. Finally, Service Provider will analyze dependencies between the DIR Customer’s Servers, Mainframes, applications, network, and other infrastructure components, and address those dependencies in the Server consolidation implementation plan.

Implementation plans are also described below in section 1.7.1.2.

1.5.3.6 Deploy Infrastructure at Consolidated Data Centers

1. Facilities site preparation: Facilities within the consolidated data centers will be built out based on the needs captured in the enterprise consolidation plan.

2. Server infrastructure: A Server framework will be deployed into the consolidated data centers, with sufficient capacity to support Servers that will be consolidated onto virtual partitions. This infrastructure will be built at the N or N-1 operating system level. This will require DIR Customers to perform remediation of some Applications.

3. Storage infrastructure: Storage infrastructure will be deployed into the consolidated data centers with sufficient capacity to support Servers that are migrating to the data center, which have external storage requirements, as well as provide DR capacity for D0 and D1 Applications at either data center.

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1.5.3.7 Infrastructure Testing and Production Server Cut-Over

1. Implementation of deployment waves: DIR Customers will be grouped into deployment waves to simplify transformation scheduling. This will allow Service Provider to balance the resources needed to complete the Server consolidation within the project window, reduce complexity and risk during early waves, and allow lessons learned during early consolidations to be used to reduce risk and improve project execution during later waves.

2. Testing:

• Baseline testing: Baseline testing will form the agreed-upon starting point for a project. Successful execution of the test plan validates the system and forms the reference point for functionality comparisons. Test plans will include mechanisms for capturing and saving output in the form of screen prints or hard-copy reports. Captured results will be used later to validate successful completion of the project.

• System testing:

o Test upgrades & ported applications (break/fix): Tests created from the baseline are used to perform application break/fix testing on the target system.

o Consolidation testing: Tests created from baseline tests will be used to validate that the stacked / consolidated application is functioning as expected.

o Connectivity testing: Tests created from baseline tests will be used to validate that the application is able to access other systems. This is done to confirm that the rehosting has not created any connectivity issues.

• User acceptance testing: Verifies that the re-hosted application performs correctly. Test materials that are produced during baseline testing will be used for user acceptance testing.

3. Production Cut-Over: Production operation of a DIR Customer system is cut-over from the DIR Customer data center to a consolidated data center:

• Virtual Server consolidation: Service Provider will create a partition on a Server in the target data center for each Server being migrated and configure the virtual Servers consistently with your current Servers. The operating system (OS) that is installed on the partition will be at least at N-1 level:

o When the virtual partition has been installed and configured, applications and test data will be migrated to the virtual Server, at which point application owners can perform user acceptance testing.

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o After successful user acceptance testing, Service Provider will synchronize the Server with the production data and cut-over production to the new Server.

o DIR Customer will validate that the new system is functionally acceptable and declare it production ready.

• In cases where Service Provider cannot migrate an existing Server to a virtual platform, it will be moved to the consolidated data center by lift and shift.

The timing of the actual cutover is developed as the implementation plan is created. Production cut-over will be scheduled to minimize impact to DIR and the DIR Customer’s operations.

4. Update operational procedures: Draft operational procedures will be documented and added to the Policies and Procedures Manuals. As the enterprise is transformed, Service Provider will update these operational procedures to validate continuity of steady state support.

5. Update DR plans: As the DIR Customers are consolidated into the consolidated data centers, DR plans are updated to validate continuity of plans.

6. Human resources transformation: As the environment is transformed, Transitioned Personnel will experience some changes as well. These changes will be addressed in the Human Resources plan listed in section 1.7.1.2 below. Examples of these changes include:

• Relocating from DIR Customer Facilities

• Communication and training regarding post-transformation position

• Deployment of tools needed to perform post-transformation job

1.5.4 Mainframe Transformation

Existing Mainframes that are currently located in DIR Customer Data Centers will be consolidated into consolidated data centers at Metric12, and the TxSDC. During the course of the transformation, the Mainframe environment will be brought up to current levels of OS, Mainframe processors, and tape and disk storage systems.

1.5.4.1 Mainframe Environment Assessment

Service Provider will review available systems documentation to assess the current environment and validate the design of the consolidated Mainframe environment. This includes analyzing how the systems are being used in support of the business activities of DIR Customers, support tools and the functions they are providing, as well as utilization metrics.

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Service Provider will assess existing schedules for hardware and software implementation, batch schedules, production operations, and other activities, to validate that implementation plans can be executed with minimal impact to the end users.

Finally, Service Provider will analyze dependencies between the Mainframe environment and Servers, enterprise printing, applications, network, or other DIR Customer’s Infrastructure components that will have to be planned into the Mainframe consolidation.

1.5.4.2 Design Consolidated Mainframe Environment

1. Consolidation planning: Based on information that is obtained from the Mainframe environment assessment, the consolidated Mainframe design will be added to the enterprise consolidation plan. This plan is outlined in section 1.7.1.2, Preparation and Planning, below. This design will define the consolidation of existing Mainframes into the consolidated data centers. It will also document the consolidation strategies and dependencies.

2. DIR Customer planning: Detailed consolidation steps and task schedules will be documented in the implementation plans that are developed for each DIR Customer’s Mainframe transformation. Implementation plans are also outlined below in section 1.7.1.2.

1.5.4.3 Deployment of Mainframe Support Tools

Based on the defined design requirements, Service Provider will deploy tools needed to support the environment.

Where appropriate, Service Provider will retain existing tools and utilities. In cases where the tool or utility is specific to a hardware or software solution that is replaced during transformation, those components will be migrated to a standard set of tools. It is possible that DIR Customers will need to perform some Application remediation to support migration to standard tools. The Mainframe environment assessment process will identify the need to perform remediation including job control language changes.

1.5.4.4 Deploy Infrastructure at Consolidated Data Centers

1. Metric 12 Data Center:

• Mainframe hardware: Service Provider will deploy two Z9 processors into Metric 12 with sufficient capacity to consolidate the Mainframes for the Austin area DIR Customers, and provide DR capabilities for the consolidated Mainframes at the TxSDC. The existing TWC Sysplex will be retained on these processors and the RRC Logical Partitions (LPAR) will be merged into that Sysplex.

• Tape and disk storage systems: Tape subsystem will be upgraded to sufficient capacity to migrate the majority of existing, traditional tape to a virtual, centralized system. An IBM DS8100 disk subsystem will also be deployed to migrate existing disk to a single shared environment. Disk

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storage will be increased to provide DR capabilities for (D0 and D1 for Servers, D0 for Mainframes) applications at TxSDC.

2. TxSDC:

• Mainframe hardware: One Business Class Z9 will be deployed at TxSDC to facilitate the OS upgrades for TDI and TEA and to build-out the data replication infrastructure between Metric 12 and TxSDC. The remaining DIR Customer hardware will stay in place. The Mainframes that are in use by OAG-CS, TDCJ, TxDOT, and HHSC at the TxSDC are currently supportable, and are under lease until 09/2009. The existing processors will be configured for Capacity Back Up (CBU) on demand and, along with the new Z9, will provide DR capacity for D0 and D1 applications at Metric 12. Existing Z990s will be refreshed with Z9s, or the then current technology, after transformation, at lease end in September 2009.

• CBU on demand functionality will be implemented on the existing z990s at the TxSDC.

• Tape and disk storage systems: A tape subsystem will be deployed with sufficient capacity to migrate the majority of existing, traditional tape to a virtual, centralized system. An IBM DS8100 disk subsystem will also be deployed to facilitate migration of the majority of existing disk storage to a single, shared environment. Disk storage capacity will be increased to provide DR capabilities for D0 and D1 applications at Metric 12.

3. Network: Service Provider will establish network bandwidth between the TxSDC and Metric 12, which will allow replication of D0 and D1 application data between the data centers.

1.5.4.5 Infrastructure Testing and Mainframe Cut-Over

1. Testing:

• System testing: Once Infrastructure is deployed into the consolidated Data Centers, applications and data will be migrated to the target platform to allow for system testing. System testing will validate that the system performs according to documented requirements and the DIR Customer system test criteria.

• User acceptance testing: after system tests have been completed successfully, the DIR Customer will conduct user acceptance testing. After user acceptance testing is completed successfully, the system will be cut-over to a consolidated Data Center.

2. Production Cut-Over

In cases where DIR Customer Applications reside on current platforms and can be readily migrated to these new Mainframes without change to the Applications, Service Provider will work with the DIR Customer Application

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team to install the Applications onto the Mainframes in the target data center. Service Provider will then load test data and work with the DIR Customer to complete user acceptance testing. Once completed, Service Provider will cut-over from the existing Mainframes to those in the target data center. Timing of the cutover will be scheduled to prevent or minimize disruption to end users and any scheduled jobs.

If the Applications are not supported on the new Mainframe OS levels, the DIR Customer will need to recompile them for the new environment. Once recompiled, they can be cutover as described above.

• Metric 12:

o TWC’s current Z9 sysplex will be duplicated at Metric 12 to facilitate a workload move.

o OS on RRC, TYC, and OAG-AL Mainframes will be upgraded to a current, supported level.

o RRC’s environment will be included in the TWC Z9 sysplex at the Metric 12 data center.

o TYC and OAG-AL z/VSE environments will be migrated to the shared environment on the z9 processors at the Metric 12 data center but will not be part of the sysplex.

• TxSDC:

o OS on HHSC, TDI, and TEA Mainframes will be upgraded to N or N - 1 level.

o TDI and TEA environments will be migrated to the shared environment on the newly deployed Z9 and will be included in the sysplex.

• Winters, Austin: Service Provider will not make any change to the Unisys Mainframe that is currently operating at the Winters facility in Austin. It will remain there until it is decommissioned. Service Provider does not expect it to remain beyond September, 2009.

3. Update operational procedures: Operational procedures will be updated and added to the Policies and Procedures Manuals. As the enterprise is transformed, Service Provider will update these operational procedures to validate continuity of steady state support.

4. Update DR Plans: As the DIR customers are merged into the consolidated Data Centers, DR plans are updated to validate continuity of plans.

5. Human Resources Transformation: As the environment is transformed, Transitioned Personnel will experience some changes as well. These changes will be addressed in the human resources plan listed in section 1.7.1.2 below. Examples of these changes include:

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• Relocating from DIR Customer facilities

• Communication and Training regarding post-transformation position

• Deployment of tools needed to perform post-transformation job

1.5.5 Print and Mail Transformation

1.5.5.1 Print and Mail Environment Assessment

Service Provider will conduct a final assessment of the current Applications. This assessment will be leveraged during transformation planning. Assessment addresses:

• Solidifying equipment and services consolidation plans

• Finalizing equipment configurations

• Detailed workflow analysis

• Reviewing of electronic application files

The print and mail transformation team will focus on equipment consolidation and right sizing, application migration, improving workflow efficiencies, and compliance.

1.5.5.2 System Design

Service Provider’s technical solution will replace older technology in the print and finishing areas:

• Higher speed printing devices requiring less floor space and personnel will be deployed.

• A new print Server system will allow the addition of bar codes to mailed pieces, improving data integrity.

• Software packages for address cleansing and address changes will be applied to mailed files.

• Additional software will allow barcodes for finishing, concatenate files to allow process improvements, and create electronic side files that allow a closed loop process for print file arrival to mail piece entry to the United States Postal Service.

• Mail will be processed as a combined volume through presorting services, recognizing the highest levels of postal discounts.

• On-line Quality Assurance feature for remote DIR Customer acceptance; enables DIR Customer to pull documents off line.

1.5.5.3 Testing

Testing incorporates end-to-end tests of hardware, software, processes, and validation that the staff is prepared to operate the new systems in the consolidated production print and mail center:

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• A test lab will be established at the consolidated site, using designated test Servers.

• Testing will include review and approval of printed product by DIR Customer personal.

• Hardware will be “burned in” for a period of time to validate that it is hardened for production.

• Testing process and procedures will be followed closely and include results that are tracked and reported.

1.5.5.4 Infrastructure Preparation and Production Cut-Over

1. Print file enhancement: Print file enhancement focuses on assembling the core team, system configuration/creation, print stream data extraction, print rendering, postal cleansing, barcode standardization, file concatenation, mail ready data file creation, control and tracking, and testing.

Print file enhancement will “normalize” the DIR Customers’ printing. The consolidated site takes in the different data and print stream types. Data and application changes must be made to “normalize” the data to be handled by any printer. There are other “systems” that need the data as well, including archival, disaster recovery, change management, problem management, and reporting. Each accepts a different format and has rules that need to be defined. Service Provider’s production system, DataServer, provides this level of integration, and has the expertise required from fulfilling these types of solutions at other DIR Customers.

2. Infrastructure preparation: System designs are implemented at the Metric 12 data center. Hardware and software are installed and tested.

3. Training: Service Provider Personnel are trained on new hardware, processes, software, and services.

4. Application migration: Print streams will be migrated to the new software and hardware platforms in the new center.

5. Update operational procedures:

• Service Provider will review current, published processes and procedures, then updated procedures to reflect process and technology changes.

