EIP RFP Final to post - California State University ... rfp.pdf · Title: Microsoft Word - EIP RFP...

ENTERPRISE INFORMATION PORTAL

REQUEST FOR PROPOSAL RFP-CDI-0845-33

March 30, 2005

Issued By: STATE OF CALIFORNIA Department of General Services

707 Third Street West Sacramento, CA 95605

In conjunction with:

Department of Insurance 300 Capitol Mall, Suite 1400

Sacramento, CA 95814

RFP CDI 0845-33 Enterprise Information Portal RFP

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TABLE OF CONTENTS

I INTRODUCTION AND OVERVIEW ...................................................................... I-1

I.1 PURPOSE OF THIS REQUEST FOR PROPOSAL ........................................................................................... I-1 I.2 OVERVIEW ............................................................................................................................................. I-1 I.3 AVAILABILITY ....................................................................................................................................... I-2 I.4 PROCUREMENT OFFICIAL....................................................................................................................... I-3 I.5 KEY ACTION DATES .............................................................................................................................. I-3

II RULES GOVERNING COMPETITION.................................................................II-1

II.1 IDENTIFICATION AND CLASSIFICATION OF RFP REQUIREMENTS......................................................II-1 II.1.1 Mandatory Requirements.............................................................................................. II-1 II.1.2 Desirable Items............................................................................................................. II-1

II.2 PROPOSAL REQUIREMENTS AND CONDITIONS...................................................................II-1 II.2.1 General ......................................................................................................................... II-1 II.2.2 RFP Documents ............................................................................................................ II-1 II.2.3 Examination of the Work .............................................................................................. II-2 II.2.4 Questions Regarding the RFP ...................................................................................... II-2 II.2.5 Addenda ........................................................................................................................ II-2 II.2.6 Bonds ............................................................................................................................ II-3 II.2.7 Joint Bids ...................................................................................................................... II-3 II.2.8 Air or Water Pollution Violations................................................................................. II-3 II.2.9 Fair Employment and Housing Commission Regulations ............................................ II-3 II.2.10 Exclusion for Conflict of Interest ............................................................................. II-3 II.2.11 Follow-on Contracts ................................................................................................ II-3 II.2.12 Disclosure of Financial Interests ............................................................................. II-4

II.3 BIDDING STEPS............................................................................................................................II-4 II.3.1 Preparation of Proposals ............................................................................................. II-4 II.3.2 Bidder Pre-Qualification Proposal .............................................................................. II-5 II.3.3 Notification of Pre-Qualification Results ..................................................................... II-5 II.3.4 Draft Proposals ............................................................................................................ II-5 II.3.5 Confidential Discussions .............................................................................................. II-5 II.3.6 Final Proposal .............................................................................................................. II-5 II.3.7 Submission Final Proposals ......................................................................................... II-6


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II.3.8 Demonstrations............................................................................................................. II-8 II.3.9 Sealed Cost Openings ................................................................................................... II-8 II.3.10 Rejection of Bids....................................................................................................... II-8 II.3.11 Contract Award ........................................................................................................ II-9 II.3.12 Debriefing................................................................................................................. II-9

II.4 CONTRACT TERMS AND CONDITIONS.............................................................................................II-10 II.4.1 Incorporation of Contract Language.......................................................................... II-10 II.4.2 Term of Contract ........................................................................................................ II-10

II.5 OTHER INFORMATION.............................................................................................................II-10 II.5.1 Protests ....................................................................................................................... II-10 II.5.2 News Releases............................................................................................................. II-12 II.5.3 Disposition of Proposals............................................................................................. II-12

III EXISTING SYSTEMS OVERVIEW.................................................................. III-1

III.1 PROGRAM OVERVIEW .................................................................................................................... III-1 III.2 BUSINESS OBJECTIVES ................................................................................................................... III-4 III.3 EXISTING SYSTEMS OVERVIEW...................................................................................................... III-4 III.4 EXISTING TECHNICAL INFRASTRUCTURE ..................................................................................... III-10

III.4.1 Current Hardware.................................................................................................III-11 III.4.2 Current Software ...................................................................................................III-12

III.4.3 Database Design ................................................................................................III-16 III.5 BIDDERS LIBRARY ....................................................................................................................... III-17

III.5.1 Bidders’ Library Contact ......................................................................................III-17 III.5.2 Bidders’ Library Contents.....................................................................................III-17

IV CONCEPTUAL SYSTEM ....................................................................................IV-1

IV.1 CONCEPTUAL SOLUTION ................................................................................................................ IV-1

V ADMINISTRATIVE REQUIREMENTS................................................................. V-1

V.1 INTRODUCTION................................................................................................................................ V-1 V.2 DISABLED VETERAN BUSINESS ENTERPRISE (DVBE) PARTICIPATION REQUIREMENT ................... V-1 V.3 TARGET AREA CONTRACT PREFERENCE (TACPA)......................................................................... V-1 V.4 EMPLOYMENT AND ECONOMIC INCENTIVE ACT PREFERENCE (EEIA) ........................................... V-1 V.5 LOCAL AGENCY MILITARY BASE RECOVERY ACT (LAMBRA) ..................................................... V-2 V.6 RESPONSES TO ADMINISTRATIVE REQUIREMENTS.......................................................................... V-2

V.6.1 Bidder Responsibility.................................................................................................... V-3


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V.6.2 Business Qualifications ................................................................................................ V-3 V.6.3 Business Practice Requirements................................................................................... V-8 V.6.4 Data Ownership............................................................................................................ V-9 V.6.5 Hardware Purchase...................................................................................................... V-9 V.6.6 COTS Version Upgrade Purchase................................................................................ V-9 V.6.7 Commercially Useful Function Description and Information ...................................... V-9 V.6.8 Payment Milestones .................................................................................................... V-10

VI FUNCTIONAL AND TECHNICAL REQUIREMENTS..................................VI-1

VI.1 MANDATORY REQUIREMENTS........................................................................................................ VI-1 VI.1.1 General Functional Requirements ..........................................................................VI-2 VI.1.2 Report and Query Requirements ...........................................................................VI-14 VI.1.3 Technical Requirements ........................................................................................VI-20 VI.1.4 Contractor Staffing Requirements.........................................................................VI-29 VI.1.5 System Development and Implementation Requirements......................................VI-35 VI.1.6 COTS Software Product Licensing........................................................................VI-43 VI.1.7 Contract Deliverables ...........................................................................................VI-45

VI.2 DESIRABLE REQUIREMENTS......................................................................................................... VI-57 VI.2.1 Functional Requirements ......................................................................................VI-58 VI.2.2 Report and Query Requirements ...........................................................................VI-60 VI.2.3 Technical Requirements ........................................................................................VI-65 VI.2.4 Contractor Staffing Requirements.........................................................................VI-67 VI.2.5 Contract Deliverables ...........................................................................................VI-69

VII COST.....................................................................................................................VII-1

VII.1 INTRODUCTION..............................................................................................................................VII-1 VII.2 COST WORKSHEETS ......................................................................................................................VII-2

VII.2.1 Total Cost Summary Worksheet (Appendix B, Form VII-1)...................................VII-3 VII.2.2 Detailed COTS Software Costs Worksheet (Appendix B, Form VII-2) ..................VII-3 VII.2.3 Detailed Hardware Costs Worksheet (Appendix B, Form VII-3)...........................VII-4 VII.2.4 Detailed System Integrator Implementation and Other One-Time Costs Worksheet (Appendix B, Form VII-4) ........................................................................................................VII-4 VII.2.5 COTS Software Version Upgrade Worksheet (Appendix B, Form VII-5) ..............VII-4 VII.2.6 Bidder Labor Costs Worksheet (Appendix B, Form VII-6) ....................................VII-4

VIII PROPOSAL FORMAT..................................................................................... VIII-1


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VIII.1 INTRODUCTION....................................................................................................................... VIII-1 VIII.2 PROPOSAL FORMAT AND CONTENT ....................................................................................... VIII-1

VIII.2.1 Pre-Qualification Proposal Format and Content ................................................ VIII-2 VIII.2.2 Draft Proposal Format and Content .................................................................... VIII-3 VIII.2.3 Final Proposal Format and Content .................................................................... VIII-4

IX EVALUATION AND SELECTION ....................................................................IX-1

IX.1 INTRODUCTION............................................................................................................................... IX-1 IX.2 RECEIPT OF PROPOSALS ................................................................................................................. IX-1 IX.3 STATE EVALUATION TEAM ............................................................................................................ IX-1 IX.4 REVIEW OF PRE-QUALIFICATION PROPOSALS (PASS/FAIL) ............................................................ IX-1 IX.5 REVIEW OF DRAFT PROPOSALS ...................................................................................................... IX-2 IX.6 EVALUATION OF FINAL PROPOSALS ............................................................................................... IX-3

IX.6.1 Proposal Submission Requirements Review (pass/fail) .......................................... IX-3 IX.6.2 Administrative Requirements Review (pass/fail)..................................................... IX-3 IX.6.3 Functional and Technical Requirements Response Review (pass/fail) ................... IX-3 IX.6.4 Evaluation Factors Assessment Scoring ................................................................. IX-3 IX.6.5 Summary of Overall Evaluation Scoring Process ................................................... IX-7

IX.7 SELECTION OF CONTRACTOR......................................................................................................... IX-8

X DEMONSTRATION .................................................................................................. X-1

X.1 DEMONSTRATION OVERVIEW.......................................................................................................... X-1 X.2 BIDDER’S CRITERIA ........................................................................................................................ X-1 X.3 DEMONSTRATION SCORING............................................................................................................. X-1 X.4 DEMONSTRATION LOCATION .......................................................................................................... X-1 X.5 DEMONSTRATION CONTENT............................................................................................................ X-1

APPENDIX A - CONTRACT TERMS AND CONDITIONS ..................................... A-1

APPENDIX B - COST WORKBOOK........................................................................... B-1

APPENDIX C - PROPOSAL RESPONSE FORMS .................................................... C-1


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LIST OF TABLES

TABLE 1. KEY ACTION DATES .................................................................................................I-3 TABLE 2. CDI APPLICATION DESCRIPTIONS ......................................................................... III-6 TABLE 3. BIDDERS LIBRARY CONTENT............................................................................... III-17 TABLE 4. COST WORKBOOK COMPONENTS......................................................................... VII-1 TABLE 5. DEMONSTRATION CONTENT ................................................................................... X-2

RFP CDI 0845-33 Enterprise Information Portal RFP Section I – Introduction and Overview

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I INTRODUCTION AND OVERVIEW

I.1 Purpose of this Request for Proposal The purpose of this procurement is to obtain proposals from responsible firms that can develop and implement an Enterprise Information Portal (EIP) for the California Department of Insurance (CDI). This procurement includes implementation of business intelligence (BI) software that will provide CDI Executive management with user-friendly access to information about the Department’s operational status and metrics, industry health and potential problem areas, and provide an environment to better share data across the Department. This solution will leverage modern technology and use the extensive information currently available through CDI’s existing Integrated Data Base (IDB). This procurement is being conducted under the provisions of Public Contract Code 12102. Responses to this Request for Proposal (RFP) will be evaluated based on best value to the State. Best value to the State is the proposal that best meets, and potentially exceeds, the State’s administrative and technical requirements at the most reasonable overall cost to implement and operate, with an acceptable level of risk. Bidders should carefully read Section IX, Evaluation and Selection, to ensure they understand the evaluation process. Issuance of this RFP in no way constitutes a commitment by the State of California to award a contract. The State reserves the right to reject any or all proposals received if the State determines that it is in the State’s best interest to do so. The State may reject any proposal that is conditional or incomplete. This procurement is conducted in compliance with the Americans with Disabilities Act (ADA) as further explained in Exhibit I-1, ADA Compliance Policy. If you have any questions or requests pertaining to this compliance, contact the Procurement Official identified in Section I.4, Procurement Official.

I.2 Overview The Office of the Insurance Commissioner has the responsibility to enforce the insurance laws found in the California Insurance Code, California Code of Regulations, and other related laws. The role of the Insurance Commissioner is to regulate the insurance industry, thereby protecting California consumers from abusive insurance practices. The CDI regulates the largest insurance market in the United States with over $105 billion in direct premiums written in the State. In fulfilling its responsibility to protect California’s insurance policyholders, the Department conducts examinations of insurance companies and producers to ensure that operations are consistent with the requirements of the Insurance Code and that insurance companies are financially viable and able to meet their obligations to policyholders and claimants. The Department also investigates complaints and responds to consumer inquiries; administers the conservation and liquidation of insolvent and delinquent insurance companies; reviews and approves insurance rates; and is a major contributor in combating insurance fraud.


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CDI’s current data computing environment is made up of multiple client/server systems, Web-based systems, and commercial-off-the-shelf (COTS) systems. Approximately eighty-five percent of CDI’s data is located and maintained in one Oracle integrated database (IDB) that is located at Teale Data Center (TDC). As the name implies, the IDB is a collection of software applications and data stores that reside in a common, enterprise-wide technical architecture. Staff, management and Executive personnel across geographically dispersed organizational units utilize the IDB to support core business functions. The other data sources include a variety of systems, such as the CalSTARS financial system, the National Association of Insurance Commissioners’ (NAIC) systems, and various CDI business area Microsoft Access databases, among others. CDI is organized into nine branches (Administration & Licensing Services, Consumer Services & Market Conduct, Rate Regulation, Enforcement, Legal, Financial Surveillance, Community Relations, Policy/Planning, and Communications & Press Relations). Each Branch consists of multiple Divisions or Bureaus. Typically, each business area has its own client/server (Oracle Forms interface) or Web-based systems, which together make up the IDB. The original intent of the IDB development was to have a single cross-organization information source for the Department. However, as the IDB has evolved, the database has become a warehouse of multiple silos of information serving the specialized interests of the Department’s program areas. While this development has resulted in numerous applications that efficiently service CDI’s lines of business, it does not lend itself well to providing global Department-wide information that is reliable and accurate. Furthermore, this approach has resulted in duplicative information in a variety of business area silos. For Executive staff this poses a problem, as they do not have a simplified method to access critical Department-wide business information due to the “silo-ing” of application information and the various areas’ representation of the data. This is problematic as Executives want to ensure they have reliable data at their fingertips in order to stay abreast of the overall health and welfare of the Department—or at a minimum, they want access to the information in their business areas that they direct. CDI Executive staff requires information that is current, accurate and readily available that presents an image of the Department’s business activities in a self-service format. Detailed information about the existing systems is included in Section III, Existing Systems Overview.

I.3 Availability The selected Bidder must meet the requirements of this RFP and be ready to begin work on the Contract Award date specified in Section I.5, Key Action Dates. If personnel offered by a selected Bidder leave the Bidder’s firm or are otherwise unable to participate in this Contract, they must be replaced with equally qualified personnel who are accepted by the State, in accordance with Section V.6.2.8, Project Team Organization. A condition precedent to Contract Award is that the Bidder makes available the personnel it bid and the State evaluated and selected on the proposed Contract Award date. Failure to make any such staff available at the


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required time will allow the State the choice of exercising one of the following two (2) options: 1) accept equally qualified personnel in accordance with Section V.6.2.8, Project Team Organization, or 2) award this bid to and execute a Contract with the Bidder(s) with the next highest combined score. Should the selected Bidder fail in its performance of this Contract, or any other term or condition of this Contract, the Contractor may be excluded from participating in the State's bid processes for a period of up to 360 calendar days. I.4 Procurement Official The Procurement Official and the mailing address to send proposals and questions are:

Tom Burton, Senior Procurement Manager Department of General Services Procurement Division 707 Third Street, 2nd Floor West Sacramento, CA 95605 Phone: (916) 375-4493 Fax: (916) 375-4490 [email protected]

I.5 Key Action Dates Listed below are the key activities, actions, dates and times by which the activities must be taken or completed for this RFP. If the State finds it necessary to change any of these dates, it will be accomplished via an addendum to this RFP. ALL DATES AFTER THE SUBMISSION OF FINAL PROPOSALS ARE APPROXIMATE AND MAY BE ADJUSTED AS CONDITIONS INDICATE, WITHOUT ADDENDUM TO THIS RFP.

Table 1. Key Action Dates ACTION DATE 1. Release RFP March 30, 2005 2. Last Day to Request a Change in the RFP Requirements/Last Day to

Protest RFP Requirements April 15, 2005

3. Pre-Qualification Proposals Due (by 2:00 p.m. PDT) April 21, 2005 4. Notification of Pre-Qualification Results May 6, 2005 5. Draft Proposals Due (by 2:00 p.m. PDT) May 27, 2005 6. Confidential Discussions June 16 – 22, 2005 7. Last Day to Submit Questions regarding the RFP prior to submission of

Final Proposals July 6, 2005

8. Final Proposals Due (by 2:00 p.m. PDT) July 15, 2005 9. Bidder Demonstrations August 1 – 10, 2005 10. Cost Opening August 17, 2005 11. Notification of Intent to Award September 6, 2005 12. Contract Award* September 13, 2005

* Pending control agency approvals. Contract Award will be made only after all required State approvals are obtained.


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EXHIBIT I – 1. ADA COMPLIANCE POLICY ADA Notice

Procurement Division (State Department of General Services) AMERICANS WITH DISABILITIES ACT (ADA) COMPLIANCE

POLICY OF NONDISCRIMINATION ON THE BASIS OF DISABILITY

To meet and carry out compliance with the nondiscrimination requirements of the Americans With Disabilities Act (ADA), it is the policy of the Procurement Division (within the State Department of General Services) to make every effort to ensure that its programs, activities, and services are available to all persons, including persons with disabilities.

For persons with a disability needing a reasonable accommodation to participate in the Procurement process, or for persons having questions regarding reasonable accommodations for the Procurement process, please contact the Procurement Division at (916) 375-4400, the Procurement Division TTY/TDD (telephone device for the deaf) or California Relay Service numbers which are listed below. You may also contact directly the Procurement Division contact person that is handling this procurement.

IMPORTANT: To ensure that we can meet your need, it is best that we receive your requests at least 10 WORKING DAYS before the scheduled event (i.e., meeting, conference, workshop, etc.) or deadline due-date for Procurement documents.

The Procurement Division TTY telephone numbers are:

Sacramento Office: (916) 376-1891

Fullerton Office: (714) 773-2093

The California Relay Service Telephone Numbers are:

Voice: 1-800-735-2922 or 1-888-877-5379 TTY: 1-800-735-2929 or 1-888-877-5378 Speech to Speech: 1-800-854-7784


Section II – Rules Governing Competition

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II RULES GOVERNING COMPETITION

II.1 Identification and Classification of RFP Requirements The following section describes the entire procurement process. Specific guidelines for the submission of the RFP CDI 0845-33 response are found in Section VIII, Proposal Format.

II.1.1 Mandatory Requirements The State has established certain requirements with respect to proposals to be submitted by prospective Bidders1. The use of “shall,” “must,” or “will” in the RFP indicates a requirement or condition which is mandatory. A deviation, if not material, may be waived by the State. A deviation from a requirement is material if the response is not in substantial accord with the RFP requirements, provides an advantage to one Bidder over other Bidders, or has a potentially significant affect on the delivery, quantity or quality of items bid2, amount paid to the Bidder, or on the cost to the State. Material deviations cannot be waived.

II.1.2 Desirable Items The words “should” or “may” in the RFP CDI 0845-33 indicate desirable attributes or conditions, but are non-mandatory in nature.

II.2 PROPOSAL REQUIREMENTS AND CONDITIONS

II.2.1 General The RFP CDI 0845-33, the evaluation of responses, and the award of any resulting contract shall be made in conformance with current competitive bidding procedures as they relate to the procurement of goods and services by the State of California. A Bidder’s Final Proposal is an irrevocable offer for 90 days following the scheduled date for Contract Award specified in Section I.5, Key Action Dates. A Bidder may extend the offer in the event of a delay of Contract Award.

II.2.2 RFP Documents The RFP CDI 0845-33 includes an explanation of the State’s requirements and instructions, which prescribe the format and content of proposals to be submitted. The State’s contract has been included in Appendix A. If a Bidder discovers any ambiguity, conflict, discrepancy, omission, or other error in RFP CDI 0845-33, the Bidder shall immediately notify the State of such error in writing and request clarification or modification of the document. Modifications will be made by addenda issued pursuant to Section II.2.5, Addenda. Such clarifications shall be given by written and/or electronic notice to all parties that have been furnished RFP CDI 0845-33 for bidding purposes, without divulging the source of the request for same. Insofar as practicable, the

1 The word “Bidder” as used in this RFP refers to any provider of goods and/or services that participates in the proposal process in response to this RFP. 2 The word “bid” as used throughout this document is intended to mean “proposed,” “propose” or “proposal” as appropriate.



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State will give such notices to other interested parties, but the State shall not be responsible therefore. If RFP CDI 0845-33 contains an error known to the Bidder, or an error that reasonably should have been known, the Bidder shall propose at its own risk. If the Bidder fails to notify the State of the error prior to the date fixed for submission of proposals, and is awarded the contract, the Bidder shall not be entitled to additional compensation or time by reason of the error or its later correction.

II.2.3 Examination of the Work The Bidder should carefully examine the entire RFP and any addenda thereto, and all related materials and data referenced in RFP CDI 0845-33 or otherwise available to the Bidder, and should become fully aware of the nature and location of the work, the quantities of the work, and the conditions to be encountered in performing the work. Specific conditions to be examined are listed in Section V, Administrative Requirements, and Section VI, Functional and Technical Requirements.

II.2.4 Questions Regarding the RFP Bidders requiring clarification of the intent or content of RFP CDI 0845-33 or on procedural matters regarding the competitive proposal process may request clarification by submitting questions, in an envelope or email clearly marked “Questions Relating to RFP CDI 0845-33” to the Procurement Official listed in Section I.4, Procurement Official. To ensure a response, questions must be received in writing by the scheduled date(s) given in Section I.5, Key Action Dates, if a Bidder desires a response prior to submission of the proposals. The State will attempt to answer questions received after the scheduled date(s) given in Section I.5, Key Action Dates if time allows. Question and answer sets will be provided to all Bidders without identifying the submitters. If the Bidder believes that one or more of the RFP CDI 0845-33 requirements is onerous, unfair, or imposes unnecessary constraints on the Bidder in proposing less costly or alternate solutions, the Bidder may request a change to RFP CDI 0845-33 by submitting, in writing, the recommended change(s) and the facts substantiating this belief and reasons for making the recommended change. Such request must be submitted to the Procurement Official by the date specified in Section I.5, Key Action Dates, for submitting a request for change to requirements. For the purposes of the instructions of this RFP, all Bidders that have been sent copies of the RFP for the purpose of submitting a proposal are called Bidders until such time that the Bidder withdraws or other facts indicate that the Bidder has become nonparticipating.

II.2.5 Addenda

The State may modify the RFP prior to the date fixed for Contract Award by issuance of an addendum to all Bidders that are participating in the bidding process at the time the addendum is issued, unless the amendments are such as to offer the opportunity for nonparticipating Bidders to become participating, in which case, the addendum will be sent to all Bidders that



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have received the RFP for bidding purposes. Addenda will be numbered consecutively. If any Bidder determines that an addendum unnecessarily restricts its ability to propose, the Bidder is allowed five (5) working days to submit a protest to the addendum according to the instructions contained in Section II.5.1, Protests.

II.2.6 Bonds Each agency reserves the right to require a performance bond. If a performance bond is required for this procurement, it will be specified in Section V, Administrative Requirements.

II.2.7 Joint Bids A joint bid (two or more Bidders quoting jointly on one bid) may not be submitted for this procurement.

II.2.8 Air or Water Pollution Violations Unless the contract is less than $5,000 or with a sole source Bidder, Government Code Section 4477 prohibits the State from contracting with a person, including a corporation or other business association, who is in violation of any order or resolution promulgated by the State Air Resources Board or an air pollution control district, or is subject to a cease and desist order issued under Water Code Section 133011 for violation of waste discharge requirement or discharge prohibitions, or is determined to be in violation of federal law relation to air or water pollution. Government Code Section 4481 requires the State Water Resources Control Board and the Air Resources Board to notify State agencies of such persons. No award will be made to a person who is identified as a person in violation of State or Federal air or water pollution control laws.

II.2.9 Fair Employment and Housing Commission Regulations The California Government Code Section 12990 requires all State Bidders to have implemented a Nondiscrimination Program before entering into any contract with the State. The Department of Fair Employment and Housing (DFEH) randomly selects and reviews State Bidders to ensure their compliance with the law. DFEH periodically disseminates a list of Bidders that have not complied. Any Bidder so identified is ineligible to enter into any State contract.

II.2.10 Exclusion for Conflict of Interest No consultant shall be paid out of State funds for developing recommendations on the acquisition of EDP products or services or assisting in the preparation of a feasibility study, if that consultant is to be a source of such acquisition or could otherwise directly and/or materially benefit from State adoption of such recommendations or the course of action recommended in the feasibility study. Further, no consultant shall be paid out of State funds for developing recommendations on the disposal of State surplus EDP products, if that consultant would directly and/or materially benefit from State adoption of such recommendations.

II.2.11 Follow-on Contracts No person, firm, or subsidiary thereof who has been awarded a consulting services contract, or a contract which includes a consulting component, may be awarded a contract for the



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provision of services, delivery of goods or supplies, or any other related action which is required, suggested, or otherwise deemed appropriate as an end product of the consulting services contract. Therefore, any consultant who contracts with a State agency to develop formal recommendations for the acquisition of EDP products or services is precluded from contracting for any work recommended in the formal recommendations (formal recommendations include, among other things, feasibility studies.) Visionary Integration Professionals, Inc. and Sabot Technologies, Inc. are precluded from participating in this acquisition.

