Guidelines to Establishing a Project Procurement Plan
Enterprise Project Management Office and Statewide IT Procurement Office Office of Information Technology Services State of North Carolina
Project Procurement Plan 1 Document History and Distribution
Revision History
Version # 1.0 2.0 2.1 2.2 Version Date December 12, 2005 April 3, 2006 April 12, 2006 October 18, 2006 Description of Change Initial internal state release First public release Replaced Appendix A with latest Version (2.7) Replace Appendix A with latest Version (2.8) Author R. Jones, J. McShane J. McShane J. McShane J. McShane
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Project Procurement Plan
Table of Contents
Document History and Distribution .......................................................................................................................2 Introduction ..........................................................................................................................................................4 1.1 Best Value Procurement Method .................................................................................................................4 2. Procurement Plan Overview................................................................................................................................4 3. Procurement Plan Deliverables ...........................................................................................................................5 3.1 Requirement Step.........................................................................................................................................5 3.2 Requisition Step...........................................................................................................................................6 3.3 Solicitation - Selection Step ........................................................................................................................7 3.4 Contract Administration Step ......................................................................................................................8 3.5 Contract Closeout Step ................................................................................................................................9 4. Reference Material ...............................................................................................................................................9 5. Roles and Responsibilities .................................................................................................................................. 10 6. Definitions ........................................................................................................................................................... 10 7. Appendices .......................................................................................................................................................... 10 Appendix A - Project Portfolio Management Workflow ...................................................................................... 11 Appendix C - Procurement Roles and Responsibilities ........................................................................................ 13 Appendix D – NC Statewide Technical Architecture (NCSTA) Attachments A, B, C to RFP ............................ 15 Attachment A – Agency Technical Requirements ............................................................................................... 15 1 Agency Technical Requirements Checklist .......................................................................................................... 15 2 Agency Technical Architecture – Desired Profile ................................................................................................ 18 3 Agency Technical Architecture – Evaluation Scale ............................................................................................. 19 4 Agency Technical Architecture Change Log ........................................................................................................ 20 Attachment B – Vendor System Design ............................................................................................................... 20 1. Vendor System Design Checklist .................................................................................................................. 20 2. NC Statewide Technical Architecture – Description Requirements.............................................................. 24 3. Vendor System Design Change Log ............................................................................................................. 26 Attachment C - Agency Technical Architecture Desired Profile – Example Scorecard ...................................... 27 Appendix E - Procurement Plan Template ........................................................................................................... 28 Procurement Statement ......................................................................................................................................... 28 Vendor Selection .................................................................................................................................................. 28 Selection Process & Criteria ................................................................................................................................. 29 Project Procurement Team ................................................................................................................................... 29 1 X here ........................................................................................................................................................ 29 1 Name:......................................................................................................................................................... 29 1 Phone / email: ............................................................................................................................................ 29 1 Procurement Role: ................................................................................................................................ 29 Contract Type ....................................................................................................................................................... 29 Contract Standards................................................................................................................................................ 29 Vendor Management ............................................................................................................................................ 30 Links to related planning documents .................................................................................................................... 30 Project Procurement Plan / Signatures ................................................................................................................. 30 1 Name .......................................................................................................................................................... 30 1 Role............................................................................................................................................................ 30 1 Signature .................................................................................................................................................... 30 1 Date............................................................................................................................................................ 30 1 1.
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Project Procurement Plan
1. Introduction
A Project Procurement Plan is an indispensable component of the Project Plan. It is required when the decision to purchase Information Technology (IT) has been made by the Project Team (section 3.1). Agencies are expected to use procurement planning as an opportunity to evaluate/review the entire procurement process so that sound judgments and decision making will facilitate the success of the overall project. Statewide procurement will be evaluating IT Request for Proposals (RFP’s) for compliance to North Carolina Procedures. They will follow the criteria established by legislation and published on the “ITprocurement” web site (see section 1.1). The Project Procurement Plan described herein is designed to facilitate the procurement of IT products and services. Although this document addresses the guidelines for procuring IT goods and services for approved projects with a total cost of ownership of over $100k (through the use of an RFP / RFQ), Project Managers and their project teams should use this document as a guide to build a Procurement Plan that is tailored for any sized project and results in the best value for the state.
1.1
Best Value Procurement Method
The Information Technology Procurement Rules provide North Carolina state entities with the option of using the Best Value trade-off methodology for its information technology purchases. This methodology is designed to result in the best buy for the state in terms of the function to be performed and allows the Project Team to select IT products and services based on a number of pre-determined criteria which are designed to show empirical differences between proposals. Additional information about Best Value procurement can be found in the IT Procurement Policies and Procedures and Rules on the “ITprocurement” web site. (http://www.its.state.nc.us/ITProcurement/Documents/itpp.pdf and http://www.its.state.nc.us/ITProcurement/Rules/Default.asp page 2 section 7).