• Common methodologies will be incorporated into a standard operating and procedures manual, applied to DIR Customer Applications.

• The updated and newly created Policies and Procedure Manuals (PPM) will be reviewed on a recurring schedule to continually improve workflows and standards.

6. Update DR Plans: The DR model for print and mail provides for continued operations during a disaster event, and also provides enhanced workflow capabilities, which are found using a combination of NearStar’s DataServer DR

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modules and Pitney-Bowes’ state-of-the-art print and mail DR facility, located in Shelton, CT.

Service Provider will document the current operational procedures to capture the exact requirements and processes for daily production operations, and to apply similar documentation across DIR Customers. This effort will involve a document review of DIR Customers currently processing under a DR plan. Following these efforts, the major steps listed below will commence:

• Installation and testing of the telecommunications lines to validate that file transmissions can be achieved

• Assembly of materials, such as paper and envelopes (three day supply), and coordination with supplier vendors so that a proper plan is in place in the event of a disaster

• Installation and integration of the NearStar DataServer™ management system to the existing network

• Preparation of storyboards for operators, which identify in a pictorial manner the keys elements of the process

• Preparation of the inserters to read barcodes and test the material in the insertion process

• Preparation of the printers to load the proper print resources and test the output to validate that it replicates production

• Operator training on technology with end-to-end processing

7. HR transformation: Introduces Transitioned Employees to new technologies and processes to meet the improved performance objectives and Services the Service Provider will provide to DIR.

• Development, customization, and delivering of training for the use of equipment and specific software applications in multiple levels

• Hands on operator training from dedicated instructors

• Hands on experience prior to go live, using the equipment while performing the burn in, enabling stress testing of the equipment and the operators in a production-like setting

• High-quality instructional design and content in various delivery methods such as computer based, instructor led, web based and video

1.5.6 Disaster Recovery

Through data center consolidation, Service Provider will provide DR capabilities to DIR and DIR Customers. Service Provider will do this by creating interim DR plans where needed during transformation, and developing an enterprise DR plan, leveraging the consolidated data centers to back each other up.

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Service Provider will need to thoroughly understand the existing infrastructure and the criticality of Applications. Service Provider will review existing contracts and existing DR plans to determine what coverage exists currently. Service Provider will leverage data that is gathered during the assessments of applicable work streams and transition project’s DIR Customer Environment Assessments. Finally, Service Provider will review the disaster recovery priorities of DIR and DIR Customer Applications.

1.5.6.2 Pre-Transformation DR

1. Retention of existing DR plans and contracts: Prior to the transformation of a DIR Customer, Service Provider will retain the existing DR plans and contracts that the DIR Customer has in place. As these DIR Customer environments are transformed, Service Provider will migrate them to the appropriate Enterprise DR plans. Service Provider assumes that these plans have been tested as required and meet the Recovery Time Objective (RTO) for recovery priority of the Application.

2. In the event a Third Party Contract for DR expires before a DIR Customer completes transformation, Service Provider will continue the DR service through IBM BCRS.

3. Creation of interim DR plans: Service Provider will develop interim DR plans for DIR Customer Applications that do not currently have existing DR plans. These plans will be based on the RTO of the Application:

• T1: Applications have an RTO of 72 hours. Service Provider will prioritize the transformation of these systems to migrate them to the enterprise DR plan at the consolidated data centers early in the transformation project. Once transformed, the recovery priority will change to D1.

• T2: Applications have an RTO of 1 week. Service Provider will establish contracts for a warm site DR solution at an IBM recovery center. Infrastructure will be prepared for these systems and recovery will be via tape restoration. Once transformation is complete, the recovery priority will migrate to D2.

• T3 and T4: These applications have an RTO of 2 weeks (T3) and as resources are available (T4). Service Provider will procure the necessary hardware at the time of disaster. Recovery will be to one of the consolidated data centers and will be via tape restoration. Once transformation is complete, the recovery priority will migrate to D3 and D4 respectively.

4. DR Testing: DR exercises will continue during the transformation project. Scheduled DR exercises will be implemented following existing plans, although in some cases it may be appropriate to modify schedules to align with transformation schedules. DR tests will be performed for T1 applications within 12 months of completing the transformation of the application.

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1.5.6.3 Enterprise DR

1. Consolidated Data Centers: Service Provider will establish an enterprise DR plan using a two data center solution. Each of the consolidated data centers will back the other up. The recovery plans will be based on the RTO of the application:

• D0: Applications have an RTO of 24 hours. Capacity of SAN storage at each consolidated data center will be sufficient to house application data from the alternate consolidated data center in the event of a declaration. Data for D0 applications will be replicated between consolidated data centers.

Dedicated high availability Servers using clustering capabilities will provide fail-over capability between data centers.

• D1: Applications have an RTO of 72 hours. Capacity of SAN storage will be sufficient to house application data from alternate data center in the event of a declaration. Data recovery for D1 applications will be via tape.

Integration test lab, development, and test Servers will be used to recover D1 applications in the event of a disaster (note that only integration test lab Servers will be used for DR testing).

The Mainframe environment will use CBU to provide DR capacity. This will allow capacity of the Mainframes to be increased at the time of a disaster or exercise to host D0 and D1 applications from the original site.

Remote systems with D0 or D1 applications will be migrated to one of the consolidated data centers.

• D2: Applications have an RTO of 1 week. Service Provider will establish warm site DR solution at an IBM recovery center. Infrastructure will be prepared for these systems and recovery will be via tape restoration.

In the event of a disaster declaration, integration test lab Servers will be used to recover D2 applications at remote sites.

• D3 and D4: Applications have an RTO of 2 weeks (D3) and as resources are available (D4). Service Provider will procure the necessary hardware at the time of disaster. Recovery will be to the alternate consolidated data centers and will be via tape restoration.

2. Print & Mail DR: DR for print and mail is outlined in the print and mail work stream description above. Print and mail DR recovery will be to a state-of-the-art Print and Mail DR facility in Shelton, CT.

3. DR Testing: DR plans will be exercised annually for D0 and D1 Applications through consolidated data center DR exercises. D2 Applications will be tested upon request of the DIR Customer, and will be scheduled at least 9 months in advance. D2 and D3 Applications will be tested via desktop exercises annually.

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1.5.7 Cross-Functional

1.5.7.1 Command Center

Service Provider will establish a centralized command center to provide 7 x 24 hour management, technical, and operational support for production Servers and Mainframes, and 5 x 12 hour support or as needed for non-production Servers. The command center will perform system monitoring, system backup and recovery, production scheduling, user administration, inventory management, software management, and performance and capacity planning.

1.5.7.2 Asset Management

1. Asset Management implementation includes:

• Perform a wall to wall inventory; conduct an initial, wall-to-wall complete inventory of all equipment, peripherals, devices, software, and related services provided or supported by the Service Provider and deployed at DIR Facilities, Service Provider Facilities, or other Service Provider locations.

• Reconcile wall to wall inventory to automated inventory scan results for combined inventory

• Import asset inventory into asset management tool

• Reconcile asset inventory to asset baseline

1.5.7.3 Chargeback

Chargeback information will be available on the Web Portal beginning May 2007. Initially, some chargeback information on the Web Portal will be populated using manual processes, based on agreed to baselines. Tools will be deployed to manage the chargeback process, electronically collect asset data, perform wall-to-wall asset inventories, and obtain agreement on account codes, naming conventions, and mappings. Service Provider will migrate to a more fully automated chargeback system that can be accessed through the Web Portal. Key steps to the deployment of the chargeback system include:

• Agree to account codes and naming conventions and mappings

• Complete wall to wall asset inventory

• Deploy infrastructure to support the chargeback tool

• Set up automated feeds into chargeback tool

• Make chargeback detail available on Web Portal

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1.5.7.4 Information Security Controls (ISeC)

1. Logical Security:

Logical security operational procedures will be drafted and updated as the transformation progresses. Service Provider will deploy industry standard security measures to protect the enterprise from security threats, and meet requirements in DIR policies, standards, and guidelines. These processes and procedures include measures such as:

• Systems vulnerability scanning

• Security policy verification

• Incident Management

Logical security tools will be deployed, including:

• Firewalls: Multiple layers of Firewall protection will be deployed, configured, and managed.

• Network Intrusion Prevention (NIPs) devices will be deployed to Metric 12 and TxSDC.

• Host Intrusion Devices (HIDs) will be deployed to critical Servers. Service Provider will work with DIR to define which Servers are the most appropriate Servers to monitor.

• Virus protection: Anti-virus agents will be deployed to Intel Servers.

• Based on the findings of the IT security baseline completed during transition, Servers will be brought into compliance with the Information Security (ISEC) policy for the State. This will be done as the DIR Customers are transformed. In cases where these measures would prevent an Application from functioning properly, DIR Customer Application owners will identify the measure that should not be implemented, and obtain an exception.

2. Physical Security:

Service Provider will create an ISeC based Security Design Document. This document addresses planned facility physical security implementation for TxSDC, Metric 12, and Service Provider Facilities. It also addresses software and hardware deployment specifically for data and online security, annual security assessments, and other standard security concepts that are critical to the safety of the DIR and DIR Customer data.

The Security Design Document will provide direction in meeting existing State, DIR, and DIR Customer policy, procedures, standards, and guidelines for physical security at the facilities the Service Provider manages. Service Provider will create site-specific security manuals that reflect the appropriate policy, procedures, and standards. Service Provider will perform annual physical risk reviews so that the consolidated data centers remain secure and in compliance with policies, standards, and procedures.

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Service Provider will monitor security compliance of the facilities under Service Provider’s control through internal audits, reviews, and key process control measurements.

Service Provider will install physical security systems into the Metric 12 data center.

Service Provider’s physical security process for the consolidated data centers includes the following:

• Computer-controlled card access system

• Stringent requirements on badge issuance and usage

• Frequent reconciliation of badge database to verify that only approved individuals have access

• Archived transactions for investigative purposes

Service Provider will perform a quarterly revalidation of physical access to the locations secured by the Service Provider and provide access to authorized DIR employees or designees to DIR assets on the sites for investigations and compliance reviews.

No new physical security systems will be installed at existing DIR Customer data centers, although Service Provider will monitor existing physical security systems.

1.5.7.5 Policies and Procedures Manual (PPM) Deployment

Service Provider will develop a set of standard and customized process documents to describe how services will be performed for DIR and DIR Customers.

1. Assessment: Service Provider will review the existing processes and procedures that are in use by DIR and DIR Customers. This will include any interim processes and procedures that were developed during transition.

2. Implement: Service Provider will create a set of standard processes and procedures that will be used to provide services to DIR and DIR Customers. In cases where a unique process or procedure is required for a DIR Customer, Service Provider will create a customized document.

The PPM will be on-line, providing access to authorized DIR and DIR Customer employees.

3. The PPM will be created in phases:

• Define general content and organization

• Complete Draft PPM

• Phase 1 update to PPM

• Phase 2 update to PPM

• Final PPM

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As transformation progresses and the environment changes, Service Provider will make the necessary updates to the PPM.

1.5.7.6 Web Portal Deployment

Service Provider will deploy a Web Portal that will provide Authorized Users with a view into the managed systems. It will give DIR and DIR Customers a view of the operations that Service Provider manages, and a near real-time look at how the Service Provider is delivering on contractual obligations. The portal enables automated reporting and tracking for inquiries, and requests for service. DIR and DIR Customers can measure performance against objectives, voice their satisfaction levels, and escalate issues that need attention by Service Provider executives. The portal is the entry point for Service related information access and tools resources that will be available to DIR and DIR Customers.

The portal provides a bi-directional channel between DIR and the transformation team over a web-based interface. It presents information that is aggregated to communicate trends, enabling DIR and DIR Customer executives to make forward-thinking business decisions.

The Web Portal will be deployed in the following stages:

1. Planning: Service Provider will collect and define the requirements for the Web Portal, and develop an implementation plan for deployment of the portal.

2. Initial functionality: Portal will be on-line with invoice and chargeback modules operational.

3. Basic functionality: Portal will have basic functionality on-line. Basic requirements will be documented in the implementation plan.

4. Production functionality: Required modules as described in the implementation plan will be available.

1.5.7.7 Problem, Change and Request Management

1. Problem Management: Service Provider will develop a Problem Management process that addresses identifying, resolving, and documenting the underlying problem that caused an initial incident. This includes Root Cause Analysis to determine the underlying issues and prevent the problem from occurring again. Tasks include reporting and entering problems into a Problem Tracking System, identifying related problems, and working to reduce the number of problems that occur.

Problem Management encompasses the deployment of the tools and procedures to properly manage incidents that arise.

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2. Change Management: Change Management is closely associated with Problem Management. It is crucial to the successful, ongoing business operations of the State that a Change Management program be implemented to address the required change in the most effective and efficient manner, minimizing the impact of change-related incidents upon service quality.

