PROJECT DEFINITION

For The

[Issuing Entity]

[SYSTEMS INTEGRATION TESTING], IMPLEMENTATION,DISASTER RECOVERY & DOCUMENTATION PROGRAM

Prepared By: [Issuing Entity]

Date: [Date of Final Version of Project Definition]

template revised by PSG 7/9/98

TABLE OF CONTENTS

Section

Overview

Purpose of [Issuing Entity]

Goals of {Division/Unit/Bureau Short Term Long Term

Scope of [Systems Integration Testing], Implementation, Disaster Recovery & Documentation Program Project Deliverables General Minimum Requirements Specific Technical Requirements

Project Terms and Conditions Contractor Responsibilities [Issuing Entity] Responsibilities OGS PSG Responsibilities

Contract/Proposal Specifics

NYS Year 2000 Date Change Warranty v

Scope Change Procedures

Attachments from OGS/PSG

Attachment 1 - Weekly Status ReportsAttachment 2 - Time Distribution ReportsAttachment 3 - Meeting SummariesAttachment 4 - Work PlanAttachment 5 - Deliverable with Fixed Cap Cost

StatementAttachment 6 - Hourly with Fixed Cap Cost StatementAttachment 7 - Staffing Roster Sheet

Attachment 8 - Consultant Sign In/Out LogAttachment 9 - Transmittal Letter of Deliverable

for Sign-OffAttachment 10 - Contractor Technical Skill Checklist

Attachment 11 - Scope Change Procedures

Attachments from [Issuing Entity])Attachment A - OSC Expense Guidelines

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OVERVIEW

PURPOSE of [Issuing Entity]

GOALS OF {Division/Unit/Bureau …] Short and Long Term

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OVERVIEW

Background

The [Issuing Entity] is seeking to identify and understand the extent of the Year 2000 Problem, ultimately seeking and implementing a solution to rectify it. The Year 2000 Problem stems from legacy applications, operating systems and general technology which use two digits (bytes) to store the year indication associated with any storage, indication or representation of a date. This problem originates from these simple assumptions made several decades ago:

1) This "new" technology would have a relatively short life.

2) Any two-digit reference simply needed a "19" placed in front of it to give full indication of the century.

3) Storage considerations and “key strokes”.

All technology originated in the twentieth century (meaning the 1900s), hence those two digits used in the technology represented the year within this century.

As we approach the Year 2000, we must update our technology to accommodate a four-digit year representation. Specifically, the [Issuing Entity], through the issuance of this Project Definition, is seeking to modify all/part/specific technology to be Year 2000 compliant.

A Year 2000 compliant system is defined as follows:

(1) Manage and manipulate data involving dates —including single-century and multi-century formulas — without causing an abnormal end scenario within the application or generating incorrect values involving such dates.

[Gartner Group suggests these additional items:

(2) Provide that all date-related user interface functionalities and data fields include indication of the century.

(3) Provide that all date-related data interface functionalities include indication of the century.]

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Scope of Year 2000 Problem

[Insert high-level narrative outlining the Year 2000 Problem at the [Issuing Entity] to the best of your knowledge. Provide “quess”timates where exact information is not available.] This is to include at a minimum:

(1) Systems — name, memory and disc size, users, etc. (i.e., "HP 957 with 256MB RAM and 10 GB disc; 200 total users; averages 100 at any one time").

(2) Applications — descriptions and approximations of: name, release, numbers of screens, number of users, database technology used, etc., for each application; also known Year 2000 Problem(s) (i.e., "Integral release 9.2; 29 different screens; averages 15 concurrent users; VSAM database of 750MB; 2-bytes used for year storage).

Purpose

[The Gartner Group approach to address the problem focuses on time horizon to failure (THF) and the compliance unit (CU). The Issuing Entity may modify this approach or select a different approach that is more suitable to its needs.]

The [Issuing Entity] is seeking to rectify all the Year 2000 non-compliance Problems. At this point in the Year 2000 program, the [Issuing Entity] has identified all of the compliance units. Each CU represents a single instance of a date with year designation where any year past 1999 is not represented and is not unique. The [Issuing Entity] has also modified all and any associated code or data with respect to the Year 2000 CUs and has also tested them to insure compliance.