2. Procurement Plan Overview
The Procurement Plan should include five key Steps. The Procurement Steps are: Requirement Requisition Solicitation - Selection Contract Administration Closeout During the Project Initiation Phase of a Project, outlined in Project Workflow listed in Appendix A, the agency defines the need for the project and develops a business case (e.g., all components of the UMT PPM Tool required to submit a project for initiation approval) to support its execution. The information provided herein assumes that the required approvals have been completed; both by the agency and by the necessary overview organizations (see Project
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Project Procurement Plan Portfolio Management workflow – Appendix A) as the project moves through the various gates and phases of its life. As part of the Project Plan, a Procurement Plan is established in the initial phase of the project life cycle (Project Plan/charter documents are listed at the bottom of the Project Portfolio Management Workflow). At this point in the procurement planning steps, the Plan is little more than a strategic vision, however, in most cases the decision to make or buy product has been established. The Procurement Plan follows the phases of the Project Plan with various steps and reviews as outlined in the Procurement Plan Workflow that is outlined in Appendix B. Please note that most of the procurement efforts occur in the Project Planning and Design Phase, and in some cases decisions to procure services may be identified through the planning processes. In all cases, Contract Administration begins before a project moves to the Execution and Build Phase. In the Requirement Step of the Procurement Plan, the agency conducts a “make vs. buy” analysis, and if it is decided that the product (equipment, services, project resources, etc.) will be purchased, the agency proceeds to the Requisition Step. In this step, the agency creates a statement of work, develops product specifications (e.g. design, performance, functional), and identifies major project milestones and creates the RFP. The Solicitation Step of the Procurement Plan includes issuance of the RFP, receipt of proposals, negotiation with vendors, evaluation of proposals, and award of the contract. The next Step of the Procurement Plan is Contract Administration. In this phase, the agency manages the contract by working closely with the vendor to ensure that contract requirements are met. The last Step of the Procurement Plan is Closeout. In this step, the agency verifies that the products or services have been received and are acceptable, verifies that there are not any outstanding invoices and makes the final payment. In addition they document and report any vendor performance problems to Statewide Procurement. The contract is closed when the Procurement Plan has been completely executed. A Procurement Plan Template is available in Appendix E
3. Procurement Plan Deliverables
(The steps outlined in section 3 of this document should be followed in the sequence of how they are presented to obtain the most favorable results in the procurement process.) Requirement Step Conduct market analysis to gain awareness of the products / services that are available for purchase. Perform a make vs. buy analysis. Estimate investment costs of the Procurement Plan.
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Project Procurement Plan Based on the Procurement Plan, obtain authorization to proceed from appropriate agency departments (e.g., Procurement, Finance, IT, agency head, etc.). At this Step the appropriate Project Plan approvals for a Project should be obtained (e.g., ensure that sufficient funds are available and approved for the project and that agency management officially supports / approves the project) Create a Project Procurement Team (Program Manager, Project Manager, Project Subject Matter Experts, Agency Procurement Officer, IT experts, Business Partners, Legal experts, Finance, CIO, CFO, etc.)
3.2
Requisition Step Verify that necessary specifications have been provided. Prepare solicitation package (e.g., RFP) by appropriate members of The Project Procurement Team: o Utilize standard solicitation documents; In the RFP, provide information needed to determine consistency with Statewide Technical Architecture (STA): Attachment A - Agency Technical Requirements, Attachment B - Vendor System Design Document, and Attachment C - Statewide Technical Architecture Alignment. (See Statewide Procurement web page http://www.its.state.nc.us/ITProcurement/Forms.asp .) o Establish evaluation criteria (using the Best Value trade-off methodology). Write clear, concise definitions for each criterion to facilitate a good understanding of its meaning. o Develop a detailed, mathematically sound scoring plan that explains how proposals will be evaluated, and provides specific meaning of the scoring methodology. (For example, if a certain criteria is worth X points, a description should follow of what the points mean.) o Determine if pre-solicitation conference will be used. o Develop a change request management plan. o Develop a vendor payment plan. Review by procurement team and, with final approval of the RFP by Agency Procurement Officer, send solicitation to Statewide IT Procurement for review and approval; o Statewide IT Procurement will coordinate ETS (Enterprise Technology Strategies) review of technical specifications for consistency with Statewide Technical Architecture (STA).
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Project Procurement Plan 3.3 Solicitation - Selection Step Issue the solicitation document (RFP). Answer questions received from vendors in a public forum (question and answer sessions will be structured based on instructions published in RFP). If necessary, prepare for vendor product demonstrations, or oral presentations. Receive and Evaluate Proposals (by Project Procurement Team); o Establish a competitive range. o Send “in-range” proposals to ETS for review for consistency with STA. o Ensure that contract addresses maintenance and operations provisions for a 5 year life cycle investment. o Before “Best and Final Offer” (BAFO), negotiate with in-range vendors Can not share competitive information with other vendors: With the Project Team Gather the facts, Develop objectives (min-max positions); Seller minimum willingness to accept, Buyer maximum willingness to pay. Evaluate each vendors competitive position, Define your strategy and tactics, Perform a complete cost analysis, Establish setting (e.g., where will negotiation take place--in an office or other location?; will they be held in the morning or afternoon?; will there be furniture and what type?; who will stand, who will sit?; what will be the order of the vendor meetings?). Request BAFO. Re-evaluate offers using scoring method to select Best Value. Define payment schedule. Make selection recommendation to Agency Procurement Officer. Agency Procurement Officer reviews recommendation and forwards to Statewide IT Procurement Office for review and approval. Statewide Procurement reviews recommendation and approves contract award.