Change Management program manages and processes changes in the DIR and DIR Customer IT environments pertaining to the Services. The program incorporates the processes and procedures to facilitate an end-to-end solution for the implementation of changes into the DIR’s operational environment.

In the consolidated Data Centers, the infrastructure that supports the business systems will be consolidated where feasible. As a result, when a DIR Customer requests a change, it must be closely analyzed to determine if it may have an impact upon other customers or systems.

The Change Management program coordinates change management activities across functions and stakeholders, including third party vendors who may be participants in the operational support of the systems. It identifies clear ownership of individual changes and delineates the steps required to gain the proper approvals for implementation of changes into the operational environment.

The program will utilize the BMC® Remedy® suite of tools to support management of the program. BMC® Remedy® change management automates the entire change process through the use of workflow, predefined tasks, and other functionality. Failure is minimized by taking the appropriate steps, consulting with the right business owners, and putting failsafe procedures in place. BMC® Remedy® change management is integrated with other modules of the BMC® Remedy® suite of tools, facilitating integration of information across several areas of the project, including Problem Management, asset management, and Service Level management. The BMC® Remedy® suite of tools will include integration to many other tools that are utilized for systems management, providing an integrated view of the operational environment. This approach provides the process and data integration that is important for effective service management.

3. Request Management: implement the process, personnel, and tools used to track and manage Authorized User requests.

• Implement automated request tracking system, including the integration of applicable software, equipment, electronic mail, and a central knowledge database accessible via a common Web Portal.

• Establish flexible and effective communication across functions, DIR Customer sites, regions, and other service providers providing services to DIR Customers.

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• Document key functional and executive contacts as points of escalation in the formal communications plan.

1.5.7.8 Service Level Measurement and Reporting

Service Levels measurement and reporting will include:

• Analyze and document Service Level details by DIR Customer and service component addressing monitoring, data collection, and reporting

• Create Service Level reports and enable electronic access via Web Portal to DIR, DIR Customer personnel and any third parties designated by DIR as related to the Service.

1.6 Changes to Transformation Services

Requests for change must follow the Change Management process. Based on the impact of a proposed change, the level of change management may differ.

1.6.1 Major Changes

Major changes require a formal change request to be processed through the Project Management Office (PMO), following the process outlined in the PPM. Changes that are considered major include:

1. Requests that require a change to the Agreement

2. Requests that would result in a change to the approved transformation scope

3. Requests that would result in a change to the transformation costs

4. Requests that would impact the delivery date of a critical deliverable.

1.6.2 Minor Changes

Minor changes will be addressed following the transformation change management plan, as described in section 1.7.1.2 below. Minor changes can be implemented with an agreement on the change request from DIR, any affected DIR Customer, and the Service Provider. When assessing the impact of a minor change to determine the appropriate level of approval, the following should be taken into consideration:

• Will the change impact resource leveling?

o Schedule change that results in idle resources

o Schedule ‘crashing’ requiring additional resources

o Schedule change that results in multiple simultaneous activities, requiring additional resources

• Will the change affect a milestone on the project’s critical path?

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• Will the change affect a dependent project?

• Will the change require a modification to the approved solution?

If any of these cases are true, approval will lie at the transformation project level. If these cases are false, approval will lie at the work stream level.

1.7 Transformation Lifecycle/Phases

Service Provider shall structure each work stream of the Transformation Services into the following phases:

• Preparation and Planning • Verify and Refine • Startup • Execution • Testing • Control • Close

The phase timings within each work stream are represented in the following table.

Work Stream Transformation Phase

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Mai

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Tran

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Preparation and Planning 12/15/06 – 2/27/07

12/15/06 – 3/23/07

12/15/06 – 5/23/08

12/15/06 – 4/1/09

Verify and Refine 1/15/07 – 3/1/07

1/29/07 – 3/23/07

4/1/07 – 5/23/08

3/1/07 – 4/1/07

Startup 12/18/06 – 2/1/07

1/2/07 – 2/1/07

1/1/07 – 4/1/07

1/15/07 – 4/1/07

Execution 12/18/06 – 4/1/09

1/4/07 – 5/1/07

1/1/07 – 4/1/09

3/1/07 – 12/31/07

Testing 5/1/07 – 1/15/08

3/21/07 – 3/31/07

6/1/07 – 3/1/09

4/1/07 – 12/31/07

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Work Stream Transformation Phase

Faci

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Out

Supp

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Serv

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Tran

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ion*

Mai

nfra

me

Tran

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Control 12/18/06 – 4/1/09

1/4/07 – 5/1/07

4/1/07 – 4/1/09

3/1/07 – 12/31/07

Close 9/1/07 – 4/1/09

4/1/07 – 6/1/07

2/1/09 – 4/1/10

1/1/08 – 2/1/08

* Data Center Server consolidation completes by April 1, 2009 ; Remote Server consolidation extends to April 1, 2010

Transformation Phase

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Preparation and Planning 4/1/07 – 7/1/07

12/15/06 – 4/1/07

12/15/06 – 4/1/07

Verify and Refine 5/1/07 – 7/1/07

3/1/07 – 4/1/07

3/1/07 – 4/1/07

Startup 5/1/07 – 8/3/07

3/1/07 – 4/1/07

2/1/07 – 4/1/07

Execution 5/29/07 – 4/3/08

4/1/07 – 4/1/09

4/1/07 – 1/1/08

Testing 8/14/07 – 4/3/08

4/1/07 – 4/1/09

4/1/07 – 1/1/08

Control 5/29/07 – 4/3/08

4/1/07 – 4/1/09

4/1/07 – 1/1/08

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Transformation Phase

Prin

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Close 4/3/08 – 6/1/08

3/1/09 – 4/1/09

1/1/08 – 4/1/09

Section 1.7.1 through Section 1.7.7 describes the major activities that Service Provider shall accomplish during each phase of the Transformation Services.

1.7.1 Preparation and Planning

The preparation and planning phase of the project consists of two primary processes:

♦ Defining the project ♦ Planning the project

1.7.1.1 Defining the Project

The process of defining the project addresses definition of the detailed project requirements, as well as documenting a solution to address those requirements. The following activities are accomplished to define the project:

1. Understand objectives and plan defining activities: Through information provided in the requirements documentation, due diligence, and other discovery processes, project objectives will be clearly captured. The project team will reach a preliminary understanding of the project and possible approaches to it. They will then plan the rest of the defining activities.

2. Define the target solution: The project team defines the target solution in sufficient detail to enable selection of the best overall approach.

3. Describe the overall approach: Project team develops a clearer view of the overall approach, or steps to be taken to deliver the target solution, before defining the scope and building the plan for the project.

4. Shape the project: Team establishes the scope, selects the best approach, and builds the planning framework for the project.

5. Assess effectiveness of project plans: Throughout the project, the team assesses the value provided by the projects and services that have been completed and the value expected from projects and services planned or under execution. Based on these assessments, planning documents are updated as necessary.

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The output of this process is a project definition, as detailed in this Transformation Plan document.

1.7.1.2 Planning the Project

Planning the project includes building the necessary agreements and project planning documents. This is performed after defining activities have been carried out and authorization to proceed to planning has been obtained.

1. Planning documents include the following:

• Detailed Transformation Plans (enterprise and DIR Customer): Detailed Transformation Plans will be created in accordance with Section 4.3 of the Agreement, and as specified in paragraph 1 of this document.

• Consolidation plans: A detailed enterprise plan describing consolidation of the data centers. It documents requirements for consolidating individual DIR Customer data centers into the consolidated data centers. This plan will include details on:

o Infrastructure requirements

o Network requirements

o Server, mainframe, storage, print/mail, and Application inter-dependencies

o Server and storage consolidation strategy

o Mainframe and storage consolidation strategy

o Print and mail consolidation strategy

o Backup and storage solution

o Data migration strategy

o Testing strategy

o Migration strategy

o High-Level Consolidation Schedule

• Implementation plans: Each subproject will develop implementation plans in accordance with paragraph 4.3 of the Agreement. These will detail how the consolidation plans will be implemented for a specific project task (example: Server and storage consolidation for a specific DIR Customer). Implementation plans will contain sufficient detail for the Change Control Review Board to analyze and approve or reject proposed changes. Implementation plans will follow the Texas Project Delivery Framework deployment plan guidelines. It will contain the following:

o Introduction: provide an overview of the implementation plan and describe the technical changes.

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o Assumptions, dependencies, and constraints: document applicable assumptions, dependencies, and constraints.

o Operational readiness: Document readiness for deployment, including site preparation activities, assessment of deployment readiness, configuration audits and reviews, and any applicable deviations or waivers.

o Data creation/conversion: Describe data related processes/procedures, including creation of physical databases, creation or loading of data sets, conversion of legacy data, etc.

o Phased rollout: describe the phases and activities for the rollout.

o Training and documentation: Document plans for training stakeholders, and documentation to be used for the deployment and support of the system.

o Handover to steady state support: Describe resource requirements and operational processes that will be needed to support the systems.

o Notification of deployment: Describe the communication process to be used to notify stakeholders of the deployment. Include appropriate escalation plans to be used during the implementation.

o Operations and maintenance planning: Validate that operational processes/procedures are updated or created.

o Release planning: Document the deployment processes and procedures, including contingency and/or backout plans.

o Appendices: The following items will be contained in appendices to the implementation plan as required:

Roles and responsibilities

Detailed schedule of activities/actions

Infrastructure requirements

Network requirements (if applicable)

Application requirements (if applicable)

Logistics requirements

Test plans

Risk log

Approved exceptions list

Disaster recovery plan updates

Human resources plan updates

Impact to end users

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• Facility requirements documents: Outline facilities requirements and specifications for consolidated data center build-out.

• Data center space plan: Document that describes the floor space usage and equipment locations for the data center.

• DIR customer data center shut-down plans: Outline the activities that will take place once the equipment in a DIR Customer data center has been consolidated and the facility is ready to be shut down.

• Network design document: Outlines the network design requirements, including IP addressing schema, network devices and their locations, remote access solutions, connectivity, etc.

• ISeC Security Design Document: Addresses planned facility physical security implementation for TxSDC, Metric 12, and Service Provider Facilities. It also addresses software and hardware deployment specifically for data and online security, annual security assessments, and other standard security concepts that are critical to the safety of the DIR and DIR Customer data.

• Comparison and design document: Defines the Support Center solution.

• Current support environment assessment: Describes the DIR Customer’s current support environment that is used as a basis for the design.

• Detailed project schedules: Each subproject will develop a detailed schedule of transformation events. These schedules will be rolled up into a master transformation schedule.

• Change management plan: Defines the project specific processes to address requests for change to the project. It defines approval levels for various types of project change requests, procedures to manage a change request, and project change request form templates. The change management plan complies with Change Management processes that are defined in the PPM.

• Communication management plans: Define the regular meetings, reporting, and other communications that take place during the project. These plans identify the type of information, the medium for communicating, the timing of the communications, and the audience to whom it is directed.

2. Additional internal work products that will be used to monitor and control the project:

• Supplier and partner agreements: IBM will formally document agreements between partners, and between the partners and suppliers that are necessary to provide services to the transformation project.

• Procurement plans: Procurement plans will manage procurement of hardware, software, property, and any other items that are needed for the

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transformation project. Procurement plans will manage the process through the forecasting, capital requests, ordering and receiving, and inventory management phases.

• Human resource plans: There are two components to the transformation human resource plans

o Transformation of Transitioned Employees: Once Transitioned Employees are hired through the transition project, the transformation project manages the transformation of these resources, including training, relocating them from DIR Customer facilities, assignment of tools needed to perform their job post-transformation, providing the required network connectivity, and other tasks that their specific positions within the Service Provider’s organization require.

o Hiring and management of transformation resources: Plan will address the hiring of staff that is needed specifically for transformation tasks, training, and team building, which are required for newly hired staff, and releasing them once the transformation projects are completed.

• Configuration management plan: A configuration management (CM) plan describes the overall planning efforts for implementing and executing configuration management throughout a project’s life cycle. The CM Plan provides visibility and control of the project’s performance, functional, and physical attributes.

• Risk management plan: Risk management plans are created to address risk throughout the life of the project, including risk identification and assessment, risk response planning, continuously assessing risk throughout project execution, responding to a risk event, and updating project plans. Additional information on risk management can be found in section 1.8.3 below.

• Issues management plans: Issues management plans are created to validate that issues are documented for follow up through closure, and that the appropriate steps are taken for escalation, capturing lessons learned, and updating project plans.

• Quality plan: The project quality plan describes the organization, activities, and quality contributors that have been put in place to achieve the planned level of quality for technical, project management, and services work products. The primary purpose of the quality plan is to provide project deliverables that consistently meet the documented acceptance criteria at a cost that is consistent with that included in the project financial plan. It involves assessment, measurement, monitoring, and reporting of the expected product and/or service performance outcomes which are established for a project. Finally, the quality plan validates compliance with the quality standards of external certification organizations such as ISO and increases sponsor confidence in the team’s ability to achieve quality objectives.

