Common use of Roles and Responsibilities Matrix Clause in Contracts

Roles and Responsibilities Matrix. (RACI Matrix) A RACI matrix has been developed to show when and how each committee is engaged for particular key decisions. It is a dynamic decision support tool to provide clarity on decision-making responsibilities for strategy or complex decisions related to the DCS relationship in the following categories: Technology and Strategy; Transformation; Service and Performance; Issue Management, Contract, Financial, Projects/Procurement and Communications related decisions. The matrix contains an illustrative list of key decisions and does not reflect all decisions required to oversee the DCS program. The decisions list was created to help define the boundaries of enterprise governance committee responsibilities and operational decisions, which are to be managed directly by individual DCS Customers, DIR, and DCS Service Providers. Operational governance decisions are included as examples to help more clearly define decision-making authority at the operational and program governance level. This matrix will be reviewed and potentially updated to include Managed Applications Services. Roles and Responsibilities KEY DECISIONS Operational Governance Program Governance DIR Agencies MSI SCP Business Executive Committee IT Leadership Committee Trans- formation Solution Group Service Delivery Solution Group Contracts and Finance Solution Group Technology Solution Group Technology & Strategy A1 Approve significant business critical decisions R C A R C C C C Authority to approve high business impact decisions and issues A2 Approve annual technology plan and Roadmap I C A/R Authority to approve the annual technology plan and related deliverables C C A3 Approve Agency-Specific DCS technology plans A/R I I C Authority to review and approve agency-specific sections of the DCS technology plan. C A3b Review all agency-specific technology plans for alignment across DCS Program. C I I A/R Authority to review all agency-specific sections of the Technology Plan to ensure all are aligned to the overall plan for all customers in the DCS program. C A4 Approve enterprise technology standards - (architecture/ platform) C C C C I I A/R Authority to establish or change enterprise technology standards related to the delivery of data center services under the agreement including, but not limited to, definition of supported system software standards (defining N/N-1 and standard products), network standards (firewall), mailing standards (envelope) and hardware standard configurations (Sun, IBM, etc). A5 Approval of Agency Application portfolio lifecycle cost model C A/R I I Authority to define and manage the participating agency’s portfolio of business application assets and the technology platform for those assets that meets the agency’s business and cost needs. A6 Approve changes to Governance Decision Making Framework R C I A I I I I Authority to make additions or changes to the DCS Governance Decision Making Framework Transformation (Server Consolidation) B1 Approve changes to Agency Transformation priorities A R C C C Authority to approve changes to an agency's transformation priorities that result in financial impacts to the State. B2 Approve Agency application migration plans C A I C I Authority to approve an Agency’s application migration plan relative to Transformation. B3 Approval to incur additional costs or change migration strategy for one agency. R A R C I C Authority to approve the use of external resources or technology that directly supports Transformation. B4 Approve agency-specific exceptions from agreed Enterprise Transformation Plan R R R R C A In the event that a particular DCS Customer agency requests exceptions from consolidation or consolidation standards, authority to approve the exception. B5 Approval to change the priority or consolidation schedule of an Agency business application C A C R I Authority to approve changes to the criticality of Agency business applications which affects the agency's consolidation schedule. B6 Approval to change the priority of a non-STM infrastructure Server R R R A I Authority to approve changes to the criticality of Agency utility applications for the purpose of Transformation Service & Performance C1 Approve the addition or deletion of services to scope R C A C C C Authority to approve addition or deletion of outsourced services to or from the contract. This does not include approvals to increase consumption of existing "in-scope" activities. C2 Approve Service Tier Choice for Servers C A I I Authority to choose a service tier, platinum, gold, silver or bronze, from the Service Tier Matrix (STM) for an agency's server. C3 Approve changes to service delivery model R C A C C C Authority to approve changes to how or where service is delivered by the service provider. C4 Approve changes to enterprise service levels R C I A Authority to approve addition, deletion, or modification of the enterprise “critical” or “key” service levels. Recommendation to modify includes changes to the weighting of credits associated with each service level measure. C5 Approve changes to performance reporting R C I A Authority to approve changes to the content, format, frequency or distribution of performance reports in response to requests from agencies, governance committees or workgroups. C6 Approve performance credit exceptions R C A C C Authority to release the provider from performance credits due to a service failure that both parties agree was caused by the State. C7 Approve agency-specific corrective action plans (or