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Project Procurement Plan 3.4 Agency awards and signs contract, then issues purchase order.
Contract Administration Step The purpose of the Contract Administration Step is to ensure that the contractor (vendor) and the products or services delivered comply with the contract requirements. Each project should be assigned a Contract Administrator, who will perform the following functions: Interpret specifications. Ensure that quality of the product or service is maintained. Manage product warranties. Manage sub-contractors (if required by the contract). Direct change management; o Administrative changes, o Budgetary changes, o Contract modification (if necessary) and associated change order (get proper approvals), o Manage smaller, incidental contracts for work associated with the project. Resolve contract disputes; o Part of the work may be accepted, or o All of the work may be rejected, or o Work may be accepted with provisions for corrections in the future. Completion of the project; o Ensure that all project requirements are complete per contract, o Product is technologically out of date (contract language should guarantee current technology), Terminate the contract; o Default of contract; Contractor fails to perform any provision of the contract including: Failure to deliver by scheduled date, Failure to make progress (endangers performance of the contract). o Termination for Convenience (e.g., project canceled)
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Project Procurement Plan o Document contract problems and file formal vendor complaint with Agency Procurement Office, e.g., liquidated damages, opportunity cost, etc. (if necessary). 3.5 Manage contract risk associated with the project.
Contract Closeout Step Verify product and services meet acceptance criteria. Complete fiscal activities: o Approve final payment (notify appropriate accounts payable office), o Update project and activity records, o Close purchase order (notify appropriate procurement office), o Update contract file. Notify Statewide IT Procurement of vendor performance issues (use “IT Procurement Complaint to Vendor Form”). Archive contract file (include completed Procurement Plan with Project Plan).
4. Reference Material
Following is a list of documents and other sources referenced herein. IT Procurement Policies and Procedures (http://www.its.state.nc.us/ITProcurement/Documents/itpp.pdf IT Procurement Rules, 9 NCAC 6A and 9 NCAC 6B www.its.state.nc.us/ITProcurement/rules/default.asp . Request for Proposal form designed for projects www.its.state.nc.us/ITProcurement/forms.asp ; Includes Attachment A - Agency Technical Requirements, Attachment B Vendor System Design Document, and Attachment C - Statewide Technical Architecture Alignment.
Project Portfolio Management Workflow (Appendix A). Project Procurement Workflow (Appendix B).
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Project Procurement Plan
5. Roles and Responsibilities
Successful completion of a Project Procurement Plan requires action from multiple agencies and sections within the agencies. Roles and responsibilities of project stakeholders are provided in this document. (Appendix C).
6. Definitions
Key definitions are available as follows: Procurement Definitions www.its.state.nc.us/ITProcurement/rules/default.asp . Project Approval Process http://www.epmo.scio.nc.gov/documents/docs_misc/ProjDefinitions.pdf . Project Definitions www.epmo.scio.nc.gov/ . Glossary of IT Terms www.epmo.scio.nc.gov/ .
7. Appendices
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Project Procurement Plan Appendix A - Project Portfolio Management Workflow
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Project Procurement Plan Appendix B - Procurement Plan Workflow
Project Gate Approval
State of North Carolina Procurement Workflow
Planning & Design Requisition
Solicitation Phase Approval including ETS review
PROJECT PLAN Phase
Initiation
PROCUREMENT PLAN STEP
Execution & Build and Implementation Contract Administration
Approve contract Modifications
C
ITS STATEWIDE IT PROCUREMENT
Requirement
Solicitation - Selection
Review Recommendation; Approve administration phase by issuing approval to award contract
Cl
Procurement Officer
Requisition Phase Approval
AGENCY
Solicitation Plan Review & Approval of RFP
Post RFP and receive proposals
Approve and Issue Requests for BAFO; Receive BAFOs; forward for review and recommendation
Review and approve recommendati on; forward to Statewide
Sign contract / Issue PO
Approve and Request Contract modification as required
Issue PO Change Order
Cl
Procurement Plan signoff
Solicitation Plan Signoff
Evaluate Responses; obtain ETS approval for STA
Project Contributors
Evaluate BAFOs; make selection recommendation; forward to Agency Procurement Office
Manage Contract and request modifications
Manage Contract
C Co U re
Requirement Phase Exit Criteria and Requisition Phase Entrance Criteria
Requisition Phase Exit Criteria and Solicitation Phase Entrance Criteria
Agency Procurement Office and Project Team REQUIRED
Requisition Step • Create RFP (Best Value Trade-off) • Outline Scope of Work • Develop Risk Analysis • Business • Technical • Legal (special provisions, terms and conditions) • Develop Evaluation Criteria and Scoring Definitions • Technical Requirements * • Security Requirements * • Business Requirements • Vendor Profile • Cost Requirement • Risk • Select contract Type • Cost Reimbursable • Time and Materials • Fixed Price
Solicitation Phase Exit Criteria and Contract Administration Phase Entrance Criteria
Agency Procurement Office and Project Team REQUIRED