II.2.12 Disclosure of Financial Interests Proposals in response to State procurements for assistance in preparation of feasibility studies or the development of recommendations for the acquisition of EDP products and services must disclose any financial interests (e.g., service contract, Original Equipment Manufacturer (OEM) agreements, re-marketing agreements) that may foreseeably allow the individual or organization submitting the proposal to materially benefit from the State’s adoption of a course of action recommended in the feasibility study or the acquisition recommendations. If, in the State’s judgment, the financial interest will jeopardize the objectivity of the recommendations, the State may reject the proposal. In addition, should a Bidder establish or become aware of such a financial interest during the course of contract performance, the Contractor must inform the State in writing within 10 working days. If, in the State’s judgment, the newly established financial interest will jeopardize the objectivity of the recommendations, the State shall have the sole discretion of terminating the contract. Failure to disclose a relevant financial interest on the part of a Bidder will be deemed grounds for termination of the contract with all associated costs to be borne by the Bidder and, in addition, the Bidder may be excluded from participating in the State’s bid processes for a period of up to 360 calendar days in accordance with Public Contract Code Section 12102 (j).

II.3 BIDDING STEPS

II.3.1 Preparation of Proposals Exhibit II-A, Competitive Bidding and Bid Responsiveness, located at the end of Section II, emphasizes the requirements of competitive bidding and contains examples of common causes for rejection of bids. Bidders are encouraged to review this exhibit. Proposals are to be prepared in such a way as to provide a straightforward, concise delineation the Bidder’s compliance with the requirements of this RFP. Expensive bindings, colored displays, promotional materials, etc., are not necessary or desired. Emphasis should be concentrated on conformance to the RFP instructions, responsiveness to the RFP requirements, and on completeness and clarity of content. Before submitting each document, the Bidder should carefully proof the Proposal for errors and adherence to the RFP requirements.



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II.3.2 Bidder Pre-Qualification Proposal A Bidder that chooses to participate in this procurement must submit a complete Pre-Qualification Proposal. Pre-Qualification Proposals must be complete in all respects, including a signed Pre-Qualification Proposal Transmittal Form. All Pre-Qualification Proposals will be reviewed in accordance with the evaluation criteria defined for the Pre-Qualification Proposal in Section IX, Evaluation and Selection. All Bidders that do not pass the Pre-Qualification step will be excluded from the remaining steps of the procurement process. A Bidder that does not submit a Pre-Qualification Proposal by the date and time specified in Section I.5, Key Action Dates, is automatically eliminated from further competition.

II.3.3 Notification of Pre-Qualification Results Bidders selected to continue in the competition from the pre-qualification phase will be notified by the State and will be invited to submit Draft and Final Proposals. All other Bidders will be notified that they failed to qualify for the submission of Draft and Final Proposals.

II.3.4 Draft Proposals Submission of a Draft Proposal is strongly recommended so that the Bidder may obtain the benefit of the two-step procurement process. If Draft Proposals are submitted, Bidders must submit them by the date and time specified in Section I.5, Key Action Dates. The Draft Proposals must be complete in all respects except that dollar cost information must be replaced by XXXs. The State Evaluation Team will evaluate each Draft Proposal and notify the Bidder of any defects it has noted. Such notification is intended to minimize the risk that the Final Proposal will be deemed non-responsive; however, the State will not provide any warranty that all defects in the Draft Proposal have been detected and that such notification will not preclude rejection of the Final Proposal if such defects are later found.

II.3.5 Confidential Discussions The State will conduct confidential discussions with Bidders submitting Draft Proposals. At the confidential discussion, the State will identify areas of the Bidder’s Draft Proposal that may not be fully responsive to the requirements of the RFP and areas that are confusing to the State Evaluation Team. Oral statements made by either party during confidential discussions shall not be binding.

II.3.6 Final Proposal

II.3.6.1 Submission of Final Proposal Proposals must be complete in all respects as required by Section VIII, Proposal Format. A Final Proposal may be rejected if it is conditional or incomplete, or if it contains any alterations of form or other irregularities of any kind. A Final Proposal shall be rejected if any such defect or irregularity constitutes a material deviation from the RFP requirements. The Final Proposal must contain all costs required by Section VII, Cost, and Section VIII, Proposal Format. The Cost Proposal (as identified in Section VIII, Proposal Format) must



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be submitted under separate, sealed cover. If the Cost Proposal is not submitted under separate sealed cover, the Final Proposal may be rejected.

II.3.6.2 Evaluation of Final Proposals During evaluation of the Final Proposal, the State Evaluation Team will not accept additional information.

II.3.6.3 Flawed Final Proposals At the State’s sole discretion it may declare the Final Proposal to be a Draft Proposal in the event that the State Evaluation Team determines that Final Proposals from all Bidders contain material deviations and that it is in the best interest of the State to continue the bid process. There is no protest available if the Evaluation Team determines that all of the Final Proposals are non-responsive. If this occurs, the State will issue an addendum to the RFP and confidential discussions will be held with Bidder’s who are interested in continuing to be considered and that request a confidential discussion. Each Bidder will be notified of the due date for the submission of a new Final Proposal to the State. This submission must conform to the requirements of the original Final Proposal as amended by any subsequent addenda. The new Final Proposals will be evaluated in the same manner as the original Final Proposal.

II.3.6.4 Confidentiality Final Proposals are public upon opening; however, the contents of all proposals, correspondence, agenda, memoranda, working papers, or any other medium which discloses any aspect of a Bidder’s proposal shall be held in confidence until notice of intend to award. Bidders should be aware that making a document “confidential” or “proprietary” in a Final Proposal will not keep that document, after notice of intent to award, from being released as part of the public record, unless a court has ordered the State not to release the document. The content of all working papers and discussions relating to the Bidder’s proposal shall be held in confidence indefinitely unless the public interest is best served by an item’s disclosure because of its direct pertinence to a decision, agreement or the evaluation of the bid. Any disclosure of confidential information by the Bidder is a basis for rejecting the Bidder’s proposal and ruling the Bidder ineligible to further participate. Any disclosure of confidential information by a state employee is a basis for disciplinary action, including dismissal from State employment, as provided by Government Code Section 19570 et seq. Maintaining the confidentiality of information that is designated as confidential by the State is paramount; it cannot be over emphasized.

II.3.7 Submission Final Proposals This section describes specific guidelines applicable to the submission of the Final Proposal to the RFP and is applicable to the New Final Proposal if all original Final Proposals are flawed.

II.3.7.1 Bidder’s Costs

Costs for developing Proposals and bids are entirely the responsibility of the Bidder and shall not be chargeable to the State.



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II.3.7.2 Completion of Proposals and Bids Proposals and bids must be complete in all respects as required by the RFP Section VIII, Proposal Format. A Final Bid may be rejected if it is conditional or incomplete, or if it contains any alterations of form or other irregularities of any kind. A Final Bid must be rejected if any defect or irregularity constitutes a material deviation from the RFP requirements. The Final Bid must contain all costs required by the RFP sections on Cost and Proposal Format. The Cost Proposal must be submitted under a separate, sealed cover. EXHIBIT II-A, COMPETITIVE BIDDING AND BID RESPONSIVENESS, emphasizes the requirements of competitive bidding and contains examples of common causes for rejection of bids. Bidders are encouraged to review this exhibit.

II.3.7.3 False or Misleading Statements Proposals which contain false or misleading statements or which provide references which do not support an attribute or condition claimed by the Bidder may be rejected. If, in the opinion of the State, such information was intended to mislead the State in its evaluation of the Proposal and the attribute, condition, or capability is a requirement of this RFP, it will be the basis for rejection of the Proposal.

II.3.7.4 Signature of Proposals A cover letter (which shall be considered an integral part of the submission) shall be signed by an individual who is authorized to bind the bidding firm contractually. The signature must indicate the title or position that the individual holds in the firm. An unsigned Final Proposal shall be rejected. In addition, the bidder must submit the correct number of signed copies of the contract (Appendix A) – please refer to Section VIII, Proposal Format. The Draft Proposal must also contain the cover letter, similarly prepared, including the title of the person who will sign, but need not contain the signature.

II.3.7.5 Delivery of Proposals The Pre-Qualification Proposal, Draft Proposal, and Final Proposal must be submitted by the date and time specified in Section I.5, Key Action Dates. If mailed, proposals must be received on or before the specified date and time. Mail or deliver proposals to the Department of General Services contact listed in Section I.4, Procurement Official. If mailed, it is suggested to use certified or registered mail with return receipt requested as mailing of proposals is done at Bidder’s own risk of untimely delivery, lost mail, etc. Proposals must be received in the number of copies stated in Section VIII, Proposal Format. Proposals must be received no later than the dates and times specified in Section I.5, Key Action Dates. One (1) copy must be clearly marked “Master Copy”. All copies of proposals must be under sealed cover which is to be plainly marked “FINAL PROPOSAL for RFP CDI 0845-33”. Final Proposals not received by the date and time specified in Section I.5, Key Action Dates, will be rejected. As required in Section VIII, Proposal Format, all cost data must be submitted under separate, sealed cover and clearly marked “COST PROPOSAL”. If cost data are not



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submitted separately sealed, the proposal will be rejected. Proposals submitted under improperly marked covers may be rejected. If discrepancies are found between two or more copies of the proposal, the proposal may be rejected. However, if not rejected, the Master Copy is the basis for resolving discrepancies.

II.3.7.6 Withdrawal and Resubmission/Modification of Proposals A Bidder may withdraw its Final Proposal at any time prior to the proposal submission date and time specified in Section I.5, Key Action Dates, by submitting a written notification of withdrawal signed by the Bidder authorized in accordance with Section II.3.7.4, Signature of Proposals. The Bidder may thereafter submit a new or modified proposal prior to such proposal submission date and time. Modification offered in any other manner, oral or written, will not be considered. Clarifications of Final Proposals are not modifications. Final Bids cannot be changed or withdrawn after the date and time designated for receipt, except as provided in Section II.3.10.3, Errors in the Final Proposal.

II.3.8 Demonstrations The demonstration is intended to provide the State the ability to verify the claims made by the Bidder in response to the requirements specified in Section VI, Functional and Technical Requirements. During the demonstration, the Bidder must demonstrate that a State-selected sample of mandatory requirements can be satisfied by the Bidder’s proposed EIP solution. The State-selected requirements are specified in Section X, Demonstrations. Demonstrations will be performed by the qualified Bidders as part of the State’s evaluation of the Bidder’s technical and administrative components of the Final Proposal. Demonstrations will be evaluated and scored in accordance with the criteria specified in Section IX, Evaluation and Selection.

II.3.9 Sealed Cost Openings Final Bids will not have their sealed cost envelopes opened until the State has evaluated the technical and administrative bids, and points have been awarded. On the date of the cost opening, the State will distribute a summary of the points awarded to each Bidder. This summary will be distributed to all the Bidders and the public in attendance at the cost opening.

II.3.10 Rejection of Bids The State may reject any or all bids and may waive any immaterial deviation or defect in a bid. The State’s waiver of any immaterial deviation or defect shall in no way modify the RFP documents or excuse the Bidder from full compliance with the RFP specifications if awarded the contract.

II.3.10.1 General Final Proposals and bids will be evaluated according to the procedures contained in the Section IX, Evaluation and Selection.

II.3.10.2 Evaluation Questions

During the evaluation and selection process, the State may desire the presence of a Bidder’s representative for answering specific questions, orally and/or in writing.



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II.3.10.3 Errors in the Final Proposal An error in the Final Proposal may cause the rejection of that proposal; however, the State, in its sole discretion, may retain the proposal and make certain corrections. In determining if a correction will be made, the State will consider the conformance of the proposal to the format and content required by the RFP, and any unusual complexity of the format and content required by the RFP.

1. The State, in its sole discretion, may correct obvious clerical errors.

2. The State, in its sole discretion, may correct discrepancy and arithmetic errors on the basis that, if intent is not clearly established by the complete proposal submittal, the Master Copy shall have priority over additional copies, the Proposal Master Copy narrative shall have priority over the contract, the contract shall have priority over the cost sheets. If necessary, the extensions and summary will be recomputed accordingly, even if the lowest level of detail is obviously misstated. The total price of unit-price items will be the product of the unit price and the quantity of the item. If the unit price is ambiguous, unintelligible, uncertain for any cause, or is omitted, it shall be the amount obtained by dividing the total price by the quantity of the item.

3. If a Bidder does not follow the instructions for computing costs not related to the contract (e.g., State personnel costs), the State may reject the proposal, or in its sole discretion, re-compute such costs based on instructions contained in the RFP.

It is absolutely essential that Bidders carefully review the cost elements in their Final Proposal.

4. In the event an ambiguity or discrepancy between the general requirements described in Section III, Existing Systems Overview, and the specific functional and technical requirements set forth in Section VI, Functional and Technical Requirements, is detected after the opening of bids, Section VI, and the Bidder’s response thereto, shall have priority over Section III and the Bidder’s response thereto.

II.3.11 Contract Award Award of contract, if made, will be in accordance with Section IX, Evaluation and Selection, to a responsible Bidder whose Final Proposal complies with the requirements of the RFP and any addenda thereto, except for such immaterial defects as may be waived by the State. Award, if made, will be made within ninety (90) days (if no protest of the award is received) after the scheduled date for the Intent to Award. If a protest is received, the Award, if made, will be after the protest is resolved. The State reserves the right to modify or cancel in whole or in part its RFP.

II.3.12 Debriefing A debriefing will be held after Contract Award at the request of any Bidder for the purpose of receiving specific information concerning the evaluation. The discussion will be based



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primarily on the technical and cost evaluations of the Bidder’s Final Proposal. A debriefing is not the forum to challenge the RFP specifications or requirements.

II.4 Contract Terms and Conditions

II.4.1 Incorporation of Contract Language The contract terms and conditions to be awarded are included in the solicitation document in its final form, and any alteration by a Bidder will result in rejection of its proposal.

The following contractual terms, conditions, and provisions are incorporated into this procurement and are included, for reference purposes, on the DGS websites:

The IT General Provisions (Revised and Effective 08/16/2004) [http://www.pd.dgs.ca.gov/modellang/GeneralProvisions.htm]

Information Technology Purchase Special Provisions [http://www.pd.dgs.ca.gov/modellang/ITModules.htm]

Information Technology Maintenance Special Provisions [http://www.pd.dgs.ca.gov/modellang/ITModules.htm]

Information Technology Software License Special Provisions [http://www.pd.dgs.ca.gov/modellang/ITModules.htm]

Information Technology Personal Services Special Provisions [http://www.pd.dgs.ca.gov/modellang/ITModules.htm]

II.4.2 Term of Contract The one-time system customization and implementation portion of the Contract will address the functionality needed to fully implement the EIP. In addition to the one-time system customization and implementation activities, the successful Bidder will be responsible, at the State’s option, to provide version upgrades and support (if needed) for the COTS BI product for up to three (3) years. The State will have the ability to exercise up to three (3) one-year contract option(s), or to contract for version upgrades and support separately from another provider. (Note: The one-time system customization and implementation costs must include one year of version upgrades. The one-year period begins the day CDI formally accepts the system in writing.)

II.5 OTHER INFORMATION

II.5.1 Protests

Before a protest is submitted regarding any issue other than selection of the "successful Bidder," the Bidder must make full and timely use of the procedures described in Section II.2.4, Questions Regarding the RFP, to resolve any outstanding issues between the Bidder and the State. The procurement procedure is designed to give the Bidder and the State adequate opportunity to submit questions and discuss the requirements before the Final Proposal is due.



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The protest procedure is made available in the event that a Bidder cannot reach a fair agreement with the State after exhausting these procedures. In such cases, a protest may be submitted according to the procedure below. Protests regarding any issue other than selection of the "successful Bidder" will be heard and resolved by the Deputy Director of the Department of General Services Procurement Division whose decision will be final. If a Bidder has submitted a Pre-Qualification Proposal which the State has not selected and the Bidder believes it should have been selected according to the evaluation procedure in the section on Evaluation and Selection and the Bidder believes the State incorrectly evaluated their Pre-Qualification Proposal, the Bidder may submit a protest of the selection as described below. Protests regarding selection of the "successful Bidder" will be heard and resolved by the Deputy Director of the Department of General Services, Procurement Division, whose decision will be final. Protests related to the Pre-Qualification Proposal must be submitted within five (5) State work days of the date the Bidder is notified of their rejection or the protest will be rejected. If a Bidder has submitted a Final Proposal which it believes to be totally responsive to the requirements of this RFP and to be the bid that should have been selected according to the evaluation procedure in the section on Evaluation and Selection and the Bidder believes the State has incorrectly selected another Bidder for award, the Bidder may submit a protest of the selection as described below. Protests regarding selection of the "successful Bidder" will be heard and resolved by the Victims Compensation and Government Claims Board, whose decision will be final. All protests must be made in writing, signed by an individual who has contractual authority to bind the bidding company, and contain a statement of the reasons for protest; citing the law, rule, regulation or procedures on which the protest is based. The protester must provide facts and evidence to support the claim. Protests must be mailed or delivered to:

Street Address Mailing Address Deputy Director Deputy Director Department of General Services Department of General Services Procurement Division Procurement Division 707 3rd Street, Second Floor P.O. Box 989054 West Sacramento, Ca 95605 Sacramento, Ca 95798-9054

All protests of the RFP or protests concerning the evaluation, recommendation, or other aspects of the selection process must be received by the Deputy Director of the Procurement Division as promptly as possible, but not later than the respective times and dates specified in Section I.5, Key Action Dates, for such protests or the respective date in the Notification of Intent to Award, whichever is later. Certified or registered mail must be used unless delivered in person, in which case the protester should obtain a receipt of delivery.



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II.5.2 News Releases News releases or any publications relating to a contract resulting from this RFP shall not be made without prior written approval of the Procurement Official listed in Section I.5.

II.5.3 Disposition of Proposals All materials submitted in response to this RFP will become the property of the State of California and will be returned only at the State’s option and at the Bidder’s expense. At a minimum, the Master Copy shall be retained for official files and will become a public record after the Notification of Intent to Award as specified in Section I.5, Key Action Dates. However, confidential financial information submitted in support of the requirement to show Bidder responsibility will be returned upon request unless it is relevant to a timely protest.



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Exhibit II–A

COMPETITIVE BIDDING AND BID RESPONSIVENESS The purpose of competitive bidding is to secure public objectives in the most value-effective manner and avoid the possibilities of graft, fraud, collusion, etc. Competitive bidding is designed to benefit the State and is not for the benefit of the Bidders. It is administered to accomplish its purposes with sole reference to the public interest. It is based upon full and free bidding to satisfy State specifications, and acceptance by the State of the most value-effective solution to the State’s requirements, as determined by the evaluation criteria contained in the Request for Proposal (RFP).

Competitive bidding is not defined in any single statute but is more in the nature of a compendium of numerous court decisions. From such court decisions, the following rules have evolved, among others:

1. RFP must provide a basis for full and fair competitive bidding among Bidders on a common standard, free of restrictions tending to stifle competition.

2. The State may modify the Request for Proposals (RFP), prior to the date fixed for Intent to Award, by issuance of an addendum to all parties who have been furnished with the RFP for bidding purposes.

3. To have a valid bid, the bid must respond and conform to the invitation, including all the documents, which are incorporated therein. A bid which does not literally comply may be rejected.

4. For a variance between the request for bids and the bid to be such as to preclude acceptance (the bid must be rejected), the variance or deviation must be a material one.

5. State agencies usually have the express or implied right to reject any and all bids in the best interests of the State. Bids cannot, however, be selectively rejected without cause.

6. Bids cannot be changed after the time designated for receipt and opening thereof. No negotiation as to the scope of the work, amount to be paid, or contractual terms is permitted.

7. A competitive bid, once opened and declared, is in the nature of an irrevocable option and a contract right of which the public agency cannot be deprived without its consent, unless the requirements for rescission are present. All bids become public documents.

8. Bids cannot be accepted “in part,” unless the invitation specifically permits such an award.

9. Contracts entered into through the competitive bidding process cannot later be amended, unless the RFP includes a provision, to be incorporated in the contract awarded, providing for such amendment.



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Exhibit II–A, (Continued) Since competitive procurement became the required method for securing certain EDP goods or services, the State has received a number of bids which were deemed to be non-responsive to the Request for Proposals (RFP) or which could not be considered as valid bids within the competitive bidding procedures. Non-responsive bids or bids which contain qualifications must be rejected. Many of the causes for rejection arise from either an incomplete understanding of the competitive bidding process or administrative oversight on the part of the Bidders. The following examples are illustrative of more common causes for rejection of bids. These examples are listed solely to assist potential Bidders in submission of responsive bids.

1. A bid stated, “The prices stated within are for your information only and are subject to change.”

2. A bid stated, “This proposal shall expire ninety (90) days from this date unless extended in writing by the ____________ Company.” (In this instance award was scheduled to be approximately 90 days after bid submittal date.)

3. A bid for lease of EDP equipment contained lease plans of a duration shorter than that which had been requested in the RFP.

4. A personal services contract stated, “____________, in its judgment, believes that the schedules set by the State are extremely optimistic and probably unobtainable. Nevertheless, ____________ will exercise its best efforts...”

5. A bid stated, “This proposal is not intended to be of a contractual nature.” 6. A bid contained the notation “prices are subject to change without notice.” 7. A bid was received for the purchase of EDP equipment with unacceptable modifications

to the Purchase Contract. 8. A bid for lease of EDP equipment contained lease plans of a duration longer than that

which had been requested in the RFP with no provision for earlier termination of the contract.

9. A bid for lease of EDP equipment stated, “...this proposal is preliminary only and the order, when issued, shall constitute the only legally binding commitment of the parties.”

10. A bid was delivered to the wrong office. 11. A bid was delivered after the date and time specified in the RFP. 12. An RFP required the delivery of a performance bond covering 25 percent of the proposed

contract amount. The bid offered a performance bond to cover “x” dollars which was less than the required 25 percent of the proposed contract amount.

13. A bid did not meet contract goal for DVBE participation and did not follow the steps required by the bid to achieve a “good faith effort.”

14. A bid appeared to meet contract goal for DVBE participation with the dollars submitted, but the contractor had miscalculated the bid costs. When these corrections were made by the State, the contractor’s price had increased and the dollars committed for DVBE participation no longer met goal. The contractor had not followed the steps to achieve a “good faith effort.”

RFP CDI 0845-33 Enterprise Information Portal RFP Section III – Existing Systems Overview

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III EXISTING SYSTEMS OVERVIEW

III.1 Program Overview The Office of the Insurance Commissioner has the responsibility to enforce the insurance laws found in the California Insurance Code, California Code of Regulations, and other related laws. The role of the Insurance Commissioner is to regulate the insurance industry, thereby protecting California consumers from abusive insurance practices. The California Department of Insurance (CDI) regulates the largest insurance market in the United States with over $105 billion in direct premiums written in the state. In fulfilling its responsibility to protect California’s insurance policyholders, the Department conducts examinations of insurance companies and producers to ensure that operations are consistent with the requirements of the Insurance Code and that insurance companies are financially viable and able to meet their obligations to policyholders and claimants. The Department also investigates complaints and responds to consumer inquiries; administers the conservation and liquidation of insolvent and delinquent insurance companies; reviews and approves insurance rates; and is a major contributor in combating insurance fraud. CDI’s current data computing environment is made up of multiple client/server systems, Web-based systems, and commercial-off-the-shelf (COTS) systems. Approximately eighty-five percent of CDI’s data is located and maintained in one Oracle integrated database (IDB) that is located at Teale Data Center (TDC). As the name implies, the IDB is a collection of software applications and data stores that reside in a common, enterprise-wide technical architecture. Staff, management and Executive personnel across geographically dispersed organizational units utilize the IDB to support core business functions. The other data sources include a variety of systems, such as the CalSTARS financial system, the National Association of Insurance Commissioners’ (NAIC) systems, and various CDI business area Microsoft Access databases, among others. The CDI organization chart is provided below. Typically, each business area has its own client/server (Oracle Forms interface) or Web-based systems, which together make up the IDB. The original intent of the IDB development was to have a single cross-organization information source for the Department. However, as the IDB has evolved, the database has become a warehouse of multiple silos of information serving the specialized interests of the Department’s program areas. While this development has resulted in numerous applications that efficiently service CDI’s lines of business, it does not lend itself well to providing global Department-wide information that is reliable and accurate. Furthermore, this approach has resulted in duplicative information in a variety of business area silos. For Executive staff this poses a problem, as they do not have a simplified method to access critical Department-wide business information due to the “silo-ing” of application information and the various areas’ representation of the data. This is problematic as Executives want to ensure they have reliable data at their fingertips in order to stay abreast of the overall health and welfare of the Department—or at a minimum, they want access to the information in their

RFP CDI 0845-33 Enterprise Information Portal RFP Section III – Existing Systems Overview

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business areas that they direct. CDI Executive staff requires information that is current, accurate and readily available that presents an image of the Department’s business activities in a self-service format.