root cause analysis/RCA) R A C Authority to approve a corrective action plan as an outcome of a formal RCA or an agency raised issue necessitating a corrective action plan. C8 Approve cross Agency corrective action plans (or root cause analysis/RCA) Authority to approve corrective action plans delivered to DIR in response to a formal RCA for an enterprise level incident affecting multiple agencies or approval of a corrective action plan submitted in response to an enterprise issue. R C I A Issue Management D1 Approve resolution of critical business related issues Authority to approve business related issues that have a direct, critical impact to the welfare of the State's business environment and issues that have been escalated from the IT Leadership Committee R C A R C C C D2 Approve resolution of critical IT related issues Authority to approve IT related issues that have a direct, critical impact to the welfare of the State's IT environment and issues that have been escalated from the solution groups. Authority to approve issues that have a financial impact to the enterprise. R C A C C R D3 Approve resolution of escalated transformation issues Authority to approve resolution of enterprise transformation issues or agency-specific, escalated transformation issues R R I A D4 Approve resolution of escalated Service Delivery issues Authority to approve resolution of enterprise service delivery issues or agency-specific, escalated service delivery issues R R I A D5 Approve resolution of escalated contract and financial reporting issues Authority to approve resolution of enterprise contract and financial reporting issues or agency-specific, escalated contract and finance issues R R I A D6 Approve resolution of escalated technology issues Authority to approve resolution of enterprise technology issues or agency-specific, escalated technology issues R R I A D7 Approve resolution of escalated project prioritization issues Authority to approve resolution of enterprise project prioritization issues or agency-specific, escalated project prioritization issues R R I A Contract E1 Approve changes to Data Center Services (DCS) Agreements Authority to approve changes (amendments) to the DCS contracts A C I C E2 Approve changes to Inter Agency Contract Beyond routine administrative changes to accommodate growth in service usage, authority to propose modifications to the Inter- agency Contract standard template. A R I C E3 Approve interpretation of contract language Apply definition of the meaning of the contract to specific questions or particular situations for the state. A C I C Financial F1 Approve Service Provider Enterprise invoice A/R I I Approve Service Provider Enterprise invoice(s) for release to DIR Customers (participating agencies) upon completion of invoice validation process. Issue payment according to prompt payment guidelines. F2 Approve agency invoice C A/R I Approve DIR Customer invoice for payment upon completion of invoice validation process and within the timeframes outlined in DCS IAC or MOU. F3 Approve the decision to dispute a DIR Customer invoice C R A I Authority to dispute a DIR Customer invoice based on the invoice validation process. F4 Approve enterprise financial reporting C C I A/R Approve the reporting elements and format of financial report templates. Projects / Procurement G1 Approve the initial allocation of the project pool R C C A C Authority to review and approve the initial allocation of the project pool of hours across the Agencies G2 Approve enterprise projects R C A C C C C Authority to approve out of scope work that affects the enterprise data center environment G3 Approve enterprise project milestones / deliverables (sign-off) A/R C I C I Authority to accept (sign-off) enterprise milestones or deliverables in the context of the DCS Agreement and enterprise requests for new billable services. G4 Approve solution requests C A Authority to approve agency-specific requests for solution. G5 Approve changes to allocated project pool resources R C I A Authority to change the allocation of project pool resources among Agencies. Communications H1 Approve Enterprise governance committee communications R I A A A A A A Authority to approve communications related to decisions made by the designated governance committee. The Committee Chair and Co-Chair Review/Approve communications for their committee and DIR Distributes all communications. H2 Distribute Enterprise governance committee communications A/R I C C C C C C H3 Approve DCS related communications to external parties and the media Authority to approve DCS related communications to external parties and the media. I C A/R A R Responsible - responsible for completion of the task, manages the process of getting to the decision, including ensuring that a decision is made. Accountable – must sign-off and Approve of the work. The decision-maker who has formal authority to actually make the decision. Only one “A” should be assigned for a given task. Accountable/Responsible – The decision-maker who has formal authority to actually make the decision and the subject expertise to take responsibility for the decision. Only one “A” should be assigned for a given task. Consulted – must be consulted as part of the process. They are advisors possessing skills or information that is necessary to incorporate before taking action, but have no authority to vote on the decision. Informed – must be informed of the decision. They are interested and/or affected parties who need to be informed about the decision, often because they will need to implement it or will be impacted by it.