Solicitation Step:¹ • Issue Proposal • Question and Answer • Receive and Evaluate Proposals • Establish a Competitive Range and send in-range proposals to ETS for STA review * • Negotiate with in-range Vendors and Request Best and Final Offer (BAFO) • Evaluate BAFO and make selection recommendation Vendor Selection • ITS Statewide IT Procurement reviews and approves contract award • Agency awards and signs contract, then issues purchase order
Administration Phase Exit Criteria & Closeout Entrance Criteria
Agency Procurement Office and Project Team REQUIRED Contract Administration Step • Ensure vendor’s performance meets contractual requirements (scope of work); if not, document problems and file formal vendor complaint with Procurement Officer • File IT Procurement Complaint to Vendor form (if necessary) • Contract change management • Manage payment approval • Risk management ITS Statewide IT Procurement REQUIRED • Manage vendor complaints • Contract change management (approval from Agency Purchasing and Statewide IT Procurement required for contract changes)
Project initiation has been approved by agency and team is preparing for initial gate approval
Agency Purchasing Office and Project Team REQUIRED
Requirement Step Make vs. Buy (See PMBOK 12.1.2.1) Make (build in-house) decision decreases risk (cost, time, performance or scope of work), better to “make” if answer to following questions is yes: • Do you have idle capacity? • Do you want to retain control? • Does the work involve proprietary information of procedures? Understand what can be purchased in the market place Additional Information • Risk Management Plan Developed • Resource Plan Developed • High Level Schedule available • Cost estimate developed (with activity estimates)
Agency P Office a Team R
Contract C • Product • Financia • Update R • Contract
¹(Coordination with ITS Statewide IT ¹(Coordination with ITS Statewide IT Procurement) Procurement)
Procurement Process: This process is designed for purchases over $100k that are associated with RFP / RFQ initiatives
*ETS assists project team to establish these criteria
*ETS assists project team with this criteria
Vers 4
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Project Procurement Plan
Appendix C - Procurement Roles and Responsibilities
The Project Manager is responsible for delivering the Procurement Plan; the following responsibilities are delegated to the various roles, listed below, to ensure that the duties are performed by the appropriate subject matter expert (based on the needs of each agency, these roles may vary for each subject matter expert) and considered critical to the success of the Procurement Plan. Project Manager Be knowledgeable of the scope of work and the technical and business objectives of the project. Identify risk and incorporate mitigation and allocation of risks into the contract. Help tailor the contract to the unique need of the project. Fit the schedule for completion of the procurement process into the schedule for the project. If the Project Manager is a state employee: Participate in proposal evaluation and contract negotiation. If the Project Manager is not a state employee: Act as a subject matter expert and advise the procurement team on technical issues that are important to the development of the RFP. Protect and manage the integrity of the project and the ability to get the work done. Protect and manage the relationship with the vendor / seller. Present contract terms and conditions to agency. Project termination The project manager should be assigned before a project is approved. The project manager must have a risk management plan before the procurement plan is completed. The project manager will help ensure that the contract, its terms and conditions, and the scope of work are appropriate to the scope of the project. Project Contract Administrator Contract Change Management Specification interpretation Adherence to quality Warranties Subcontractor Management Contract disputes / breach Resolution of disputes Monitor production / product delivery and manage payment schedules to ensure that contract terms and conditions are met before funds are disbursed to vendor. Contract closeout The contract administrator is responsible for compliance of the contractor to the contract’s terms and conditions. He/she ensures that the final product complies with specifications that make it fit for use. EPMO Develop procurement plan methodology and framework Identify procurement plan standards EPMO / Agency PMO Standardize estimating, planning, and reporting requirements for procurement planning. Define project management roles and responsibilities in the procurement process. Identify best practices for procurement plan. Agency PMO Assists project team develop Procurement Plan. Office of Information Technology Services Version: 2.2 October 18, 2006
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Project Procurement Plan
Ensure that appropriate expert knowledge is available for make / buy decisions. Benchmark procurement expectations from past and similar projects. Assists project team with structured vendor performance reviews. Assist project manager in assessing risks and in developing a mitigation plan. Be knowledgeable of the scope of work and the technical and business objectives of the project. Assists the project team members identify contract risk and incorporate mitigation plans into the project plan. Helps the project team tailor the contract to the unique needs of the project (e.g., select contract type). Assists the project team prepare for proposal evaluation and contract negotiations.