All company assets IT and non-IT are at risk because of the Year 2000. Non-IT hardware and firmware (e.g., phone systems, keycard entry systems and field devices) must be assessed, upgraded as required and certified for compliance.

The next phase in the [Issuing Entity's] program is to properly implement all changes involving the CUs (essentially the associated code and data), ensure the life cycle of each CU has been properly documented, and ensure the [Issuing Entity] has an adequate disaster

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recovery process in place. Backing out any changes will be critical, should the implemented CU fixes fail to meet expectations.

SCOPE OF [SYSTEMS INTEGRATION TESTING], IMPLEMENTATION, DISASTER RECOVERY & DOCUMENTATION PROGRAM

Project Deliverables

The consultant is to provide the following deliverables (title of each in italics):

1) Work Plan — a schedule of activities and work for the entire scope of work (Refer to Attachment 4).

2) Compliance Unit Documentation — to include:

- Name and description

- THF

- Recommendation (repair, retire, replace, other) including the rationale and/or reasons

- Effort used to modify

- Detail of modifications made

- Detail of test plan

- Implementation plan

- Disaster recovery plan

- Any other pertinent information.

General Minimum Requirements

[Following are a list of general requirements that all bids in response to the [Issuing Entity’s] Project Definition must meet. These are suggested and can be changed to accommodate needs. These include:]

(1) Year 2000 experience — suitable bidders will demonstrate sufficient experience in the Year 2000 Problem as it relates to the specific program bid (Awareness, Inventory and Scoping, etc.). This experience manifests itself into the following requirements:

- Completion of two (2) similar Year 2000 Problem projects.

- Completion of two (2) similar Year 2000 Problem projects at similar government entities (e.g. similar size).

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- Some presence in the academic environment or trade press relating to the Year 2000 Problem.

(2) References — suitable bidders will demonstrate a high level of aptitude and competence in the Year 2000 Problem. This manifests itself into the following requirements:

- References from three (3) organizations which previously engaged bidder to resolve Year 2000 Problems; one (1) to be a similar government organization.

- Each reference is to be contacted and interviewed. The interview will focus on uncovering the following:

Overall success

Quality of people specifically mentioned in the bid under evaluation (to the [Issuing Entity])

Ability to stay on schedule

Ability to manage ad hoc situations (i.e., problems)

Quality of methodology, usability

Documentation as appropriate

Desire to use bidder again

(3) Methodology — suitable bidders will have a methodology which is suitable, workable and successful. This manifests itself into the following requirements:

- Methodology will not be unreasonably complex combining common sense with a degree of sophistication, efficiency and effectiveness.

- Methodology will have an iterative and re-usable nature like that of traditional applications development.

- Methodology will make suitable use of automation tools to improve productivity.

Specific Technical Parameters

(1) Proven software change management procedures(2) Demonstrated experience in managing full conversions from one

generation of an application to another(3) Documentation skills demonstrated by samples given

[Gartner Group suggests including the following:

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(4) References (at least two) from organizations which performed a full conversion but aborted shortly after cut-over. In other words, attempted to convert to a new system, but because of shortcomings in that new system (which would not be the responsibility of the consultant under consideration) chose not to use the new system and resorted to the old.]

PROJECT TERMS AND CONDITIONS

Consultant Responsibilities - General

(1) The Consultant Project Team will be responsible for daily backups of any software it develops as part of this project.

(2) The Consultant firm will designate one of its Project Team members the role of Project Manager. The Project Manager will be responsible for:a) Maintaining control over the work duties, schedule, and

performance of the Consultant Project Team members.b) All project reporting in the form of:

(1) Weekly Status Reports (Attachment 1)(2) Time Distribution Reports (TDRs) (Attachment 2)(3) Meeting Summaries (Attachment 3)

c) Attend weekly status meeting to be held at the [Issuing Entity].

d) Ultimate responsibility for this Project's success.(3) The Consultant firm is responsible to provide its own secretarial

support. The State will not provide any such support or associated materials.

(4) The Consultant will provide a Work Plan (Attachment 4) which will define tasks and responsibilities, as well as, projected and actual start and end dates. This Work Plan will be revised weekly and will be an attachment to the weekly status report.

(5) The Consultant will maintain continuity of the Consultant Team staff throughout the course of the project. Changes in staff will have to be approved by the [Issuing Entity] and the Procurement Services Group (PSG).