Roles and Responsibilities Matrix. (RACI Matrix) A RACI matrix has been developed to show when and how each committee is engaged for particular key decisions. It is a dynamic decision support tool to provide clarity on decision-making responsibilities for strategy or complex decisions related to the DCS relationship in the following categories: Technology and Strategy; Transformation; Service and Performance; Issue Management, Contract, Financial, Projects/Procurement and Communications related decisions. The matrix contains an illustrative list of key decisions and does not reflect all decisions required to oversee the DCS program. The decisions list was created to help define the boundaries of enterprise governance committee responsibilities and operational decisions, which are to be managed directly by individual DCS DIR Customers, DIR, and DCS Service Providers. Operational governance decisions are included as examples to help more clearly define decision-making authority at the operational and program governance level. This matrix will be reviewed updated based on the new service delivery model and potentially updated to include Managed Applications Servicesadd the transition solution group. Roles and Responsibilities KEY DECISIONS Operational Governance Program Governance DIR Agencies MSI SCP Business Executive Committee IT Leadership Committee Trans- formation Transformation Solution Group Service Delivery Solution Group Contracts and Finance Solution Group Technology Solution Group • Technology & Strategy A1 Approve significant business critical decisions R C A R C C C • C Authority to approve high business impact decisions and issues A2 Approve annual technology plan and Roadmap I • C A/R Authority to approve the annual technology plan and related deliverables C C A3 Approve Agency-Specific DCS technology plans A/R I I C Authority to review and approve agency-specific sections of the DCS technology plan. plan C A3b Review all • I Authority to approve the agency-specific DCS technology plans for alignment across DCS Program. C I I A/R Authority to review all agency-specific sections of the Technology Plan to ensure all are aligned plan that is an appendix to the overall plan for all customers in DCS Technology Plan. The agency appendix constitutes a roadmap of technology changes to modernize the DCS programdata center infrastructure and software needed to support agency business service. C It specifies the migration path to newer or alternative operating systems and technologies. A4 Approve enterprise technology standards - (architecture/ platform) • C C C C I I A/R Authority to establish or change enterprise technology standards related to the delivery of data center services under the agreement including, but not limited to, including definition of supported operating system software standards (defining N/N-1 N and standard productsN-1), transformation application remediation standards, network standards (firewall), mailing standards (envelope) and hardware standard configurations (Sun, IBM, etc). A5 Approval of Agency Application portfolio lifecycle cost model C A/R I I Authority to define and manage the participating agency’s portfolio of business application assets and the technology platform for those assets that meets the agency’s business and cost needs. C • A6 Approve changes to Governance Decision Making Framework R C I A I I I I Authority to make additions or changes to the DCS Governance Decision Making Framework R • I • Transformation (Server Consolidation) B1 Approve Enterprise Transformation Priorities Authority approve initial Transformation priorities as part of the DCS program R • R B2 Approve Enterprise Transformation milestones / deliverables Authority to approve key enterprise transformation deliverables submitted by IBM R • A B3 Approve changes to Enterprise Transformation Plan Authority to approve changes to the overall transformation, plan and schedule for the enterprise, including authority to approve changes to end dates. R • A B4 Approve changes to Agency Transformation priorities A R C C C Authority to approve changes to an agency's agency transformation priorities that result in financial impacts to the State. B2 C • A B5 Approve Agency application migration plans C A I C I Authority to approve an Agency’s application migration plan relative to Transformation. B3 Approval C • C B6 Approve external resources or technology to incur additional costs or change migration strategy for one agency. R A R C I C support Transformation Authority to approve the use of external resources or technology that directly supports Transformation. B4 R • C B7 Approve agency-specific exceptions exemptions from agreed Enterprise Transformation Plan R R R R C A In the event that a particular DCS Customer agency requests exceptions to an exemption from consolidation or consolidation standardsthe previously agreed transformation plan and schedule, authority to approve the exceptionexemption. B5 C • A B9 Approval to change the priority or consolidation schedule of an Agency business application C A C R I Authority to approve changes to the criticality of Agency business applications which affects for the agency's consolidation schedule. B6 purpose of Transformation • I B9 Approval to change the priority of a non-STM infrastructure Server R R R A I Utility Application Authority to approve changes to the criticality of Agency utility applications for the purpose of Transformation C • I • Service & Performance • C1 • Approve the addition or deletion of services to scope R C A C C C • Authority to approve addition or deletion of outsourced services to or from the contract. This does not include approvals to increase consumption of existing "in-in- scope" activities. C2 Approve Service Tier Choice for Servers C A I I the tier of service Authority to choose a server's service tiertier (i.e., platinum, gold, silver or bronze, from the Service Tier Matrix (STM) for an agency's server. • C3 Approve changes to service delivery model R C A C C C • Authority to approve changes to how or where service is delivered by the service provider. C4 Approve changes to enterprise service levels R C I A Authority to approve addition, deletion, or modification of the enterprise “critical” or “key” service levels. Recommendation to modify includes changes to the weighting of credits associated with each service level measure. • C5 Approve changes to performance reporting R C I A Authority to approve changes to the content, format, frequency or distribution of performance reports in response to requests from agencies, governance committees or workgroups. I C6 Approve performance