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• Exception management plan: The exception management plan addresses exceptions to project (example: a DIR Customer’s Server that cannot be migrated to a consolidated data center from a DIR Customer Data Center). It manages the approval and documentation of exceptions, as well as updates to any operational procedures or other actions that may become necessary due to the given exception.

• Training Plans: Each work stream will develop the training materials needed to validate that the project team is prepared to implement the project, Service Provider Personnel are ready to perform their assigned duties, and authorized users are prepared for change created by the transformation project.

3. The following activities are performed when planning the project:

• Build agreement with partners: Provide solution document agreement on the roles and responsibilities of each partner.

• Build agreement with supplier(s): Identify and select the suppliers that are needed to deliver the solution. Prepare corresponding agreements with suppliers.

• Build work stream planning documents: Each tower in the project organization develops the necessary planning documents. In addition to the planning documents listed above, these may also include work breakdown structures, risk definitions and logs, and other planning documents as required. Planning documents are created with the input from and review by the Transition/Transformation Management Committee to validate alignment with stakeholder needs.

• Integrate project organizational unit planning documents: Reconcile the work stream planning documents into a cohesive set of project plans across the transformation project; validate that the final plans are consistent and cohesive across the delivery Towers.

• Finalize DIR agreement: Define the project management system requirements and consolidate the project plans. Gather the documentation that will support the decision to launch implementation and controlling activities. Provide information to DIR to facilitate approval or rejection of the proposed Transformation Plan.

1.7.2 Verify and Refine

1.7.2.1 Creation of Planning Documents:

Planning documents are created based on information that was received in the RFO, during due diligence, in clarification sessions, and during transition client environment analysis. Through the governance process, key stakeholders will shape creation of the project plans.

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• Project kickoff meetings: Kickoff meetings will be held for the transformation project, and each of its subprojects, as well as with each DIR Customer affected by the subproject. Kickoff meetings will outline the project’s scope and approach and review the detailed transformation plans.

• Project planning: Stakeholder involvement is key to the creation of effective project plans. The Transition/Transformation Management Committee, will drive the development of planning documents. This committee is comprised of the staff needed to develop effective project plans, and obtain buy-in of the plans once developed:

o DIR Transition/Transformation Manager

o DIR Transition/Transformation Specialist

o DIR Service Representatives

o Customer Service Representatives for DIR Customer

o DIR Customer IT subject matter experts

Service Provider Members:

o Service Provider Transition/Transformation Manager

o Service Provider Transition/Transformation Leads

o Service Provider Client Services Advocates

1.7.2.2 Approval/Refinement of Planning Documents:

• Deliverable planning documents will be managed following the “handling deliveries” process outlined below. DIR will approve or reject the deliverable planning documents based on the pre-defined acceptance criteria agreed to for that deliverable.

• Refinements to the documents will be made for rejected deliverables following the “handling exceptions” process outlined below.

• Change Control Review Board: Since implementation plans define a specific change, the Change Control Review Board will approve or reject them. Rejected changes will be refined to address concerns of the Board.

• Project Change Requests will follow the Change Management process described below. Planning and approval of change requests will follow normal planning processes.

1.7.3 Startup

The goal of the startup process is to put the project management system in place and validate that the execution of the project or a project phase can start. The following activities are performed during project startup:

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• Initiate phase: Enable the project to start. This activity is the first that is launched when starting a project. Documentation from project definition and planning is available. The first staff members are ready to develop a short-term plan that will drive the starting of the phase. They will also put a skeleton operation in place to allow the phase start-up team to do its work.

• Implement project management systems, tools, and processes: Finalize the project management system summary. Verify that the situation described in the project plans is still true (e.g., risks, assumptions, roles, etc.). If not, issue a change request. Finalize the project procedures descriptions. Validate the completeness of planning documents and consistency with project quality documents. Validate the consistency of the expanded procedures descriptions, quality plan, and project management system summary. Implement plans and procedures.

• Expand work plans: Put work plans in place that will allow activities to be assigned and project progress to be tracked. Finalize the project management schedule for use in controlling the progress of teams. Develop the operational schedule for assigning and tracking the work.

• Establish technical environment: Validate that the technical environment is ready to operate. This includes resources to be used by the project team such as hardware, software, tools, and connectivity.

• Obtain staff: Obtain commitments from staff providers to supply project staff members as documented in the human resource plan. Reconcile operational and/or project management schedules to staff availability.

• Start staff: Validate that the staff is prepared to do productive work. Orient staff and assign work packages. Coach them to validate that they understand what is expected of them and that they are working productively.

• Start subcontractor(s): Successfully fulfill the mutual obligations that were defined in the supplier Agreement to validate that productive work is started. As with internal staff, validate that subcontractors are oriented and understand what is expected of them.

1.7.4 Execution

Project execution involves implementing the project plans that were developed during the preparation and planning phase. This phase typically involves activities such as environment assessment, system design, testing, and production cut-over. Section 1.5 above demonstrates how these activities are implemented for the transformation work streams.


During environment assessment, Service Provider will work to gain a thorough understanding of the current environment prior to beginning any transformation activities. Service Provider will review existing information on the enterprise infrastructure, and captured during transition DIR Customer environment analysis. There

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will be some transformation activities aimed at gathering the additional information needed for transformation consolidation plan, such as:

• Server automated data collection

• Impact of consolidation to end-user performance

• Cost of network upgrades required to maintain acceptable access and performance as a result of consolidation

• Cost of floor space that would potentially need to be re-designated as “Remote” rather than “Data Center” as an alternative to consolidation

• Ability to meet SLA requirements

• Ability to meet DR requirements

1.7.4.2 System Design

Service Provider will design a transformed environment for each of the transformation work streams, as well as an implementation plan to migrate to that environment.

1.7.4.3 Testing

Service Provider will employ a testing methodology that is in line with the Texas Framework for Project Delivery, as described in section 1.7.5 below, and the documented approaches to each work stream.

1.7.4.4 Production Cut-Over

Once the transformed environment has been designed and tested, Service Provider will cut-over from the current environment to the future state environment. The typical approach to this is:

• Deploy the necessary Infrastructure into the consolidated Data Center

• Perform necessary system and user acceptance tests on the consolidated infrastructure

• Cut-over from current environment to future state environment

Care will be taken to minimize or eliminate disruption to DIR Customer operations during the cut-over. These measures include the following:

• Creating detailed implementation plans with input from technology as well as business subject matter experts

• Scheduling cutover during periods of low or no operational activity

• Developing robust backout plans that are based on the cut-over strategy

• Applying sound risk management practices throughout project execution

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1.7.5 Testing

The goal of the testing phase is to maintain a stable and supportable enterprise Infrastructure throughout the course of the transformation project, and to validate that DIR Customer migrations are performed with little or no impact to ongoing operation. General testing guidelines will follow the Texas Project Delivery Framework.

1.7.5.1 Testing Process

1. Unit testing: Test discrete units that are considered complete. These tests may only be required if Application remediation is needed and they are typically performed by the DIR Customer.

2. Integration testing: Validate that aggregates of units perform accurately together. These tests may only be required if Application remediation is needed and they are typically performed by the DIR Customer.

3. System testing: Validate that the system performs according to documented requirements.

4. User acceptance testing: Validate that the completed system performs according to documented requirements. These tests may identify a need for application remediation and are typically performed by the DIR Customer with Service Provider support.

1.7.5.2 Test Planning:

Service Provider will work with DIR and DIR Customers to develop a comprehensive acceptance test schedule that includes time frames for configuring the test data, test cycle execution, and test results evaluation. In addition, the plan will identify scenarios to test system functionality for compliance with the requirements. These plans are contained in the implementation plan.

1.7.5.3 Roles and Responsibilities:

1. DIR Customer Responsibilities:

• Provide input to test plans

• Review and approve test plans

• Perform user acceptance testing

• Perform application remediation that is found to be required during testing

2. Service Provider Responsibilities:

• Develop test plans

• Perform system testing

• Support user acceptance testing

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• Perform other specific testing as defined in the work stream definitions

1.7.6 Control

The control phase runs in parallel with the execution phase. It is concerned with the project remaining on schedule, deliverables being completed per the schedule and completion criteria, and addressing exceptions as they arise. It consists of three processes:

• Monitoring

• Handling Exceptions

• Handling Deliveries

1.7.6.1 Monitoring the Project

The purpose of the monitoring process is so that project implementation proceeds according to plans. Variance from these plans should be identified through monitoring and managed by the handling exceptions process described below.

The monitoring process includes the following activities:

1. Track and control progress: Validate that project progress remains consistent with the project management schedule. This activity is performed on a short-term, periodic basis to control project progress and risks. Project progress and risks are tracked against the plans. Decisions are made so that progress is made according to the plans or to update the plans. Project management within each Tower keeps progress within the plans. Tracking is done by measuring actuals, comparing that data with the plans, and preparing forecasts.

2. Assess estimating basis: Assess estimating basis and revise plans accordingly. The estimating basis needs to be assessed against performance trends. This assessment is done initially as soon as there are enough measurements for valid analysis, and then periodically until the end of the project. Depending on the result of the analysis, the estimating basis may need to be revised, or other corrective actions may need to be taken.

3. Hold internal communication meetings: Disseminate information internally, gather information, and determine the appropriate actions.

4. Audit or review subcontractor(s): Assure compliance and/or the health of the subcontractor’s project. In accordance with subcontractor agreement(s) or in an effort to prevent a concern about the subcontractor from developing into a more serious situation, a decision is made to review the subcontractor’s activities.

5. Participate in audit or review: Contribute to making an audit or review effective. Prepare for the audit or review, and then take part in it. The compliance reviews can focus on the compliance of the project with procedures or on the

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health of the project. The health reviews may deal with technical, management, or business aspects of the project.

6. Reconcile financial data: Reconcile financial data and improve forecasts. Check that financial data is complete. Update actuals and forecasts in the project financial plan to align the financial plan with the most current data.

7. Report project status: Reports to the sponsor address aspects of managing the project as agreed upon with the sponsor. Focus is on defined and documented processes and outcomes (e.g., progress of deliverables, deadlines) and obligations (e.g., provision of technical environment resources, payment of invoices). Reporting to functional management consists of comparing project status and progress to the plans. Emphasis should be placed on risk and cost control for the project.

8. Manage in scope request(s): Analyze the request to determine if it conforms to the scope defined in the Agreement for the related activity and, if so, plan and assign the requested work.

9. Continuously assess risk: Regularly identify new risks, assess existing risk evolution and mitigation plan effectiveness. Update the Risk management plan and other plans accordingly.

10. Continuously assess project health: Continuously evaluate project health and determine corrective actions.

1.7.6.2 Handling Exceptions

The handling exceptions process is used whenever an exception occurs. This process addresses how to deal with events that fall outside the normal project plans and consists of the following activities:

1. Manage issues: Monitor issues recorded in issue log through resolution. Track and control progress. Review the issues in log to assess their status. Review the effectiveness of selected resolution actions prior to issue closure. Adjust the operational schedule if the issue cannot be resolved without modifying it. Note that any matter which project management must examine and follow up on until resolution is considered to be an issue, regardless of the severity.

2. Manage actions: Validate the completion of actions that have been recorded in the action log. Track and control progress. Review log of actions to assess their status. Review effectiveness of selected actions prior to their closure. Adjust the operational schedule if the action cannot be completed without modifying it.

3. Analyze situation: Investigate a potentially adverse situation in order to resolve it. This action is taken when there is an indication that an issue might exist on the project. Symptoms of the issue are known, but the exact nature of the trouble is not clear. Analyze the situation in order to determine the real nature

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of the issue and identify the appropriate actions to resolve it. Update the appropriate plans.

4. Handle compliance incident: Record and resolve a compliance incident and update plans as necessary to prevent a recurrence. This activity is executed when a contractual commitment has not been met. Note that this could be on the part of the project sponsor or the supplier. A precise description of the situation, including its implications, must be recorded so that the details of the incident are available when compensation negotiations occur. Actions must also be determined with the stakeholder that is involved, and should lead to a return to normal and allow for work to continue in the meantime. Record the incident in accordance with the compliance incident management procedure that is part of the project quality system.

5. Handle change request: This activity is launched when a change to an aspect of the project that is under change control is requested. The request may come from the sponsor, the delivery team, or a supplier. It may address any aspect of the project. Handling the change request includes deciding whether it should be analyzed further. If further analysis is necessary, handling the change request involves revising baselined elements and dependent documents along with communicating the change decisions to the team.

6. Handle controversial defect: Resolve findings for which immediate agreement about the impact and the corrective actions cannot be reached. This activity is launched when a deliverable is said to have a defect, even though the deliverable could be viewed as meeting a reasonable interpretation of the requirements or specifications. The controversial defect must be dealt with in order to determine which part of it will be considered to be a non-conformity and which part will be considered to be a change request. Validate that modifications to the plans are made in order to allow the deliverable in question to be completed.