(6) At the culmination of the Project, all documentation in hard copy and in diskette format and other documentation which the [Issuing Entity] offered to the Consultant to assist in their efforts will be turned over to the [Issuing Entity].

Consultant Responsibilities - Specific To [Systems Integration Testing], Implementation, Disaster Recovery & Documentation Program

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(1) Review the technical information provided (Attachment A — Technical Environment Detail) as reference and introduction to the [Issuing Entity’s] technology and Year 2000 non-compliance Problem.

(2) Provide documentation for the movement of Year 2000-compliant code into production.

(3) Provide the documentation that each CU went through as it was identified, modified and tested. [Issuing Entity] will provide documentation on the modifications made.

(4) Provide for the actual movement of CUs into production.

(5) Provide adequate documentation and facilities for back-out and disaster recovery as necessary.

(6) Provide for system and application changes through proper coordination with operations management.

(7) Provide documentation for any and all systems and applications changes made.

(8) All testing phases must include data and dates in the 20th century and the 21st century.

[Issuing Entity] Responsibilities

The [Issuing Entity] will be responsible for the following:

1) The [Issuing Entity] has the option to hold a Pre-Bid Conference. The details of the Pre-Bid Conference are included in the Cover Letter accompanying this Project Definition.

2) The [Issuing Entity] will assign a staff member to act as the liaison for the agency and as a primary contact for the Consultants, and PSG. [Issuing Entity Contact Name] will answer all technical and analytical questions for the Consultant.

3) Vacation schedules of [Issuing Entity] staff who will be associated with the project will be provided so that the Consultant may plan accordingly.

4) [Issuing Entity] will provide the Consultant Project Team with documentation and other information which will assist the Consultant Team in its efforts in developing the [Project Name].

Because the library of technical information is too large to be issued with this Project Definition, the [Issuing Entity] will make available its library of technical information during the following hours [hours

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library will be made open to the public]. This information will include critical documentation covered by this Project Definition and should assist the bidder in preparing the bidder’s Proposal in response to this Project Definition. This information will include, but is not limited to:

Program source listings

Database definitions, field types

Application histories — as maintained by software change management procedures

Any other technical information deemed relevant.

5) [Issuing Entity] will review project deliverables and provide written sign-offs (either acceptance or rejections) to the Contractor within the prescribed period of time (to be defined in the Consultant Project Proposal's Work Plan). The Transmittal Letter of Deliverables For Sign-Off (Attachment 9) can be used by the Consultant to the [Issuing Entity].

6) [Issuing Entity] reserves the right to terminate the project at any given time based on conditions/situations such as:

budgetary constraints additional in-house staffing resources

(7) [Issuing Entity] will select the consultant on the basis of “Best Value” among the responsive and responsible bidders. Best Value applies to the consultant’s bid that optimizes quality, cost and efficiency while meeting all the General Minimum Requirements.

OGS/PSG Responsibilities

1) Work as liaison between the Consultant and the [Issuing Entity].

2) Be available to assist the [Issuing Entity] when the administration of the vendor contract requires clarification.

3) Receive a copy of the following:

Agency sign-offs related to project deliverables Agency prior approvals for any project scope changes Agency sign-off upon project completion

CONTRACT/PROPOSAL SPECIFICS

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1) The Consultant Proposal for the [Project Name] will be composed and presented in the following format and order:

I. Cover LetterII. Title Page and Table of Contents

III. Project Scope OverviewIV. Work Approach NarrativeV. Work Plan (Attachment 4)VI.1 * Deliverable With Fixed Cap Cost Statement

(Attachment 5) OR VI.2 * Hourly With Fixed Cap Cost Statement

(Attachment 6)VII. Staffing Roster (Attachment 7)VIII. Staffing Roster Resumes

IX. Contractor Technical Skill Checklist(Attachment 10)

[* Select the Method of Payment best suited to your project]

2) With respect to resumes, [Issuing Entity] reserves the right to interview any or all of the candidates prior to selecting candidates, and reserves the right to interview any or all of the candidates substituted for or added to the Consultant Team during the course of the project. [Issuing Entity], also, reserves the right to request the Consultant to reassign Consultant team members in the event of unsatisfactory performance.