credit exceptions R C A C C Authority to release the provider from performance credits due to a service failure that both parties agree was caused by the State. • C7 Approve agency-specific corrective action plans (or root cause analysis/RCA) R A C Authority to approve a corrective action plan as an outcome of a formal RCA or an agency raised issue necessitating a corrective action plan. • C8 Approve cross Agency corrective action plans (or root cause analysis/RCA) Authority to approve corrective action plans delivered to DIR in response to a formal RCA for an enterprise level incident affecting multiple agencies or approval of a corrective action plan submitted in response to an enterprise issue. R • • Issue Management • D1 • Approve resolution of contractual issues A C I A Issue Management D1 • Authority to approve resolution of scope issues or other contract related issues. D2 Approve resolution of critical business related issues • C Authority to approve business related issues that have a direct, critical impact to the welfare of the State's business environment and issues that have been escalated from the IT Leadership Committee R C A R C C C D2 D3 Approve resolution of critical IT related issues • Authority to approve IT related issues that have a direct, critical impact to the welfare of the State's IT environment and issues that have been escalated from the solution groups. Authority to approve issues that have a financial impact to the enterprise. R C A C C R D3 D4 Approve resolution of escalated transformation issues • A Authority to approve resolution of enterprise transformation issues or agency-specific, escalated transformation issues R R I A D4 D5 Approve resolution of escalated Service Delivery issues • Authority to approve resolution of enterprise service delivery issues or agency-specific, escalated service delivery issues R R I A D5 • Approve resolution of escalated contract and financial reporting finance issues R R I • Authority to approve resolution of enterprise contract and financial reporting finance issues or agency-specific, escalated contract and finance issues R R I A D6 D7 • Approve resolution of escalated technology issues R R I • Authority to approve resolution of enterprise technology issues or agency-specific, escalated technology issues R R I A D7 D8 • Approve resolution of escalated project prioritization issues R R I • Authority to approve resolution of enterprise project prioritization issues or agency-specific, escalated project prioritization issues D9 • Approve resolution of escalated transition issues R R I A • Authority to approve resolution of enterprise transition issues or agency-specific, escalated transition issues • Contract • E1 • Approve changes to Data Center Services (DCS) Agreements Agreement A C I • Authority to approve changes (amendments) to the DCS contracts A C I C MSA and Exhibits for the state. E2 • Approve changes to Inter Agency Contract A R I • Beyond routine administrative changes to accommodate growth in service usage, authority to propose modifications to the Inter- Inter-agency Contract standard template. A R I C E3 • Approve interpretation of contract language A C I • Apply definition of the meaning of the contract to specific questions or particular situations for the state. A C I C • Financial F1 • Approve Service Provider Vendor Enterprise invoice A/R I I • Approve Service Provider Vendor Enterprise invoice(s) for release to DIR Customers (participating agencies) upon completion of invoice validation process. Issue payment according to prompt payment guidelines. F2 • Approve agency invoice C A/R I • Approve DIR Customer invoice for payment upon completion of invoice validation process and within the timeframes outlined in DCS IAC or MOU. C A/R F3 • Approve the decision to dispute a DIR Customer invoice C R A I • Authority to dispute a DIR Customer invoice based on the invoice validation process. C R A F4 • Approve enterprise financial reporting C C I A/R • Approve the reporting elements and format of financial report templates. C C I • Projects / Procurement G1 a Approve the initial allocation of the project pool R C C A C Authority to review and approve the initial allocation of the project pool of hours across the Agencies G2 • • Approve enterprise projects R C A C C C C • Authority to approve out of scope work that affects the enterprise data center environment G3 R C A G2 • Approve enterprise project milestones / deliverables (sign-off) A/R C I C I • Authority to accept (sign-off) enterprise milestones or deliverables in the context of the DCS Agreement and enterprise requests for new billable services. G4 R C I G3 • Approve solution requests C A • Authority to approve agency-specific requests for solution. G5 • Approve changes to allocated project pool resources C R C I A • Authority to change the allocation of project pool resources among Agencies. • Communications H1 • Approve Enterprise governance committee communications R I A A A A A A • Authority to approve communications related to decisions made by the designated enterprise governance committeecommittees. The Committee Chair and Co-Chair Review/Approve communications for their committee and DIR Distributes all communications. H2 Distribute Enterprise governance committee communications A/R I C C C C C C Authority to distribute communications related to decisions made by enterprise governance committees. Committee Chair and Co-Chair Review/Approve and DIR Distributes H3 Approve DCS related communications to external parties and the media A/R I I I I I Authority to approve DCS related communications to external parties and the media. I C A/R A A/ R C I * Responsible - responsible for completion of the task, manages the process of getting to the decision, including ensuring that a decision is made. Accountable – must sign-off and Approve of the work. The decision-maker who has formal authority to actually make the decision. Only one “A” should be assigned for a given task. Accountable/Responsible – The decision-maker who has formal authority to actually make the decision and the subject expertise to take responsibility for the decision. Only one “A” should be assigned for a given task. Consulted – must be consulted as part of the process. They are advisors possessing skills or information that is necessary to incorporate before taking action, but have no authority to vote on the decision. Informed – must be informed of the decision. They are interested and/or affected parties who need to be informed about the decision, often because they will need to implement it or will be impacted by it.. RACI for Transition Solution Group to be developed by ITLC