Section III – Program and Systems Overview

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III.2 Business Objectives CDI currently lacks the analytical tools to consolidate, analyze and report on management information that is maintained by different Bureaus and contained in the IDB. In order to address these problems, CDI is undertaking the EIP project to meet the following objectives:

1. Provide Executives, managers and staff with easy access to strategic and tactical information from a consolidated source of data that can be used for analytical purposes.

2. Improve the ability to share IDB information across the organization. 3. Reduce the reliance on ITD staff to develop queries of IDB data that support management

decision-making. 4. Track effectiveness of CDI’s programs in meeting established targets, goals and

performance objectives. 5. Respond more timely to external information requests from constituents, industry,

Legislature, control agencies, and other stakeholders.

III.3 Existing Systems Overview The following systems currently provide IT support for the business processing needs of the seven CDI Branches. The following diagram depicts the core CDI applications, and the sources of the information stored in the IDB. The COTS products (depicted in yellow) are interfaces with the IDB. NAIC (depicted in red) shows the connection with the external NAIC database.

Figure 1. CDI Core Applications

CDI Oracle Integrated Data Base (IDB)Hardware: Sun V880 residing at Teale Data Center

Software: Oracle 8.1.7.4Clients: Internet clients & 1,000+ Departmental clients

HumanResourcesSys

tem

Budget InfoTrking/Accts

Receivable

ConsumerServicesSystems

PremiumComparison

Surveys

EFT

AutoLiability

FIDB/eFD-1

Auto/PDStudies

InvestigationSystems

RateRegulation

Early Warning

TimeKeeping

ExamTrackingSystems

FinancialsServicesSystems

CompanyTable

ApplicationTrackingSystems

LicensingSystems

COIN

LawPackDocsOpen

Exam BuilderIVRPIN

CFW/RC[COTS}

NAIC[external]



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The table below lists the IDB Applications, Web-Based Application Systems, and other CDI Business Applications and Interfaces.

CDIMENU Many of CDI’s client/server systems reside on the CDIMENU. Below is a screen shot of the main menu. Additional sub-systems reside below the menu bar at the top of the screen shot.



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Table 2. CDI Application Descriptions

ADAM Supported Systems/Functions (as of 02/02/05)

DESCRIPTION

C D I M E N U A P P L I C A T I O N S

Accounting – Financials

This system allows Department staff to create customer invoice batches to “feed” the Oracle Financials system from various functions of the department such as ‘FAD Reviews’, ‘Certificate of Authority billings’, ‘Late Filing Fees’ and others. ADAM staff also maintains various Financial reports, letters, and sub systems on CDIMENU.

Application Tracking System (Filings)

This system enables Department staff to track insurance company application and financial changes including but not limited to the admission to California, authorization of new lines of insurance; approving a re-insurance agreement; name change approvals, etc.

Auto Liability Study Department study of Liability Insurance on autos in California.

Auto Physical Damage Survey Department study of Physical Damage insurance on autos in California.

Company Information Tracking

This system allows tracking of companies or Insurer information and provides that information throughout the Integrated database. Captures and tracks general company information including company history such as company license history, changes in the state of domicile, date incorporated, business start date, company addresses, company contacts, company phone numbers, company status information, authorized lines of business, company name and ownership changes and mergers.

Consumer Communication Systems and Reporting

CSD uses several modules from CDIMENU to support their business. Consumer Communications Bureau applications include a brochure tracking module which tracks inventory for brochures that are sent to consumers and as well as track quantity on hand; a call qualifying module, premium surveys, entity information directories, and earthquake/auto mediation tracking modules. Consumer Services enters consumer inquiries and complaints against insurers, agents or brokers, and consumer requests.

Early Warning System

Department system that allows CDI staff to input information on Insurance companies that may have an impact on insolvency. Comprises a repository of issues concerning company performance/solvency that are monitored and graded for severity.

Electronic Funds Transfer System System provides Accounting staff the ability to track electronic funds received and create reports.



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DESCRIPTION

Exam Tracking Systems

This system enables Department staff to track field exams on companies who market insurance services. Provides information on exams conducted by Field Examination Division, Field Rating and Underwriting, and Market Conduct. Scheduled exams, completed exams, exam history, exam team members, exam findings, exam recommendation, date of the next exam, and insurance code violations are some of the items entered through the Exam Tracking system.

Financial Services Branch Systems (Exam, Statement & Review Tracking Systems)

Financial Services Branch uses several modules to assist in their operations. Included is a Financials Analysis Division’s (FAD) Company Review module, a statement-tracking module, a FAD Exam tracking piece that tracks Non-California exams, and a Field Exam piece for CA Exams.

Investigations Systems (Case, Mail & Time Tracking)

This system assists our Investigations Division to track potential Fraud, theft, and other behavior in violation of their license that may be performed by Insurance Providers such as Agencies, Agents, Surplus Lines Companies. Also tracks mailings and Investigation staff time.

Licensing System(s)

Licensing Reports/Letters

The Producer Licensing Bureau utilizes a sub system that enables them to do a variety of things such as produce reports, generate queries, produce letters, create mailing labels, generate notices, etc.

Personnel Tracking System Allows Human Resource (HR) staff to enter new employee information, and update existing employee information, such as their position number, classification, start date, supervisor, work unit, etc.

Timekeeping System (TARS) System designed for all CDI employees to utilize TARS for timekeeping purposes. Several branches have custom developed interfaces for their specific use, and the data is then ‘transferred’ to TARS programmatically.

Rate Regulation Tracking System (Filings) Rate Filing Tracking System allows for rate and form filing tracking and analysis. Classification Plan tracking is also included.

Resource Tracking System (Version Control; ITD Time, Resource Mgmt, Phone Lists)

Allows ITD staff to track service requests, allows analysis input, and internal timekeeping. System enables version control and tracking of client/server forms and reports; weekly reporting on projects; and various management reports in terms of time, assignments and projections based on service request number.

I N T E R N E T S U R V E Y S A N D S Y S T E M S

Auto Survey This system provides Auto Insurance premium comparisons via a variety of insurers who market this type of insurance. This is available on the Internet as well as our client server “CDIMENU” platform.



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DESCRIPTION

CDI Scheduled Exam Dates This Internet page allows potential licensees to look up their exam dates based on specific criteria.

Check your License Status This Internet link allows the primarily our producers and brokers to look up their license status information.

Company by Lines of Insurance This Internet page allows consumers to “look up” companies that are licensed to sell insurance in CA.

Company Profiles This Internet page allows consumers to “look up” company profile information such as complaint history, and financial strength.

Education Provider Course Search This allows potential licensees to “look up” continuing education and pre-licensing courses.

Education Provider System

The Internet System enables registered education providers to submit their class rosters and to submit, modify or cancel their course offerings. Providers are also able to view ‘error reports’ for their processed roster files, via email. This system also updates various data fields in our licensing systems. Providers are also allowed to ‘upload’ their data via a fixed format text file.

Electronic eFD-1

This Internet System allows Insurance companies and third party administrators to file suspected fraudulent claims electronically. The information from this system automatically interfaces with CDI's FIDB system.

Exam Scheduling and Testing

CDI provides a link to consumers to utilize this system written by Exam Builder. CDI has the responsibility of writing/maintaining the data interface to our core licensing system, and is also responsible for the interface to the scheduling portion of this system.

Fast Internet Licensing Application System is Here (FLASH)

System allows potential licensees to submit their applications to sell insurance in the state of California. This system accepts credit card transactions and went ‘live’ in August of 2003.

Homeowners Survey This system provides Homeowner Care Insurance premium comparisons via a variety of insurers who market this type of insurance. This is available on the Internet as well as our client server “CDIMENU” platform.

Long Term Care Survey This Internet system provides Long Term Care Insurance premium comparisons via a variety of insurers who market this type of insurance.

Medicare Supplement Survey This Internet system provides Medicare Insurance premium comparisons via a variety of insurers who market this insurance.

Request for Assistance/Contact Us Internet Form

These Internet based systems allows the public to enter 'requests for assistance' via our website.



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DESCRIPTION

Title Insurance Survey This Internet system provides Title Insurance premium comparisons via a variety of insurers who market this type of insurance.

O T H E R A P P L I C A T I O N S/ I N T E R F A C E S

Budget Information Tracking System

Allows CDI Budget staff to enter budgeted allotments and then adjust as necessary the information required for the Governor’s Budget; provides reporting; provides the ability to track, maintain and reconcile Department positions.

Cashiering for Windows/Revenue Collector/IC Verify

This vendor-supported software is designed to accept payments by cash, checks, money orders, or credit cards. Cashiering For Windows is utilized to accept payments for license renewals, action notices, certifications and other miscellaneous abatements and reimbursements.

COIN System

COIN Discoverer Reporting System

This Intranet system provides the Departments’ Community Outreach Investment staff the ability to track investments made by individuals, insurers and non-insurers to under-served communities. Distribution lists, correspondence, and responses are generated and tracked by the system. This web-based tool allows COIN staff to generate ad-hoc reports and totals from the system’s repository by using the Oracle Discoverer, which is a front-end web based interface tool.

Licensing Systems -

COSMOS Licensing System

COSMOS Tool Box

Automated Finger Print Results

Annuity Training Report search

Licensing Reports & Services

This is a canned system from Innovative IT Corporation. This application handles all phases of processing the licensing applications that come in through the mail w/the various types of licenses that CDI issues. This system utilizes PowerBuilder on the front end and the Oracle database on the backend. CDI currently maintains this system as of March 1, 2004

The COSMOS Tool box is a Intranet application that allows Licensing staff to externally access the COSMOS system via an interface to correct functions that cannot be corrected within the system (e.g. correcting education compliance for past license periods so that current status can be input normally).

The Automated Finger Print Results Intranet application matches electronic finger print results received from the Department of Justice with applicants in the COSMOS licensing system. License applications can be denied based on the information received.

The Annuity Training Report search allows the insurance companies to verify whether their endorsees (life agents who sell annuities) have completed requisite annuity training prior to soliciting any individual consumers.

The PLB also utilizes various Intranet reports and services in regards to reporting, search capability based on specified criteria, etc.

Fraud Integrated Database System Fraud Division - This system tracks a suspected fraudulent claim from 'cradle to grave'. System is also used for Fraud Timekeeping, reporting, and



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DESCRIPTION

workload analysis.

Fraud Reporting System This web-based tool allows Fraud staff to generate ad-hoc reports and totals from the fraud data repository by using the Oracle Discoverer, which is a front-end web based interface tool.

DocsOpen – DM5 This ‘canned product’ provides access and tracking of documents. Also works in conjunction with our published ePleadings by Legal.

Electronic Appoints/Terminations – Producer Information Network

Data exchange between CDI and the NAIC regarding producers licensing applications, appointments and terminations. This is a behind the scenes function that occurs – and not a ‘system’ that CDI maintains. We ensure these functions are processed successfully.

Interactive Voice Response for Licensing (IVR)

The Interactive Voice Response (IVR) system, hosted by SBC PacBell Information Services, accesses software developed by ADAM staff on the Cosmos database to provide public access to California Department of Insurance licensing information via the telephone regarding licensing, education, forms, and complaint registration.

LawPack

This 'canned product' is used in Legal Branch to track their ‘legal matters’. IT staff support this in regards to the interface activity w/FAD's application tracking system, the document tracking piece ' DOCSOPEN', and any interface work performed via our Oracle database.

Oracle Financials - Accts Receivables

This Customized off the shelf product allows Accounting staff to process Accounts Receivables functions for the Department. We have ‘feeders’ to this system from various functions of the department such as ‘FAD Reviews’, ‘Certificate of Authority billings’, ‘Late Filing Fees’ and others.

III.4 Existing Technical Infrastructure The existing CDI technical infrastructure consists of the following components:

1. Databases – CDI utilizes a variety of database technologies within its environment. The main application database platform is Oracle. Microsoft Access is used for data extraction storage and reporting, and for small Bureau-specific applications.

2. Application development environment –The standard application development tool set is Oracle Development Suite. Other application development and reporting tools include Oracle Discover, Access, Quest Tools, and Excel.

3. Web application development environment – Web Java development is done using Oracle JDeveloper, Dreamweaver, Concurrent Versions System (CVS), Ant, and Oracle Enterprise Manager.

4. Operating system software – The application server operating system (OS) is Sun Solaris. At the desktop, PCs run on Microsoft Windows 2000 Professional and XP Professional.



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5. Security – The current technology environment addresses security on various platforms. Access into the Department’s network is password protected. Applications have different access levels (e.g., update and query) and segregated access to screens within the applications.

6. Connectivity – Sacramento, Los Angeles and San Francisco are the CDI’s major office sites. The CDI’s major office sites in San Francisco and Los Angeles connect to the TDC through the Sacramento site. San Francisco connects to Sacramento over two T1 lines, and connects to Los Angeles over one T1 line. Los Angeles connects to Sacramento over three (3) T1 lines, and connects to San Francisco over two T1 lines. Remote office sites are connected to one of the major office sites over a T1 line. The Department has two failover T1 lines to TDC in case any of the other lines fail.

7. LAN & WAN – Sacramento is connected to the TDC over a DS3 line (up to 45 MIPS).

8. Internet Service Providers – The TDC provides CDI’s Internet service.

9. Data Center Services – Data center services are provided by the TDC.

10. Project Management – CDI PMO has created project management policies and practices for implementing IT projects, based on the Project Management Institute (PMI) and Institute for Electrical and Electronics Engineers (IEEE) project management policies and practices. These project management methodologies conform to the Department of Finance’s (DOF) requirements for implementing IT projects.

11. Procurement and Contracting – The Project Coordination and Administrative Support Bureau within the ITD and the Business Management Bureau within the Administration and Licensing Services Branch support the procurement strategy and contracting of IT services. These units provide support to Request for Proposal (RFP) processes.

III.4.1 Current Hardware

The CDI IT infrastructure includes the following hardware components:

Network Servers – The CDI has 89 network servers installed throughout 14 physical sites. The current network servers are a minimum XEON or Pentium IV processor.

Database Server (Enterprise) – The CDI leases a SunFire V880 with eight processors to support CDI’s development, test, and production database environment. The enterprise database server is housed at the TDC.

Web Servers – The CDI’s Internet/intranet websites are supported on Sun servers running the Solaris operating system.

Application Servers – CDI currently has eight application servers that support the CDI’s Internet/intranet Web-based applications. Three of these servers also support CDI’s Development staff. All eight application servers are Sun entry-level servers, as described below:

• Two production Internet application servers (connects to production DB): SUN 420 R; dual 450 Mhz processors; 2 GB RAM; 2 – 9.1 GB internal disk drives.



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• Three production intranet application servers (connects to production DB): SUN V480; dual 900 Mhz processors; 4 GB RAM; 2 – 36 GB internal disk drives

• Two test servers (connect to development, test and production DB): SUN 420 R; dual 450 Mhz processors; 2 GB RAM; 2 – 18 GB internal disk drives and SUN V480, dual 900 Mhz processors; 4 GB RAM; 2 – 36 GB internal disk drives.

• One patch server (to use to test patches): SUN V480; dual 1.2 Ghz processors; 4 GB RAM; 2 – 72 GB internal disk drives

Routers and Switches – The CDI’s network consists of Cisco routers and switches.

Firewall Servers – The CDI has installed the Cisco PIX appliance technology as its firewall.

FTP Servers – The CDI uses the Microsoft FTP protocol on a Windows 2000 server with Internet Information Server (IIS) enabled.

Virtual Private Network (VPN) – The CDI uses the Cisco VPN 3000 concentrator appliance to provide secure network access to remote users.

Desktop PCs – The CDI’s network consists of approximately 1400 desktop PCs.

Notebook PCs – The CDI’s network consists of approximately 400 notebook PCs.

Printers – The CDI’s network consists of approximately 200 networked printers.

Other networked devices – The CDI’s network also includes a limited number of scanners, plotters, and copiers that are attached to the network.

Connectivity Lines – Sacramento, Los Angeles and San Francisco are the CDI’s major office sites. Sacramento is connected to the TDC over a DS3 line (up to 45 MIPS). The CDI’s major office sites in San Francisco and Los Angeles connect to the TDC through the Sacramento site. San Francisco connects to Sacramento over two T1 lines, and connects to Los Angeles over one T1 line. Los Angeles connects to Sacramento over three (3) T1 lines, and connects to San Francisco over two T1 lines. Remote office sites are connected to one of the major office sites over a T1 line.

Backup Tape Libraries - The CDI uses ADIC and Exabyte backup tape library products in support of backup processes.

Sniffers – The CDI has deployed a Sniffer Distributed appliance to analyze and troubleshoot the network.

Failover – Standby units are installed for CDI’s firewall and MSExchange, ready to take control should the active unit fail to perform its functionality.

III.4.2 Current Software

The CDI IT infrastructure includes the following software:

Network Operating System (NOS) – Network servers are currently running Microsoft Windows 2003 Advanced Server as its NOS.



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Authentication – The CDI uses AAA server for Authentication, Authorization, and Accounting services. The devices and applications communicate with AAA server through the Remote Authentication Dial-In User Service (RADIUS). The CDI also uses Microsoft Active Directory.

Desktop Operating System (OS) – Network desktops and notebooks are running Microsoft Windows 2000 Professional and XP Professional.

Web Server Operating System – Web servers in support of the CDI’s public website are running Apache Web Server (Unix) version 1.3.2.9. Microsoft Internet Information Server (IIS) version 5 runs on Web servers in support of the CDI’s intranet, and on the Web development servers. The OS for the web server is Sun Solaris 2.9.

Application Operation System/Software – Six CDI application servers run Sun Solaris operating system version 2.8, as well as Oracle’s 10g Middle Tier software version 9.0.4.1. Oracle 10g also makes use of Apache’s Web Server software version 1.3.28. Two CDI application servers run Sun Solaris operating system 2.8 and Oracle’s 9IAS Release 1 software version 1.0.2.2.2, Oracle 9IAS Release 1 makes use of Apache Web Server software version 1.3.19. The database server (SunFire V880) located at TDC, runs Sun Solaris operating system version 2.8. The eight CDI application servers are configured with the following software:

• Two SUN 420 R production Internet application servers: O/S is Solaris 2.8 64 Bit; Oracle 10g Enterprise Edition: 9.0.4.1 – configured w/HTTP Server, PLSQL DAD, Report Server, J2EE. These machines also have an SSL certificate for security

• Two SUN V480 production intranet application servers: Oracle 10g Enterprise Edition: 9.0.4.1 – configured w/HTTP Server, PLSQL DAD, Reports Server, Forms Server, Discoverer, J2EE.

• One SUN 420 R test server: O/S is Solaris 2.8 64 Bit; Oracle 10g Enterprise Edition: 9.0.4.1 – configured w/HTTP Server, PLSQL DAD, Report Server, Forms Server, J2EE

• One SUN V480 patch server: O/S is Solaris 2.8 64 Bit; Oracle 10g Enterprise Edition: 9.0.4.1 – configured w/HTTP Server, PLSQL DAD, Report Server, Forms Server, J2EE

• One SUN V480 production Intranet application server: Oracle 9IAS Release 1 Enterprise Edition – configured with HTTP server and 11i Financials Suite version 11.5.9

• One SUN V480 test Intranet application server: Oracle 9IAS Release 1 Enterprise Edition – configured with HTTP server and 11i Financials Suite version 11.5.9

Database Management System – The CDI Integrated Database (IDB) is Oracle Database 9.2.0.4 and is located at TDC. The NAIC database is Oracle Database 8.1.7.4 and is located at NAIC in Kansas City, Missouri. The protocol for accessing the NAIC Oracle database is TCP/IP.

Helpdesk Tracking Software – The CDI uses Track-It! to assist with Helpdesk support.



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Office Applications – The standard applications installed on the CDI’s desktops and notebooks is Microsoft Office 2003 Professional Suite that includes WORD, Excel, PowerPoint, and Access.

E-Mail/Calendaring Software – The CDI uses Microsoft Outlook 2002 for e-mail and calendaring functions.

Web Browser Software – The CDI uses Microsoft Internet Explorer version 6.x as its primary Web browser.

Project Management Software – The CDI uses Microsoft Project 2002 for automated project plans.

Flowcharting and Diagram Software – The CDI uses Microsoft Visio 2002 to prepare flowcharts and diagrams.

Portable Document Format (PDF) Read and Write Software – The CDI uses Adobe Acrobat in support of PDF files.

Anti-Virus/Virus Detection Software – The CDI uses TrendMicro Office Suite anti-virus software that includes OfficeScan for the desktop, ServerProtect for servers, ScanMail for MS Exchange environment, and VirusWall for Internet protection.

Backup Software – CDI uses CommVault Galaxy enterprise-wide backup software. TDC uses Legato NetBackup for the SunFire V880 database server.

Internet Tools – Includes Javascript, HTML, VB Script, and Frontpage. NetTracker is used to track Web statistics, LinkScan is used for website analysis, and Websense is used for Internet filtering.

Middle Ware – includes Oracle Internet Application Server, Discoverer, J2EE, and JDeveloper.

Application Development Tools – The CDI uses Oracle Internet Development Suite of applications to include: Oracle Forms, Reports, Developer, Designer, Discoverer, JDeveloper; TOAD (Tool for Oracle Application Development)/SQL Navigator; Oracle Portal; WebPL/SQL; PL/SQL; Ant; Oracle Enterprise Manager, and Concurrent Versions System (CVS - version control).

Internet Development Tools – The CDI uses Javascript, HTML, VBScript, Macromedia Dreamweaver MX, and Frontpage software to support Internet development.

Credit Authorization System Software – The CDI has established the use of ICVERIFY software to perform e-commerce transactions.

The following database management systems are supported by TDC, but are not part of the CDI IT infrastructure:

• Microsoft SQL Server (Windows) • ADABAS (mainframe) • DB2/UDB (mainframe/AIX/pSeries) • Tamino XML (Windows)



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The following web operating system software is supported by TDC, but is not part of the CDI IT infrastructure:

• WebSphere on AIX/pSeries • WebSphere on mainframe

The diagram on the following page depicts CDI’s network infrastructure.



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Figure 2. CDI Network Infrastructure

III.4.3 Database Design

The CDI Database Architecture Design Document (DADD) defines the overall architecture of the CDI database (dbserv31) which resides at Teale Data Center and includes a listing of all schemas on the three CDI instances. The other three INFIN instances contain all of the Financials schemas with the addition of Repos_Mgr (9i Designer) in INFINPRD and BurridgeM in INFINTST. These two schemas are temporary in the INFIN instances and will be moved to the appropriate CDI instance when the CDI instances are upgraded to 9i. A copy of the CDI DADD is available as part of the Bidders Library.



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III.5 Bidders Library

III.5.1 Bidders’ Library Contact The Bidders’ Library may be accessed on the CDI Procurement website at http://www.insurance.ca.gov/EIP/ or can be requested via CD from the Procurement Official listed in Section I.4, Procurement Official. (Note: ‘EIP’ must be in upper case.)

III.5.2 Bidders’ Library Contents The Bidders’ Library contains the following documents:

Table 3. Bidders Library Content

# Document Name Originating Entity

Document Date

1 CDI Database Architecture Design Document (DAAD) CDI 12/30/2004 2 CDI Enterprise Information Portal Feasibility Study Report (FSR) CDI 07/14/2004 3 CDI Enterprise Information Portal Information Technology Procurement

Plan (ITPP) CDI 09/21/2004

4 CDI Information Security Office (ISO) Policies: 04-01 Information Security Training Policy 04-01 Policy Attachment 04-02 Password Policy 04-03 Remote Access Policy 04-04 Wireless Devices Policy 04-05 Hardening and Updating Policy 04-06 Logging Policy 04-07 Software and Freeware Policy 04-08 Forensic and Testing Policy 04-09 Physical Security Policy

CDI 08/01/2004 07/07/2004 08/01/2004 08/01/2004 08/01/2004 08/01/2004 08/01/2004 08/01/2004 08/01/2004

5 System Administration and Network Security (SANS) Standards: - Auditing Unix (Solaris) - Auditing Windows 2000 - Cisco Checklist - Firewall Checklist -Handheld Devices Audit Checklist -Web Application Checklist

CDI

6 British Standard 17799 SANS 06/08/2003 7 IDB Production Database Size CDI 8 IDB Database Size for Production, Test and Development

(Financial database sizes are also included, but are not in scope) CDI

9 IDB (dbserv31) Database Growth Estimates (estimates for growth of IDB and Financials databases for production, test and development. Financial databases are not in scope.)