Agency Procurement Officer Serve as the point of contact for project team, legal staff, vendors, contract administrator to clarify contract terms and conditions. Advocate of the project when dealing with Statewide Procurement. Along with project team, establish well-defined evaluation criteria. Along with project team, establish a clear, concise scoring plan. Choose best contract type for project success (e.g., cost-reimbursable, time and material, fixed price, etc.). Prepare RFP / solicitation documents using standard format. Officiate at Bidder Conferences when necessary. Establish schedules for procurement process that Project Manager will incorporate into Project Schedule. Post documents on state web sites and respond to vendor questions. Receive and review proposals. Obtain clarification of vendors’ proposals if necessary. Along with Project Manager and project team, participate in vendor product demonstrations and oral presentations, negotiate proposals changes, and request Best and Final Offers from Vendors. Review and approve evaluation recommendation and forward to Statewide IT Procurement Office for review and approval. After receiving approval from Statewide IT Procurement Office, award contract and issue purchase order. Consult with the Statewide IT Procurement Office, as necessary, throughout the procurement process. Review and approve contract changes and forward to Statewide IT Procurement Office for review and approval.
Statewide IT Procurement Officer Verify that the project has received the necessary approvals before posting an RFP (Agency, Budget, ETS, SCIO, etc.). Review and approve solicitation document for agency posting. Verify that ETS has reviewed “in-range” procurement for consistency with the STA. Review and approve bid award recommendation. Manage vendor complaints. Review and approve contract changes.
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Project Procurement Plan Appendix D – NC Statewide Technical Architecture (NCSTA) Attachments A, B, C to RFP Attachment A – Agency Technical Requirements Attachment A is to be completed by the agency issuing an RFP. The attachment supplies the vendor community with information regarding the characteristics of the desired solution.
1 Agency Technical Requirements Checklist
Agency Technical Checklist
Project Type
Responses - Select all that apply
__ New System __ Upgrade System __ New Infrastructure __ Upgrade Infrastructure __ Other (specify): __ Commercial Off The Shelf (COTS ) __ Custom Note: Customizations to COTS solutions must be limited to 10% and be fully supported in future releases or versions __ Modular (functionality delivered over time) __ Monolithic (functionality delivered all at once) __ Government to Citizen (G2C) __ Government to Employee (G2E) __ Government to Business (G2B) __ Government to Government (G2G): __ State __ Local __ Federal __ Yes: __ Credit Card __ ACH __ EFT __ Other (specify): __ No __ Yes __ No __ HIPAA __ FERPA __ GPEA __ Other (specify): __ N/A __ WCAG V1.0: __ Priority 1 __ Priority 2 __ Priority 3 __ WCAG V2.0 (Draft): __ Level 1 __ Level 2 __ Level 3 __ Yes __ No Total:__________ By Audience: Citizen: ______ Employee: _____ Business:______ Other:______ Note: For modular delivery specify amounts by implementation phase. Total: _________ By Audience: Citizen: ______ Employee: _____ Business:______ Other:______ Note: For modular delivery specify amounts by implementation phase. Total: _________ By Audience: Citizen: ______ Employee: _____ Business:______ Other:______ Note: For modular delivery specify amounts by implementation phase.
Development Approach
Delivery of Functionality System Interactions
Electronic Commerce Pilot Prior to Implementation Security - Regulatory or Privacy Requirements W3C Accessibility Compliance Section 508 Accessibility Compliance Estimated Total Number of Users
Estimated Total Number of Concurrent Users
Estimated Annual User Growth Rate
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Project Procurement Plan Agency Technical Checklist
Average Transaction Response Time Requirements
Responses - Select all that apply
90% of transactions to occur in ___ seconds or less 95% of transactions to occur in ___ seconds or less 97% of transactions to occur in ___ seconds or less 99% of transactions to occur in ___ seconds or less Note: Specify by category (e.g. Citizen, Employee, Business) if requirements are different. __ Citizen __ Normal Business Hours (e.g. 8:00 am to 5:00 pm) __ Extended Business Hours (specify): __ 24 X 7 __ Employee __ Normal Business Hours (e.g. 8:00 am to 5:00 pm) __ Extended Business Hours (specify): __ 24 X 7 __ Government/Business Partner(s) __ Normal Business Hours (e.g. 8:00 am to 5:00 pm) __ Extended Business Hours (specify): __ 24 X 7 Uptime => Downtime/year (planned and unplanned) __ 99 (2 Nines) => 003d 15h 36m 00s __ 99.9 (3 Nines) => 000d 08h 45m 36s __ 99.99 (4 Nines) => 000d 00h 52m 33s __ 99.999 (5 Nines) => 000d 00h 05m 15s __ Other (specify): Full Backup: __ Near Real Time __ Hourly __ Daily __ Weekly Incremental Backup: __ Near Real Time __ Hourly __ Daily __ Weekly Time to Recover: __ Near Real Time __ Hour(s) or less (specify) Time to Recover: __ Near Real Time __ Hot Site: __ hour(s) or less __ Warm Site: __ days(s) or less __ Cold Site: __ days(s) or less __ NC OITS __ Agency __ Other (specify):
Production Hours of Operation
Production Availability Expectations
Backup Requirements
Application Recovery Requirements
Disaster Recovery Requirements
Hosting Location
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Project Procurement Plan Agency Technical Checklist
System Usage of NC Shared Services – NC ITS Service Catalog
Responses - Select all that apply
__ Enterprise Services __ iWise __ NCID __ NCMail __ Class A LAN __ Project Mgmt __ Common Payment Services __ E-Rate __ Web Services __ Hosting Services __ Mainframe __ Distributed __ Middleware __ Database __ Directory __ Storage __ Programming Tools __ Network Services __ WAN __ Remote Access __Network Security __ Structured Cabling for Voice, Data, and Video __ Telephony Services __ Local Access Line __ Centrex __ Contact Call Center __ Enterprise IP Telephony __ Small Telephone System __ Long Distance Calling Card __ Long Distance Telephone __ Toll-Free Long Distance __ Cellular Telephone __ Pay Telephone __ MAC and Maintenance __ Multimedia and Conferencing __ Video Conferencing __ Web Conferencing __ Streaming Media __ Event Production
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2 Agency Technical Architecture – Desired Profile
In this section the agency documents the high-level architectural characteristics that the desired solution will provide. This profile is determined through the use of a published rating system (see Section 3 of Attachment A). The basis for this rating system is the North Carolina Statewide Technical Architecture (www.ncsta.gov) which provides state agencies and vendors with principles, practices, and standards that are to be followed when designing and implementing Information Technology systems.