Roles and Responsibilities Matrix. (RACI Matrix) Matrix)‌ A RACI matrix has been developed to show when and how each committee is engaged for particular key decisions. It is a dynamic decision support tool to provide clarity on decision-making responsibilities for strategy or complex decisions related to the DCS relationship in the following categories: Technology and Strategy; Transformation; Service and Performance; Issue Management, Contract, Financial, Projects/Procurement and Communications related decisions. The matrix contains an illustrative list of key decisions and does not reflect all decisions required to oversee the DCS program. The decisions list was created to help define the boundaries of enterprise governance committee responsibilities and operational decisions, which are to be managed directly by individual DCS DIR Customers, DIR, and DCS Service Providers. Operational governance decisions are included as examples to help more clearly define decision-making authority at the operational and program governance level. This matrix will be reviewed updated based on the new service delivery model and potentially updated to include Managed Applications Servicesadd the transition solution group. Roles and Responsibilities KEY DECISIONS Operational Governance Program Governance DIR Agencies MSI SCP Business Executive Committee IT Leadership Committee Trans- formation Transformation Solution Group Service Delivery Solution Group Contracts and Finance Solution Group Technology Solution Group Project Prioritization Solution Group Transition Solution Group* Technology & Strategy A1 Approve significant business critical decisions R C A R C C C C C Authority to approve high business impact decisions and issues C A2 Approve annual technology plan and Roadmap I C A/R Authority to approve the annual technology plan and related deliverables C C A3 Approve Agencyagency-Specific specific DCS technology plans A/plan A/ R I I C I Authority to review and approve the agency-specific sections of DCS technology plan that is an appendix to the DCS Technology Plan. The agency appendix constitutes a roadmap of technology planchanges to modernize the data center infrastructure and software needed to support agency business service. C A3b Review all agency-specific technology plans for alignment across DCS Program. C I I A/R Authority It specifies the migration path to review all agency-specific sections of the Technology Plan to ensure all are aligned to the overall plan for all customers in the DCS programnewer or alternative operating systems and technologies. C A4 Approve enterprise technology standards - (architecture/ platform) C C I C C I I A/R Authority to establish or change enterprise technology standards related to the delivery of data center services under the agreement including, but not limited to, including definition of supported operating system software standards (defining N/N-1 N and standard productsN-1), transformation application remediation standards, network standards (firewall), mailing standards (envelope) and hardware standard configurations (Sun, IBM, etc). A5 Approval of Agency Application portfolio lifecycle cost model C A/R I I Authority to define and manage the participating agency’s portfolio of business application assets and the technology platform for those assets that meets the agency’s business and cost needs. A6 Approve changes to Governance Decision Making Framework R C I A I I I I Authority to make additions or changes to the DCS Governance Decision Making Framework Transformation (Server Consolidation) B1 Approve Enterprise Transformation Priorities Authority approve initial Transformation priorities as part of the DCS program B2 Approve Enterprise Transformation milestones / deliverables Authority to approve key enterprise transformation deliverables submitted by IBM B3 Approve changes to Enterprise Transformation Plan Authority to approve changes to the overall transformation, plan and schedule for the enterprise, including authority to approve changes to end dates. B4 Approve changes to Agency Transformation priorities A C A/R R C R C R C R C X X X X I A I I I I I I A C I Authority to approve changes to an agency's agency transformation priorities that result in financial impacts to the State. B2 B5 Approve Agency application migration plans C A I C I Authority to approve an Agency’s application migration plan relative to Transformation. B3 Approval B6 Approve external resources or technology to incur additional costs or change migration strategy for one agency. support Transformation R A I C R C I C Authority to approve the use of external resources or technology that directly supports Transformation. B4 B7 Approve agency-specific exceptions exemptions from agreed Enterprise Transformation Plan C R R R R C A In the event that a particular DCS Customer agency requests exceptions to an exemption from consolidation or consolidation standardsthe previously agreed transformation plan and schedule, authority to approve the exceptionexemption. B5 B9 Approval to change the priority or consolidation schedule of an Agency business application C A C R I Authority to approve changes to the criticality of Agency business applications which affects for the agency's consolidation schedule. B6 purpose of Transformation B9 Approval to change the priority of a non-STM infrastructure Server R R R Utility Application C A I Authority to approve changes to the criticality of Agency utility applications for the purpose of Transformation Service & Performance C1 Approve the addition or deletion of services to scope R C A C C C Authority to approve addition or deletion of outsourced services to or from the contract. This does not include approvals to increase consumption of existing "in-in- scope" activities. C2 Approve Service Tier Choice for Servers the tier of service C A I I Authority to choose a server's service tiertier (i.e., platinum, gold, silver or bronze, from the Service Tier Matrix (STM) for an agency's server. C3 Approve changes to service delivery model R C A C C C Authority to approve changes to how or where service is delivered by the service provider. C4 Approve changes to enterprise service levels R C I A Authority to approve addition, deletion, or modification of the enterprise “critical” or “key” service levels. Recommendation to modify includes changes to the weighting of credits associated with each service level measure. C5 Approve changes to performance reporting R C I A Authority to approve changes to the content, format, frequency or distribution of performance reports in response to requests from agencies, governance