7. React to risk occurrence: When a risk has occurred, take the actions that are necessary to minimize adverse consequences and to keep the project under control. Implement and follow up on the appropriate contingency plan for the risk event. Manage consequences of the risk event under the appropriate handling exceptions activity. Document lessons learned and update risk management plans as necessary.

1.7.6.3 Handling Deliveries

The handling deliveries process addresses deliveries so they occur on the due date and with the expected contents. It consists of the following activities:

1. Prepare to receive deliverable: Be ready to accept a deliverable in accordance with the milestone schedule in the Agreement.

2. Accept deliverable: Validate that Acceptance of a deliverable against previously defined Acceptance Criteria will occur on the due date.

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3. Prepare delivery: Validate the successful release of a deliverable to DIR.

4. Manage acceptance: This activity is aimed at obtaining DIR’s prompt acceptance.

1.7.7 Close, Cut-Over and Steady State Operations

Project closing entails administratively closing the project and handing over the delivery of applicable services to the steady state delivery teams. It consists of the following activities:

1.7.7.1 Release Transformation Staff

This activity includes the development of plans for an orderly closure for team members who have finished their work and results in the optimization of the remaining project team. It is launched as part of the closing activities, when a team is close to finishing its work, and has released its final deliverable, or is close to releasing it. Because the team may no longer be fully utilized, it is necessary to plan an orderly closure of work and to reorganize the project team. When organizing staff release, project management endeavors to minimize project costs without losing team member expertise that could still be needed on the project. This activity addresses collection of the working documents and office materials used by the departing team members, reassigning work inside the remaining team to allow the early release of some team members, and verifying that those team members who will be released last are fully and effectively utilized.

1.7.7.2 Release Subcontractor(s)

This activity encompasses the termination of supplier agreements. It is launched when a subcontractor is close to finishing work on the project, and the subcontractor’s final deliverable is released or about to be released. The purpose of this activity is to plan an orderly closure of the supplier agreement. When releasing a subcontractor, project management verifies that the terms of the agreement are fulfilled, including any future access to subcontractor expertise.

1.7.7.3 Manage end of project

This activity enables the team to end the project in an efficient and orderly fashion. At this time, deliverables that are required by DIR have been accepted. The majority of staff and subcontractors have been released, and any remaining staff and subcontractors will be released at the end of this activity. Lessons learned that have been captured throughout the course of the project are consolidated. The appropriate sessions are held to document any additional lessons learned. The project team captures intellectual capital and reusable project elements. Project specific processes are closed and replaced, where necessary, with the applicable steady state operational processes. Customer service for the project is evaluated. Finally, the sponsor agreement is closed.

The project closing process is performed individually for each of the transformation work streams, and for the overall transformation project.

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1.8 Transformation Controls

1.8.1 Introduction

Service Provider shall use the processes and controls described in this Section 1.8 to manage its performance of the Transformation Services.

1.8.2 Transformation Processes

Project Management Methodology

Procedure

Description

Progress Tracking

Weekly progress tracking will commence upon mutual agreement of the Transformation Plan and schedule, and will continue until the end of transformation.

Transformation project managers from each work stream will track project progress for their work streams by measuring the actual progress of major milestones against approved project schedules.

Work stream progress will be rolled up for overall transformation project tracking.

Work stream and transformation project operational meetings will be scheduled to manage project progress.

Progress Reporting

Weekly progress reporting will commence upon Contract Effective Date and continue until the end of Transformation Services.

Transformation project managers from each work stream will report progress against the approved project schedules. Work stream progress reports will be rolled up for overall transformation project progress reports. Transformation project status meetings will be scheduled to review the overall project status.

Weekly transformation reports will be submitted to communicate the status of the overall transformation project.

Change Management

In making any change to the Transformation Services (including any Transformation Milestones and any deliverables), Service Provider shall comply with the change control procedures specified in the PPM, and the project’s Change Management plan, which is identified in section 1.7.1.2 above.

Issue Management

Issue management will commence at Contract Effective Date and the Service Provider shall comply with the issue management procedures specified in the PPM, and the project’s handling exceptions process as outlined above in section 1.7.6.2.

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Project Management Methodology

Procedure

Description

Risk Management

Risk Management will commence at Effective Date and the Service Provider shall comply with the risk management procedures specified in the PPM. This process is summarized in section 1.8.3 below.

1.8.3 Risk Management and Mitigation

Service Provider will leverage the Texas Project Delivery Framework, IBM's Worldwide Project Management Methodology (WWPMM), IBM’s Program Management System (PgMS), and PMI's Knowledge Areas as the basis for Project Management during the transformation period. Specifically for this area, the risk management plan instructions and templates from the Texas Project Delivery Framework will be utilized. This framework has been used to create the risk management process, which will be applied to the transformation project.

Service Provider’s governance structure includes a risk coordinator, who will be responsible for managing the risk processes. The risk coordinator will publish a risk management services plan that is consistent with the DIR risk management framework, and will assist with the identification, assessment, and mitigation of risk throughout the transformation project.

The goal of the risk management process is to determine how risk can most effectively be managed. This is done throughout the lifecycle of the project:

1. Preparation and planning: Tools such as checklists and risk management workshops will be used to identify transformation risks. Identified risks will be collected in a risk-tracking database.

2. Execution and control: The project will be continuously assessed for risk. New risks will be identified, assessed, and added to the risk management database. Risk events that have occurred will be identified and the appropriate actions taken to minimize the adverse consequences. Risks whose trigger event has passed will be closed.

3. Closing: Lessons learned from risks that were encountered are documented for use in future project phases and future projects.

4. Examples of typical transformation risks are provided below:

• Human resources: Availability of resources with the appropriate skills at the right time.

• Procurement: Availability of, or lead time to procure, required hardware, software, or services.

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• Technical: Compatibility between technologies, including hardware, software, network, etc.

• Cultural: Addressing the consolidation of services for 27 independent DIR Customers, each with unique processes, procedures, and platforms into a centrally controlled organization.

• Environmental: Weather, natural disasters, political, etc.

1.8.4 Quality Management

Service Provider will leverage the Texas Project Delivery Framework, IBM's Worldwide Project Management Methodology (WWPMM), IBM’s Program Management System (PgMS), and PMI's Knowledge Areas as the basis for project management during the transformation period.

Service Provider’s implementation of formal Quality Assurance and quality management processes will include the IBM Quality Assurance methods. The transformation team will have a dedicated quality manager who will provide oversight for project execution quality, establish quality policies, analyze metrics for quality assessment, oversee the program’s continuous improvement efforts, and lead root cause analysis.

Service Provider will integrate ongoing third-party reviews by IBM’s Quality Assurance representatives. The implementation of formal Quality Assurance processes will involve IBM Quality Assurance methods and utilize Quality Assurance professionals throughout services delivery. This integration of quality assurance begins during proposal development and continues throughout the project.

Service Provider’s quality manager and team will develop and provide the quality management plan for the PPM. This manual describes the specific processes, procedures, standards, and tools that will be utilized to facilitate the quality of work delivered, and to communicate these concepts across DIR and the transformation project. This plan also describes the responsibilities and authority for accomplishing quality activities, and identifies the required coordination of quality management with other areas of the project.

During transformation, Service Provider will revise and update the PPM, which records the quality measurement activities, metrics, and procedures associated with the delivery of contracted services. Service Provider will document a mechanism to provide and record DIR quality directions as they change. Service Provider will alter the quality management metrics to maintain alignment with the Texas Project Delivery Framework and DIR’s culture.

1.8.5 Schedule Management

Service Provider will leverage the Texas Project Delivery Framework, IBM's Worldwide Project Management Methodology (WWPMM), IBM’s Program

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Management System (PgMS), and PMI's Knowledge Areas as the basis for project management during the transformation period.

Transformation project managers for individual work streams will manage the schedules for their individual projects by monitoring work that is completed against the overall work stream project schedule baseline. These schedules will be rolled up for management of the overall transformation schedule.

Schedule health will be evaluated and status of critical deliverables will be highlighted in the weekly progress reports.

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2.0 COMMUNICATIONS

2.1 Introduction

Service Provider shall issue the communications described in this Section 2 in connection with the Transformation Services and shall adhere to the requirements of this Section 2 when issuing those communications.

2.2 Process and Standards

Service Provider shall comply with the following processes and standards when issuing any communications in connection with the Transformation Services.

The communications management process is deployed to assist in the exchange of vital information between the project team and other key stakeholders, including the following:

• Collection of data • Generation of key messages • Obtain DIR approval of key messages • Dissemination of information • Storage and final disposition of information

Service Provider will assign a communication manager who will coordinate with DIR to develop the communications management plan, which will include stakeholder roles and responsibilities and contact information along with information management including data collection and reporting to targeted audiences. Service Provider will leverage the Texas Project Delivery Framework, IBM's Worldwide Project Management Methodology (WWPMM), IBM’s Program Management System (PgMS), and PMI's Knowledge Areas as the basis for project management during the Transformation period. Specifically for this section, the communications plan instructions and templates from the Texas Project Delivery Framework will be analyzed for usage if appropriate.

2.3 Certain Communications

Service Provider shall issue the following communications in connection with the provision of Transformation Services:

Communications Activity Chart

Transformation Milestone

Proposed Timing

Type and Nature of Communication Message and Target Audience

Ad hoc communication Updated throughout the project

Posted to Web Portal FAQ

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Proposed Timing



Posted to Web Portal Overall status of transformation activities


Posted to Web Portal Who to contact with questions

Print and Mail Draft Operational Processes and Procedures Complete CD + 366

Procedure document via PgMS

Operational processes and procedures posted to PPM

Print and Mail Production DR Center Go-Live CD + 153

Implementation status email

Notify Stakeholders that DR print and mail center is live

Production Print and Mail Center Go-Live CD + 153


Notify Stakeholders that production Print and mail center is live

Print/Mail Transformation Complete CD + 366 Report Project closeout report sent to DIR

Draft Command Center Operational Processes Completed CD – 31 Procedure document

Draft processes and procedures posted in PPM

Command Center Go-Live CD


Notify stakeholders that command center is live

Command Center Operational Processes Updated CD + 183


Changes to PPM documented in change history

Update Logical Security Operational Processes CD + 91 Procedure document


Servers in Compliance with ISEC Policy

Recurring as fixes scheduled Meeting

DIR Customer Print/Mail product owners invited to Change Control Review Board meeting to discuss changes; invitation includes

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Proposed Timing


description of change, scheduled date for change board meeting, and scheduled date for change.

PPM General Content and Organization Complete ED+14


Provide DIR with copy of PPM general content and organization

Draft PPM Complete CD – 31 Procedure document Provide draft PPM to DIR

Final PPM (Phase 1) Complete CD Procedure document Provide final PPM (Phase 1) to DIR

Final PPM (Phase 2) Complete CD +91


Notify DIR that final PPM (Phase 2) has been posted

Final PPM Complete CD + 183 Procedure document via PgMS

Notify DIR that final PPM has been posted

Web Portal Implementation Plan Complete CD – 60 Email DIR confirms receipt of deliverable

Web Portal On-Line Access to Invoice and Chargeback CD

Email procedure document

-Web Portal procedures provided to DIR -Notification that Web Portal is on-line -Notification that portal userIDs are live

Web Portal Functional, per Enterprise Transition Plan CD +90


-Notification that Web Portal is on-line, additional functionality -Notification that portal userIDs are live

Web Portal Functional, per Enterprise Transition Plan CD + 183


-Notification that Web Portal is on-line, additional functionality -Notification that portal userIDs are live

Develop Draft Enterprise Disaster Recovery Plan - Metric

Recurring 4/07 - 7/07 Meeting DR planning sessions

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Proposed Timing


12

Develop Final Enterprise Disaster Recovery Plan - Metric 12


Develop Final Enterprise Disaster Recovery Plan - Texas State Data Center


Future State DR SLAs Attained CD + 655 Web Portal SLA reports posted

Disaster Recovery Transformation Complete CD + 655 Report Project closeout report sent to DIR

Mainframe Design, Metric 12 Consolidated Data Center, Austin Recurring Meeting Design planning meetings held

Mainframe Design, Texas State Data Center, San Angelo Recurring Meeting Design planning meetings held

Deploy Mainframe Support Tools

2 weeks prior to change

Change request in BMC® Remedy® meeting

-Submit Change Request to Change Control Review Board (CCRB) regarding installation of new tools -Attend CCRB meeting that will discuss associated change -Invite appropriate stakeholders to CCRB meeting

Increase Capacity of Shared Environment in Metric 12




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Proposed Timing


Increase Capacity at San Angelo for Mirroring and shared environments


Change Request in BMC® Remedy® meeting


Implement Capacity Backup (CBU) on Demand at San Angelo




Implement Data Center Mirroring for D0/D1 Applications




Metric 12 Mainframe Transformation Complete CD + 365


Notification that Metric 12 Mainframe complete

Upgrade Tape Environment at San Angelo




Update Mainframe DR Plans CD + 365 Planning documents Updated DR plans posted

Update Mainframe Operational Processes and Procedures CD + 365



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Proposed Timing


Future State Mainframe SLAs Attained CD + 365 Web Portal SLA reports posted

Mainframe Transformation Complete CD + 396 Report Project closeout report sent to DIR