CDI 08/2004

10 Description of sample reports (REPORT TYPES.doc)

CDI 01/20/2005

11 Sample reports: - California Consumer Complaint Study - 2003

CDI Various

http://www.insurance.ca.gov/EIP/



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Document Date

- Summary of the Year 2003 California P & C Annual - -- Statement Page - Licensed Insurers - Summary of the Year 2003 California P & C Annual - --- Statement Page - Non-Licensed Insurers - Summary of the Year 2003 California P & C Annual ---- Statement Page - Surplus Line Writers - Summary of the Year 2003 California P & C Annual ---- Statement Page - All Insurers - Five Years Summary of P & C Risk Based Capital Ratios - PLB - Application Transactions Counts By Source - PLB - Appointment and Termination Counts - PLB - California Licensed Entities Report - PLB - Endorsee Transaction Counts - PLB - Renewal Qualification Counts by Payment Source Type - PLB - Qual and Type Counts - PLB - License Renewal Transaction Counts By Source - Market Conduct Division - Examinations in Progress -Activities Report - Market Conduct Division - Recovery Amount Report - Market Conduct Division - Adopted Examination Report - Market Conduct Division - Summary Report of Examination Activities - Market Conduct Division - FCB Summary of Activities - 2000 New York P & C Market Share Report - By Line of Business - CCB - Consumer Contact Us History Report - CPI - Expense Trend Factors - Credit Accident and Health (A&H) Insurance - Credit Life Insurance - Consumer Services & Market Conduct Branch Production Report - The 2003 California Life and Annuity Company/Group Listing of Companies - The 2003 California Property and Casualty - Company/Group Listing of Companies - The 1989 - 2003 California Efficiency Standard Study - The 1998 California Insurers' Expense Study - Field Rating & Underwriting Bureau's CSD Production Summary Report - The 2003 California Property and Casualty Market Share Report - Investigations Division Statewide Monthly Statistical Report - Priority - Investigations Division Statewide Monthly Statistical Report - Regional Office - Investigations Division Statewide Monthly RSV Statistical Report - City - Investigations Division Statewide Monthly RSV Statistical Report - Priority - Calculation of Leverage Factors - 1999 P & C Primary Marketing System Report - The Cost of Private Passenger Automobile (PPA) Insurance - 1991-2003 California P & C Historical Premium and Loss



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Document Date

- 2003 California P & C Premium and Loss Distribution by Line - Licensed Insurers - 2003 California Super Groups' Grouping Information Surplus Lines Report - 2003 California Top 50 Workers' compensation Insurers - Sorted by Premium - Wildfire Activities Report - 2003 Wildfire and Underinsurance Written Complaints (RFA's)

12 Sample Intranet Reports: - P&C and Life Market Share Report - Workers' Comp Rate Comparison - Earthquake Zoning and Probable Maximum Loss Report - The Cost of Automobile Insurance Report - Workers' Comp Insurance Market Overview - PLB - Bond Search - California P&C Insurers' Premium Tax Rate - California Zip Codes vs Earthquake Zones for PML Report - Historical California P & C Industry Projected Yield - Homeowners' Insurance Trend Summary - Workers' Compensation Data Comparison of 1994 vs 1998

CDI

13 Full Internet Reports: - California Insurance Market Share Reports - California Workers' Compensation Rate Comparison - California Earthquake Zoning & Probable Maximum Loss Evaluation Program - The Cost of Automobile Insurance Report - Workers' Comp Insurance Market Overview - Rate Specialist Bureau: Special Reports and Filing Requirements

CDI

14 CDI Change Management Process CDI 15 Teale Data Center Services Documentation:

- Teale DBMS Service Offering Functional Responsibilities - TDC Billing Rates Schedule – Customer Owned Equipment Managed Services (COEMS)

TDC 04/03/2003 10/25/2004


Section IV – Conceptual System

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IV CONCEPTUAL SYSTEM The proposed solution is the implementation of business intelligence (BI) software that will provide CDI Executive management with user-friendly access to information about the Department’s operational status and metrics, industry health and potential problem areas, and provide an environment to better share data across the Department. This solution, the EIP, will leverage modern technology and use the extensive information currently available through the IDB.

IV.1 Conceptual Solution While the State is seeking, through this RFP, the best solution from the Bidders to determine the detailed structure of the actual solution, the following diagram illustrates the conceptual architecture of the proposed solution. (Note: It is anticipated that the IDB will be upgraded from Oracle 8i to Oracle 9.2.0.4 by the time the EIP project begins.)

CDI Business Intelligence - CONCEPTUAL ARCHITECTURE

Web Based User InterfacePush and Pull Information Exchange

CDI Integrated Database - Oracle 8i

Policy, Legislation,and Research

Personnel andFinancial

Management

Financial Analysisand Examination

Claims, Rating,and Underwritting

Industry, Carrier,Licensing andApplications

Fraud and LegalActions

Market Conductand Surveys

Consumer Services and MarketConduct

-Claims Statistics and ProblemIndicators-Company History

Administration and Licensing

-Company History and Current State-Human Resources and ProviderEducation-License Renewals

Communications and PressReleases

-Actions Taken by the Department-Public Inquiry Information

Fraud

-Fraudulent Activities Indicators-High Profile Case Activities-Resource Allocation

Investigations

-Indicators of Fraudulent Activity-Consumer Complaint Statistics-Company Research

Rate Regulations

-Rate Application Analysis-Insurance Policy Reporting byCategory and Location

Financial Surveillance

-CA Insurance Industry Health-Predicting Company FinancialViability

Policy Planning

-Policy Effectiveness-Legislative Changes and Impact-Claim and Company Research

Legal Council

-Company Rate Analysis Data-Indications of Prop 103Noncomplliance

Community Relations

-Insurance Company Viability-Reporting Company Investments-Information to Promote Industry

Extract - Transform - Load ProcessData Staging Environment

CDI Business Intelligence - Executive DashboardDecision Support System Capabilities

Query and Reporting

Online Analytical Processing

Statistical Analysis - Forecasting - Data Mining

Web

Bas

ed U

ser I

nter

face

Push

and

Pul

l Inf

orm

atio

n Ex

chan

ge

Commissionaires Office

-Health of the Department-Health of the Industry-Trending and Forecasting Analysis

CDIIntranet/

Network Infrastructure

Figure 3. EIP Conceptual Architecture Key Features of the Solution Architecture should include:

♦ A common portal to view the EIP, as well as other CDI maintained information.


Section IV – Conceptual System

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♦ The ability to have key insurance company health indicators “pushed” to CDI Executive management with the ability to quickly and efficiently drill down into detailed information.

♦ A web-based architecture to promote a cost effective support and maintenance environment by eliminating the need to maintain thick client applications that are loaded on CDI desktop computers.

♦ A web-based architecture to enable CDI Executive management to access Department information anywhere and at anytime.

♦ The ability to perform statistical analysis, trending and forecasting using IDB and NAIC data.

RFP CDI 0845-33 Enterprise Information Portal RFP Section V – Administrative Requirements

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V ADMINISTRATIVE REQUIREMENTS

V.1 Introduction In addition to meeting the technical requirements of this RFP CDI 0845-33, Bidders must adhere to all the mandatory administrative requirements of this RFP to be responsive. These include the rules in Section II, Rules Governing Competition, the schedule specified in Section I.5, Key Action Dates, the format specified in Section VIII, Proposal Format, the completion of cost sheets specified in Section VII, Cost, and the administrative requirements of this section.

V.2 Disabled Veteran Business Enterprise (DVBE) Participation Requirement PLEASE READ THIS REQUIREMENT CAREFULLY. FAILURE TO COMPLY WITH THE DVBE REQUIREMENT MAY CAUSE YOUR SOLICITATION RESPONSE TO BE DEEMED NONRESPONSIVE AND YOUR FIRM INELIGIBLE FOR AWARD OF THE PROPOSED CONTRACT. Review the DVBE instructions and complete the forms located at http://www.documents.dgs.ca.gov/pd/dvbe/dvbereq.pdf Please note that all participation commitments are to be captured on Form STD 840, found at the above web site, and must be submitted with the sealed costs.

V.3 Target Area Contract Preference (TACPA) Preference will be granted to California-based Bidders in accordance with California Code Section 4530 whenever contracts for goods or services are in excess of $100,000 and the Bidders meet certain requirements as defined in the California Administrative Code (Title 2, Section 1896 et seq.) regarding labor needed to provide the services being procured. Bidders questions regarding this preference are to be directed to:

Department of General Services Office of Small Business and Disabled Veteran Business Certification 707 3rd Street, 1st Floor, Room 400 West Sacramento, CA 95605 Telephone (916) 375-4940

Bidders desiring to claim this preference must submit a fully executed copy of the appropriate forms (located at http://www.pd.dgs.ca.gov/edip/tacpa.htm) with their Final Proposal.

V.4 Employment And Economic Incentive Act Preference (EEIA) Whenever the State prepares an RFP solicitation for goods or services contracting in excess of $100,000, except a contract in which the worksite is fixed by the provisions of the contract, the State shall award a five percent (5%) enterprise zone worksite preference to certain California-based companies. The California-based company must certify under penalty of perjury that no less than 50% of the labor required to perform the contract shall be accomplished at a worksite or worksites located in a designated Enterprise Zone (CCR, Title 2, Section 1896 et seq.).


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Bidders desiring to claim this preference must submit a fully executed copy of appropriate forms (located at http://www.pd.dgs.ca.gov/edip/eza.htm) with their Final Proposal.

V.5 Local Agency Military Base Recovery Act (LAMBRA) Whenever the State prepares an RFP solicitation for goods or services contracting in excess of $100,000, except a contract in which the worksite is fixed by the provisions of the contract, the State shall award a five percent (5%) enterprise zone worksite preference to certain California-based companies. The California-based company must certify under penalty of perjury that no less than 50% of the labor required to perform the contract shall be accomplished at LAMBRA site (CCR, Title 2, Section 1896 et seq.). Bidders desiring to claim this preference must submit a fully executed copy of appropriate forms (located at http://www.pd.dgs.ca.gov/edip/lambra.htm) with their Final Proposal.

V.6 Responses To Administrative Requirements Responses to the requirements in this section marked as “Administrative Requirement #” must be included in Bidder’s Proposal, Volume 1. Bidder must meet and adhere to all of the requirements included in this RFP. The Administrative Requirements Response Matrix, Appendix C, Form C1 must be completed. All requirements are mandatory. Failure to identify the Bidder’s intention to fulfill the requirement may result in a determination of material defect and result in disqualification of the Bidder’s response. If the Bidder identifies any of the submitted information as confidential, and the State agrees, it shall be treated as described in Section II.3.6.4, Confidentiality. All of the proposal item requirements in the Final Proposal must be organized so that these items can be easily found and must be cross-referenced by Administrative Requirement # to any form. The Final Proposal may include any appropriate exhibits necessary to illustrate responsiveness. These exhibits must be clearly labeled and cross-referenced to the proposal narrative by Administrative Requirement #. In addition to meeting the Functional and Technical requirements of this RFP, Bidders must adhere to all the following Administrative Requirements of the RFP to be responsive:

• Actions to be taken as specified in Section I.5, Key Action Dates

• Format instruction as specified in Section VIII, Proposal Format

• Completion of appropriate cost information as outlined in Section VII, Cost (Final Proposal)

• Submission of completed Section VI, response to Functional and Technical Requirements

• Administrative Requirements detailed within this section, Form C1 Unless otherwise specified in the detail of the Administrative Requirement, the Bidder need only respond once to any Administrative Requirement. The response will cover all phases of the project where the Administrative Requirement applies.


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V.6.1 Bidder Responsibility Prior to award of the contract, the State must be assured that the Bidder selected has all of the resources to successfully perform under the contract. This includes, but is not limited to, personnel in the numbers and with the skills required, equipment of appropriate type and in sufficient quantity, financial resources sufficient to complete performance under the contract, and experience in similar endeavors. If, during the evaluation process, the State is unable to assure itself of the Bidder's ability to perform under the contract, if awarded, the State has the option of requesting from the Bidder any information that the State deems necessary to determine the Bidder's responsibility. If such information is required, the Bidder will be so notified and will be permitted approximately five (5) working days to submit the information requested. Types of financial responsibility information include annual reports and currently audited balance sheets for the firm that is bidding.

ADMINISTRATIVE REQUIREMENT 1: The Bidder must provide the State with sufficient information to allow the State to confirm the Bidder’s ability to perform successfully under the contract. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 1.

V.6.2 Business Qualifications

V.6.2.1. Contractor Responsibility ADMINISTRATIVE REQUIREMENT 2: The State requires that the contract resulting from RFP CDI 0845-33 be issued to one prime contractor who shall be responsible for successful performance of this RFP. The prime contractor shall be responsible for successful performance of all Subcontractors and will be required to assume responsibility for design, development, testing, and implementation of all systems in their proposal.

Furthermore, the State will consider the prime contractor to be the sole point of contact with regard to contractual matters, payment of any and all charges resulting from the outsource or purchase of the equipment and maintenance of the equipment for the term of the contract.

The prime contractor must serve as system integrator for RFP CDI 0845-33 and must coordinate services with other entities, if necessary, for hardware and software testing, and the resolution of communications problems. Bidders must provide documents to demonstrate financial capability, to demonstrate financial solvency and the capacity to fulfill the obligations of this RFP. Corporate or individual tax identification numbers must be provided to facilitate verification of tax compliance. (See Financial Information, Appendix C, Form C2 and Form C3, for additional information.) NOTE: The State may obtain independent credit statements for Bidders submitting a proposal. The Contractor will be responsible for compliance with requirements under the contract, even if requirements are delegated to subcontractors. All State policies, guidelines, and requirements apply to subcontractors. The contractor and subcontractors shall not in any


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way represent themselves in the name of the CDI or the State of California without prior written approval. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 2.

V.6.2.2. Subcontractors ADMINISTRATIVE REQUIREMENT 3: Work to be provided by subcontractors must be well documented in the RFP response. Subcontractor List, Appendix C, Form C5, must be completed for both the contractor and all subcontractors. The Bidder must explain how they will manage and control the work of the subcontractors. This information must be included if subcontractors are being utilized. The Contractor must have written agreement from the State prior to replacement or substitution of any subcontractor. For any proposed replacement or substitution before or after the award, the Contractor must provide the State with references, resumes, and financial documentation, in addition to meeting all other applicable requirements, and submission of all applicable forms, in this RFP. The Bidder must agree that all requirements will be adhered to and that requirements will apply to subcontractors even if subcontractor concurrence is not specifically defined in the Administrative Requirement. The Bidder agrees that each subcontractor contributing 10% or more of the value of the contract must provide the information required on the forms listed below. Any subcontractor who the Contractor chooses to use in fulfilling a contract, and who is expected to receive 10% or more of the compensation paid for the system development provided under the contract must also meet all Administrative and Functional and Technical Requirements applicable to the subcontracted work and must submit the following forms:

a. Cover Letter

b. Financial Information, Forms C2 and C3

c. Contractor Information, Form C5

d. Non Discrimination Compliance Statement – Form STD. 019, Form C10

e. Certification of Compliance with the American Disabilities Act (ADA) of 1990, Form C11

f. Bid Certification, Form C14 The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 3.


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V.6.2.3. Notice to Subcontractors ADMINISTRATIVE REQUIREMENT 4: Upon award to a contractor, notice shall be given by the State to the subcontractors listed in Subcontractor List, Appendix C, Form C4, of their participation in the contract. Notification to the subcontractor by the prime contractor is encouraged immediately after award of an RFP. There will be no assignment of responsibility to a third party without prior written approval from the State. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 4.

V.6.2.4. Contractor Information ADMINISTRATIVE REQUIREMENT 5: The Bidder’s firm must have been in existence for a minimum of three (3) years prior to the due date of the Final Proposal to ensure corporate stability. The Bidder must complete and submit Contractor Information, Appendix C, Form C5. This form will provide the State information regarding firm experience, firm size, firm market focus, company background, and experience in similar or dissimilar industries with projects of same size and scope. A separate form must be completed for the prime contractor and each subcontractor participating in this Bid. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 5.

V.6.2.5. Payee Data Record ADMINISTRATIVE REQUIREMENT 6: The Bidder’s Final Proposal submission must contain a fully executed copy of the Payee Data Record STD Form 204 – (reference Appendix C, Form C6, for a link to the DGS website). The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 6.

V.6.2.6. Confidentiality of Information ADMINISTRATIVE REQUIREMENT 7: To preserve the integrity of the security measures integrated into the State’s automated information systems, the Bidder agrees that all personnel (including subcontractors) assigned to the project will submit a signed copy of the Confidentiality Statement provided in Appendix C, Form C7, prior to working on this project.

The contractor engaging in services to the State pertaining to this project, requiring contact with State information will be required to exercise security precautions for data that is made available and must accept full legal responsibility for the protection of this confidential information. This includes financial, statistical, personal, technical and all other types of data and information relating to operations at the CDI, whether expressly made available to the contractors, or encountered coincident to programming work or testing.


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Under no circumstances shall the Bidder use or publish, sell or otherwise disclose to any third party the contents of any records or data, or reports derived from data, submitted for processing without the authorization and consent of the State in writing. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 7.

V.6.2.7. Bidders References (Pre-Qualification Proposal)

ADMINISTRATIVE REQUIREMENT 8: Bidders must provide two (2) or more references using Corporate Experience References, Appendix C, Form C8. The purpose of this section is to provide the State the ability to verify the claims made in the proposal by the Bidder. The references must meet the following requirements:

• Successfully performed two (2) similar implementations within the past three (3) years. For purposes of this RFP, “similar implementations” is defined as:

System is utilized by a geographically dispersed user base (minimum of two (2) physical locations operating over a WAN); and

Minimum concurrent user base of 120; and Data Store is similar (40GB, 3500 tables) in size to the IDB

• At least one (1) reference must be for a state or Federal government entity • At least one (1) reference must be for the specific product being proposed.

It is desirable that at least one reference would be for implementing a BI tool utilizing Oracle as the source data or product data store. The Bidder recognizes that references will be contacted at the State’s discretion. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 8.

V.6.2.8. Project Team Organization ADMINISTRATIVE REQUIREMENT 9: The Bidder agrees to provide information regarding references and staff capability for Key Personnel. The Bidder agrees that the State reserves the right to approve or reject replacement project team members. In response to this section of the RFP, the Bidder shall provide the following résumé information for each Key Personnel by using the Resume Summary, Appendix C, Form C9. (1) Required Résumés At a minimum, curricula vitae shall be included for the personnel listed below. It is expected that no individual identified by the Bidder will simultaneously fill more than one of the positions listed below. All résumés supplied shall be for specific named individuals. Key Personnel:


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• Project Manager • Technical Architect • Lead Developer • Database Administrator • Test Manager • Lead Trainer (2) Bidder Project Team Changes Before the start of the project the State recognizes that an unusual circumstance may result in the change of a proposed Key Personnel staff person identified in the Bidder’s proposal. The Bidder may substitute staff personnel at the time of contract implementation who are different from those offered at the time of bid submission ONLY if such substitute personnel have equivalent skills and experience. If the Bidder must substitute the Project Manager, the Bidder must submit, in writing, the reason for the change and provide a résumé for the substitute personnel. The State will either approve or reject the substitution. After the start of the project the State recognizes that a resignation, or other such event, may cause Key Personnel not to be available to the Bidder. If this should occur, the Bidder must agree that the State has the right to approve or reject replacement project team members assigned by the Bidder to this project. The Bidder will not be allowed extra time or money to replace personnel. The replacement project team member must possess the same or a higher level of technical expertise and/or experience than the original staff person leaving the project. The Bidder must notify the CDI’s EIP Project Manager of personnel vacancies and provide résumés of replacement staff as support for the Bidder’s compliance with this provision. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 9.

V.6.2.9. Risk Management Provisions ADMINISTRATIVE REQUIREMENT 10: A valid Workers’ Compensation Insurance Policy for all employees proposed in the performance of this contract must be included in the Final Proposal. The Bidder and proposed subcontractors must maintain in force (as required by State law) a valid Workers’ Compensation Insurance Policy for all employees engaged in the performance of the contract. They agree to furnish the State satisfactory evidence thereof in the Final Proposal and at any time the State may request. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 10.


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V.6.3 Business Practice Requirements

V.6.3.1 Nondiscrimination Compliance Statement ADMINISTRATIVE REQUIREMENT 11: The Bidder’s Final Proposal must contain a completed Nondiscrimination Compliance Statement (reference Appendix C, Form C10 for a link to the DGS website). The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 11.

V.6.3.2 Americans with Disabilities Act (ADA) Compliance Statement ADMINISTRATIVE REQUIREMENT 12: The Bidder’s Final Proposal must indicate compliance with the Americans with Disabilities Act by signing the form provided in Appendix C, Form C11. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 12.

V.6.3.3 Small Business Preference ADMINISTRATIVE REQUIREMENT 13: To request the Small Business Preference, the Bidder’s proposal must contain a letter requesting the Small Business Preference, and a copy of the Small Business approval letter from DGS, showing the Bidder’s Small Business number. The Bidder’s proposal should not contain this item if there is no intention to claim this preference. The Bidder must check “Yes” on the matrix, indicating the Bidder is claiming this preference, or “No” on the matrix indicating the Bidder is not claiming this preference. A 5% bid preference is now available to a non-small business claiming 25% California certified small business subcontractor participation. Bidders claiming the 5% preference must be certified by California as a small business or must commit to subcontract at least 25% of the net bid price with one or more California certified small businesses. Completed certification applications and required support documents must be submitted to the Office of Small Business and DVBE Certification (OSDC) no later than 5:00 p.m. on the Final Proposal due date, and the OSDC must be able to approve the application as submitted. The Small Business regulations, located at 2 CCR 1896 et seq., concerning the application and calculation of the small business preference, small business certification, responsibilities of small business, department certification, and appeals are revised, effective 9/9/04. The new regulations can be viewed at www.pd.dgs.ca.gov/smbus. Access the regulations by clicking on “Small Business Regulations” in the right sidebar.

V.6.3.4 Interface To Existing Equipment ADMINISTRATIVE REQUIREMENT 14: The Bidder must agree to meet the specifications for interfaces contained in Section VI, Functional and Technical Requirements.


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Any proposed equipment must interface to existing installed equipment in order to meet the specifications contained in Section VI, Functional and Technical Requirements, the prime contractor shall agree to be responsible for making any necessary arrangements with the supplier(s) of such installed equipment, for such interface. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 14.

V.6.4 Data Ownership ADMINISTRATIVE REQUIREMENT 15: The Bidder must agree that the State shall have exclusive ownership of all data gathered or developed resulting from this RFP. The State shall exclusively own all data gathered or developed for the State, resulting from this RFP. The contractor shall have no rights to any such data gathered as a part of the Contract resulting from this RFP. All such data shall be designated “confidential,” and must be protected as specified within the Contract. At the end of the contract the State shall own all database and data storage design documents, schema, documentation, licensing, and end-user documentation developed to support the EIP system. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 15.

V.6.5 Hardware Purchase ADMINISTRATIVE REQUIREMENT 16: The Bidder must agree that the State shall have the option of procuring the Bidder’s proposed additional hardware as part of this contract or may purchase the proposed additional hardware from another provider. If the State purchases the proposed additional hardware components from the Bidder, the Bidder must provide a one-year warranty for all Bidder-supplied hardware. The hardware warranty period begins upon final acceptance of the System by CDI. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 16.

V.6.6 COTS Version Upgrade Purchase ADMINISTRATIVE REQUIREMENT 17: The Bidder must agree that the State shall have the option of procuring the version upgrades and support for the proposed COTS software for up to three (3) one-year (1-year) options or may purchase COTS software version upgrades and support from another provider. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 17.

V.6.7 Commercially Useful Function Description and Information ADMINISTRATIVE REQUIREMENT 18: On January 1, 2004, Chapter 623, Statutes of 2003, became effective and required all small business, microbusinesses and disabled veteran business enterprises to perform a “commercially useful function” in any contract they perform for the State.


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A business that is performing a commercially useful function is one that does all of the following”

• Is responsible for the execution of a distinct element of the work of the contract. • Carries out its obligation by actually performing, managing or supervising the work

involved. • Performs work that is normal for its business, services and function. • Is not further subcontracting a portion of the work that is greater tan that expected to

be subcontracted by normal industry practices. The Bidder must provide a written statement detailing the role, services and/or goods the subcontractor(s) will provide to meet the Commercially Useful Function requirement, using the Commercially Useful Function Statement, Appendix C, Form C15. The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 18.

V.6.8 Payment Milestones ADMINISTRATIVE REQUIREMENT 19: The EIP shall be designed, developed, tested and implemented using a project-phased approach with payments structured as follows:

1. Payment #1 Milestone, COTS Software Installation and Verification and Hardware Installation and Verification: The Contractor may invoice for Payment #1 after all proposed COTS software and hardware is installed on the applicable State platform and the State has verified the successful installation; and. In addition, all documentation (including licensing) shall have been delivered to the State. The Payment #1 Milestone must not exceed 20% of the total Development Costs.

2. Payment #2 Milestone, Development and Implementation: The Contractor may invoice for Payment # 2 after successful completion of all development and implementation activities, including State User Acceptance Testing and migration of the System to production. The Payment #2 Milestone must not exceed 60% of the total Development Costs.

3. Payment #3 Milestone, Completion of EIP Production Acceptance Period: The Contractor may invoice for Payment # 3 after successful completion of the EIP Production Acceptance Period and written Acceptance by the State Project Manager. The EIP Production Acceptance Period is specified in Section VI.1.5, System Development and Implementation Requirements. The Payment #3 Milestone must be the remainder total Development Costs (i.e., total Development Cost minus Payment 1 Milestone and Payment #2 Milestone).

4. Optional Contract Extensions Payment Milestones: Should the State exercise any of the optional contract extensions for software version upgrades, the Contractor may invoice for payment of the annual payment amount after execution of the contract extension.

5. Unanticipated Tasks Payment Milestones: The Contractor may invoice for Unanticipated Task Work Authorizations after completion of the Work Authorization and acceptance by the State in writing.

The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 19.


Section VI – Functional and Technical Requirements

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VI FUNCTIONAL AND TECHNICAL REQUIREMENTS This section of the RFP document addresses the Functional and Technical Requirements for the EIP. These requirements support the business needs as defined in Section III, Existing Systems Overview.