committees or workgroups. C6 Approve performance credit exceptions R C I R A C C Authority to release the provider from performance credits due to a service failure that both parties agree was caused by the State. C7 Approve agency-specific corrective action plans (or root cause analysis/RCA) R A C Authority to approve a corrective action plan as an outcome of a formal RCA or an agency raised issue necessitating a corrective action plan. C8 Approve cross Agency corrective action plans (or root cause analysis/RCA) R C I A Authority to approve corrective action plans delivered to DIR in response to a formal RCA for an enterprise level incident affecting multiple agencies or approval of a corrective action plan submitted in response to an enterprise issue. R C I A Issue Management D1 Approve resolution of contractual issues A C I I C Authority to approve resolution of scope issues or other contract related issues. D2 Approve resolution of critical business related issues R C A R C C R Authority to approve business related issues that have a direct, critical impact to the welfare of the State's business environment and issues that have been escalated from the IT Leadership Committee R C A R C C C D2 D3 Approve resolution of critical IT related issues R C A C C R Authority to approve IT related issues that have a direct, critical impact to the welfare of the State's IT environment and issues that have been escalated from the solution groups. Authority to approve issues that have a financial impact to the enterprise. R C A C C R D3 D4 Approve resolution of escalated transformation issues R R I A Authority to approve resolution of enterprise transformation issues or agency-specific, escalated transformation issues R R I A D4 D5 Approve resolution of escalated Service Delivery issues R R I A Authority to approve resolution of enterprise service delivery issues or agency-specific, escalated service delivery issues R R I A D5 D6 Approve resolution of escalated contract and financial reporting finance issues R R I A Authority to approve resolution of enterprise contract and financial reporting finance issues or agency-specific, escalated contract and finance issues R R I A D6 D7 Approve resolution of escalated technology issues R R I A Authority to approve resolution of enterprise technology issues or agency-specific, escalated technology issues R R I A D7 D8 Approve resolution of escalated project prioritization issues R R I A Authority to approve resolution of enterprise project prioritization issues or agency-specific, escalated project prioritization issues D9 Approve resolution of escalated transition issues R R I A Authority to approve resolution of enterprise transition issues or agency-specific, escalated transition issues Contract E1 Approve changes to Data Center Services (DCS) Agreements Agreement A C I C Authority to approve changes (amendments) to the DCS contracts A C I C MSA and Exhibits for the state. E2 Approve changes to Inter Agency Contract A R I C Beyond routine administrative changes to accommodate growth in service usage, authority to propose modifications to the Inter- Inter-agency Contract standard template. A R I C E3 Approve interpretation of contract language A C I C Apply definition of the meaning of the contract to specific questions or particular situations for the state. A C I C Financial F1 Approve Service Provider Vendor Enterprise invoice A/R A/ I I F2 F3 F4 Approve Service Provider Vendor Enterprise invoice(s) for release to DIR Customers (participating agencies) upon completion of invoice validation process. Issue payment according to prompt payment guidelines. F2 Approve agency invoice C A/R I Approve DIR Customer invoice for payment upon completion of invoice validation process and within the timeframes outlined in DCS IAC or MOU. F3 Approve the decision to dispute a DIR Customer invoice C R A I Authority to dispute a DIR Customer invoice based on the invoice validation process. F4 Approve enterprise financial reporting C C I A/R Approve the reporting elements and format of financial report templates. R C A/R I C R A I C C I A/R Projects / Procurement G1 a G1 G2 Approve the initial allocation of the project pool R C C A C Authority to review and approve the initial allocation of the project pool of hours across the Agencies G2 Approve enterprise projects R C A C C C C Authority to approve out of scope work that affects the enterprise data center environment G3 Approve enterprise project milestones / deliverables (sign-off) A/R C I C I Authority to accept (sign-off) enterprise milestones or deliverables in the context of the DCS Agreement and enterprise requests for new billable services. G4 R R R C C C A C C C A C R I I A G3 Approve solution requests C A Authority to approve agency-specific requests for solution. G5 C A G4 Approve changes to allocated project pool resources C R C I A Authority to change the allocation of project pool resources among Agencies. Communications H1 Approve Enterprise governance committee communications R I A A A A A A A Authority to approve communications related to decisions made by the designated enterprise governance committeecommittees. The Committee Chair and Co-Chair Review/Approve communications for their committee and DIR Distributes all communications. H2 Distribute Enterprise governance committee communications A/A/ R I C C C C C C H3 C Authority to distribute communications related to decisions made by enterprise governance committees. Committee Chair and Co-Chair Review/Approve DCS related communications to external parties and the media DIR Distributes Authority to approve DCS related communications to external parties and the media. I C A/R A R C I * Responsible - responsible for completion of the task, manages the process of getting to the decision, including ensuring that a decision is made. Accountable – must sign-off and Approve of the work. The decision-maker who has formal authority to actually make the decision. Only one “A” should be assigned for a given task. Accountable/Responsible – The decision-maker who has formal authority to actually make the decision and the subject expertise to take responsibility for the decision. Only one “A” should be assigned for a given task. Consulted – must be consulted as part of the process. They are advisors possessing skills or information that is necessary to incorporate before taking action, but have no authority to vote on the decision. Informed – must be informed of the decision. They are interested and/or affected parties who need to be informed about the decision, often because they will need to implement it or will be impacted by it.. RACI for Transition Solution Group to be developed by ITLC