Table 1 – Agency Technical Architecture - Desired Profile Abilities Importance Rating (on a scale from 1 to 5 - with 5 being the highest) Scalability 5 Adaptability 4 Securability 5 Availability 4 Manageability 3 Interoperability 4 Economic 3
Architectural Profile Architectural Attributes
Scalability 6 4 Economic Adaptability 2 0 Interoperability Securability Manageability Availability
Economic Manageability Securability Scalability 0 1 2 3 4 5
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3 Agency Technical Architecture – Evaluation Scale
1) Scalability 5 – Excellent ability to support desired number of users. 4 – Very good 3 – Good 2 – Fair 1 – Poor 2) Adaptability 5 – Excellent separation of application concerns and use of technologies. 4 – Very good 3 – Good 2 – Fair 1 – Poor 3) Secureability 5 – Excellent separation of access controls and use of security technologies. 4 – Very good 3 – Good 2 – Fair 1 – Poor 4) Availability 5 – Excellent minimization of single point(s) of failure. 4 – Very good 3 – Good 2 – Fair 1 – Poor 5) Maintainability 5 – Excellent ability to operate application or restore application near real time. 4 – Very good 3 – Good 2 – Fair 1 – Poor 6) Interoperability 5 – Excellent use of open standards and integration technologies. 4 – Very good 3 – Good 2 – Fair 1 – Poor 7) Economic 5 – Excellent consolidation of resources and usage of enterprise services 4 – Very good 3 – Good 2 – Fair 1 – Poor
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4 Agency Technical Architecture Change Log
Any changes to the system design document must be documented. Use of the Track Changes feature is required. Maintain a summary of changes in the table below. Change Log Summary – Version and Description (For instructional purposes an example has been provided) V1 - Initial Agency RFP requirements Date submitted for review by ITS/ETS Date approved by ITS/ETS
Attachment B – Vendor System Design Attachment B is to be completed by the vendors responding to an RFP. The attachment supplies the agency with information regarding the design characteristics of the vendor’s proposed solution.
1. Vendor System Design Checklist
Vendor System Design Checklist
Architectural Approach Processing Type Development Platform Architectural Framework(s) Architectural Pattern(s) Application Communication Technologies
Response - Select all that apply
__ SOA __ 3/N Tier __ Other (specify): __ OLTP __ OLAP __ Other (specify): __ J2EE __ .NET __ Other (specify): __ STRUTS __ JATO __ JSF Other (specify): __ MVC __ Factory __ Controller __ Data Access Object Other (specify): Service Interface: __ Web Services (HTTP, XML, SOAP, WSDL, UDDI) __ Public Facing __ Internal Facing __ Messaging Platform Specific: __ .NET Remoting __ EJB/RMI – IIOP __ Other (specify): __ XML __ Web Services __ Messaging __ EDI __ CORBA __ IIOP __ Adaptors __ Secure FTP __ Other (specify):
System Integration Technologies
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Project Procurement Plan Vendor System Design Checklist
Software Testing
Response - Select all that apply
General: __ Functional __ Regression __ System __ Integration Specialized: __ Performance __ Load __ Stress __ Error Handling __ Security __ Platform __ Accessibility: __ WCAG V1.0: __ Priority 1 __ Priority 2 __ Priority 3 __ WCAG V2.0 (Draft): __ Level 1 __ Level 2 __ Level 3 __ Section 508 User-Participation: __ Beta __ User Acceptance __ Other (specify): __ Identity and Access Management __ Integrated __ Externalizable __ Externalized __ SSL/TLS __ Data Encryption Level Supported: __ Column __ Row __ Table __ Database __ Cookie Encryption __ DES __ 3DES __ AES __ Other (specify): __ Other (specify): __ Apple __ Microsoft __ Linux __ Unix __ Palm __ Microsoft PocketPC __ Other (specify): __ Desktop/Laptop __ Tablet __ PDA __ Smart Phone __ Other (specify): Specify size of footprint in KB or MB: Desktop/Laptop: ___ Tablet: ___ PDA: ___ Smart Phone: ___ Other (specify): ___ Specify speed in kbps or mbps: Minimum: _____ Recommended: ________ __ Browser Based __ Rich Client __ Rich Internet (AJAX) __ Internet Explorer (specify versions): __ Netscape Navigator (specify versions): __ Other (specify product and versions): __ HTML __ DHTML __ XML __ XHTML __ VB.NET __C# __ ActiveX Controls __ Java Applets __ Java __ JVM (specify details): __ JavaScript __ VBScript __ C++ __ Other (specify):
Security Technologies
Client Operating Systems
Client Platforms
Client Footprint by Platform
Client Connection Speed
Client Richness
Browsers and Versions Supported
Presentation - Client Side Languages
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Project Procurement Plan Vendor System Design Checklist
Application State
Response - Select all that apply