VI.1 Mandatory Requirements All requirements in this paragraph are mandatory. To be responsive, the Bidder must provide a response to all requirements contained in this RFP Section. It is the Bidder’s responsibility to ensure its proposal is submitted in a manner that enables the State Evaluation Team to easily locate all response descriptions and exhibits for each requirement in this RFP. The Bidder must not retype or edit requirements or exhibits except to enter requested information (refer to Section II.2.2, RFP Documents). The information to be included in the Bidder’s response for each requirement is:

• Requirement Type (M or D) This denotes if the requirement is mandatory (“M”) or desirable (“D”) and is assigned by the State. Refer to RFP Section II.1, Identification and Classification of RFP Requirements, for further information.

• Proposal Reference Section The Bidder may identify where additional material to be considered in the evaluation of the requirement response is located in the Bidder’s RFP response.

• Bidder’s Certification and Initials In each box entitled “Bidder’s Certification and Initials”, the person signing the Bidder’s proposal must initial in ink, for validation purposes that they agree to meet the requirements.

• Requirement Met ? Y/N This column is for use by the State Evaluation Team.



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VI.1.1 General Functional Requirements The following are mandatory functional requirements:

Req Met ?

Number Requirement Requirement

Type (M or D)Proposal Reference Section

[volume/tab/page number(s)]: Y N GENERAL FUNCTIONALITY

GF- 1 The System must be a read-only system. Users of the System must not have the ability to update or modify the System’s data store. For purposes of this document, the System’s data store is referred to as the Business Intelligence (BI) database. The BI database will contain information that has been extracted from the California Department of Insurance (CDI) source data. Source data consists of information from the CDI Integrated Database (IDB) and the National Association of Insurance Commissioners’ (NAIC) system. The CDI IDB is Oracle 9.2.0.4 and is located at Teale Data Center (TDC). The NAIC database is Oracle 8.1.7.4 and is located at NAIC in Kansas City, Missouri.

M

GF- 2 The System must provide views and access of the System based on user roles, at the levels of administrative user, individual user, and group. Administrative users are CDI Information Technology Division (ITD) staff and CDI business staff who are designated as system administrators. Individual users are CDI ITD staff or CDI business staff who have access to the System as authorized by administrative users. Groups are a set of administrative or individual users that are grouped together by business functionality; all users in a group would have the same views and access of the System.

M

GF- 3 Using a combination of tables, graphics, and other graphical M



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Req Met ? Number Requirement

Requirement Type (M or D)

Proposal Reference Section [volume/tab/page number(s)]: Y N

indicators (Digital Dashboard) the System must provide summary data about pre-defined critical business areas of the California Department of Insurance (CDI). Digital Dashboard is defined as a point in time visual display of summary data about critical CDI business/functions. The Digital Dashboard is a component of the System’s portal (home page).

GF- 4 The System must provide a visual representation of key performance factors, also known as “scorecard,” (i.e., CDI-defined performance criteria based on information stored in the BI database) that will assist management with the measurement of performance indicators in relation to business objectives. Examples of key performance factors include: • Number of license applications received during the month• Number of rate filings pending within a week of deemer

date. (The deemer date is defined as the date a particular document automatically becomes effective if no action is taken).

• Number of consumer complaints open over 60 days • Number of investigations cases pending over 90 days

M

GF- 5 The individual user must have the ability to personalize his/her dashboard based on business need. Personalizing a dashboard includes functionality to: specify dashboard format and content; generate analytical templates, charts, and graphs; and define metrics based on information stored in the BI database.

M



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GF- 6 The System must include alerts/notification functionality that will alert users when certain events happen or do not happen (e.g., early warning of troubled insurance company) in the System. Example alerts include a notification on a user’s screen that an application review is near due, or other deadlines are approaching.

M

GF- 7 When an alert/notification is displayed, the System must indicate what event triggered the alert.

M

GF- 8 The System must include functionality for global alerts/notifications. Global alerts/notifications are established by administrative users and are sent to all users.

M

GF- 9 The System must include functionality for group alerts/notifications. Group alerts/notifications are established by administrative users and are sent to a group of individual users.

M

GF- 10 The System must provide the ability for individual users to establish, modify, and view individual alerts/notifications. For example, individual users may determine what text will be displayed, in what circumstances, and set triggering event thresholds. Individual alerts/notifications are established by an individual user and are sent to the individual user.

M

GF- 11 The System must provide the ability for administrative users to establish and modify global and group alerts/notifications. For example, administrative users with the correct privileges may determine what text will be displayed, in what circumstances, and set triggering event thresholds.

M



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GF- 12 The System must allow administrative users to establish and modify business rules specifying when the global and group alerts/notifications will occur.

M

GF- 13 The System must allow individual users to establish and modify business rules specifying when the individual alerts/notifications will occur.

M

GF- 14 The System must allow administrative users to define the alert/notification groups for each group alert/notification, i.e., add, modify and delete the users on a distribution list for group alerts/notifications – at the individual level and the group level.

M

GF- 15 The System must allow administrative users to add, modify, and delete the users on a distribution list for global alerts/notifications – at the individual level and the group level.

M

GF- 16 The System must provide individual users with the ability to automatically forward global, group, and individual alerts/notifications to a designated user (e.g., when the user is out of office).

M

GF- 17 The System must provide administrative users with the ability to specify whether an acknowledgement is required for an alert/notification.

M

GF- 18 The System must provide administrative users with the ability to specify the acknowledgement time period for alerts/notifications.

M



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GF- 19 The System must provide administrative users with the ability to specify that a user or group of users should receive acknowledgement to the alert/notification.

M

GF- 20 When alerts/notifications require acknowledgement, the System must automatically forward alerts/notifications that are not acknowledged within a specified time period to another user(s) based on the alert/notification business rule.

M

GF- 21 The System must allow individual users to view the distribution list of a global or group alert/notification.

M

GF- 22 The System must store alerts/notifications for a period of time as specified by the CDI during system design. Stored alert/notifications are files or other storage format that are stored in the System’s BI database or other storage area.

M

GF- 23 The System must allow users to retrieve stored alerts/notifications.

M

GF- 24 The System must provide users with the ability to print alerts/notifications.

M

GF- 25 The System must display alerts/notifications within the System (not on email, MS Outlook, for example).

M

GF- 26 The System must provide administrative users with the ability to update the BI database’s data elements and the data element descriptions. Update includes adding, modifying, and deleting.

M

GF- 27 If source data elements are added, deleted, or modified, the System must allow administrative users the ability to add, delete, or modify the data elements in the System’s BI database.

M



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GF- 28 The System must include a comprehensive context sensitive online Help subsystem for users.

M

GF- 29 The Help subsystem must include instructions on: • System usage/functionality • Data element descriptions

M

GF- 30 The Help subsystem must include the ability to search for Help through key words and topics.

M

GF- 31 The System must allow administrative users to add, delete, or modify help text pertaining to specific data elements.

M

GF- 32 The System must allow administrative users to designate specific data as confidential. Confidential data cannot be viewed or accessed by specific individual users or by specific group(s) of individual users, as defined by administrative users.

M

GF- 33 The System must provide administrative users with the ability to designate specified data to display in a different color and other identifying characteristics without requiring programming.

M

GF- 34 The System must display indicators (or flags) based on data in the BI database that designate high priority issues. The purpose of the indicators (or flags) is to differentiate priority issues from standard issues. Examples of high priority issues are: • Requests from the Governor’s Office • Requests from the Legislature • Requests from the CDI Executive office

M



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Additional high priority issues identified during system design must also be supported.

GF- 35 The System must display indicators (or flags) based on data in the BI database that designate special complaints. The purpose of the indicators (or flags) is to differentiate special complaint data from standard complaints.

M

GF- 36 The System must calculate and display the number of days it takes to complete an activity, from inception to completion, when such dates are available in the BI database. Examples of activities include applications, examinations, complaints, and legal matters.

M

GF- 37 The System must display an indicator (or flag) when an activity, such as application, examination, complaint, or legal matter approaches a specified timeframe threshold.

M

GF- 38 The System must provide administrative users with the ability to designate the timeframe thresholds in order to trigger the display of an indicator (or flag) for specific items (e.g., application, examination, complaint, or legal matter) without requiring programming.

M

GF- 39 The System must provide the ability to display user-selected CDI activities within a specified timeframe for an insurance company, insurance group, or insurance producer. Examples of activities related to an insurance company/group/producer include: • Investigations • Applications • Complaints

M



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• Fraud program type, e.g., worker’s compensation, auto, property, and casualty

• Legal matters Additional activities identified during system design must also be supported.

GF- 40 The System must show all activities related to an insurance company, insurance group (including non-admitted or other unlicensed entities), and insurance producer. Examples of activities related to an insurance company/group/producer include: • Investigations • Applications • Complaints • Fraud program type, e.g., worker’s compensation, auto,

property, and casualty • Legal matters Additional activities identified during system design must also be supported.

M

GF- 41 The System must provide summary-level data of activities across all and/or selected insurance companies, insurance groups, and insurance producers, for example: • Investigations • Applications • Complaints • Fraud program type, e.g., workers compensation, auto,

M



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property, and casualty • Legal matters Additional summarization data identified during system design must also be supported.

GF- 42 The System must display the current status of an activity (investigation, application, complaint, or legal matter) throughout the lifecycle of the activity.

M

GF- 43 The System must provide the ability to save summary sets of data, and use those summary sets for additional reports and analysis.

M

GF- 44 The System must enable users to conduct scenario/what-if testing based on pre-defined queries/reports.

M

GF- 45 The System must enable users to conduct trend analyses – ability to display statistical information over time to identify trends based on pre-defined queries/reports.

M

GF- 46 The System must provide users at all staff levels department-wide access to the BI database, without regard to the Branch that entered the source data, as appropriate to protect confidential data, subject to the System’s role-based data access rules.

M

GF- 47 The System must provide summary statistics based on the data available in the BI database. Examples include: • Top issue or complaint types • Percent increase in complaints from period to period • Number of referrals from one CDI business unit to

another

M



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• Billings/fees for the week • Recoveries for the week • Top workers compensation writers • Market share for personal, auto, and homeowners • Number of open and closed fraud cases • Emerging issues, i.e., issues where the growth in the

measurement from one time period to another exceeds a particular user-specified factor

Additional summary statistics identified during system design must also be supported.

GF- 48 The System must provide the ability for the user to “drill down” on the summary-level data to receive more detailed information. For example, from the summary-level view of an insurance company, insurance group, or insurance producer, a user must have the ability to drill down to see the details of the following items: • Specific complaints • Specific investigations • Specific legal actions • User-defined open/pending items • Financial data • Market conduct exam data • Statistical data Additional drill down items identified during system design

M



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must also be supported. GF- 49 The System must allow users to specify the specific data

elements that are provided during the drill down. M

GF- 50 During drill down of summary-level data to the detail level, the user must have the ability to select single, multiple, or all data elements for display.

M

GF- 51 The System must provide summary and detail information on staffing resources assigned to the following CDI activities, based on data contained in the BI database, in order for CDI management to monitor and track status of each activity: • Consumer complaints and issues • Financial analyses • Investigations • Licensing applications • Field examinations • Rate filing applications • Legal matters • Personnel matters • Budget matters • Fraud investigations • Media matters • Legislative matters • Civil service exams • Hiring

M



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Additional activities identified during system design must also be supported.

GF- 52 The System must provide CDI-defined information on a particular industry (e.g., property & casualty) or line of insurance (e.g., homeowners, earthquake, automobile).

M

GF- 53 The System must have a user interface that includes: • Navigation links for the main topics and sub-topics • Standard web navigation buttons, including Back,

Forward, Home, Print • Screens that are tabbed or grouped by function • Data elements that are grouped by function on screens • Checkboxes, radio buttons, and drop down menus and

selection lists to ease query/report construction and system navigation

• Window minimize/maximize • Window placement control • Short cut keys • Vertical and horizontal scroll bars • Mouse right click in screens and menus for a list of

appropriate functions

M

GF- 54 The System must allow each user to customize his/her portal (home page) based on his/her business needs. An example of a customized portal is “My Yahoo”.

M

Bidder’s Certification and Initials: We agree to meet all mandatory requirements stated above.



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VI.1.2 Report and Query Requirements The following requirements are for mandatory reports and queries:




REPORTS AND QUERIES RQ- 1 The System must provide the ability for users to make

business decisions based on a series of queries and query results. The user must be able to submit a query, receive the query results, and interactively perform follow-up queries based on the original query results. For example, this interactive query process would aid users in determining if an insurance company is in trouble.

M

RQ- 2 When a user performs a query, the System must provide the user with decisions, answers, and suggestions based on user-defined thresholds and parameters. For example, the System would provide early warning of a troubled insurance company based on user-defined query thresholds and parameters.

M

RQ- 3 The System must produce reports based on a user-defined timeframe, which include: • Processing volumes • Workload status • Backlogs for investigations, applications, complaints, or

legal matters, by user and by group (bureau, division, or branch)

• All approved files • All revoked licenses

M



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• All approved rate filings within a certain period of time • Items with a final disposition • Performance targets monitoring, including aging reports,

workload reports, revenue projections and productivity rates

Additional reports identified during system design must also be supported.

RQ- 4 The System must support Boolean logic (for example, true, false, and, or, not, near) and nested logic statements using parenthetical notation for queries.

M

RQ- 5 The Contractor must develop 50 pre-defined queries/reports, as specified by the CDI during system design. Examples of Contractor-developed pre-defined queries/reports are: • Number of licensed insurance producers in California • Aging report for disciplinary matters (i.e., counts of cases

at certain stages of time) • Number of complaints received by CDI per year

M

RQ- 6 The System must provide the ability for administrative users to develop pre-defined queries and reports.

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RQ- 7 The System’s pre-defined queries and reports must be listed on a menu with the ability to be grouped by functional area.

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RQ- 8 The System must provide the ability for the administrative users to move individual and administrative user-saved queries and reports to the pre-defined list of queries/reports.

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RQ- 9 The System must ensure that individual users have the ability to create and modify their own queries/reports.

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RQ- 10 The System must ensure that the individual user does not have the ability to modify other users’ pre-defined queries/reports.

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RQ- 11 The System must ensure that individual users can view and run other users’ pre-defined queries/reports.

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RQ- 12 When creating and modifying queries/reports, the user must have the ability to specify parameters (for example, timeframe or specific data).

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RQ- 13 The System must allow users to select queries/reports from a menu.

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RQ- 14 The System must provide the ability to generate ad hoc queries and reports using drop down menus, selection boxes, and other methods for specific data elements.

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RQ- 15 The System must provide the ability for the user to select single, multiple, or all data elements from a list when specifying query/report criteria.

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RQ- 16 The System must provide the ability for the individual user to use pre-defined queries/reports as a template for creating individual queries/reports using drop down menus, selection boxes, and other methods for selecting specific data elements and criteria.

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RQ- 17 The System must provide the ability to export report results in a standard format, including: RTF (rich text format) and HTML.

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RQ- 18 The System must provide the ability to export query results in a standard format, including: ASCII and comma delimited.

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RQ- 19 The System must provide the ability to print query and report M



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results to any user-defined printer. RQ- 20 When displaying and organizing results of queries and

reports, the System must provide the ability for users to array the data in the following formats: tabular, columns, 3-dimensional effect, bar chart, line chart, and pie chart.

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RQ- 21 The System must provide the ability for individual and administrative users to save and reuse report templates and criteria.

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RQ- 22 The System must provide the ability for individual and administrative users to save report results.

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RQ- 23 The System must provide the ability for individual and administrative users to save and reuse query criteria.

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RQ- 24 The System must provide the ability for individual and administrative users to save query results.

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RQ- 25 The System must have the ability for the user to generate query/report criteria by entering programming language commands (e.g., SQL).

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RQ- 26 The System must provide a query/reporting environment where the user is prompted for input, for example with pick lists, parameters, cascading prompts, free-form data entry and dynamic filters.

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RQ- 27 The System must display a list of available data elements and their description to the user to assist with query/report specification.

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RQ- 28 When the System displays a list of available data elements and their description for query/report specification, the display must be organized in different views, including

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business area, company, line of insurance, or data element name. For instance, users who are unfamiliar with the data collected by the Rate Regulation Branch would be provided with a list of the types of data available from the Rate Regulation Branch.

RQ- 29 The System must include query screens that contain all relevant data regarding business areas, including: • Insurance Company • Insurance Group • Insurance Producer • Consumer Complaint • Consumer Issue • Legal • Licensing • Financial • Market Conduct • Field Examination Query screens for additional business areas identified during system design must also be supported.

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RQ- 30 The System must allow administrative users to define “relevant” data that will appear on query screens.

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RQ- 31 The System must provide linking of tables within a single query/report.

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RQ- 32 The System must provide the ability to group, sort, and set M



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criteria on data elements when specifying query/report criteria.

RQ- 33 When a query/report fails, the System must provide self-describing error messages that indicate the reason for failure.

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RQ- 34 The System must provide users with ability to conduct queries (e.g., statistical analysis, ratio testing) on pre-defined summary-level data.

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RQ- 35 The System must provide the user with the ability to cancel a query/report before it completes.

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RQ- 36 When a user cancels a query/report before it completes, the System must allow the user to immediately submit a new query/report without waiting for the current query/report’s background processes to complete.

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RQ- 37 The System must allow users to schedule queries and reports to run on a pre-set time and user-defined recurring schedule (daily, weekly, monthly, quarterly, yearly for example).

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VI.1.3 Technical Requirements The following are mandatory technical requirements:

Req Met? Number Requirement



SYSTEM ARCHITECTURE SA- 1 The System must be compliant with Americans with

Disabilities (ADA) Section 508 standards. A web site will be in compliance with the 508 standards if it meets paragraphs (a) through (p) of Section 1194.22. Refer to http://www.section508.gov/index.cfm?FuseAction=Content&ID=12#web for Section 508 language.

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SA- 2 The System’s BI database must reside at TDC. M SA- 3 The System components, other than the BI database, must be

located at CDI Sacramento and/or TDC. The location of specific components is dependent on the proposed solution architecture. Refer to Section III.4.1, Current Hardware, and Section III.4.2, Current Software, for descriptions of hardwareand software currently available at CDI Sacramento and TDC.

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SA- 4 If the System’s solution architecture includes additional software components that are not currently available at CDI and TDC (as described in Section III.4.2, Current Software), the Contractor must specify and provide the additional software components.

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SA- 5 If the System’s solution architecture includes additional hardware components that are not currently available at CDI and TDC (as described in Section III.4.1, Current Hardware), the Contractor must specify the additional hardware components. The Contractor will not provide the additional

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hardware unless the CDI opts to procure the Contractor’s proposed additional hardware as part of this contract (refer to Administrative Requirement 16 in Section V.6.5, Hardware Purchase).

SA- 6 The System must be 100% compatible with the CDI software architecture standards for the desktop operating system, as described in Section III.4.2, Current Software. The Desktop Operating System (OS) is Microsoft Windows 2000 Professional and XP Professional, running on network desktops and notebooks.

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SA- 7 The System must be 100% compatible with the CDI software architecture standards for the web browser software, as described in Section III.4.2, Current Software. The web browser software is Microsoft Internet Explorer version 6.x.

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SA- 8 The System must be 100% compatible with the CDI software architecture standards for the network operation system, as described in Section III.4.2, Current Software. The Network Operating System (NOS) is Microsoft Windows 2003 Advanced Server.

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SA- 9 The System must be 100% compatible with the CDI software architecture standards or the TDC software architecture standards for the web server operating system, as described in Section III.4.2, Current Software, depending on the location of the System’s web server operating system component. For example, if the architecture proposes the web server operating system to be located at CDI Sacramento, the System’s web server operating system must be 100% compatible with CDI’s web server operating system. If the architecture proposes the

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web server operating system to be located at TDC, the System’s web server operating system must be 100% compatible with TDC’s web server operating system.

SA- 10 The System must be 100% compatible with the CDI software architecture standards or the TDC software architecture standards for the application operation system/software, as described in Section III.4.2, Current Software, depending on the location of the System’s application operation system/software component. For example, if the architecture proposes the application operation system/software to be located at CDI Sacramento, the System’s application operation system/software must be 100% compatible with CDI’s application operation system/software. If the architecture proposes the application operation system/software to be located at TDC, the System’s application operation system/software must be 100% compatible with TDC’s application operation system/software.

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SA- 11 The System must be 100% compatible with the CDI software architecture standards or the TDC software architecture standards for the backup software, as described in Section III.4.2, Current Software, depending on the location of the System’s backup software component. For example, if the architecture proposes the backup software to be located at CDI Sacramento, the System’s backup software must be 100% compatible with CDI’s backup software. If the architecture proposes the backup software to be located at TDC, the System’s backup software must be 100% compatible with TDC’s backup software.

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SA- 12 The System must be 100% compatible with the CDI hardware architecture standards for the application servers, as described in Section III.4.1, Current Hardware. The current application servers are three (3) Sun 420 R and five (5) Sun V480, which reside at CDI Sacramento.

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SA- 13 The System must be 100% compatible with the CDI hardware architecture standards for the database server, as described in Section III.4.1, Current Hardware. The current database server, a SunFire V880 with eight (8) 900Mhz Ultra SparcIII processors, resides at TDC.

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SA- 14 The System must operate on the following minimum workstation configuration: • Pentium III Processor • 256 MB RAM • Windows 2000 Professional Operating System • Internet Explorer 6.x

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SA- 15 If the System utilizes a BI database other than Oracle, the Contractor must provide Database Management System (DBMS) support/administration training to the CDI ITD staff. The training will be included in the training class for CDI ITD staff in the area of System maintenance and enhancements that is referenced in requirement SD-10 in Section VI.1.5, System Development and Implementation Requirements.

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SA- 16 If the System utilizes a BI database other than Oracle, the Contractor must provide DBMS support/administration tools for the CDI staff.

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SA- 17 The System must extract data from Oracle Database 9.2 and Oracle Database 10g.

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SA- 18 The system must extract data from two sources: IDB and NAIC. The IDB is Oracle Database 9.2.0.4 and is located at TDC. The NAIC database is Oracle Database 8.1.7.4 and is located at NAIC in Kansas City, Missouri. The protocol for accessing the NAIC data is TCP/IP using a host ID and port information that is provided by the CDI.

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SA- 19 The System’s database must reside on hardware separate from the hardware that contains the source data.

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SA- 20 The Contractor must develop the Extract, Transform, and Load (ETL) processes, procedures, and programs to: • Extract CDI and NAIC data from the source data (IDB

and NAIC). The specific source data to extract will be determined during system design.

• Transform the extracted source data into a format that is compatible with the System’s BI database. Specific transform rules, including reformatting, translation of codes, and removal of duplicate data, will be determined during system design.

• Load the transformed data into the System’s BI database.

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SA- 21 The System must provide the ability to perform a full and partial ETL of the data on a schedule as defined by the CDI (e.g., daily, weekly, monthly).

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SA- 22 The ETL process must provide arithmetic functions, including calculations, string, date/time, and conditional.

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SA- 23 The ETL process must support data aggregation (i.e., ability to summarize data as part of the transform process).

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SA- 24 The ETL process must provide null-value handling. M SA- 25 The ETL process must support the utilization of metadata.

(Metadata is “data about data”; metadata describes the attributes, content, quality, condition, and other characteristics of data.)

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SA- 26 CDI ITD administrative users must be able to schedule the ETL process to execute on a cyclical and ad hoc basis.

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SA- 27 The ETL process execution must have the ability to be monitored by CDI ITD staff. CDI ITD staff must have the ability to intervene if errors occur during the ETL execution.

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SA- 28 The ETL process must support exception and error handling. M SA- 29 The System must notify CDI ITD staff when an exception or

error occurs during the ETL process execution. M

SA- 30 The System must notify CDI ITD staff when the ETL process completes successfully.

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SA- 31 The System must provide CDI ITD staff with the ability to modify the ETL process.

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SA- 32 Any version upgrades to the COTS that occur during the term of the contract must be made available to the CDI at no additional cost.

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SA- 33 The System must be available to users at all CDI locations. Three main offices are Sacramento, Los Angeles, and San Francisco. Remote locations are in Rancho Cucamonga, Benicia, Commerce, Fresno, Morgan Hill, Orange, San

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Diego, Valencia, Santa Ana, and Sacramento SA- 34 The System must maintain an electronic data dictionary,

including all object types and their attributes and descriptions.M

SA- 35 The System must maintain a metadata repository. M SA- 36 The System’s electronic data dictionary and metadata

repository must be accessible to CDI ITD staff for viewing and maintenance purposes.

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SA- 37 The System must include development, test, and production environments. The System must be implemented on all three environments (development, test, and production) in order to facilitate development testing, system testing, and change control management of migrating system modifications to production.

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Bidder’s Certification and Initials: We agree to meet all mandatory requirements stated above. SYSTEM PERFORMANCE AND AVAILABILITY

PA- 1 The System must complete 90% of all Contractor-developed pre-defined online queries/reports within a user acceptable time window, not to exceed 5 seconds, as measured on a weekly basis during the Production Acceptance Period. Printing time for reports will be excluded from the response time measurement. The CDI and the Contractor may jointly revise the specific user acceptable time window during the testing phase of the contract.

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PA- 2 Performance for the Contractor-developed pre-defined online queries/reports will be measured against the following workstation configuration with a simulated concurrent user

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base of 120: • Pentium III Processor • 256 MB RAM • Windows 2000 Operating System • Internet Explorer 6.x Concurrent users are defined as users actively submitting queries/reports at the same time.