NOTE:

When a contractor submits a Proposal with prospective consultants resumes, PSG and the [Issuing Entity] will assume that those consultants identified on the Staffing Roster whether direct employees or subcontractors have agreed, prior to the Proposal submission, to perform the services for which their names and resumes have been submitted.

3) This Proposal must satisfy all the requirements cited in this Project Definition (PD) and comply with the OGS/PSG standards for Proposal composition. The Proposal is subject to outright rejection from further consideration if the Proposal is unsatisfactory in the judgment of OGS.

4) The bidder shall include the total cost for the scope of work set forth. These costs are to include all professional fees, administrative fees, needed hardware or software. Travel, meals,

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lodging expenses may be itemized separately (Attachments 5.2 or 6.2).

This cost is to include the purchase price or licensing fee for any software analyzer or tool which is used to diagnosis the Year 2000 Problem. If the tool is a requirement for proper operation of the Year 2000 compliant code, the cost will include a two-year license [two years suggested] for the software.

All costs associated with any software analysis tool will be presented as separate items on the cost statement. The breakdown for the method of invoicing for any software tool will be described on the cost statement. [i.e. number of hours targeted for the use of the tool by the total cost of the tool or in equal payments spanning the life of the phase in which the tool is used or any other method mutually agreeable between the Issuing Entity and the Contractor.]

For this project, using the attached forms, the Consultant firm will provide:

Deliverable With Fixed Cap bid (Attachment 5)OR

Hourly With Fixed Cap bid (Attachment 6)

NOTE#1Deliverable and Expenses with Fixed Cap. Upon written acceptance by [Issuing Entity] of each deliverable, the Consultant may submit an invoice to the [Issuing Entity] for payment of the deliverable (Less Withholding Percent].

NOTE#2Hourly with Fixed Cap. The Consultant will submit TDRs weekly to the [Issuing Entity] Contact.

For projects which are “By Deliverable With Fixed Cap”, these expenses will be itemized on the same invoice on which the deliverable is invoiced and during which time the expenses were incurred.

For projects which are “Hourly With Fixed Cap”, these expenses will be included on the monthly invoices during which the expenses were incurred.

NOTE #3:

If the Consultant proposes a software tool that is not on NYS Contract, the Contractor agrees to adhere to the NYS Procurement Guidelines as follows:

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If product/commodity is $5,000.00 or less, obtain up to 3 faxed quotes from reliable sources and select the lowest price.

If over $5,000.00, request written quotes from a representative group of responsible vendors who offer the product/commodity and comply with the terms and conditions of the specifications. Select lowest price responsible vendor.

All documentation must accompany the Contractor’s mini-bid proposal.

5) The Consultant will comply with the terms of the OGS/PSG Consulting Contract unless otherwise approved in writing by the OGS/PSG.

6) Consultant work will be performed at the [Location Address] and may be asked to sign in/out on the Consultant Sign In/Out Log (Attachment 8).

The consultant must be available to work the normal work hours which are from [ ] to [ ] Monday through Friday. Overtime is not anticipated but provisions to work additional hours as required to satisfy the project requirements must be accommodated. The consultant will be compensated for overtime at the fixed hourly rate.

7) The following State holidays in [ year ] may need to be considered during the course of this project:

January _____ New Year’s DayJanuary _____ Martin Luther King DayFebruary _____ Lincoln’s Birthday (Floater)February _____ President’s DayMay _____ Memorial DayJuly _____ Independence DaySeptember_____ Labor DayOctober _____ Columbus DayNovember _____ Election Day (Floater)November _____ Veterans’ DayNovember _____ Thanksgiving DayDecember _____ Christmas DayJanuary _____ New Year’s Day

8) This project is targeted to commence on [Start Date]. The project is expected to be completed no later than C.O.B. [End Date] - [Gartner Group estimates a time frame of 6 months from start date.]

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If Hourly, include the following sentence if you know the number of hours required to complete the projects: The number of hours on which to base your cost for this project is [# of Hours]

If you are not comfortable with stating the number of hours to complete this project, you can leave it at the discretion of each bidder.

9) Consultant work performed beyond the scope of this project as defined by this Project Definition without prior approval from the OGS/PSG will not be compensated. (Refer to Scope Change Procedures)

10) All deliverables must be transmitted with a dated and signed Transmittal letter to the [Issuing Entity] who will review and supply a written "sign-off" or rejection to Consultant.