Roles and Responsibilities Matrix. (RACI Matrix) A RACI matrix has been developed to show when and how each committee is engaged for particular key decisions. It is a dynamic decision support tool to provide clarity on decision-making responsibilities for strategy or complex decisions related to the DCS relationship in the following categories: Technology and Strategy; Transformation; Service and Performance; Issue Management, Contract, Financial, Projects/Procurement and Communications related decisions. The matrix contains an illustrative list of key decisions and does not reflect all decisions required to oversee the DCS program. The decisions list was created to help define the boundaries of enterprise governance committee responsibilities and operational decisions, which are to be managed directly by individual DCS DIR Customers, DIR, and DCS Service Providers. Operational governance decisions are included as examples to help more clearly define decision-making authority at the operational and program governance level. This matrix will be reviewed updated based on the new service delivery model and potentially updated to include Managed Applications Servicesadd the transition solution group. Roles and Responsibilities KEY DECISIONS Operational Governance Program Governance DIR Agencies MSI SCP Business Executive Committee IT Leadership Committee Trans- formation Transformation Solution Group Service Delivery Solution Group Contracts and Finance Solution Group Technology Solution Group Project Prioritization Solution Group Transition Solution Group* Technology & Strategy A1 Approve significant business critical decisions R C A R C C C C C Authority to approve high business impact decisions and issues A2 Approve annual technology plan and Roadmap C C I C A/R Authority to approve the annual technology plan and related deliverables C C A3 Approve Agencyagency-Specific specific DCS technology plans plan C A/R I I C I Authority to review and approve the agency-specific sections of DCS technology plan that is an appendix to the DCS Technology Plan. The agency appendix constitutes a roadmap of technology planchanges to modernize the data center infrastructure and software needed to support agency business service. C A3b Review all agency-specific technology plans for alignment across DCS ProgramIt specifies the migration path to newer or alternative operating systems and technologies. C I I A/R Authority to review all agency-specific sections of the Technology Plan to ensure all are aligned to the overall plan for all customers in the DCS program. C A4 Approve enterprise technology standards - (architecture/ platform) C C I C C I I A/R Authority to establish or change enterprise technology standards related to the delivery of data center services under the agreement including, but not limited to, including definition of supported operating system software standards (defining N/N-1 N and standard productsN-1), transformation application remediation standards, network standards (firewall), mailing standards (envelope) and hardware standard configurations (Sun, IBM, etc). A5 Approval of Agency Application portfolio lifecycle cost model C A/R I I Authority to define and manage the participating agency’s portfolio of business application assets and the technology platform for those assets that meets the agency’s business and cost needs. A6 Approve changes to Governance Decision Making Framework R C I A I I I I I Authority to make additions or changes to the DCS Governance Decision Making Framework Transformation (Server Consolidation) B1 Approve Enterprise Transformation Priorities A C R I Authority approve initial Transformation priorities as part of the DCS program R C B2 Approve Enterprise Transformation milestones / deliverables I A I Authority to approve key enterprise transformation deliverables submitted by IBM R C B3 Approve changes to Enterprise Transformation Plan I A C I Authority to approve changes to the overall transformation, plan and schedule for the enterprise, including authority to approve changes to end dates. R C B4 Approve changes to Agency Transformation priorities I A R C C C I Authority to approve changes to an agency's agency transformation priorities that result in financial impacts to the State. B2 C R B5 Approve Agency application migration plans C A I C I Authority to approve an Agency’s application migration plan relative to Transformation. B3 Approval to incur additional costs or change migration strategy for one agency. R C A R I C I C B6 Approve external resources or technology to support Transformation Authority to approve the use of external resources or technology that directly supports Transformation. B4 R A I C R C I B7 Approve agency-specific exceptions exemptions from agreed Enterprise Transformation Plan R R R R C A In the event that a particular DCS Customer agency requests exceptions to an exemption from consolidation or consolidation standardsthe previously agreed transformation plan and schedule, authority to approve the exceptionexemption. B5 C R A B9 Approval to change the priority or consolidation schedule of an Agency business application C A C R I Authority to approve changes to the criticality of Agency business applications which affects for the agency's consolidation schedule. B6 purpose of Transformation B9 Approval to change the priority of a non-STM infrastructure Server R R R Utility Application C A I Authority to approve changes to the criticality of Agency utility applications for the purpose of Transformation Service & Performance C1 Approve the addition or deletion of services to scope R C A C C C Authority to approve addition or deletion of outsourced services to or from the contract. This does not include approvals to increase consumption of existing "in-scope" activities. R C A C C C C2 Approve Service Tier Choice for Servers C A I I the tier of service Authority to choose a server's service tiertier (i.e., platinum, gold, silver or bronze, from the Service Tier Matrix (STM) for an agency's server. C A I I C3 Approve changes to service delivery model R C A C C C Authority to approve changes to how or where service is delivered by the service provider. C4 Approve changes to enterprise service levels R C I A Authority to approve addition, deletion, or modification of the enterprise “critical” or “key” service levels. Recommendation to modify includes changes to the weighting of credits associated with each service level measure. C5 Approve changes to performance reporting R C I A Authority to approve changes to the content, format, frequency or distribution