PA- 3 The System must be available 24 hours a day, 7 days a week, except for scheduled system maintenance activities or unplanned outages. The minimum System availability is 98% of the time from 6:00 AM to 6:00 PM Pacific Time, Monday through Friday, measured on a weekly basis during the Production Acceptance Period.

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Bidder’s Certification and Initials: We agree to meet all mandatory requirements stated above. SYSTEM SECURITY

SS- 1 The System must allow administrative users to assign access control by user and user group, as well as by screen/function.

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SS- 2 The System must provide the capability to authenticate access to the System through Microsoft Active Directory or Authentication, Authorization, and Accounting (AAA) Server i.e., Remote Authentication Dial-In User Service (RADIUS).

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SS- 3 The System must provide the capability to provide an audit trail that shows data accessed by user, as well as denied access by user.

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SS- 4 The System must not be accessible by any unauthorized user. M SS- 5 The System must protect all data in compliance with the CDI

ISO Policies, System Administration and Network Security (SANS) standards, and British Standard 17799. (See Bidders’ Library.)

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SS- 6 The System must comply with the CDI’s ISO policies. (See Bidders’ Library.)

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SS- 7 The System must use existing security infrastructure, including the TDC/CDI firewall.

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SS- 8 The System must provide the ability to control user access by:• System level • Module level • Data Element level • Table Level • Individual Level • Group Level Additional access levels identified during system design must also be supported.

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VI.1.4 Contractor Staffing Requirements The following are mandatory contractor staffing requirements:

Req Met?


Type Proposal Reference Section

[volume/tab/page number(s)]: Y N CONTRACTOR STAFFING

CS- 1 The CDI has designated the following Contractor positions as key personnel: • Project Manager • Technical Architect • Lead Developer • Database Administrator • Test Manager • Lead Trainer For each key position, the proposed Contractor staff shall be designated as Key Staff.

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CS- 2 The Contractor’s Key Staff must have experience in the general areas of responsibility listed for that position and must possess good verbal and written communication skills.

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CS- 3 The Contractor Project Manager must meet the following minimum requirements: 1. Five (5) years project management experience; and 2. Experience managing at least one (1) project similar in

size and scope to the EIP project (i.e., geographically dispersed user based (minimum of two physical locations operating over a WAN), minimum user base of 120, data store similar in size (40GB consisting of 3500 tables));

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Req Met?



[volume/tab/page number(s)]: Y N and

3. Experience managing at least two (2) projects with at least a $1 million application development effort; and

4. Experience managing a project for a state, federal, or local government entity.

CS- 4 The Contractor Project Manager must be responsible for the day-to-day management of the Contract including overall performance and Contract compliance.

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CS- 5 The Contractor Project Manager must be responsible for managing and coordinating the Contractor resources, including any sub-contractor resources, assigned to the contract, and ensuring that all tasks in the Project Management Plan are executed in keeping with the schedules and CDI requirements.

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CS- 6 The Contractor Project Manager must identify any potential problem areas, recommend solutions, and work closely and cooperatively with the CDI Project Manager to resolve issues quickly and fairly.

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CS- 7 The Contractor Project Manager must provide the CDI with written status reports regarding actual progress as compared to what is projected in the work plans.

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CS- 8 The Contractor Project Manager must provide quality control over all deliverables submitted for review.

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CS- 9 The Technical Architect must meet the following minimum requirements: 1. Experience in architecting a system(s) that utilizes a Wide

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Req Met?



[volume/tab/page number(s)]: Y N Area Network (WAN); and

2. Five (5) years experience in designing systems similar in size and scope to the EIP project (i.e., geographically dispersed user based (minimum of 2 physical locations operating over a WAN), minimum user base of 120, Data store similar in size (40GB consisting of 3500 tables)); and

3. Two (2) years of experience in utilizing database management concepts and design; and

4. Three (3) years experience designing Intranet/Internet systems; and

5. Performing as the Lead Technical Architect on at least two successful implementations of the product being proposed by the Contractor.

CS- 10 The Technical Architect must be responsible for developing the System Architectural Design and the System Detailed Design Specification.

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CS- 11 The Lead Developer must meet the following minimum requirements: 1. Experience in developing a system(s) that utilizes a Wide

Area Network (WAN); and 2. Three (3) years of experience in developing systems that

utilize and/or interface with an Oracle database management system; and

3. Five (5) years experience developing web-based business intelligence/support systems; and

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Req Met?



[volume/tab/page number(s)]: Y N 4. Performing as a Lead Developer on at least one (1)

implementation of the product being proposed by the Contractor.

CS- 12 The Lead Developer must be responsible for providing technical guidance to Contractor programming staff and will also be responsible for performing application coding, unit testing, and implementation activities.

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CS- 13 The Database Administrator must meet the following minimum requirements: 1. Three (3) years of experience in developing systems that

utilize the database management system being proposed by the Contractor; and

2. Three (3) years of experience in developing business intelligence systems that utilize/interface with an Oracle database management system; and

3. Three (3) years experience developing web-based systems; and

4. Performing as a Database Administrator on at least two (2) implementations of the product being proposed by the Contractor.

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CS- 14 The Database Administrator must be responsible for developing the database objects regarding business intelligence tools.

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Req Met?



[volume/tab/page number(s)]: Y N CS- 15 The Test Manager must meet the following minimum

requirements: 1. Five (5) years experience performing system and

integration testing for web-enabled applications, including developing test cases and test scripts; and

2. One (1) year experience testing the product being proposed by the Contractor; and

3. Two (2) years of experience utilizing a proven industry-standard testing methodology.

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CS- 16 The Test Manager must be responsible for developing the System Test Plan and Stress Test Plan.

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CS- 17 The Test Manager must lead, coordinate, and oversee the project’s testing efforts.

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CS- 18 The Lead Trainer must meet the following minimum requirements: 1. Five (5) years experience performing end-user training on

computer applications, including developing curriculum and delivering the training; and

2. Two (2) years experience providing end-user training on the product being proposed by the Contractor.

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CS- 19 The Lead Trainer must be responsible for developing the Training Plan and training materials, as well as providing training to end users.

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CS- 20 The Contractor must provide résumés for all proposed key positions.

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Req Met?



[volume/tab/page number(s)]: Y N proposed key positions, in support of key staff qualifications.

CS- 22 The Contractor must provide signed confidentiality statements for all staff assigned to this project.

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VI.1.5 System Development and Implementation Requirements The following are mandatory system development and implementation requirements:

Req Met?



[volume/tab/page number(s)]: Y N SYSTEM DEVELOPMENT AND IMPLEMENTATION

SD- 1 User acceptance testing will be performed by CDI at the CDI Sacramento location and remote locations.

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SD- 2 The Contractor must train the following types of CDI staff in the operation, maintenance and use of the System: • Business administrative users • Trainers for individual users • System support help desk staff • ITD staff CDI will provide training facilities, including workstations and connectivity.

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SD- 3 CDI business administrative users must be trained in system administration activities, including creation of the objects and processes necessary for user business intelligence queries and reports, and management of the System’s security.

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SD- 4 The Contractor must conduct one (1) training class for CDI business administrative users. The training must be provided to twelve (12) CDI business administrative users.

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SD- 5 CDI trainers must be trained to provide individual user training in system areas, including access to the business intelligence system, performing queries, generating reports, and customization of individual’s portals.

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Req Met?



[volume/tab/page number(s)]: Y N SD- 6 The Contractor must conduct one (1) training class for CDI

trainers of individual users. The training must be provided to twelve (12) CDI trainers.

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SD- 7 CDI System Support Help Desk Staff must be trained in system areas, including accessing the System, navigation of the System, accessing pre-defined reports, and accessing menus/buttons.

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SD- 8 The Contractor must conduct two (2) training classes for CDI System Support Help Desk Staff. The training must be provided to a total of twelve (12) CDI help desk staff, with six (6) staff attending each class.

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SD- 9 CDI ITD staff must be trained to perform system maintenance and enhancements of the System and its components. This training must include instruction on maintenance and enhancements of the System, BI database, and additional hardware and/or software components that are included with the System.

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SD- 10 The Contractor must conduct one (1) training class for CDI ITD staff in the area of System maintenance and enhancements. The training must be provided to a total of twelve (12) CDI ITD staff.

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SD- 11 The Contractor must provide training to CDI ITD staff to transfer knowledge of the System from the Contractor to the CDI ITD staff. Knowledge transfer areas include a list of instructions (“how-to’s”) for maintainable items, for example:• “How to add fields to the BI database” • “How to add a new report”

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Req Met?



[volume/tab/page number(s)]: Y N • “How to assign security roles” • “How to monitor the ETL process execution; how to

resolve errors and exceptions that occur during ETL execution”

• “How to maintain the ETL process” • “How to identify impacts to the stored queries/reports,

ETL process, BI database, and metadata repository when source data and BI database elements are added, modified and deleted”

• “How to propagate BI database element additions, modifications, and deletions to stored queries and reports”

SD- 12 The Contractor must conduct one (1) training class for CDI ITD staff in the area of System knowledge transfer. The training must be provided to a total of twelve (12) CDI ITD staff.

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SD- 13 The training provided by the Contractor must include: lectures, formal class sessions, hands-on demonstrations, training manuals, and reference materials.

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SD- 14 The training provided by the Contractor must include training evaluation forms to be completed by the students.

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SD- 15 The CDI must approve the Contractor’s training materials prior to training, including the training plan, curriculum, outlines, and student materials.

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SD- 16 Training materials developed by the Contractor will be the property of CDI. The CDI reserves the right to reproduce and disseminate the materials as required for CDI training

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Req Met?



[volume/tab/page number(s)]: Y N purposes.

SD- 17 The CDI will utilize an Independent Verification and Validation (IV&V) consultant who will verify and validate the selected contra’tor's performance and deliverables provided under this contract. The Contractor must work cooperatively with the CDI’s IV&V consultant.

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SD- 18 The Contractor must provide a sixty (60) calendar-day Production Acceptance Period, commencing on System migration to production, to ensure that the System operates efficiently and effectively to design specifications. The Contractor shall be responsible for all costs for the implementation of the resolution for all defects identified during this sixty (60) calendar-day Production Acceptance Period, including those defects whose resolution extends past the sixty (60) calendar-day Production Acceptance Period. The Production Acceptance Period ends at the point when all defects identified during the sixty (60) calendar-day Production Acceptance Period have been corrected by the Contractor and accepted by the CDI, at which time the CDI will certify final acceptance of the System.

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SD- 19 • At the successful completion of the Production Acceptance Period, the Contractor must obtain CDI certification of system acceptance. System acceptance is wheIThe CDI certifies that the Contractor has met all terms and conditions of the Contract; and

• The CDI approves the project evaluation report submitted by the CDI’s IV&V consultant.

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Req Met?



[volume/tab/page number(s)]: Y N SD- 20 During the Production Acceptance Period, the Contractor

must provide a single point of contact for resolution of issues. The point of contact must be available during the hours of 7:00 AM to 5:00 PM Pacific Time.

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SD- 21 During the Production Acceptance Period, the Contractor’s point of contact for issue resolution must respond to CDI critical issues within 2 hours and non-critical issues within 24 hours. Critical issues are defined as those for which work has halted and no work-around is available. Non-critical issues are those for which work can continue and/or a work-around has been identified.

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SD- 22 The Contractor must track all project issues using an automated issue-tracking process. The issue tracking process shall facilitate documentation of the following: • Issue description • Issue priority • Issue status (e.g. open, pending, under investigation,

resolved) • Plan for resolution • Individual responsible for resolution • Targeted and actual resolution dates • Resolution

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SD- 23 Issue tracking must include escalation procedures and mechanisms for reporting high priority problems immediately to the CDI for resolution through closure.

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SD- 24 Should the Contractor Project Manager and the CDI Project Manager not be able to agree on a resolution to any particular

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Req Met?



[volume/tab/page number(s)]: Y N issue, the Contractor and the CDI agree to resolve the issue through a two-level dispute resolution process. In the first level, the Contractor Project Manager and the CDI Project Manager will raise the issue with the CDI’s IV&V consultant, as described in requirement SD-25 below. If resolution cannot be obtained at the first level, the Contractor and the CDI agree to raise the issue to a second level, the Executive Committee (see requirement SD-26 below).

SD- 25 Should the Contractor Project Manager and the CDI Project Manager not be able to agree on a resolution to any particular issue, the Contractor and the CDI agree to participate in a first level of dispute resolution process. In the first level of issue resolution, the Contractor Project Manager, the CDI Project Manager and the CDI’s IV&V Project Manager will be convened and a resolution decided within five (5) State business days from the date the group is convened. Either the Contractor Project Manager or the CDI Project Manager may request initiation of the first level of the dispute resolution process. The first level dispute resolution committee will convene in person or by telephone within three (3) State business days of such a request. The first level dispute resolution committee will use whatever resources it deems necessary to seek a rapid and just resolution to an issue at the first level of the dispute resolution process. If resolution cannot be reached at the first level of the dispute resolution process within the time frame prescribed above, the Contractor and the CDI agree to participate in a second level of dispute resolution process (described in requirement SD-26).

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Req Met?



[volume/tab/page number(s)]: Y N SD- 26 Should the Contractor Project Manager and the CDI Project

Manager not be able to agree on a resolution to any particular issue, and the first level of the dispute resolution process has not resulted in issue resolution, the Contractor and the CDI agree to raise the issue to an Executive Committee prior to the assertion of rights under the Contract’s Dispute provisions (see Appendix A). The Executive Committee, made up of the CDI’s Project Sponsor, the CDI’s Project Manager, CDI Project Steering Committee (Information Technology Steering Committee (ITEC)), the Contractor’s Project Manager, and a senior representative from the Contractor’s firm that is at least two (2) reporting levels above the Contractor Project Manager, or the designees or successors thereof (the “Executive Committee”), will be convened and a resolution decided within five (5) State business days from the date that the Executive Committee is convened. Either Project Manager may request the Executive Committee to convene, and the Committee will convene in person or by telephone within three (3) State business days of such a request. The Executive Committee will use whatever resources it deems necessary to seek a rapid and just resolution to an issue at the Executive Committee level. If resolution cannot be reached at the Executive Committee level within the time frame prescribed above, either party may assert its other rights and remedies as provided by the Contract.

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SD- 27 The Contractor must utilize the CDI’s change management process for managing modifications and enhancements to the system. (See Bidders’ Library.)

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Req Met?



[volume/tab/page number(s)]: Y N Bidder’s Certification and Initials: We agree to meet all mandatory requirements stated above.



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VI.1.6 COTS Software Product Licensing The following are mandatory product licensing requirements:

Req Met?



[volume/tab/page number(s)]: Y N COTS PRODUCT LICENSING

SM- 1 The Contractor must provide product licensing and version upgrades of the System. Version upgrades are defined as new releases of the COTS product. The COTS product is defined as the commercial off-the-shelf components that are integrated with the BI product, including the tools (e.g., Crystal Reports).

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SM- 2 The Contractor must provide perpetual software licensing for the System for a total of 1400 users.

M

SM- 3 The Contractor must provide version upgrades within the contract period, commencing on contract start date and ending one (1) year from the CDI’s final acceptance of the System.

M

SM- 4 The Contractor must provide costs for version upgrades of the System for three (3) additional years, commencing on the completion of the initial contract period. The additional three (3) one-year (1-year) contract options may be exercised at the State’s discretion.

M

SM- 5 During the contract period, the Contractor must provide the CDI with 30-calendar day advance notice of release of a COTS version upgrade.

M

SM- 6 The planned COTS version upgrades must be made available to the CDI upon commercial availability and must be capable of being installed into the CDI’s development, test, and production environments for the BI System.

M



March 30, 2005

VI-44

Req Met?



[volume/tab/page number(s)]: Y N SM- 7 The product licensing agreement must allow for the System’s

three environments (development, test, and production) to be deployed on the same hardware platform or on separate hardware platforms.

M

SM- 8 The Contractor must agree to purchase, on behalf of the CDI, all COTS software required for the proposed solution. The EIP System and related software and other authorized end users will be licensed to the CDI.

M

SM- 9 EIP system and related software for the CDI and other authorized end users will be licensed to the CDI for continual use with the Contractor's application systems.

M

SM- 10 The CDI recognizes that the Contractor may have integrated third party software into the proposed application systems to manage the system and service provided (e.g., enterprise management software, problem management software, change management software). The Contractor must purchase all such software for its own use and must include in its Proposal and Costs four (4) licenses of all such software for CDI support staff.

M




March 30, 2005

VI-45

VI.1.7 Contract Deliverables The following are mandatory deliverables required as part of this contract:

Req Met?



[volume/tab/page number(s)]: Y N CONTRACT DELIVERABLES

CD- 1 The Contractor must use the standard MS Project 2002 project management, Visio 2002, and Microsoft Office 2003 Professional, which includes word processing, relational database management, presentation and spreadsheets products used by the CDI in the preparation of all Contract correspondence and deliverables. The Contractor is required to establish and maintain compatibility with the CDI at no cost to the CDI.

M

CD- 2 The Contractor must propose a format for each deliverable and gain CDI approval prior to deliverable preparation. This approval process must include submission of a Deliverable Expectation Document (DED). The goal for the use of DEDs is to ensure that a common understanding exists between the CDI and the Contractor regarding the scope and content (depth and breadth) of the deliverable prior to the Contractor beginning work on the deliverable. The complexity of the DED should be proportional to the complexity of the deliverable. The DED will include the following items:

• Deliverable objectives

• An outline of the deliverable, table of contents, sample format, sample pages, and a general description of the information that will be contained in the deliverable

• Deliverable acceptance criteria which is consistent

M



March 30, 2005

VI-46

Req Met?



[volume/tab/page number(s)]: Y N with the requirements of the contract

The Contractor must make all deliverables available electronically. The Contractor must supply the number of hard copies of each deliverable as specified in the DED for each deliverable.

CD- 3 Deliverables must be provided by the scheduled dates for their completion, as approved by CDI in the Project Management Plan

M

CD- 4 Deliverables must contain the following certification: “I certify that this deliverable has been prepared in accordance with the relevant terms and conditions of the contract.” The Contractor Project Manager must certify Deliverables as complete.

M

CD- 5 CDI personnel will be responsible for reviewing and approving each deliverable. For purposes of this paragraph, the term deliverable includes all items listed in requirement CD-9. Each deliverable will require a negotiated CDI turn-around time to be included in the Project Management Plan. Unless agreed upon otherwise, the CDI’s review time shall not be more than fifteen (15) State business days. Should revisions to the document be required by the CDI, the Contractor will receive written notification of said changes and reflect them in the document within five (5) State business days of receiving the changes. The CDI may, at its discretion, allow a period longer than five (5) State business days in consideration of the scope of the change. Unless agreed upon otherwise, the CDI’s review time after receipt of the revised document shall not be more than ten (10) State

M



March 30, 2005

VI-47

Req Met?



[volume/tab/page number(s)]: Y N business days. The Contractor shall not change a deliverable that has been accepted by the CDI without the approval of the CDI.

CD- 6 The Contractor must agree that CDI acceptance of deliverables shall be based upon the following: • The deliverable must address all components required by

the contract and any areas agreed upon subsequently through meetings and planning sessions.

• The deliverable must address and be consistent with all components included in the DED as presented to the CDI and approved by the CDI in preparation for development of the deliverable.

• Deliverable documents must be comprehensive in level of detail and quality consistent with the sample pages presented to the CDI Project Manager.

• Deliverable documents must be organized in a structured manner and be professional in presentation.

• Deliverable documents must be consistent throughout in style and quality. This means that if the document is the composite work of many people within the Contractor’s organization, the document must be edited for style and consistency.

M

CD- 7 When the CDI requires deliverables to be revised, the Contractor must clearly identify the revisions in the revised deliverable.

M

CD- 8 In the event the CDI agrees to accept, on an interim basis, a deliverable document with one or more parts left incomplete,

M



March 30, 2005

VI-48

Req Met?



[volume/tab/page number(s)]: Y N the Contractor must provide to the CDI a document with the date for completion, the basis for the incomplete portions, and the impact of any incomplete portions of the document on Contract milestones.

CD- 9 The Contractor must provide the following minimum deliverables:

• Project Management Plan

• System Development Plan

• System Requirements Specification

• System Architectural Design

• System Detailed Design Specification

• System Data Model

• Security Architecture

• Data Extract/Transform/Load (ETL) Plan

• Configuration Management Plan

• System Test Plan (including Stress Test Plan)

• Maintenance and Operations Plan

• Training Plan, including Knowledge Transfer Plan

• Training Materials

• System User Documentation

• Statement of System Readiness

M



March 30, 2005

VI-49

Req Met?



[volume/tab/page number(s)]: Y N

• Weekly Status Reports

• Monthly Progress Reports A general description of each deliverable is provided in requirements CD-10 through CD-26.

CD- 10 The Project Management Plan must specify: • Table of Contents • Project Description • Project Work Plan (resource-loaded, including Contractor

and CDI resources) • List of project deliverables, including documentation

delivery milestones • Deliverable Expectation Document (DED), as specified in

requirement CD-2, for each deliverable listed in requirement CD-9

• Key project milestones • Communication Plan, which includes: 1) description of

how the Contractor’s team will interact and communicate with State personnel; 2) the Contractor’s management structure and its methods for ensuring adequate oversight and executive direction for the Contract; and 3) the Contractor’s corporate officer(s) to be contacted in the event that major problems arise during the performance of the Contract.

• Issue Management Plan, which describes how the Contractor will assess the impact of issues on the project,

M



March 30, 2005

VI-50

Req Met?



[volume/tab/page number(s)]: Y N report this information, and make recommendations to the State for resolving these issues. An issue is defined as a topic or concern that may affect project scope, risk, schedule, cost, functionality, or system quality. Issues may originate from inside and outside of the project. The Issue Management Plan must also include a description of the Contractor’s automated issue tracking system that will be used for this project.

• Risk Management Plan, which describes how the Contractor will identify, assess, track, and control project risks throughout the life of the project. Risk shall be measured by the probable negative impact of events on the project quality, cost or schedule. While the Risk Management Plan shall be static, the risk matrix with mitigation actions shall be maintained to include events, strategies, and contingency plans identified during both the project planning stage and during the course of the system development that may impact the project.

• Organizational Structure of the Contractor’s organization, which includes organization charts and diagrams that depict the lines of authority, responsibility, and communication within the project.

CD- 11 The System Development Plan must specify: • Development process model • Technical methods, tools, and techniques to be used to

develop the System

M

CD- 12 The System Requirements Specification must specify: M



March 30, 2005

VI-51

Req Met?



[volume/tab/page number(s)]: Y N • Introduction, including purpose, scope, and overview of

the System Requirements Specification • The baseline requirement set for the System, including

expanded definitions of each base requirement in order to demonstrate Contractor understanding

While the requirements included in Section VI, Functional and Technical Requirements, serve as the baseline requirement set to perform the requirements specification function, modifications to the baseline requirement set should be expected and are included in the fixed-fee bid.

CD- 13 The System Architectural Design must specify: • Hardware • Software, including development tools, language,

technology, software versions, BI database, middleware, other software modules, and reporting software

• Communication interfaces • Operating system platform • Application architecture • Relationships among all System components, in pictorial

and narrative format • Topology diagram • Data flow diagram

M

CD- 14 The System Detailed Design Specification must specify: • Description of the overall design concept

M



March 30, 2005

VI-52

Req Met?



[volume/tab/page number(s)]: Y N • High-level summary of the design • Software design using narrative, pseudocode, tables, flow

charts, data flow diagrams • Screen design, including format, layout and user

interaction • Screen navigation within each screen and from screen-to-

screen • Report layout for Contractor-developed pre-defined

reports • BI database design and structure • System interface design

CD- 15 The System Data Model must specify the conceptual model of the structural properties that define all entries represented in the BI database and all the relationships that exist among those entries.

M

CD- 16 The Security Architecture must specify the System’s security functionality and how the System will be integrated with the CDI security architecture, including each level of security: system, module, data element, table, individual, group, and any other level of security defined during system design.

M

CD- 17 The Data Extract/Transform/Load (ETL) Plan must specify: • Description of the ETL process • Mapping specifications • Input and output record layouts • Location of source and target data

M



March 30, 2005

VI-53

Req Met?



[volume/tab/page number(s)]: Y N • File/table sizing information • File/table volume information • ETL schedule • Documentation on how the data will be extracted • Documentation on how the data will be transformed • Documentation on how the data will be loaded

CD- 18 The Configuration Management Plan must specify: • Identification of configuration items and definition of the

process for managing the configuration items • Release management of configuration items to

development, test, and production environments

M

CD- 19 The System Test Plan must specify: • Test objectives and basic testing strategy • Strategy for creating and populating the test data and

maintaining the data during iterative testing • Test cases/scripts and conditions with expected results for

each requirement • Documentation to be produced as a result of the testing

activities • Test suspension criteria and testing activities that must be

repeated when testing is resumed following error conditions

• Risks and contingencies • Stress Test Plan, including how the System will be tested

M



March 30, 2005

VI-54

Req Met?



[volume/tab/page number(s)]: Y N in terms of transaction volume and response time to ensure that the System can support a maximum of 120 concurrent users

CD- 20 The Contractor must provide a Maintenance and Operations Plan that addresses the following areas: • Application maintenance and support services required to

correct items such as application related errors, malfunctions, ETL problems, etc.