11) Contractor will provide a minimum of two (2) references for each consultant that is being recommended for this project. The references must be from within the last 24 months and must have first hand knowledge of the consultant’s ability to perform the type of personal services requested in this Project Definition. [Issuing Entity] will contact these references and document the results of these contacts. A contractor will be made ineligible for consideration in the final bid award if this requirement is not satisfied.

12) The contractor will provide a resume for each consultant recommended for this project. The resume will be referenced to verify that the consultant has met the minimum requirements in terms of years of experience requested in this Project Definition. The contractor will complete Attachment 10 as a means of facilitating the evaluation process.

13) The Office of General Services' Code of Conduct states that an OGS employee should not accept gifts from vendors/contractors with whom we do business or may do so in the future, as this may be a conflict of interest, or at least give the appearance of such. This directive applies to any gifts, regardless of value, such as mementos, souvenirs, lunches, dinners, and outings, such as spectator, sporting and cultural events. Business contacts between vendors and employees of the Office of General Services should, in so far as practical, be conducted at State offices during regular business hours. Of course, "site" visits and product updates at vendor/contractor out-of-town corporate offices or research facilities are exempted. Permission for the latter must be requested through the Deputy Commissioner's office. Since

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consulting firms must work within the regulations of the OGS/PSG, these regulations apply to the vendor/contractor.

14) OGS is required to implement the provisions of Article 15-A, Uniform Certification - Minority and Women Business Participation in State Contracts, for all of its contracts (1) in excess of $25,000.00 for labor, services, supplies, equipment materials or any combination of the foregoing and (2) for contracts in excess of $100,000.00 for real property renovation and construction. For purposes of this contract, OGS hereby establishes a goal of 1% participation for minority-owned businesses (MBE) and a goal of 1% participation by women-owned businesses (WBE).

It is important that every bidder for an OGS contract be aware of the requirements under Article 15-A in order to be eligible to be awarded a State contract.

NOTE:

For projects performed for OGS internal units (divisions, bureaus, offices, etc.), the MBE and WBE goals are established at 1% for each. It will be the responsibility of each internal OGS unit to track its MBE/WBE participation.

15) TRAVEL & EXPENSES

The Office of the State Comptroller (OSC) has announced significant changes to the State’s travel rules. These changes are designed to eliminate complex and restrictive requirements while reimbursing employees for actual and reasonable expenses. In addition, these changes shift the primary responsibility for control of travel expenses from OSC to the individual agencies. OGS Financial Administration will continue to oversee the travel reimbursement process to ensure expenses claimed are reasonable and guidelines are applied consistently throughout the agency.

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While Financial Administration and OSC will continue to audit travel vouchers, the revised travel rules rely on the integrity, values and competence of the individual travelers and their supervisors. Supervisors will be responsible for determining that travel is necessary and that expenses claimed are reasonable. Travelers and supervisors are to ensure that travel is in the best interest of the State and they will continue to certify that reimbursement claims are submitted only for reasonable expenses actually incurred.

All travelers and their supervisors should review and ensure they understand these guidelines. Any questions should be directed to the OGS Travel Unit at (518) 486-1411.

Effective for travel beginning October 1, 1998, the following revisions will be made to OGS travel guidelines:

1. Submission of receipts no longer required for certain expenses under $75.

Receipts will no longer be required for incidental expenses under $75, such as tolls, parking, taxis, and local bus or train (subway) fares. To be reimbursed, these expenses must continue to be listed individually on an ADM 307 detail sheet including dates, travel times, amounts, and destination/purpose of travel.

Receipts are still required for lodging and transportation expenses including auto rentals, air fare, and long distance bus or train fares (generally, transportation requiring the purchase of a ticket at a ticket window is long distance and requires a receipt).

2. Receipts no longer required for all meals associated with overnight travel when a lodging receipt is attached (Method II).

All meals associated with overnight travel will be reimbursed at the per diem rate for the area of assignment and will not need a receipt when claiming reimbursement under Method II (Receipted Lodging). Accordingly, meals (breakfast or dinner) that are not part of the full overnight per diem (dinner, lodging and breakfast) will no longer require a receipt to be reimbursed at the higher rate. Meal reimbursement eligibility will continue to be based on departure and arrival times. Meals will be reimbursed only when the total travel time “necessitates" that the traveler depart or return before or after the established time limits. Supervisors continue to be responsible for ensuring travel times are appropriate and approving only necessary expenses.