Procure Server Hardware and Software - Wave 1

1 week prior to delivery Email notification Notify facilities to expect hardware









Deploy Server Infrastructure - Wave 1



Coordination with on-site DIR Customer staff for technician visit -Submit Change Request to Change Control Review Board (CCRB) regarding installation of new tools -Attend CCRB meeting that will discuss associated change -Invite appropriate stakeholders to CCRB meeting




Coordination with on-site DIR Customer staff for technician visit -Submit Change Request to Change Control Review Board (CCRB) regarding installation of new tools -Attend CCRB meeting that will

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Proposed Timing


discuss associated change -Invite appropriate stakeholders to CCRB meeting













Final update to Server Operational Procedures CD + 653



Final update Server DR Plans CD + 653

DR Plan document via PgMS Updated DR plans posted

Future State SLAs Attained CD + 653 Web Portal SLA reports posted

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Proposed Timing


Server Transformation Complete CD + 699 Report Project closeout report sent to DIR

Establish Connectivity Between Data Centers and Partners


Change request in BMC® Remedy®

Meeting


Conduct Data Center Operations Kick-off Meeting Jan-07

Meeting or conference call

Documentation

Meeting to discuss the Computer Operations subproject, its activities and planned timeframes, and required resources; could be combined with Mid-Range Server and Mainframe Kick-off Meetings

Physical security data center access policy Jan-07


Documentation

Meeting to discuss and document DIR’s data center access policy

DIR / DIR Customer physical security subject matter expert

Close Computer Operations Subproject CD + 672 Report Project closeout report sent to DIR

Conduct Facilities Kick-off Meeting Jan-07


Documentation

Meeting to discuss the facilities subproject, its activities and planned timeframes, and required resources

DIR

Metric 12 Facility Requirements documentation Jan-07


Documentation

Meeting to discuss and review the Metric 12 facility requirements for build-out

DIR

TxSDC Facility Requirements documentation Feb-07

Meeting or conference call(s)

Meeting to discuss and review the TxSDC facility requirements for Build-out

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Proposed Timing


Documentation DIR and Angelo State University

Conduct Support Center Kick-off Meeting Jan-07

Meeting or conference call and presentation to kick-off Support Center Tower

Meeting or conference call and presentation to kick-off Support Center Tower

High level overview of enterprise schedule and activities

DIR Customer Help Desk leads and DIR

Publish End User Guide Mar-07

Series of conference calls and live meetings to introduce end user guide

Series of conference calls and live Meetings to introduce end user guide

Review end user guide

DIR Customer resolver groups and Authorized Users

Conduct Agent Training CD – 2 Training sessions Conduct training sessions for agents

Make "Go - No Go" Decision CD – 2 Meeting Go / no-go meeting

Go Live CD Implementation status email

Notify stakeholders that Support Center is alive

Support Center Subproject Closure Report CD + 61 Report Project closeout report sent to DIR

Test Server Infrastructure - Wave 1 CD + 94 Email

Test schedule and results sent to stakeholders

Test Server Environment - Wave 2 CD + 183 Email






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Proposed Timing




Server Production Cut-Over - Wave 1 CD + 156


Meeting

Coordination with on-site DIR Customer staff for technician visit -Submit Change Request to Change Control Review Board (CCRB) regarding installation of new tools -Attend CCRB meeting that will discuss associated change -Invite appropriate stakeholders to CCRB meeting -Pre-cutover readiness review & go/no go meeting



Meeting




Meeting




Coordination with on-site DIR Customer staff for technician visit -Submit Change Request to Change

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Proposed Timing


Meeting Control Review Board (CCRB) regarding installation of new tools -Attend CCRB meeting that will discuss associated change -Invite appropriate stakeholders to CCRB meeting -Pre-cutover readiness review & go/no go meeting



Meeting


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3.0 DIR AND DIR CUSTOMER ROLES AND RESPONSIBILITIES

3.1 Introduction

DIR and DIR Customers shall perform the tasks and shall have the obligations set forth in this Section 4 in connection with Service Provider’s performance of the Transformation Services.

3.2 Tasks

The following chart identifies a preliminary list of tasks performed by DIR and DIR Customers in relationship to Service Provider tasks in connection with the Transformation Services. Reference numbers (Ref#) refer to Service Provider tasks, milestones and deliverables identified in Attachment 20 – Part A. All tasks are performed by DIR unless DIR Customer is specifically identified as the responsible party. DIR and DIR Customer tasks will be completed according to the Transformation Plan.

For Critical Deliverables DIR will:

• Provide input to risk identification workshops

• Provide input, review and approve risk mitigation plans

• Request modifications, additions or deletions

• Review and confirm compliance with Critical Deliverable Acceptance Criteria

Ref # Transformation Milestone and/or

Deliverable

DIR DIR Customer

Task

TF-E014

Command center tools/infrastructure deployed

X DIR network resources: provide network connectivity between Metric 12 and DIR network, including DIR Customer intranets

TF-E019

NIDS deployed to Metric 12

X DIR network resources identify normal traffic patterns

TF-E021

NIDS deployed to TxSDC X DIR network resources identify normal traffic patterns

TF- HIDS deployed to target X DIR and technology and security resources identify target list of

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Deliverable

DIR DIR Customer

Task

E023 Servers Servers to monitor

TF-E024

Servers in compliance with ISEC policy

X DIR customer application owners identify measures that cannot be applied to specific Servers due to application constraints

DIR customer application owners obtain exceptions for measures that cannot be applied

TF-E031

Web Portal on-line access to invoice and chargeback

X DIR will identify individuals needing access to Web Portal

TF-E032

Web Portal functional, per enterprise Transition Plan

X X DIR and DIR Customer will identify individuals needing access to Web Portal

TF-E033

Web Portal functional, per enterprise Transition Plan

X X DIR and DIR Customer will identify individuals needing access to Web Portal

TF-E035

Develop draft enterprise disaster recovery plan - Metric 12

X X Provide listing of key contacts for DR

Provide contract info for current DR contracts

Provide application recovery procedures

Provide liaison/point of contact for DR (see governance)

Request modifications, additions or deletions. Review and confirm compliance with Critical Deliverable Acceptance Criteria

TF-E036

Develop draft enterprise disaster recovery plan - TxSDC

X X Provide listing of key contacts for DR

Provide contract info for current DR contracts

Provide application recovery procedures

Provide liaison/point of contact for

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Deliverable

DIR DIR Customer

Task

DR (see governance)

Request modifications, additions or deletions. Review and confirm compliance with Critical Deliverable Acceptance Criteria

TF-E046

Implement data center mirroring for D0/D1 Applications

TF-E065

Final update Server DR plans

X DIR Customer application owners validate criticality

TF-E067

Server transformation complete

X DIR review and approve project closeout report. Review and confirm compliance with Critical Deliverable Acceptance Criteria

TF-E068

Establish connectivity between data centers and partners

X DIR network resource notify Service Provider of connectivity and coordinate with DIR network provider

TF-E069

Conduct data center operations kick-off meeting

X X Attend kick-off meeting

Potentially provide local site conference rooms

TF-E070

Physical security data center access policy

X Provide input to physical security planning, review policy

TF-E073

Conduct facilities kick-off meeting

X Attend kick-off meeting


TF-E076

Finalize working relationship agreement for facilities with Angelo State University

X Make proper introductions to appropriate San Angelo resources to achieve agreement

TF-E077

Connectivity between Metric 12 and DIR network

X DIR network resources to work with Service Provider network team to assist in gaining connectivity to DIR network

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Deliverable

DIR DIR Customer

Task

TF-E080

TxSDC build-out X DIR and Angelo State University performs inspections

TF-E082

Publish standard policies & procedures for in-scope facilities services

X Provide list of employees that need to receive in-scope policies and procedures

Review new policies and procedures

TF-E083

Train DIR Customer employees on facilities policies and procedures and contact and escalation process

X Provide list of employees that need to be trained on service provider in-scope policies and procedures

Attend training


TF-E084

Conduct Support Center kick-off meeting

X X Attend kick-off meeting


TF-E085

Conduct resolver training X X DIR Customers who are responsible for Application maintenance attend training


TF-E086

Publish end user guide X Provide list of employees that need to be receive / access to the end user guide

Review end user guide

TF-E087

Conduct Support Center agent training

X X Affected Employees who will be Support Center agents attend training

TF-E089

Make "Go - No Go" decision

X Agree to proceed

TF-E092

Mainframe design, Metric 12

X DIR to provide input to design

DIR Customer assists in validating designs

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Deliverable

DIR DIR Customer

Task

TF-E093

Mainframe Design, TxSDC

X DIR to provide input to design

DIR Customer assists in validating designs

TF-E098

Test Server Infrastructure - wave 1

X X Perform baseline and application testing and develop necessary test scripts

Support consolidation and connectivity testing

DIR Customer application owners assist with system testing and perform re-compiles and Application remediation if required

TF-E099




DIR Customer application owners assist with system testing and perform re-compiles, Application remediation if required

TF-E100





TF-E101




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Deliverable

DIR DIR Customer

Task


TF-E102





TF-E103

Server production cut-over - wave 1

X X DIR Customer application owners perform user acceptance testing and perform re-compiles, Application remediation if required

DIR network technicians monitor that network impact is within agreed threshold.

Assist in setup of new test/dev environments

TF-E104


X X DIR Customer application owners perform user acceptance testing and perform recompiles, Application remediation if required



TF-E105


X X DIR Customer application owners perform user acceptance testing and perform re-compiles, Application

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Deliverable

DIR DIR Customer

Task

remediation if required



TF-E106





TF-E107




Assist in setup of new Test/Dev environments

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4.0 GOVERNANCE TEAM TRANSFORMATION SUPPORT

4.1 Introduction

The Parties shall comply with the governance and account management provisions set forth this Section 5 in connection with Service Provider’s performance of the Transformation Services.

4.2 Approach

4.2.1 Management Tools and Processes

As part of the transformation startup phase, Service Provider will establish the management tools and processes for the project. In addition to the plans and documents described in section 1.8, the following methods and tools will be used:

• IBM’s Worldwide Project Management Methodology for delivering projects.

• Texas Project Delivery Framework

• Program management system (PgMS) will be Service Provider, DIR and DIR Customers’ source for policies, processes and procedures, plans, contract governance, contract management, business management, and delivery management.

4.2.2 Transformation Administration Support

The program management office will provide administrative support for the transformation and transition projects. Key functions will be to oversee the use of consistent methods across the project such as prioritization of work, change control, issue management, risk management and management reporting. The program management office will review and analyze DIR and DIR Customer requirements. Using project management tools and methodologies, integrated project plans will be developed which specify the timelines and resource requirements that are required to execute the overall plan and its subprojects.

Program management office will be oversee that the projects are managed correctly and provide regular status updates to DIR as the project progresses through each stage. Direct support will be provided to the transformation project by several Service Provider specialists including the:

• Risk Coordinator

• Quality Manager and

• Communications Manager

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4.3 Organizational Structure

4.3.1 Key Roles

The following chart identifies the Service Provider Personnel and the employees of DIR or DIR Customers that will manage and oversee the performance of the Transformation Services and their respective roles and responsibilities.

Key Roles Chart Title Roles and responsibilities

Service Provider Account Executive Responsible for the overall success of Service Provider’s performance and delivery which includes the transition and transformation projects.

DIR Data Center Services Manager

Works closely with Service Provider’s account executive to review project status, to coordinate the resources required for transition and transformation, and to communicate throughout DIR and the DIR Customers.

Service Provider’s Transition/Transformation Manager

Responsible for the integration and overall management of Transition and Transformation Plans as well as managing the overall program so that project deliverables, schedule, cost, and quality satisfy the requirements. Responsibilities include status reporting, risk and issue management, dependency management, and project change management.

DIR Transition/Transformation Manager

Works closely with Service Provider’s transition transformation manager to review project status and to assist in the management of transition and transformation project risks, issues, dependencies, change requests, and customer-owned project tasks.

Service Provider Transformation Leads

Manage specific transformation subprojects:

• Facilities Transformation • Support Center • Server Transformation • Mainframe Transformation • Print and Mail Transformation • Computer Operations • Disaster Recovery • Cross-Functional

The Service Provider Transformation Leads report to the Transition/Transformation Manager.

DIR Transition/Transformation Work closely with the Service Provider’s

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Specialist; DIR Service Representatives; DIR Customer Representatives

Transformation Leads to review project status and to assist in management of transition project risks, issues, dependencies, change requests and DIR owned project tasks.