• Hardware and system/database software upgrade strategy (e.g., plan for new version releases, and tools for ensuring that upgrades are successful)

M

CD- 21 The Training Plan/Knowledge Transfer Plan must specify: • Descriptions of course curriculum, training materials,

training processes, knowledge transfer processes, and training schedule

• Strategy and approach for training the CDI staff • Strategy and approach for transferring system technical

knowledge to the CDI ITD staff

M

CD- 22 The Training Materials must include: • Course outlines and content • Student materials used during the training courses • Training Manual

M

CD- 23 The System User Documentation must include: • Reference Manual • User Guide

M



March 30, 2005

VI-55

Req Met?



[volume/tab/page number(s)]: Y N CD- 24 The Statement of System Readiness must specify how the

System meets the CDI’s requirements. The Statement of System Readiness must be delivered in conjunction with migrating the System to production.

M

CD- 25 The Weekly Status Reports must address the overall project status with respect to the Project Work Plan and must provide progress information on all completed, ongoing, and planned project activities. Every report must have a current Project Work Plan attached that incorporates planned and actual start and end dates, percentage complete, and dependencies. These reports must summarize any outstanding issues or obstacles and detail any proposed deviations from planned activities, schedules, or staffing.

M

CD- 26 The Monthly Progress Reports must address project activities, resources, issues, scope changes, and risks.

M

CD- 27 The Contractor must develop a combination of 50 pre-defined queries and reports.

M

CD- 28 The Contractor must update training documentation and materials in conjunction with version upgrade releases through the contract term.

M

CD- 29 The Contractor must provide one (1) copy of manufacturer documentation in printed format and a second copy in electronic format to the CDI immediately upon installation of any software or hardware for this project.

M



March 30, 2005

VI-56

Req Met?



[volume/tab/page number(s)]: Y N CD- 30 For any software and hardware proposed, the Contractor must

agree to provide to the CDI copies of the documentation that accompanied the product at purchase. The following types of documentation are examples of products that must be accompanied by documentation: • Database Management System Products • Report Writing Products • Middleware Products • Web Server Products • Application Server Products

M

CD- 31 The Contractor must provide documentation for any System features that are above and beyond the base COTS product to include: • Description of the System’s role-based user

access/authority. • Capabilities, functions, and features of the System • Description of Contractor-developed pre-defined queries

and reports • Charts and accompanying descriptions depicting inputs,

outputs, data flows, control flows, and manual and automated processes

M

CD- 32 The Contractor shall complete and submit the Hardware and Software Proposed list, found in Appendix C, Form C13.

M




March 30, 2005

VI-57

VI.2 Desirable Requirements All requirements in this paragraph are desirable. The Bidder must provide a response as to whether they will provide (or not provide) each desirable requirement. For each desirable requirement that the Bidder agrees to provide, the Bidder must include a narrative description of how that requirement will be met. If a narrative description is not included or if the State does not find the solution acceptable, the Bidder will not be awarded the points associated with that requirement. If the Bidder does not include a narrative description of how that requirement will be met they will still be required to supply that requirement. It is the Bidder’s responsibility to ensure its proposal is submitted in a manner that enables the State Evaluation Team to easily locate all response descriptions and exhibits for each requirement in this RFP. The Bidder must not retype or edit requirements or exhibits except to enter requested information (refer to Section II.2.2, RFP Documents). The information to be included in the Bidder’s response for each requirement is:

• Requirement Type (M or D) This denotes if the requirement is mandatory (“M”) or desirable (“D”) and is assigned by the State. Refer to RFP Section II.1, Identification and Classification of RFP Requirements, for further information.

• Point Value This denotes the point value of the desirable requirement. Refer to RFP Section IX.6.4, Evaluation Factors Assessment Scoring, for further information.

• Proposal Reference Section For each desirable requirement that the Bidder agrees to provide, the Bidder must include in this column the reference(s) where the narrative is provided describing how that requirement will be met.

• Requirement will be Provided (Y or N) In each box the Bidder must designate whether they agree to meet the desirable requirement or not. If the Bidder agrees to meet the requirement, complete the response with a ‘Y’ (or Yes). If the requirement will not be met, complete the box with a ‘N’ (or No).

• Bidder’s Initials In each box entitled “Bidder’s Certification and Initials”, the person signing the Bidder’s proposal must initial in ink, for validation purposes that their solution includes the desirable requirements they say they will provide in the table.

• Requirement Met? Y/N This column is for use by the State Evaluation Team.



March 30, 2005

VI-58

VI.2.1 Functional Requirements The following are desirable functional requirements:

Req Met?

Number Requirement

Requirement Type (M or D

Point Value

Requirement Will Be

Provided (Y or N)

Proposal Reference Section [volume/tab/page

number(s)]: Y N GENERAL FUNCTIONALITY

DGF- 1 The System should provide the ability for alerts/notifications to be forwarded through MS Outlook email interface.

D 2

DGF- 2 When data elements are added to, modified, or removed from the source data and BI database, the System should provide tools that perform impact analysis of database changes to stored queries and reports.

D 2

DGF- 3 When data elements are added to, modified, or removed from the source data and BI database, the System should provide tools that minimize the activities involved in propagating changes to stored queries and reports.

D 2

DGF- 4 When data elements are added to, modified, or removed from the source data and BI database, the System should display an error message to the user when affected stored queries and reports are no longer valid.

D 3



March 30, 2005

VI-59

Req Met?

Number Requirement


Point Value

Requirement Will Be

Provided (Y or N)


number(s)]: Y N DGF- 5 The System should include an on-line

tutorial that explains system functions, features, and navigation.

D 2

DGF- 6 The System should provide the ability for the individual user to customize the navigation flow by the order of which tasks are performed or by the frequency of tasks performed.

D 1

DGF- 7 Each web page of the System should have a unique title that appears in the browser title bar.

D 3

DGF- 8 The System should have the ability for the user to conduct searches of reports by business areas using key words.

D 3

DGF- 9 The System should be compatible with Dragon Dictate Speaking Naturally voice recognition software.

D 1

Bidder’s Certification and Initials: We agree to provide all desirable requirements as indicated by a ‘Y’ above.



March 30, 2005

VI-60

VI.2.2 Report and Query Requirements The following are desirable reports and queries:

Req Met?

Number Requirement


Point Value

Requirement Will Be

Provided (Y or N)


number(s)]: Y N REPORTS AND QUERIES

DRQ- 1 The System should provide the ability to respond to natural language queries (like “Ask Jeeves”). For example, the System should have the ability to answer fundamental questions about a business unit, such as “How many fire & casualty agents are licensed in zip code 95691?” and “How many financial examinations have been completed during the year?”

D 3

DRQ- 2 The System should provide the user with the ability to perform a full-text search, i.e., query on any free-form text that is contained within data elements, for example, identify all current activities with regard to “title insurance.”

D 3

DRQ- 3 The System should provide the ability to export report results in a standard PDF format.

D 3



March 30, 2005

VI-61

Req Met?

Number Requirement


Point Value

Requirement Will Be

Provided (Y or N)


number(s)]: Y N DRQ- 4 The System should provide the ability

to export query results in the following standard formats: Microsoft Excel, Microsoft Access, and XML.

D 3

DRQ- 5 The System should provide a print preview feature for query and report results. The print preview must be a WSIWYG (what you see is what you get) representation of the printed output.

D 2

DRQ- 6 The System should provide the ability for users to save query/report results to a user-specified location (e.g., folder, drive).

D 3

DRQ- 7 The System should provide the ability for administrative users to establish links to CDI reports that have been generated outside the System (e.g., reports that reside on the CDI Internet and intranet sites).

D 3



March 30, 2005

VI-62

Req Met?

Number Requirement


Point Value

Requirement Will Be

Provided (Y or N)


number(s)]: Y N DRQ- 8 The System should provide links to

CDI reports that have been generated outside the System (e.g., reports that reside on the CDI Internet and intranet sites). When a user selects or clicks on a link, the associated report should be displayed on the user’s screen.

D 3

DRQ- 9 The System should provide the ability for a user to email a link, page, or attachment of saved query/report results to another user.

D 2

DRQ- 10 The System should allow the user to change the default format of a report, based on user role/security, including: font, layout, shading, borders, line thickness, margins, colors, page breaks, control breaks. When changing the default format of a report, the user should have the ability to change the default format for a one-time use or to save it as a new report to be used again.

D 3

DRQ- 11 The System should allow the user to create and modify report titles, sub-titles, and headings, based on user role/security.

D 3



March 30, 2005

VI-63

Req Met?

Number Requirement


Point Value

Requirement Will Be

Provided (Y or N)


number(s)]: Y N DRQ- 12 The System should allow the user to

define report headers and footers at the page level, control break level, and report level, based on user role/security.

D 3

DRQ- 13 The System should allow the user to suppress null-value rows and columns from a query/report, based on user role/security.

D 3

DRQ- 14 The System should allow the user to suppress leading zeros in numeric fields for query/report output, based on user role/security.

D 3

DRQ- 15 The System should provide the user with the ability to sort the output of a query by column, for example, in alphabetic or numeric order, based on user role/security.

D 3

DRQ- 16 The System should provide a query/report wizard to aid the users in query/report creation. The query/report wizard should not be the only method for invoking queries and reports.

D 3



March 30, 2005

VI-64

Req Met?

Number Requirement


Point Value

Requirement Will Be

Provided (Y or N)


number(s)]: Y N DRQ- 17 The System should provide the ability

for users to monitor query/report status, for example, to check if a job is running, failed, or completed.

D 2

DRQ- 18 When a query/report fails, the System should provide error messages that indicate the steps a user should take to correct and resubmit the query/report.

D 3

DRQ- 19 The System should provide the user with an estimated completion time for a query/report. The estimated completion time should be represented by a status bar that visually reflects the percent or time complete or the percent or time remaining.

D 1




March 30, 2005

VI-65

VI.2.3 Technical Requirements The following are desirable technical requirements:

Req Met?

Number Requirement


Point Value

Requirement Will Be

Provided (Y or N)


number(s)]: Y N SYSTEM ARCHITECTURE

DSA- 1 The System’s BI database should be Oracle Database 9.2 or Oracle Database 10g.

D 3

DSA- 2 The System should provide tools to aid CDI ITD staff in identifying when the ETL process is approaching volume capacity.

D 3

DSA- 3 The ETL process should maintain keys/relationships of source data to maximize query/report performance.

D 2

Bidder’s Certification and Initials: We agree to provide all desirable requirements as indicated by a ‘Y’ above. SYSTEM PERFORMANCE AND AVAILABILITY

DPA- 1 The System should allow CDI ITD staff to control System CPU and Input/Output resources by specifying the number of concurrent query processes, number of rows returned per query, and maximum time for a query to run.

D 2



March 30, 2005

VI-66

Req Met?

Number Requirement


Point Value

Requirement Will Be

Provided (Y or N)


number(s)]: Y N DPA- 2 The System should have the ability to

alert designated CDI ITD staff when resources (e.g. CPU, bandwidth, lengthy queries) reach a certain administrator-defined threshold.

D 2

DPA- 3 The System should provide CDI ITD administrative users with the ability to monitor system usage, including long-running reports, number of logins (active and concurrent), frequently requested queries, and historical trends.

D 3




March 30, 2005

VI-67

VI.2.4 Contractor Staffing Requirements The following are desirable contractor staffing requirements:

Req Met?

Number Requirement


Point Value

Requirement Will Be

Provided (Y or N)



DCS- 1 System development work may be performed on-site at the CDI Sacramento location. CDI will provide four (4) workstations in a shared workspace for the Contractor staff.

D 0

DCS- 2 The Contractor Project Manager should possess a Project Management Institute Project Management Professional (PMI PMP) Certification or other formal Project Management Certification.

D 3

DCS- 3 The Contractor Technical Architect should have experience implementing a system for a state, federal, or local government entity.

D 3

DCS- 4 The Lead Developer should have experience implementing a system for a state, federal, or local government entity.

D 3

DCS- 5 The Database Administrator should have experience implementing a system for a state, federal, or local government entity.

D 3



March 30, 2005

VI-68

Req Met?

Number Requirement


Point Value

Requirement Will Be

Provided (Y or N)


number(s)]: Y N DCS- 6 The Test Manager should have

experience implementing a system for a state, federal, or local government entity.

D 3

DCS- 7 The Test Manager should have two (2) years of experience utilizing the automated testing tools proposed by the Contractor.

D 3

DCS- 8 The Lead Trainer should have experience implementing a system for a state, federal, or local government entity.

D 3




March 30, 2005

VI-69

VI.2.5 Contract Deliverables The following are desirable deliverables:

Req Met?

Number Requirement


Point Value

Requirement Will Be

Provided (Y or N)



DCD- 1 The System User Documentation should include: • Quick Reference Guide

D 2



Section VII – Cost

March 30, 2005 VII-1

VII COST

VII.1 Introduction The State intends to acquire an Executive Information Portal based on the selection criteria as set forth in this RFP. As part of the proposal, Bidders are responsible for including the costs necessary for meeting the requirements stipulated to deliver the EIP system. This section defines the major cost components that must be included in each proposal as well as the required format. Additional formatting instructions are provided in Section VIII, Proposal Format. Bidders must provide responses to all requirements and proposed costs for the components of the EIP project. Bidders must submit cost information using the forms in Appendix B, Cost Workbook, in a separately sealed envelope that is clearly marked “Volume III, Cost Proposal.” The list of required cost forms and their respective descriptions can be found in Table 4, Cost Workbook Components.

Table 4. Cost Workbook Components

Workbook Component Form Form Description

Total Cost VII-1 Total Cost Summary

VII-2 Detailed COTS Software Costs VII-3 Detailed Hardware Costs Development Costs VII-4 Detailed System Integrator Implementation and

Other One-Time Costs On-Going Costs VII-5 COTS Version Upgrade Costs Labor Costs VII-6 Labor Costs

The Cost Proposal will not be opened and evaluated until after the State Evaluation Team has determined that the Bidder’s proposal is fully compliant with the format and mandatory requirements of this RFP and the non-cost related scoring has been completed. To maintain objectivity, the scored evaluation of the cost component of each proposal will not be conducted until the completion of other scored components. Bidders may refer to Section IX, Evaluation and Selection, for additional information on the scoring of proposals. All proposed system components must be included in the Bidder’s proposal and accounted for in the Bidder’s Cost Proposal. Any proposed system component that is not specifically priced or identified in the Bidder’s Cost Proposal, or that is identified after award of the contract to meet the requirements of this RFP, will be included by the Contractor at no additional cost.




In order to identify the project costs, various cost categories are included in the cost worksheets in Appendix B. A summary of the relevant cost categories is provided below. General instructions for completing the cost worksheets are included in Section VII.2, Cost Worksheets. One-Time Costs The one-time costs are comprised of: 1) Commercial Off-The-Shelf Software (COTS) software costs; 2) Hardware Costs; and 3) System Integrator implementation and other one-time costs.

– COTS Software Costs: The Bidder shall enumerate all one-time COTS software costs required to develop the EIP. These costs will contain the Bidder’s price for software items and licenses proposed for the project. The Bidder should describe all proposed software, including function, quantity, manufacturer, brand name, and version number for the items being proposed. The COTS Software COTS shall also include one (1) year of version upgrades. The one-year period begins upon final system acceptance by the CDI.

– Hardware Costs - The Bidder shall enumerate all one-time hardware costs required to implement and operate the EIP. The Bidder shall describe all proposed hardware, including function, quantity, manufacturer, brand name for the items being proposed.

– System Integrator Implementation and Other One-Time Costs - The Bidder shall include the cost of all proposed services pertaining to a system integrator implementation, including but not limited to those services required to effect the installation and deployment of the EIP, such as training; documentation and data transformation. The Bidder shall indicate the one-time cost for these services.

On-Going Costs The Bidder shall identify all recurring costs required (e.g., version updates) for up to three (3) one-year contract options. These costs will contain the Bidder’s price for all COTS software proposed for the project. The State will have the ability to exercise up to three (3) one-year contract option(s) for version upgrade and support services. Labor Costs The State anticipates that during the contract period including any optional years exercised by the State, legislative and/or program changes may necessitate application modifications, and/or the State may require assistance in implementing version upgrades after the one-year period. This support shall be structured in terms of a fixed hourly rate for consulting services that will be used to support application change requests, version upgrade support, and unanticipated application modifications and enhancements that result from legislative and/or program changes.

VII.2 Cost Worksheets The State has made available a cost workbook (in Excel format) on the CDI procurement website at http://www.insurance.ca.gov/EIP/. (Note: ‘EIP’ must be in upper case and followed with “/”.) A printed copy of this workbook is included in Appendix B. This pre-formatted workbook contains six (6) forms (one per sheet/tab), as follows:

Appendix B – Cost Workbook

VII-1 Total Cost Summary

http://www.insurance.ca.gov/EIP/




VII-2 Detailed COTS Software Costs VII-3 Detailed Hardware Costs (if any) VII-4 Detailed System Integrator Implementation and Other One-Time Costs VII-5 COTS Version Upgrade Costs VII-6 Bidder Labor Costs

• Total Cost Summary Worksheet – A summary of total system costs Form VII-1.

• Detailed COTS Software Costs Worksheet – For specification of all one-time COTS software costs Form VII-2.

• Detailed Hardware Costs Worksheet – For specification of all one-time hardware costs Form VII-3.

• Detailed System Integrator Implementation and Other One-Time Costs Worksheet – For specification of all service costs associated with implementation of the solution Form VII-4.

• COTS Software Licensing Costs Worksheet – For specification of optional COTS software product licensing and maintenance Form VII-5.

• Bidder Labor Costs Worksheet – For specification of Bidder staff firm fixed rates for application modifications and support Form VII-6.

Bidders are responsible for entering cost data in the format prescribed by the cost workbook. Pre-set formulas must not be altered. Further instructions for entering cost data are set within footnotes in each worksheet. Completion of the cost workbook is mandatory. Purchases of hardware and software and all items the Contractor will bill for, including but not limited to, delivery costs, tax, installation, licenses, travel, training, application development and testing, other services provided by the Bidder – any and all expenses associated with the delivery and implementation of the proposed system (EIP) must be included in the Bidder's firm fixed price. Formulas have been inserted in the appropriate cells of the worksheets to automatically calculate summary numbers. However, it is the sole responsibility of the Bidder to ensure that all mathematical calculations are correct in the proposal.

VII.2.1 Total Cost Summary Worksheet (Appendix B, Form VII-1) The total cost summary worksheet will contain the Bidder’s total price to provide systems and services as proposed, including software, implementation services and ongoing licensing and maintenance costs. All overhead or other cost items must be built into and included within the total price proposed by Bidder. These costs, when entered on worksheets VII-2 through VII-6, will be calculated and displayed automatically on this worksheet.

VII.2.2 Detailed COTS Software Costs Worksheet (Appendix B, Form VII-2) The COTS software costs worksheet will contain the Bidder’s firm fixed price for any and all pre-existing software products, including utilities, database and telecommunications software,




and licenses proposed for the EIP project. The Bidder should describe all proposed software products by product name, manufacturer, and version/release number for the items being proposed. (Recurring costs for version upgrades will be entered on the On-Going Costs worksheet, Appendix C, Form VII-5.) NOTE: All proposed hardware costs listed on this worksheet should also be documented on Hardware and Software Proposed, Appendix C, Form C13.

VII.2.3 Detailed Hardware Costs Worksheet (Appendix B, Form VII-3) The Hardware costs worksheet will contain the Bidder’s firm fixed price for any and all additional hardware proposed for the EIP project. The Bidder should describe all proposed products by product name, manufacturer, and any additional necessary specifications for the items being proposed. The State reserves the right to have the Bidder provide the proposed hardware, or to obtain hardware from another provider that meets the proposed specifications. NOTE: Do not include hardware necessary for the Bidders staff; the Bidder is responsible for providing all necessary hardware and software for their staff. NOTE: All proposed hardware costs listed on this worksheet should also be documented on Hardware and Software Proposed, Appendix C, Form C13.

VII.2.4 Detailed System Integrator Implementation and Other One-Time Costs Worksheet (Appendix B, Form VII-4)

The implementation costs worksheet will contain the Bidder's firm fixed price for providing the various services associated with delivering and implementing all the products and services required for the project. COTS Software and Hardware costs (if any) must not be included here. This worksheet is designed to collect the Bidder’s costs for the implementation services, training costs, and other overhead costs that have been proposed.

VII.2.5 COTS Software Version Upgrade Worksheet (Appendix B, Form VII-5) The COTS Software Version Upgrade Costs worksheet will contain the Bidder’s firm fixed price for providing on-going version upgrades for any and all pre-existing software products, including utilities, database and telecommunications software, and licenses proposed for the EIP project. The State reserves the right to exercise contract options for the Bidder to provide these services, or to obtain these services from another provider. The Bidder should describe all proposed software products by product name, manufacturer, and version/release number for the items being proposed. NOTE: Recurring costs for version upgrades shall be included for all products included on the Detailed COTS Software Costs Worksheet, Appendix B, Form VII-2.

VII.2.6 Bidder Labor Costs Worksheet (Appendix B, Form VII-6)

The Bidder labor costs worksheet shall include the Bidder’s firm fixed hourly rate for project changes, modifications and upgrades to the system as requested by the State, and a ‘per call’ rate for technical support assistance. These fixed rates shall apply throughout the term of the contract and any extensions thereof.


Section VIII – Proposal Format

March 30, 2005 VIII-1

VIII PROPOSAL FORMAT

VIII.1 Introduction These instructions prescribe the mandatory proposal format and the approach for the development and presentation of proposals. Format instructions must be followed, requirements and questions in the RFP must be answered, and requested information must be supplied. Each Bidder is responsible for providing sufficient information and documentation for the proposal to be thoroughly evaluated. Failure to do so may results in rejection of the proposal. Proposals must address the requirements in Section V, Administrative Requirements, and Section VI, Functional and Technical Requirements, in the order and format specified in this section. Each RFP requirement response in the proposal must reference the unique identifier for the requirement in this RFP. The pages in the proposal must be standard 8.5" x 11" paper, except charts, diagrams, etc., which may be foldouts. If foldouts are used, the folded size must fit within the 8.5" x 11" format. Each volume of the various proposal submissions must be provided separately in an appropriately sized 3-ring binder. Double sided printing is preferred. It is the Bidder’s responsibility to ensure its proposal is submitted in a manner that enables the State Evaluation Team to easily locate response descriptions and exhibits for each requirement of this RFP. Page numbers must be located in the same page position throughout the proposal. Figures, tables, charts, etc., must be assigned index numbers and must be referenced by these numbers in the proposal text and in the proposal Table of Contents. Figures, etc., must be placed as close to text references as possible.

VIII.2 Proposal Format And Content Each sealed proposal container must be labeled as follows:

• Name of Bidder • RFP CDI 0845-33 • Final Proposal, Draft Proposal or Pre-Qualification Proposal

The following must be shown on each page of the proposal:

• RFP CDI 0845-33 • Final Proposal, Draft Proposal or Pre-Qualification Proposal • Name of Bidder • Proposal volume number • Proposal part or exhibit number • Page number




The proposal must be completely sealed. All copies must be submitted by the time and date identified in Section I.5, Key Action Dates. One (1) complete set of required volumes must be clearly marked “MASTER COPY.” One copy of the entire proposal, in Microsoft Word, must be submitted on Compact Disc (CD). One copy of Volume III, Costs, shall be submitted on a separate CD and enclosed with the separately sealed “Costing” envelope. Proposal submissions must be clearly labeled "RFP CDI 0845-33”. Submissions must be identified as the Proposal, or Cost Proposal (cost data must be sealed and submitted separately from the Proposal) and include the Bidder's name and return address. Bidders should make sure that no costing information of any type is shown in their Proposal, except in the sealed “Cost Proposal” envelope. The inclusion of costing in any fashion or format in any other place in the Proposal may result in immediate rejection of the bid. Any product supporting literature containing costs or rates (such as catalogs, maintenance service rates, etc.) submitted as part of the Proposal must have cost figures obliterated.

VIII.2.1 Pre-Qualification Proposal Format and Content The Pre-Qualification Proposal must be submitted by the date specified in Section I.5, Key Action Dates, and in the manner specified in Section II.3.7.5, Delivery of Proposals. The Proposal must be submitted in the number of copies indicated and should be structured in the following manner:

Volume 1 – Pre-Qualification Proposal 10 copies plus a Master Copy • Form C12: Pre-Qualification Proposal Transmittal Form • Tab 1: Form C8: Corporate Experience References • Tab 2: Forms C2 & C3: Financial Information

VIII.2.1.1 Volume 1 – Pre-Qualification Proposal Prior to award of the contract, the State must be assured that the Bidder selected has all of the resources to successfully perform under the contract. This includes experience in similar endeavors and financial resources sufficient to complete performance under the contract. The organization is as follows:

Proposal Transmittal Form The Pre-Qualification Proposal Transmittal Form (Appendix C, Form C12) must be completed and should be included as the first page of Volume 1– Pre-Qualification Proposal.

Tab 1 - Corporate Experience

This part must contain corporate references for a minimum of TWO (2) projects it has completed that are similar to the EIP project. The references must meet the following requirements:

• Successfully performed two (2) similar implementations within the past three (3) years. For purposes of this RFP, “similar implementations” is defined as:




System is utilized by a geographically dispersed user base (minimum of two (2) physical locations operating over a WAN); and

Minimum concurrent user base of 120; and Data Store is similar in size (40GB, 3500 tables) to the IDB

• At least one (1) reference must be for a state or Federal government entity • At least one (1) reference must be for the BI COTS product being proposed.