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3. The unreceipted meal allowance for non-overnight travel is increased.

The unreceipted meal allowance for non-overnight travel will be increased to $5.00 for breakfast and $12 for dinner. These rates apply universally, there are no longer different rates for upstate, downstate or out of State locations. Employees in non-overnight travel status can still opt to claim reimbursement for breakfast and dinner up to the higher per diem rate as long as the claim is supported by a receipt.

There has been no change to the Method I (Unreceipted Lodging) overnight allowance. If an overnight traveler claims Method I and due to time eligibility requirements is not entitled to breakfast and/or dinner, the new higher unreceipted meal allowance will be deducted from the total per diem.

4. Elimination of complex mileage policies.

The $10 rule will be eliminated. Employees in travel status will be reimbursed for all actual and necessary transportation expenses incurred. The “lesser of” mileage rule which pertained to mileage incurred within 35 miles of an employees home and/or official station will also be eliminated. Employees will be reimbursed for actual transportation expenses incurred in going to and from a work site. Supervisors are responsible for determining the reasonableness and necessity for such expenses. Transportation expenses will not be reimbursed for travel between an employee's home and official station.

5. Elimination of cost ceilings for travel between an employee’s home and a transportation terminal.

The maximum reimbursement amount for travel between an employee’s home and a transportation terminal is eliminated. This applies to claims for personal car mileage and commercial transportation such as subways, taxis and car service. Only the actual expenses incurred between an employee’s home and transportation terminal will be reimbursed. Supervisors are responsible for ensuring that these costs are reasonable and necessary.

All other travel guidelines remain in effect. I would recommend that travelers retain receipts for their records to allow for easier preparation of travel reimbursement forms. Additional

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changes are pending and will be distributed as information becomes available. A revised Traveler’s Guide will be issued shortly.

Any questions concerning this directive may be directed to the Travel Unit at (518) 486-1411.

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YEAR 2000 DATE CHANGE WARRANTY

Contractor shall insure that any Product(s) furnished pursuant to this agreement (“Product” shall include, without limitation: any piece or component of equipment, hardware, firmware, middleware, custom or commercial software, or internal components or subroutines therein) which performs any date and/or time data recognition function, calculation or sequencing, will support a four digit year format and will provide accurate date/time data and leap year calculations on and after December 31, 1999, at the same level of functionality for which originally acquired without additional cost to the User. This warranty shall survive termination or expiration of the Agreement.

In the event of any decrease in Product functionality or accuracy related to time and/or date data related codes and/or internal subroutines that impede the Product from operating correctly beyond December 31, 1999, Contractor agrees to restore the Product to the same level of functionality as warranted herein, or to repair or replace the Product with a conforming Product so as to minimize interruption to user’s ongoing business processes, time being of the essence. In the event that such warranty compliance requires the acquisition of additional programs, the expense for any such associated or additional acquisitions which may be required (including, without limitation, data conversion tools) shall be borne exclusively by Contractor.

Where Consulting services rendered pursuant to this Agreement for Year 2000 fixes or retrofits such Consulting deliverables may support a four digit year format or may provide an alternate patch or “workaround”.

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Attachments from [Issuing Entity]

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Attachment A — Technical Environment Detail

The intent of this attachment is to provide the bidder with an overview of the technical environment. This will help the bidder frame the Year 2000 Problem and the scope of the work. While the focus of the Project Definition will be the Year 2000 Problem, all and any other significant information regarding the technical environment is to be presented to the bidder.At a minimum, detailed information of each of the following areas is to be provided:

• Platform/Operating System(s)

- Application Servers

- Network Servers

- Desktop/Client Platforms

• Network Infrastructure

• Database Management Systems (both relational and non-relational)

• Systems/Network Management

• IT Services

- E-mail Systems

- Decision Support Systems

- Document Management

- Office Suites (Word processing)

• Applications Development Environment

- Methodologies

- CASE Tools

• Applications, for each

- Name and Description

- Creating entity

- Technology used to develop (i.e., language, 4GL, database), also version

- Known Year 2000 Problems

- Interface points