of performance reports in response to requests from agencies, governance committees or workgroups. C6 Approve performance credit exceptions R C I R A C C Authority to release the provider from performance credits due to a service failure that both parties agree was caused by the State. C7 Approve agency-specific corrective action plans (or root cause analysis/RCA) R A C Authority to approve a corrective action plan as an outcome of a formal RCA or an agency raised issue necessitating a corrective action plan. C8 Approve cross Agency corrective action plans (or root cause analysis/RCA) R C I A Authority to approve corrective action plans delivered to DIR in response to a formal RCA for an enterprise level incident affecting multiple agencies or approval of a corrective action plan submitted in response to an enterprise issue. R C I A Issue Management D1 Approve resolution of contractual issues A C I I C Authority to approve resolution of scope issues or other contract related issues. D2 Approve resolution of critical business related issues R C A R C C R Authority to approve business related issues that have a direct, critical impact to the welfare of the State's business environment and issues that have been escalated from the IT Leadership Committee R C A R C C C D2 D3 Approve resolution of critical IT related issues R C A C C R Authority to approve IT related issues that have a direct, critical impact to the welfare of the State's IT environment and issues that have been escalated from the solution groups. Authority to approve issues that have a financial impact to the enterprise. R C A C C R D3 D4 Approve resolution of escalated transformation issues R R I A Authority to approve resolution of enterprise transformation issues or agency-specific, escalated transformation issues R R I A D4 D5 Approve resolution of escalated Service Delivery issues R R I A Authority to approve resolution of enterprise service delivery issues or agency-specific, escalated service delivery issues R R I A D5 D6 Approve resolution of escalated contract and financial reporting finance issues R R I A Authority to approve resolution of enterprise contract and financial reporting finance issues or agency-specific, escalated contract and finance issues R R I A D6 D7 Approve resolution of escalated technology issues R R I A Authority to approve resolution of enterprise technology issues or agency-agency- specific, escalated technology issues R R I A D7 D8 Approve resolution of escalated project prioritization issues R R I A Authority to approve resolution of enterprise project prioritization issues or agency-specific, escalated project prioritization issues D9 Approve resolution of escalated transition issues R R I A Authority to approve resolution of enterprise transition issues or agency- specific, escalated transition issues Contract E1 Approve changes to Data Center Services (DCS) Agreements Agreement A C I C Authority to approve changes (amendments) to the DCS contracts A C I C MSA and Exhibits for the state. E2 Approve changes to Inter Agency Contract A R I C Beyond routine administrative changes to accommodate growth in service usage, authority to propose modifications to the Inter- Inter-agency Contract standard template. A R I C E3 Approve interpretation of contract language A C I C Apply definition of the meaning of the contract to specific questions or particular situations for the state. A C I C Financial F1 Approve Service Provider Vendor Enterprise invoice A/R I I Approve Service Provider Vendor Enterprise invoice(s) for release to DIR Customers (participating agencies) upon completion of invoice validation process. Issue payment according to prompt payment guidelines. F2 Approve agency invoice C A/R I Approve DIR Customer invoice for payment upon completion of invoice validation process and within the timeframes outlined in DCS IAC or MOU. F3 Approve the decision to dispute a DIR Customer invoice C R A I Authority to dispute a DIR Customer invoice based on the invoice validation process. F4 Approve enterprise financial reporting C C I A/R Approve the reporting elements and format of financial report templates. Projects / Procurement G1 a Approve the initial allocation of the project pool R C A C A C C Authority to review and approve the initial allocation of the project pool of hours across the Agencies G2 G1 Approve enterprise projects R C A C C C C R Authority to approve out of scope work that affects the enterprise data center environment G3 G2 Approve enterprise project milestones / deliverables (sign-off) A/R C I C I A Authority to accept (sign-off) enterprise milestones or deliverables in the context of the DCS Agreement and enterprise requests for new billable services. G4 G3 Approve solution requests C A Authority to approve agency-specific requests for solution. G5 G4 Approve changes to allocated project pool resources C R C I A Authority to change the allocation of project pool resources among Agencies. Communications H1 Approve Enterprise governance committee communications R I A A A A A A A Authority to approve communications related to decisions made by the designated enterprise governance committeecommittees. The Committee Chair and Co-Chair Review/Approve communications for their committee and DIR Distributes all communications. H2 Distribute Enterprise governance committee communications A/R I C C C C C C H3 C Authority to distribute communications related to decisions made by enterprise governance committees. Committee Chair and Co-Chair Review/Approve DCS related communications to external parties and the media DIR Distributes Authority to approve DCS related communications to external parties and the media. I C A/R A R C I * Responsible - responsible for completion of the task, manages the process of getting to the decision, including ensuring that a decision is made. Accountable – must sign-off and Approve of the work. The decision-maker who has formal authority to actually make the decision. Only one “A” should be assigned for a given task. Accountable/Responsible – The decision-maker who has formal authority to actually make the decision and the subject expertise to take responsibility for the decision. Only one “A” should be assigned for a given task. Consulted – must be consulted as part of the process. They are advisors possessing skills or information that is necessary to incorporate before taking action, but have no authority to vote on the decision. Informed – must be informed of the decision. They are interested and/or affected parties who need to be informed about the decision, often because they will need to implement it or will be impacted by it.