4.3.2 Service Provider Transformation Team Structure and Responsibilities

Service Provider will provide a Transition/Transformation Manager to oversee both transition and transformation related activities, due to the interdependencies between the two phases. The Transition/Transformation Manager will report directly to the Service Provider Account Executive and oversee a team of Service Provider Transformation Leads assigned to manage specific subprojects.

The Service Provider Transformation Leads will be responsible, and accountable while working with DIR Service Representatives and DIR Customer Representatives, to deploy the Services, policies, procedures, and tool sets. The Service Provider Transformation Leads will establish subprojects within the overall transformation schedule each focusing on a specific service element. This approach will allow the Service Provider to conduct the transformation with a specialized and experienced team, who will collaborate closely with DIR and DIR Customers to achieve the transformation deliverables.

4.4 Transformation Management

A critical objective for the transformation implementation will be to “do no harm”. Service Provider will utilize an integrated approach that defines and manages the overall technology transformation process according to requirements, while enabling the flexibility to address changing business demands. This integrated approach will:

• Minimize disruptions to ongoing business operations through careful planning and task management by experienced project management specialists, and through the use of automated tools and methodologies to make and track changes.

• Enhance identification and management of operational risks by supporting multi-threaded lines of communication within Service Provider’s transformation team and among DIR, DIR Customer and Service Provider transformation focal points.

• Complete transformation objectives successfully within the scheduled timeframe by planning realistically, using experienced managers, and supporting the effort with proven tools and methodologies.

Service Provider will utilize a proven organizational structure, existing processes, and the development and maintenance of relationships that represent DIR, the DIR Customer and Service Provider’s resources and organizations that are involved in these projects. The result will be a structured working relationship between DIR, DIR Customer and Service Provider that promotes effective communication and collaboration so that the scope, schedule, and quality of the project meet requirements. Transformation management

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governance is a project level structure, intended to operate only for project duration during contract startup through the transformation period.

The Transformation governance structure will be comprised of three levels: Transition/Transformation Executive Steering Committee, Transition/ Transformation Management Committee, and working teams, each staffed with personnel from Service Provider, DIR, and DIR Customers. This structure provides a mechanism for project level management of project requirements and deliverables, up through executive oversight of overall project progress, contractual commitments, and business objectives:

• Transition/Transformation Executive Steering Committee: This committee guides the transition and transformation projects; reviews progress and project health; commits resources; resolves any cross-organizational issues not resolved at lower levels; and approves any significant changes to the schedule, scope, requirements, or cost.

Members from DIR include the Data Center Services Manager, Transition/Transformation Manager, and the Financial Contract Manager. Members from the Service Provider include the Account Executive, Account Manager, Transition/Transformation Manager, and Account Finance Manager.

This committee will meet monthly with a provision for a special session via conference call and will report jointly agreed transition and transformation status to the Transition/Transformation Executive Steering Committee.

• Transition/Transformation Management Committee: Manages the development of project plans, schedules, and budgets; integrates plans across projects and organizations; tracks progress of projects; promotes smooth integration and communication of project plans, activities, and communications; reviews and consolidates status reporting; and resolves cross-organizational and cross-project issues, where applicable.

Members from DIR include the Transition/Transformation Manager, Transition/Transformation Specialist, DIR Service Representatives, and representatives from DIR Customers. Members from the Service Provider include the Transition/Transformation Manager, transition/transformation leads, and the Client Services Advocates.

This committee will meet weekly and will report joint transition and transformation status to the Data Center Services Management Committee and the Transition/Transformation Executive Steering Committee. The committee leaders will also communicate status and receive information from the Data Center Services Advisory Council.

• Transition/transformation working teams: These teams gather project requirements; identify cross-organizational dependencies and risk items; develop and manage the detailed project plans and schedules; staff the project team; report weekly status; and manage risks and issues.

Members from DIR include the Transition/Transformation specialists, DIR Service Representatives, and representatives from DIR Customers. Members

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from the Service Provider include transition/transformation leads, transition/transformation project managers, and the Client Services Advocates.

Service Provider staff on the working teams will meet as required and will execute the activities for transition and transformation along with status reporting, to the Transition/Transformation Management Committee. DIR and DIR Customer team members will participate in status meetings weekly or as needed and will assist in executing transition and transformation activities.

5.0 SOLUTION SUMMARY

5.1 Facilities Management & Support

5.1.1 Commencement Date through transformation:

• Monitor existing DIR Customer data centers and coordinate with Texas Building and Procurement Commission (TBPC) and Angelo State University (ASU) on changes and maintenance to those existing data centers and responding to problems in those facilities.

5.1.2 Transformed Environment:

• Provide build out of two data centers that will house and support the consolidated IT environment

• Utilize existing DIR Consolidated Data Center at Angelo State University, Texas State Data Center (TxSDC), and a commercial facility in Austin, Metric 12

• Metric 12 will be a build out of a 72,000 square foot facility that will house 15,000 square foot data center along with the Program Management Office (PMO), command and support center, and the consolidated print/mail operations

• TxSDC will be expanded to 13,000 square feet of conditioned, raised floor and the facility will be enhanced

5.1.3 Tools/Technology to be utilized:

• Building management system to assist in monitoring and alerting on the building infrastructure

5.2 Physical Security Administration

5.2.1 Commencement Date through transformed environment:

• No new physical security systems will be installed in existing DIR Customer Data Centers

• Service Provider will monitor existing physical security systems • Service Provider will perform an IT security baseline of the current

environments, document the requirement gaps and develop plans for resolution for IBM Information Security Controls (ISeC)

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• Service Provider will install physical security system at Metric 12 • Site specific security information, a subset of the Policies and Procedures

Manual, will be established, that reflect the appropriate policy, procedures, and standards

• Computer-controlled card access system • Stringent requirements on badge issuance and usage • Frequent reconciliation of badge database to verify only approved individuals

have access • Archived transactions for investigative purposes • Perform quarterly revalidation of physical access to the locations secured by

Service Provider and provide access to authorized DIR employees or designees to DIR assets on Service Provider’s sites for investigations, compliance and audit reviews

• Perform annual physical risk reviews


• Physical security system • Computer-controlled card access system • Badge database

5.3 Support Center

5.3.1 Commencement Date:

• Establish 24 hour/seven days a week support center operation for Level 2 /Level 3 incident resolution and problem reporting for Authorized Users

• Implement access to Authorized Users via toll-free telephone number, e-mail, or the Web Portal

• Documented operational procedures define Support Center interaction with DIR Customer Level 1 Help Desk

• Support Center staff will be located at and will be operational from Metric 12 • The interfaces to the DIR Customer commercial off the shelf service desk tools

completed June 1, 2007


• Service Provider Support Center staff will be located at Metric 12


• BMC® Remedy® Service Desk automates incident and problem management processes, BMC® Remedy® Service Level Management collects data from infrastructure management data sources, including BMC® Performance Manager, BMC® Transaction Management, and SNMP

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• The Nortel Symposium Automatic Call Distributor (ACD) call handling provides skill-based routing, call treatment flexibility, real time displays, multimedia routing, and comprehensive management and reporting functionality

5.4 Chargeback

5.4.1 Effective Date through transformation:

• Prioritize DIR Customer chargeback deployment based on evaluation of federal funding reporting requirements

• Develop chargeback alternatives to include justifiable resource allocations where actual resource metrics are not available

• Identify interim chargeback solution • Chargeback will be implemented in a phased approach; the initial phase will

provide an invoice based upon an interim method for collecting volumes • IBM Tivoli Usage and Accounting Manager (ITUAM) available on-line April 1,

2007 • April 1, 2007 invoice generated by May 5, 2007 using the interim chargeback

solution o Manual entry of the Resource Charges as defined in Exhibit 4 of the

Agreement o Web Portal drill down capabilities at the agency level on April 1, 2007

will correspond to the breakdown of the major account code and Resource Unit combinations

o Web Portal drill down information will be by DIR Customer, by project, by Resource Unit, by major account code and Authorized User as information is available based on the current DIR Customer environment

o As server tools for collection are deployed, chargeback testing will be performed with each DIR Customer making the server go/no-go decision in a staggered schedule with federally funded DIR Customers prioritized prior to Commencement Date

• Automated feed of the invoice information provided to the NetPlus Billing system

• Detail design of final chargeback solution completed • Deploy the phase 1 of the mainframe chargeback solution for TWC, TYC, OAG,

and RRC o Automated interface will be available for May 2007 invoices o Web Portal drill down information will be by DIR Customer, by project,

by Resource Unit, by major account code and Authorized User • Implement server data collection based on DIR Customer priorities • Deploy mainframe chargeback phase 2 for DIR Customers being supported as of

September 1, 2007 o Automated interface will be available for test no later than August 2007

with a go/no decisions for September 2007 chargeback • As the automated chargeback consumption collection components are

implemented for each agency with federal funding, an analysis will be performed of the reasonableness of the interim allocation methodology

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5.4.2 Transformed Environment

• Chargeback in place or consumption-based collection and invoicing • On-line detail reports with drill-down and export capability • Chargeback data stored in a database for subsequent retrieval • Support allocation for fixed cost and one-time charges on a weighted average • Capability for account code mapping • Support manual feed as well as adjustments • Provide the ability to prorate costs across multiple account codes where resource

identifiers are not available • Support application of cost recovery fees


• ITUAM

5.5 Mainframe - IBM


• 14 mainframes are housed in 5 locations (TxSDC and DIR Customer Data Center locations)

• Mainframe Operating System Environments are z/OS, OS/390 and DOS/VSE at various version levels of support

• Each environment consists of it own, but not necessarily unique, system program products at various levels of support

• Leverage existing tools and process at current locations, operate in business as usual manner until transformed

• DIR Customer mainframe environments in TxSDC will continue to be supported by Northrop Grumman until September 1, 2007

• DIR Customer mainframes not housed in TxSDC will be supported in current location as of April 1, 2007

• Leverage existing disaster recovery agreements and related off-site tape storage in a business as usual manner

• Leverage existing DASD and Tape storage facilities until transformed


• Consolidate mainframe processing into two Metric 12 and TxSDC • Replace mainframe CPUs with 6 z9 technology mainframes, 3 in each location

with CPU capacity backup on demand (CBU) sufficient for TxSDC and Metric 12 to back up the other for disaster recovery requirements

• Upgrade OS/390 systems to the then N-1 version of z/OS • Upgrade related system program products to the then N-1 version required for

that version of the OS • Replace the various storage subsystems with shared DS8100 subsystems at

TxSDC and Metric 12

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• Replace older tape technology with IBM VTS/ATL at TxSDC and Metric 12 • Retain some 34x0 tapes needed for data interchange between DIR Customers and

their external business interfaces • Provide data replication in TxSDC and Metric 12 for D0 application

requirements • Provide tape backup and offsite storage for D1, D2, D3 and D4 application

disaster recovery requirements • Provide operational monitoring and support of both TxSDC and Metric 12

mainframe environments at Metric 12 • Provide continuous improvement to operational procedures by exploiting

additional support automation where appropriate and applicable • Maintain the hardware and software environment at N or N-1, as applicable and

appropriate • Provide network connectivity between Metric 12 and TxSDC


• Remote monitoring of the TxSDC data center • Replace existing system monitoring tools with Tivoli Omegamon suite • Replace BMC® database management tool set with IBM’s functionally

equivalent products • Replace Compuware program products with IBM’s functionally equivalent

products • One (1) SYSPLEX environment in Metric 12 and three (3) SYSPLEX

environments in TxSDC • DOS/VSE environments will share the CPU processors but are not able to

participate in the SYSPLEX environment • CPU capacity backup on demand (CBU) for backup and recovery • Shared storage and tape at TxSDC and Metric 12 • DS8100 “peer-to-peer” asynchronous DASD replication for disaster recovery

between TxSDC and Metric 12

5.6 Mainframe - Unisys


• As of September 1, 2007, operate the Unisys mainframe in a business as usual manner

5.6.2 Transformed Environment :

• Operate the Unisys mainframe in the Winters facility • Utilize standardized policies and procedures for support • Implement continuous improvement activities where possible • Decommission the Unisys mainframe after workload is removed

Execution Form



• Utilize standard Service Provider tool environment and integrate the Unisys mainframe into the overall Service Provider solution

5.7 Server


• 31 State Data Centers and DIR Customer Remote Facilities • April 1, 2007 - BAU Support of non-Northrop Grumman supported servers • September 1, 2007 - BAU Support of Northrop Grumman supported servers • Utilize current tools to support the environment • Displace a subset of current tools with target environment toolset

o Non-Northrop Grumman supported servers target completion of August 31, 2007

o Northrop Grumman supported servers target completion of December 31, 2007

• Upon expiration of DR Customer Software contracts, extend/replace those which will continue to utilize, such as Veritas, Zenworks, Novell

• Implement File/Print migration to appliances in remote locations to provide standardization and consolidation benefits

• Perform server consolidation analysis to determine which Servers are candidates to be physically centralized and consolidated