__ Cookies: __ Non-Persistent Cookies __ Persistent Cookies __ Session Ids __ State Stored in Hidden Fields __ Other (specify): __ Public Facing __ Internal Facing __ Windows __ Linux __ Unix __ Other (specify): Specify Version: __ Apache __ Microsoft __ Sun __ Oracle__ Other (specify): Specify Edition and Version: Load Balancing Supported: __ Yes __ No 64 Bit Processors Supported: __ Yes __ No Dual Core Processors Supported: __ Yes __ No Other (specify): __ ASP.NET __ VB.NET __C# __ JSP __ Servlets __ Java __ JVM (specify details): __ Server Side Includes (SSI) __ C++ __ Other (specify): __ Windows __ Linux __ Unix __ Other (specify): Specify Version: __ Microsoft __ IBM __ Sun __ Oracle __ BEA __ Other (specify): Specify Edition and Version: 64 Bit Processors Supported: __ Yes __ No Dual Core Processors Supported: __ Yes __ No RAID Supported: __ Yes __ No SAN Supported: __ Yes __ No Mirroring Supported: __ Yes __ No Clustering Supported: __ Yes __ No Grid/On Demand Supported: __ Yes __ No Other (specify): __ VB.NET __C# __ Java (J2SE) __ Java/EJB (J2EE) __ JVM (specify details): __ C++ __ Other (specify): __ Windows __ Linux __ Unix __ Other (specify): Specify Version: __ Microsoft __ IBM __ Oracle __ Other (specify): Specify Version: 64 Bit Processors Supported: __ Yes __ No Dual Core Processors Supported: __ Yes __ No RAID Supported: __ Yes __ No SAN Supported: __ Yes __ No Mirroring Supported: __ Yes __ No Clustering Supported: __ Yes __ No Grid/On Demand Supported: __ Yes __ No Other (specify):
Web Server Location Web Server Operating System Web Server Software Web Server - High Availability
Presentation – Server Side Languages
Application Server Operating System Application Server Software Application Server – High Availability
Business Rule – Application Languages
Database Server Operating System Database Server Software Database Server – High Availability
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Project Procurement Plan Vendor System Design Checklist
Data Access – Connectivity Methods
Response - Select all that apply
__ ADO.NET __ ODBC __ OLE/DB __ JDBC __ JDO __ DB2 Connect __ Other (specify): __ T/SQL __ PL/SQL __ Other (specify): __ Data Access __ Business Rules
SQL Languages Stored Procedures Utilization
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Project Procurement Plan
2. NC Statewide Technical Architecture – Description Requirements
Section 2 of Attachment B is to be completed by the vendor as part of their RFP response. The information provided below is stated in the form of questions that must be answered by the vendor in their RFP response. The vendor may provide other information by category to assist in demonstrating its ability to provide the desired level of architectural consistency. 1) Scalability: a) Provide detailed diagrams with complimenting narrative describing proposed technical solution. b) Describe the largest production implementation by an existing customer that utilizes the proposed technical solution. c) Describe the testing methodology used in the development of the proposed technical solution (e.g. Performance, Load, Stress, Security, etc). d) Describe the ability of the proposed solution to scale both horizontally and vertically. e) Describe how the proposed solution can be scaled to manage pilot, rollout, and growth rate requirements. 2) Adaptability: a) Describe the overall architectural approach utilized to design the proposed solution (e.g. Service Oriented, 3/N Tier, Composite Application). b) Describe how the architectural approach and the technologies used enable solution adaptability. c) Describe the technology roadmap for the proposed solution. d) Describe how the solution will be capable of adapting to meet changing business requirements. 3) Secureability: a) Describe how the solution can be deployed to provide layered access controls. b) Describe how the solution can be deployed to accommodate both an integrated or externalized identity access and management solution. c) Describe the ability of the proposed solution to meet federal and state regulatory requirements. 4) Availability: a) Describe the technologies and approach used to meet and/or exceed availability requirements. b) Describe an acceptable backup and recovery approach to meet and/or exceed availability requirements 5) Manageability: a) Describe the versioning and patch management process for the proposed solution. b) Describe approaches that could be implemented to provide overall performance monitoring for the proposed solution. c) Describe the Quality Assurance (QA) measures that have been taken in the design, implementation, and maintenance with respect to the proposed solution. d) Describe the management and monitoring tools that are supported by the proposed technologies. 6) Interoperability:
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Project Procurement Plan a) Describe the programming language(s) and development framework(s) that are utilized in the design and implementation of the proposed solution. b) Describe any open (industry and/or de facto) standards utilized to ensure interoperability of this solution within a heterogeneous environment. c) Describe the available options, along with the preferred approach, for integrating the proposed solution with other intra/inter agency systems and NC Shared Services. d) Describe the flexibility of this solution to meet future integration needs. e) Describe how the solution meets accessibility (i.e. W3C and/or 508) requirements. 7) Enterprise: a) Describe how the proposed solution can leverage NC Shared Services. b) Describe how consolidation of services and infrastructure will be accomplished.
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Project Procurement Plan
3. Vendor System Design Change Log
Any changes to the system design document must be documented. Use of the Track Changes feature is required. Maintain a summary of changes in the table below. Change Log Summary – Version and Description (For instructional purposes an example has been provided) V1 - Initial Vendor RFP Response Date submitted by Vendor Date reviewed by Agency
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Project Procurement Plan Attachment C - Agency Technical Architecture Desired Profile – Example Scorecard
Appendix C - Agency Technical Architecture Desired Profile - Example Scorecard
Agency Desired Rating (1 to 5) 5 4 5 4 3 4 3
Abilities Scalability Adaptability Securability Availability Manageability Interoperability Enteprise
Vendor #1 Vendor #2 Vendor #3 3 4 5 2 3 4 4 2 3 2 4 5 5 2 4 2 1 4 1 3 3
Architecture Profile Baseline
Scalability 6 Enteprise 4 2 0 Interoperability Securability Adaptability
Architecture Attribute Baseline
Enteprise Interoperability Manageability Availability Securability Adaptability
Manageability
Availability
Scalability 0 1 2 3 4 5
Vendor #1
Scalability 6 Enteprise 4 2 0 Interoperability Securability Adaptability
Vendor #1
Enteprise Interoperability Manageability Availability Securability Adaptability
Manageability
Availability
Scalability 0 1 2 3 4 5
Vendor #2
Scalability 6 Enteprise 4 2 0 Interoperability Securability Adaptability
Vendor #2
Enteprise Interoperability Manageability Availability Securability Adaptability
Manageability
Availability
Scalability 0 1 2 3 4 5
Vendor #3
Vendor #3
Scalability 6 Enteprise 4 2 0 Interoperability Securability Adaptability
Enteprise Interoperability Manageability Availability Securability Adaptability
Manageability
Availability
Scalability 0 1 2 3 4 5
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Project Procurement Plan
Appendix E - Procurement Plan Template
Put your logo here Put your organization name here Project Procurement Plan Template
Rev. 2.2, 01/06/2006
PROJECT PROCUREMENT PLAN
Project Name: Prepared by: Date (MM/DD/YYYY): Project Initiation Phase – This portion of the Procurement Plan document is used to provide the project
selection team with general information about the possible purchase of goods and services. No approval signatures are required.
Procurement Statement
Describe, in general terms, what products or services are being considered for procurement:
Estimated Cost
Provide an estimated total cost of all procurements in this project. Include confidence limits for your estimate (e.g. plus/minus dollars or percent of estimate). Example: $1,567,000 +/- 20%
Vendor Selection
Describe what approach the project team will take to select a product or vendor (e.g. RFI, RFP, IFB).
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Project Procurement Plan
Project Planning Phase – This portion of the Procurement Plan document provides detailed information
about how vendors, products and services will be chosen, what kind(s) of contract(s) will be used, how vendors will be managed and who will be involved at each stage of the process. This document should be approved by appropriate individuals before the actual procurement process begins.
Procurement Definition
Describe, in specific terms, what items will be procured and under what conditions:
Selection Process & Criteria
Describe the selection process. List selection criteria. Describe any analytical selection tool that you will use.
Project Procurement Team
List all stakeholders who are involved in the Procurement Process, along with contact information and a description of their Procurement Role. Enter an [ X ] next to each project team member who is authorized to enter into contract agreements or purchase for the Team (insert rows as needed): 1 1 X h e r e [ ] [ ] [ ] [ ] Name: 1 Phone / email: 1 Procurement Role:
Contract Type
Document which types of contract(s) will be used and the actions required to initiate the contract.
Contract Standards
Provide the standards for documentation that will be used for each contract.
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Project Procurement Plan
Vendor Management
Describe what steps the project team will take to ensure that the vendor provides all of the products and/or services (and only the products and/or services) that were agreed upon, and that appropriate levels of quality are maintained.
Links to related planning documents
Provide hyperlinks to related documents, such as the Change Request Management Plan, Vendor Payment Plan, etc., or attach as addenda.
Project Procurement Plan / Signatures
Project Name: Project Manager:
I have reviewed the information contained in this Project Procurement Plan and agree: 1 Name 1 Role 1 Signature 1 Date
(MM/DD/YYYY)
The signatures above indicate an understanding of the purpose and content of this document by those signing it. By signing this document, they agree to this as the formal Project Procurement Plan.
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