• Perform gap analysis regarding resource availability to support remote servers • Consolidate remote file services to NAS (Network Attached Storage) storage

located at Metric 12 and TxSDC • Collaborate with DIR Customers to identify remote location site contacts • Create Policies and Procedures Manual information • Procure/provision hardware • Implement Storage Area Network (SAN) storage in Metric 12 and TxSDC • Perform server consolidation inventory analysis, design / planning and

implementation phases

5.7.2 Data Center Environment – 24 months:

• 31 State data centers consolidated to Metric 12 and TxSDC • Steady state support • Ongoing Hardware/Software (HW/SW) maintenance • Provide HW/SW refresh • Maintain toolsets to support the environment • Maintain policy and procedures manual information • Provide continuous improvement

5.7.3 Remote Server Environment –36 months:

• Remote server consolidation complete

Execution Form


• File/Print migration to appliances to provide standardization and consolidation benefits complete

• Consolidation of remote file services to NAS storage located at Metric 12 and TxSDC

• Steady state support • Ongoing HW/SW maintenance • Provide HW/SW refresh • Maintain toolsets to support the environment • Maintain policy and procedures manual information • Provide continuous improvement


• WAAS (Wide Area Application Services) • Tivoli Enterprise Console (TEC) • Tivoli Monitoring • Tivoli Configuration Manager (TCM) • Tivoli Storage Manager (TSM) • Tivoli Workload Scheduler (TWS) • Tivoli NetView Enterprise • Sever Resource Management (SRM) • Remotely Anywhere / CA vShell • Snapshot • Tivoli Application Dependency Discovery Manager (TADDM)

5.8 Information Security

5.8.1 Commencement Date through Transformation:

• Operate DIR Customers existing data centers in a business as usual manner • Install Network Intrusion Detection System (NIDS) behind data center firewalls • Identify systems and implement Host Intrusion Detection System (HIDS) • Implement vulnerability scanning toolset and identify target systems • Implement Symantec Anti Virus (AV) Solution • Continue customization of ISeC to implement applicable State of Texas security

policies • Implement toolsets for server health checking and security compliance support


• Implement HIDS • Operate the environment in section 10.8.1 in steady state support mode • Perform vulnerability assessments • Active monitoring of intrusion detection system with event correlation • Ongoing maintenance of Anti Virus client Server software and signature files • Development of Security Design Document within the Transformation Plan

Execution Form


• Ongoing maintenance of ISeC documentation


• Anti Virus - Symantec AV central console • HIDS - Symantec Intruder Alert • NIDS - Cisco 4255 • Health Checking – Virtual System Admin • Vulnerability Scanning - Qualys

5.9 Disaster Recovery


• Utilize existing disaster recovery agreements for servers located in DIR Customer Data Centers

• Determine DIR Customer Server critical systems, applications and disaster recovery priorities

• Determine e-mail servers disaster recovery priority and provide applicable plans and services

• E-mail /collaboration services which will occur as determined in the transition planning process o Provide send/receive capability within 72 hours o Provide full user account information recovery within 14 days

• Develop disaster recovery plans for DIR Customers applications which do not currently have disaster recovery plans

• Maintain and update existing DIR Customer disaster recovery plans • As existing third party disaster recovery agreements expire, continue services

through IBM Business Continuity and Recovery Services agreements which will provide disaster recovery services until the D0 and D1 applications are migrated to TxSDC and Metric 12 support operations

• At the end of the 24 month transformation period, DIR Customers’ server Applications will receive D category disaster recovery priorities with corresponding service

• D2, D3 and D4 applications with IBM Business Continuity and Recovery Services (BCRS) agreement

• Existing third party disaster recovery agreements will be displaced as DIR Customers are transformed and new disaster recovery plans created and implemented in parallel with the specific waves of DIR Customer transformation

• Development of Service Provider business continuity plans


• Mainframe/Server Common o T1-T4 application plans ended with DIR Customers receiving D0-D4

application disaster recovery services o D2, D3 and D4 additional server, mainframe and storage capacity will be

procured at the Time of Disaster (ATOD) and the respective image and data restored at the recovery site. Data restoration will be from tape

Execution Form


o Maintain and implement comprehensive disaster recovery plans o Perform disaster recovery testing o Testing of TxSDC and Metric 12 facilities and operations as part of a regular

facilities disaster recovery planning • Mainframe

o D0, D1, D2, D3 and D4 utilizes CPU Capacity Back Up on Demand (CBU), available on the z9 processors, to provide the needed capacity for one data center infrastructure to backup the other. MIPS capacity will be adjusted to accommodate the workload of the failed environment in a disaster recovery event at either TxSDC or Metric 12. Additional data storage capacity will be added to support the recovery of the D0 Applications utilizing Peer-to-Peer Remote Copy (PPRC)

o D1, D2, D3 and D4 Applications will utilize tape backups for data recovery

• Server o D0 Applications will utilize high availability servers and clustering

capabilities to fail-over between TxSDC and Metric 12 o D1 Applications will utilize the integration lab in either TxSDC and Metric

12 as the recovery site for the D1 applications in the other site, in the event of disaster declaration, test and development servers will be used as the recovery site

o D1 applications will utilize tape backup for data recovery o D2 application capacity will be allocated at the warm site recovery center

time of disaster o D3 application capacity will be made available at the recovery location

(Metric 12 or TxSDC) at the time of disaster o D4 application capacity will be made available at the recovery location

(Metric 12 or TxSDC) at the time of disaster o E-mail/collaboration services

o Provide send/receive capability within 48 hours o Provide full user account information recovery within 14 days

5.10 Print and Mail

5.11 Commencement Date through transformation:

• Assess the DIR Customer print and mail environment to determine operations to be transformed to the consolidated print and mail environment

• Operate DIR Customers in stand-alone/remote environments in a continued business as usual manner; provide disaster recovery capabilities on September 1, 2007

• Establish disaster recovery services at the Shelton Business Recovery Services center in Connecticut

5.11.1 Transformed environment:

• Consolidated print and mail operation at Metric 12 • Production management system will manage print file application workflows

from print stream input to mailed output

Execution Form


• Consolidated production print and mail facility will be part of the Service Provider WAN environment for connection to the Service Provider Services delivery solution

• On-line Quality Assurance feature for remote DIR Customer quality acceptance reviews of printed documents


• NearStar DataServer and StreamWeaver for architect print and mail rules • NearStar DataServer resource management capabilities to load balance print jobs,

provide data stream security, encrypt job spooling and secure transmission • StreamWeaver for finishing controls to add, delete, modify or reposition mailer

driven marks • DFWorks to capture mail volumes, produce reports, and track postage usage by

DIR Customer • VeriMove and CODE 1 Plus, including CASS for standardized address change

and correction

5.11.3 Print Mail Disaster Recovery:

• DIR Customers with remote stand-alone production print will have backup services for print and mail at the Business Recovery Services Center in Sheldon, CT

• Disaster recovery services for print and mail at the Business Recovery Services Center in Sheldon, CT

• Real-time backup to the Business Recovery Services Center by NearStar DataServer for DIR Customer print files

5.12 Asset Management


• Implement asset inventory systems and databases • Conduct initial wall-to-wall inventory of existing equipment, peripherals,

devices and software supported by the Service Provider and deployed at DIR Customer facilities, Service Provider facilities and other Service Provider locations

• Conduct automated inventory scans • Reconcile wall to wall inventory with automated inventory scan results for

combined inventory • Import asset inventory into asset management tool • Reconcile asset inventory with DIR Customer baselines, hardware and software

information

5.12.2 Transitioned environment:

• Update Asset Inventory and Management System tool with periodic electronic and manual data collection

Execution Form


• Maintain asset financials, order and disposal status, lease information, user, location, configuration and network connectivity information for asset lifecycle

• Conduct and participate in periodic electronic and manual asset audits • Prepare and deliver periodic reporting of asset transaction and inventory status • Asset information is available for access by Authorized User via the Web Portal


• BMC© Remedy Asset Manager • Snapshot • Tivoli Application Dependency Discovery Manager (TADDM)

5.13 Web Portal


• Web Portal production environment established and initial functionality developed prior to Commencement Date

• Web Portal functionality and availability available to Authorized Users in phases as defined per Critical Deliverables

• Web Portal provides Authorized Users with a centralized access point to documentation and information including Policy and Procedures Manual, SLA reporting, problem tickets, chargeback data and program management tools

• Web Portal Disaster Recovery environment established at TxSDC after September 1, 2007


• Web Portal implemented • Secure access provided to Service Provider, DIR, DIR Customers, Authorized

Users and DIR designees based on profiles and roles and responsibilities


• BMC® Remedy® Web Portal

Execution Form


5.14 Change Management


• Support Center operational and BMC® Remedy© tool set utilized for tracking and managing change and service requests

• Change and service request process agreed to with DIR and DIR Customers and process documented in Policy and Procedures Manual

• Change or service requests pertaining to TxSDC facility or Unisys mainframe environment managed through BMC® Remedy® system effective September 1, 2007


• Support Center BMC® Remedy® tool set used as centralized point to enter, track and manage change and new service requests.

• Change and service requests status and tracking information available to Service Provider, DIR, DIR Customers and Authorized Users via the Web Portal


• BMC® Remedy® Service Desk • BMC® Remedy® Web Portal

5.15 Problem Management


• Level 2/3 Support Center operational as of Commencement Date to provide designated Authorized Users with single point of contact on 7X24 basis

• Reported incidents tracked and managed through Remedy tool set • Designated Authorized Users provided access to Service Provider Remedy Tool

set


• Support Center provides centralized single point of contact to Authorized Users for Level 2/3 problem management

• Support Center manages reported incident from the point a ticket is opened to incident resolution

• Problem ticket closure verified with Authorized User • Authorized Users contact Support Center through multiple interfaces including

direct interface, e-mail, telephone or Web Portal • Service Provider Remedy tool integrated with specific DIR Customer

commercial off the shelf software problem management tools for automated system interface

Execution Form



• BMC® Remedy® Service Desk • BMC® Remedy® Web Portal

6.0 KEY SOFTWARE TO BE PROVIDED

6.1 Support Center

• BMC® Remedy® Service Desk • BMC® Remedy® Service Level Management • The Nortel Symposium Automatic Call Distribution (ACD)

6.2 Chargeback

• IBM Tivoli Usage and Accounting Manager (ITUAM) • Leverage server tools including Server Resource Manager

6.3 Mainframe - IBM

• Activity Monitor for DB2 • Auto Ops Tool • Change Manager for DB2 • CICS Monitor • Central Monitoring Facility (CMF) Monitor MVS/ESA • Copy Plus for DB2 • DASD MANAGER PLUS • DB2 Cat. Tool • DB2 Monitor • Fulfillment for CICS-MV Auto operator for CICS • Fulfillment for CICS-MV for CICS • Fulfillment for DB2-MV for DB2 • INTUNE • Log Master for DB2 • Mainview Automation Base-MV Auto operator for OS/390 • Mainview Automation Base-MV Focal Point • Mainview DB2 • Mainview for DB2 • Mainview for Z/OS • Mainview Infra. • Mainview Manager for MVS-MV Auto operator Access • Mainview Manager for MVS-MV for OS/390 • Mainview Predict • Mainview Focal Point • Mainview System Program • MVS Monitor • REORG Plus for DB2 • Secondary Index Utility/EP

Execution Form


• SUPEROPTIMIZER • TMON (the Monitor) for CICS • TMON (the Monitor) for DB2 • TMON (the Monitor) for MVS • TMON (the Monitor) for TCP/IP • TMON (the Monitor) for VTAM • UNLOAD Plus for DB2 .

6.4 Mainframe - Unisys

• Current toolsets used to manage the Unisys mainframe environment

6.5 Server

• Remotely Anywhere / CA vShell • Server Resource Management (SRM) • Snapshot • Server Resource Management (SRM) • Tivoli Application Dependency Discovery Manager (TADDM) • Tivoli Configuration Manager (TCM) • Tivoli Enterprise Console (TEC) • Tivoli Monitoring • Tivoli NetView Enterprise • Tivoli Storage Manager (TSM) • Tivoli Workload Scheduler (TWS) • WAAS (Wide Area Application Services) • Zenworks

6.6 Security

• Anti Virus - Symantec AV central console • Health Checking – Virtual System Admin • Host Intrusion Detection Server (HIDS) - Symantec Intruder Alert • Network Intrusion Detection Server (NIDS) - Cisco 4255 • Vulnerability Scanning – Qualsys

6.7 Print/Mail

• DPV™ (Delivery Point Validation) • Living Disaster Recovery Plan Software (LDRPS) • Pre-Sort - CODE 1 Plus including CASS • The NearStar DataServer 6.0 • The Stream Weaver Engine TM • VeriMove™

Execution Form


6.8 Asset Management

• BMC® Remedy® Asset Management

6.9 Web Portal

• BMC® Remedy® Web Portal

6.10 Change Management

• BMC® Remedy® Service Desk

6.11 Problem Management

• BMC® Remedy® Service Desk

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