It is desirable that at least one reference would be for implementing a BI tool utilizing Oracle as the source data or product data store.

Failure to provide verifiable references may cause the Proposal to be rejected. The purpose of the Corporate Reference requirement is to provide the State the ability to assess the Bidder’s prior record and experience in providing similar or relevant services to other organizations. All references must be specific to the services proposed for this procurement. References must include the information specified on Appendix C, Form C8. The descriptions of these projects must be detailed and comprehensive enough to permit the State to assess the similarity of those projects to the work anticipated in the award of the contract resulting from this procurement. The State’s determination of the similarity of the projects’ included as references to the project specified in the RFP, for the purpose of this RFP, shall be final. During the evaluation and selection process, the State may contact the specified references, and may contact any other customers or references that may become known to the State through any source.

Tab 2 – Financial Information This part must contain the following completed forms: • Form C2: Statement of Financial Condition • Form C3: Financial Information Requirements

NOTE: If any of the submitted financial information is identified by the Bidder as confidential, and the State agrees it is confidential, it shall be treated as such by the State and returned upon request after the Bidder's financial stability has been determined.

VIII.2.2 Draft Proposal Format and Content The Draft Proposal should follow the format and content of the Final Proposal except the submission must not include actual dollar cost information. All dollar cost items must be filled in using XXXs in the Draft Proposal. Costs must include any additional information or language that will be shown in the Final Proposal, without providing any cost figures. It is important that all forms and all cost worksheets be included with all entries completed except dollar figures.




Inclusion of cost figures in the Draft Proposal may result in elimination of the Bidder from further participation in the procurement process.

VIII.2.3 Final Proposal Format and Content The Final Proposal must be submitted by the time and date identified in Section I.5, Key Action Dates, and in the manner specified in Section II.3.7.5, Delivery of Proposals. The Proposal must be submitted in the number of copies indicated and should be structured in the following manner: Volume I – Response to Administrative Requirements 10 copies plus a Master Copy

• Cover Letter • Tab 1: Table of Contents • Tab 2: Executive Summary • Tab 3: Response to Administrative Requirements • Tab 4: Response to Functional and Technical Requirements

Volume II – Contract 4 original signed copies • Tab 1: Contract

Volume III – Cost Proposal 10 copies plus a Master Copy • Tab 1: Cost Worksheets • Tab 2: Summary of DVBE Participation with completed cost information • Tab 3: Small Business Preference Notification

Volume IV – Literature 2 copies plus a Master Copy

In addition to the number of hardcopies of the Proposal stated above, the Bidder is required to submit an electronic copy of the Proposal on a CD-ROM.

Volume I Response to Administrative Requirements The Bidder's response for Volume I must be by section, in the order and format indicated below. Each page must be numbered in a manner of the Bidder's own choosing to make easy reference possible.

Cover Letter This part must contain a signed Cover Letter on the Bidder's official business letterhead stationery. Cost information must not be included in the Cover Letter. The Cover Letter must contain a statement that substantiates that the person who signs the letter is authorized to bind the Bidder's firm contractually. The cover letter must state that the Bidder commits to fulfilling the requirements of this RFP.

Tab 1: Table of Contents This part must contain a Table of Contents. Major parts of the proposal, including forms, must be identified by volume and page number.




Tab 2: Executive Summary This part must describe the salient features of the proposal. It must contain an overview of the Bidder’s company background and qualifications, and must condense and highlight the contents of the proposal to provide a broad understanding of the entire proposal and facilitate the evaluation of the proposal. The Executive Summary should include conclusions and generalized recommendations. Such conclusions and recommendations will not be evaluated and will not be a factor in the selection of the successful proposal. Costing information must not be included in the Executive Summary.

Tab 3: Administrative Requirements Response This part must contain a response for each Administrative Requirement identified in Section V.6, Responses To Administrative Requirements, and include the documentation requested. The Bidder must provide a response to each requirement. Instructions for completion of Appendix C are provided in Section V, Administrative Requirements. • Form C1: Administrative Requirements Response Matrix • Form C4: Subcontractor List • Form C5: Contractor Information • Form C6: Payee Data Record • Form C7: Confidentiality Statement • Form C9: Resume Summary • Form C10: Non Discrimination Compliance Statement • Form C11: Certification of Compliance with the Americans with Disabilities Act

(ADA) of 1990 • Form C13: Hardware and Software Proposed • Form C14: Bid Certification • Form C15: Commercially Useful Function Statement • DVBE Participation Form (Form STD 840) • Small Business, TACPA, EEIA, and LAMBRA Bidding Preference forms, if

applicable

Tab 4: Response to Functional and Technical Requirements This part must contain a response for each of the functional and technical requirements included in Section VI, Functional and Technical Requirements. It can also contain other reference documentation that the Bidder chooses to include that supports statements and information provided in the Bidder’s proposal. Any reference to cost figures in the literature must be obliterated.

• Functional and Technical Requirements Response Matrix • Proposed Solution Description




• Draft System Architectural Design (refer to Section VI.1.7, Contract Deliverables)

• Draft Project Management Plan (refer to Section VI.1.7, Contract Deliverables)

• Draft Training and Knowledge Transfer Plan (refer to Section VI.1.7, Contract Deliverables)

Volume II Contract This volume must contain 4 signed, original copies of the contract. Volume III Cost Proposal This volume must be submitted in a separate, sealed, and clearly identified envelope or container/carton/box. It will not be opened for evaluation until Volumes I and II have been evaluated and scored as described in Section IX, Evaluation and Selection.

Volume IV Literature Volume IV should only contain supporting literature (i.e., manufacturers specifications, brochures, products, or services) proposed to support the requirements of this RFP.


Section IX – Evaluation and Selection

March 30, 2005 IX-1

IX EVALUATION AND SELECTION

IX.1 Introduction This section presents the process the State will follow in evaluating proposals submitted by Bidders in response to this RFP. The evaluation process is multi-step comprised of a thorough review of each proposal to determine the responsible and responsive proposal that offers “best value” to the State. The best value proposal is that proposal that meets all requirements set forth in this RFP and offers the State the best combination of value and cost as determined through the evaluation process specified in this section. The process includes reviews of the Pre-Qualification Proposals, Draft Proposals, with confidential feedback to each Bidder, followed by a detailed evaluation of Final Proposals. Pre-Qualification Proposals will not be considered in the final score, but will be used to determine that a Bidder qualifies to participate in the remaining RFP process. The point structure for evaluation of the final score is 547 points available (50%) for the proposed solution and 547 points available (50%) for cost, with a maximum score of 1,094 points.

IX.2 Receipt of Proposals Complete Pre-Qualification Proposals, Draft Proposals, and Final Proposals must be delivered by the dates specified in Section I.5, Key Action Dates. Each proposal will be date and time marked as it is received and verified that all responses are submitted under an appropriate cover, sealed, and properly identified. Pre-Qualification Proposals and Final Proposals must meet all requirements specified in Section VIII, Proposal Format, and, if not, may be rejected and deemed non-responsive.

IX.3 State Evaluation Team The State will establish a State Evaluation Team, comprised of individuals selected from State management and staff that will be responsible for the review and evaluation of Bidder proposals. A representative from the Department of General Services (DGS) will provide guidance and oversight for the evaluation process. The State may engage additional qualified individuals, termed “Subject Matter Experts” (SMEs), during the evaluation process to assist the State Evaluation Team in gaining a better understanding of technical, financial, legal, contractual, project, and/or program issues. The SMEs will not have voting privileges or be responsible for evaluating proposals. The State Evaluation Team will use consensus to determine pass/fail and to arrive at evaluation scores for each proposal.

IX.4 Review Of Pre-Qualification Proposals (pass/fail) The Pre-Qualification Proposal must contain the information requested in Section VIII.2.1, Pre-Qualification Proposal Format and Content. The main purpose of the Pre-Qualification Proposal is to provide the State with enough information to identify those Bidders with the greatest chance for success for this project, as well as which Bidders will advance to the Draft Proposal and Final Proposal phases. All Bidders that do not pass the Pre-Qualification step will be excluded from the remaining steps of the procurement process. A Bidder that does not submit a Pre-Qualification Proposal by the date and time specified in Section I.5, Key Action Dates, is automatically eliminated from further competition.



March 30, 2005 IX-2

Pre-Qualification Proposals will be pass/fail. The State will evaluate the Corporate Experience References (based on the criteria specified in Section V.6.2.7, Bidders References (Pre-Qualification Proposal), and Financial Information submitted by the Bidder. The State will contact the corporate references submitted. Bidders that meet the Corporate Experience and Financial requirements will be qualified to participate in the remaining RFP process.

IX.5 Review of Draft Proposals Bidder Draft Proposals will be reviewed by the State Evaluation Team to identify and document areas in which a proposal appears to be non-responsive or defective, requires additional clarification, demonstrates lack of responsibility, or introduces potential risk. The review will address each Bidder’s response to the following:

• Section V, Administrative Requirements • Section VI, Functional and Technical Requirements • Section VIII, Proposal Format

The State will give the Bidder an opportunity to meet with the State Evaluation Team to discuss the Bidder’s Draft Proposal. These confidential discussions will allow the Bidder to request clarification or ask questions specific to its proposed solution without having to share those questions with the other participating Bidders, thus protecting the confidential nature of each unique solution. Prior to each confidential discussion, the State Evaluation Team and the Bidder will jointly contribute to the development of a discussion agenda. The State Evaluation Team will provide the Bidder with a tentative agenda of items to be discussed and ask that the Bidder to identify additional questions or discussion items to be added to the agenda. The Bidder should bring to the confidential discussion persons who can answer questions, provide clarification, and address reservations the State may have. The State Evaluation Team will not request changes or make counter proposals during discussion of Draft Proposals. It will only identify its concerns, ask the Bidder for clarification, and express reservations if a requirement of the RFP is not, in the opinion of the State Evaluation Team, appropriately satisfied. The State admonishes Bidders that its review of Draft Proposals shall in no way imply a warranty that all potential defects in the Draft Proposals have been detected. Notification that the State did not detect a defect does not preclude rejection of the Final Proposal if a defect is later found. Oral communications are not binding on either party and only written communications are considered to be official. The State Evaluation Team may identify issues/concerns in regards to the Draft Proposal. The Bidder will be informed of the State Evaluation Team’s concerns and any non-responsive proposal items during the confidential discussions. Refer to Exhibit II-A, Competitive Bidding and Bid Responsiveness, located at the end of Section II, for a description of responsiveness.



March 30, 2005 IX-3

The State reserves the right to make a final determination with respect to the Bidder’s resolution of defects.

IX.6 Evaluation of Final Proposals The evaluation of Final Proposals will consist of the following steps:

IX.6.1 Proposal Submission Requirements Review (pass/fail) The Bidder will be given a ‘pass’ if the required information is included in the proposal and it meets the requirement(s) of this RFP and a ‘fail’ if the required information does not meet the requirements of this RFP, is incomplete or missing. If a proposal fails to meet any of the submission requirements in Section VIII.2.3, Final Proposal Format and Content, the State Evaluation Team will determine if the deviation is material. If the deviation is determined to be material, the proposal will be considered non-responsive and excluded from further consideration.

IX.6.2 Administrative Requirements Review (pass/fail) The Bidder will be given a ‘pass’ if the required information is included in the proposal and it meets the requirement(s) of this RFP and a ‘fail’ if the required information does not meet the requirements of this RFP, is incomplete or missing. If a proposal fails to meet any of the Administrative Requirements in Section V, Administrative Requirements, the State Evaluation Team will determine if the deviation is material. If the deviation is determined to be material, the proposal will be considered non-responsive and excluded from further consideration.

IX.6.3 Functional and Technical Requirements Response Review (pass/fail) Response to all Functional and Technical Requirements in Section VI is mandatory. A Pass/Fail evaluation will be used for written proposal responses to substantiate that the Functional and Technical Requirement Responses validate responsiveness (refer to Exhibit II-A, Competitive Bidding and Bid Responsiveness, located at the end of Section II, for a description of responsiveness). If the Bidder does not agree to provide every mandatory requirement, the proposal will be given a ‘fail’ and considered non-responsive. No further evaluation will be performed. If the Bidder’s proposed solution for a mandatory requirement is included but in the opinion of the State Evaluation Team fails to adequately meet the requirement, the State Evaluation Team will determine if it is a material deviation. If the deviation is determined to be material, the proposal will be considered non-responsive and excluded from further consideration.

IX.6.4 Evaluation Factors Assessment Scoring Proposals that comply with the mandatory “pass/fail” evaluation elements discussed above will then move on to the factor assessment portion of the evaluation and be scored by the State Evaluation Team. The maximum score possible for a single proposal is 1,094 points (547 points maximum for the Requirements Assessment and 547 points for the Cost Assessment), which will be awarded based on a consensus of the State Evaluation Team. The scoring model to assess Bidders’ proposals was developed in adherence to the business objectives and the overall goals of the project.



March 30, 2005 IX-4

IX.6.4.1 Requirements Assessment The State Evaluation Team will award to each Bidder up to the maximum number of points for each evaluation factor based on the Team’s assessment of the Bidder’s proposal. Each Bidder’s individual evaluation factor points will be combined to obtain their total Requirements Assessment score. Written proposal responses will be evaluated to determine the level of responsiveness to the business solution requirements enumerated in Section VI, Functional and Technical Requirements. Proposals that fail to earn 50% or more of the maximum points possible for any segment (i.e., Proposed Solution Description, Draft System Architectural Design, Draft Project Management Plan, Draft Training and Knowledge Transfer Plan) of the Requirements Assessment, excluding the Desirable Requirements, will be considered non-responsive and excluded from further consideration.

Example - Requirements Assessment Score (w/ detail) with 3 bidders

Bidder

Requirements Assessment Scores

by Requirements Segment

Total Points Possible

Total Evaluation

Factor Assessment

Score

Points Awarded

A Proposed Solution Description 162 75 0* Proposed Solution

Description Score is sub-50% threshold

Draft System Architectural Design 162 90 0 Draft Project Management Plan 48 45 0 Draft Training and Knowledge

Transfer Plan 66 40 0

Desirable Requirements 109 45 0 Total 547 295 0

B Proposed Solution Description 162 130 130 Draft System Architectural Design 162 95 95 Draft Project Management Plan 48 30 30 Draft Training and Knowledge


Desirable Requirements 109 0 0



March 30, 2005 IX-5

Bidder

Requirements Assessment Scores

by Requirements Segment

Total Points Possible

Total Evaluation

Factor Assessment

Score

Points Awarded

Total 547 295 295 C Proposed Solution Description 162 100 100 Draft System Architectural Design 162 100 100 Draft Project Management Plan 48 45 45 Draft Training and Knowledge


Desirable Requirements 109 15 15 Total 547 300 300

* This proposal will be excluded from further consideration because the score for the Proposed Solution Description does not reach the 50% threshold.

The evaluation factors that will be considered are listed on the following pages. The maximum score that is allowed for each factor is shown in parenthesis. The Bidder should ensure that the proposed approach to each component identified in Section VI, Functional and Technical Requirements, meets the RFP requirements.

Proposed Solution Description (Maximum Score = 162 Points) Scoring of Proposed Solution Description includes an assessment of the features, functions, and usability of the proposed solution in meeting the requirements designated as “mandatory” in Section VI, Functional and Technical Requirements. The Proposed Solution will be assessed and scored based on the Bidder’s 1) completeness of the description of the functionality proposed; 2) description of the user interface; 3) description of the “off the shelf” functionality and the functionality customizations needed to meet CDI’s requirements; and 4) customization flexibility of the solution and 5) ability to implement the computing environments necessary for the proposed solution. If a proposal merits less than 81 points in this segment, it will be considered non-responsive.

Draft System Architectural Design (Maximum Score = 162 Points) Scoring of Draft System Architectural Design includes an assessment of the proposed technical architectural solution and its compatibility with the existing CDI and TDC infrastructure. The System Architectural Design will be assessed and scored based on the Bidder’s 1) proposed technical and application architecture and 2) proposed solution for integrating the application architecture with CDI’s and TDC’s existing infrastructure. If a proposal merits less than 81 points in this segment, it will be considered non-responsive.



March 30, 2005 IX-6

Draft Project Management Plan (Maximum Score = 48 Points) Scoring of the Draft Project Management Plan includes an assessment of how the Bidder will manage the EIP project. The Draft Project Management Plan will be assessed and scored based on the Bidder’s proposed project management approach and methodology, including project schedule, project deliverables, issue resolution, risk management, and communication plan. If a proposal merits less than 24 points in this segment, it will be considered non-responsive. Draft Training and Knowledge Transfer Plan (Maximum Score = 66 Points) Scoring of the Draft Training and Knowledge Transfer Plan includes an assessment of the methodology and approach the Bidder will use to train CDI staff on the EIP system and prepare CDI staff to maintain the EIP system. The Draft Training and Knowledge Transfer Plan will be assessed and scored based on the Bidder’s 1) proposed training curriculum and schedule; and 2) proposed knowledge transfer approach for transferring system technical knowledge to CDI staff. If a proposal merits less than 33 points in this segment, it will be considered non-responsive. Desirable Requirements (Maximum Score = 109 Points) The Desirable Requirements will be assessed and scored based on the Bidder’s ability to meet requirements designated as “desirable” in Section VI, Functional and Technical Requirements. The points available for each “desirable” requirement are provided in Section VI.2, Desirable Requirements. Demonstration (Pass/Fail) The demonstration is intended to provide the State the ability to verify the claims made by the Bidder in response to the requirements specified in Section VI, Functional and Technical Requirements. All responsive proposals will be evaluated. The Demonstration content is identified in Section X.5, Demonstration Content. If the State requires the Bidder to clarify any additional items through the Demonstration, the State will notify the Bidder of the additional demonstration items at least five (5) State business in advance of the scheduled demonstration. The Bidder will be given a ‘pass’ if the Bidder successfully demonstrates each requirement in Section X.5, Demonstration Content. If the demonstration fails to meet any of the requirements in Section X.5, Demonstration Content, the State Evaluation Team will determine if the deviation is material. If the deviation is determined to be material, the demonstration will be ‘failed’ and the proposal will be considered non-responsive and excluded from further consideration.

IX.6.4.2 Cost Assessment Sealed Cost information will not be opened until the Evaluation Team has completed the previous steps in the evaluation process. If a Bidder’s proposal has been determined to



March 30, 2005 IX-7

be non-responsive during any of the earlier steps, its cost information will remain unopened. The Cost Assessment consists of a computation of the Total Solution Cost. The Cost Assessment will incorporate costs defined in Section VII, Cost, and provided by the Bidder in Appendix B, Cost Workbook. Determination of the cost of each Bidder’s proposal will be based on an assessment of the total cost of the proposed solution, including the sum of software and hardware costs, implementation costs, and estimated labor costs for the contract. The maximum number of points that can be awarded for the Cost Assessment score is 547. The Cost score of each Bidder’s Final Proposal will be determined after any adjustments have been made, any errors corrected, and consideration of the TACPA, EEIA, and LAMBRA Bidding Preferences, if applicable. Preferences for TACPA, EEIA, and LAMBRA shall not exceed $100,000. Total Solution Cost (Maximum Score = 547 Points)

The maximum number of points that can be awarded for the Total Solution Cost assessment is 547. Each bidder’s cost score will be based on the ratio of its total cost to the total cost associated with the lowest responsive proposal multiplied by the maximum number of cost points (547), as shown below.

Lowest Cost Assessment x 547 Bidder Cost Assessment = Bidder Cost Score

Total Solution Cost Evaluation and Scoring Methodology Example1

Bidder Total Cost Calculation Cost Points Awarded

A Cost not opened as Requirements Assessment was not passed

B $1,000,000 $1,000,000 X 547

$1,000,000 547

C $1,500,000 $1,000,000 X 547

$1,500,000 364.67

1 The bidder costs presented here are not meant to be suggestive or prescriptive in regard to the bids for this project; they serve only to demonstrate how the calculations will be performed.

IX.6.5 Summary of Overall Evaluation Scoring Process The following table provides a snapshot of the evaluation process and demonstrates how the State Evaluation Team will score each Bidder’s proposal.



March 30, 2005 IX-8

EVALUATION COMPONENTS MAXIMUM SCORE

BIDDER’S SCORE

SUBMISSION REQUIREMENTS REVIEW Section VII – Proposal Format

- All Submission Requirements met? N/A Pass/Fail If Yes, continue, otherwise stop at this point.

ADMINISTRATIVE REQUIREMENTS REVIEW Section V – Administrative requirements

- All Administrative Requirements met? N/A Pass/Fail If Pass, continue, otherwise stop at this point.

FUNCTIONAL AND TECHNICAL REQUIREMENTS RESPONSE REVIEW Section VI – Functional and Technical Requirements

- Bidder agrees to provide each mandatory requirement? N/A Pass/Fail If Pass, continue, otherwise stop at this point.

REQUIREMENTS ASSESSMENT Total Points Available = 547 Proposed Solution Description 162 Draft System Architectural Design 162 Draft Project Management Plan 48 Draft Training and Knowledge Transfer Plan 66 Desirable requirements 109 Demonstration N/A Pass/Fail

COST Total Points Available = 547 • Total Solution Cost Appendix B 547 TOTAL POINTS AVAILABLE 1,094

IX.7 Selection Of Contractor The State Evaluation Team will determine which Bidder proposal is the most responsible, responsive proposal and has the highest combined score for cost and evaluation factors, up to a maximum of 1,094 points. Small Business Preference will then be applied as required by law. Certified California Small Businesses and large businesses that subcontract 25% or more of the work to certified California Small Businesses will receive preference points equal to 5% of the highest scoring large business not receiving the Small Business preference. The highest sum of the cost score, the evaluation factors score and the small Business preference points will determine the Bidder selected for contract award. The table below provides an example of how the final total score is determined. Bidder C is a certified California Small Business and Bidder B is a large business.



March 30, 2005 IX-9

Bidder

Requirements Assessment

Points (x)

Cost Points

(y)

Total Points (x+y)

Small Business

Preference (b * .05)

Total Score

A 0 0 0 0 0

B 295 547 842 0 842

C 300 364.67 664.67 42.10 706.77

In this example, Bidder B has the highest Total Score and would be selected for contract award.


Section X – Demonstration

March 30, 2005 X-1

X DEMONSTRATION

X.1 Demonstration Overview The demonstration is intended to provide the State the ability to verify the claims made by the Bidder in response to the requirements specified in Section VI, Functional and Technical Requirements. During the demonstration, the Bidder must demonstrate that a State-selected sample of mandatory requirements can be satisfied by the Bidder’s proposed EIP solution. The State-selected requirements are specified in Section X.5, Demonstration Content. If the State requires the Bidder to clarify any additional items through the Demonstration, the State will notify the Bidder of the additional demonstration items at least five (5) State business in advance of the scheduled demonstration. Demonstrations will be performed as part of the State’s evaluation of the Bidder’s Final Proposal.

X.2 Bidder’s Criteria All Bidders who do not have material deviations from the requirements of this RFP in the Submission Requirements Review, Administrative Requirements Review, and the Functional and Technical Requirements Response Review will be required to conduct a demonstration for the State Evaluation Team.

X.3 Demonstration Scoring The demonstration will be evaluated as described in Section IX.6.4, Evaluation Factors Assessment Scoring. The demonstration is pass/fail.

X.4 Demonstration Location The State’s preference is that the Bidder conducts all demonstrations at the California Department of Insurance (CDI) headquarters in Sacramento, California. However, if the Bidder believes that a more valid demonstration can be given at another location, the Bidder may request this and provide documentation as to the benefits in doing so. All proposed alternative locations must be within 25 miles of Sacramento, California. Regardless of the physical location of the demonstration, the Bidder must make all arrangements for the demonstration site preparation at no cost to the State.

X.5 Demonstration Content The Demonstration is limited to a maximum of three (3) hours. The Bidder will have an additional hour to set-up for the demonstration and 30 minutes to remove equipment from the demonstration. In the course of the demonstration, the Bidder must demonstrate that the proposed EIP solution presented in the Final Proposal satisfies the following requirements selected from Section VI, Functional and Technical Requirements.


Section X – Demonstration

March 30, 2005 X-2

Table 5. Demonstration Content ID

Number Demonstration Requirement Base

Requirement ID Number(s)

1 Using a combination of tables, graphics, and other graphical indicators (Digital Dashboard) the System must provide summary data about pre-defined critical business areas. Digital Dashboard is defined as a point in time visual display of summary data about critical business/functions. The Digital Dashboard is a component of the System’s portal (home page).

GF-3

2 The System must provide the ability for individual users to establish, modify, and view individual alerts/notifications. For example, individual users may determine what text will be displayed, in what circumstances, and set triggering event thresholds. Individual alerts/notifications are established by an individual user and are sent to the individual user.

GF-10

3 The System must display alerts/notifications within the System (not on email, MS Outlook, for example).

GF-25

4 The System must provide summary-level data of activities across all and/or selected areas of the organization. In other words, the System must provide summary statistics that are an aggregate of detail-level data stored in multiple tables within the BI database.

GF-41

5 The System must enable users to conduct scenario/what-if testing based on pre-defined queries/reports.

GF-44

6 The System must allow users to conduct queries (e.g., statistical analysis, ratio testing) on pre-defined summary-level data and use those query results to identify and analyze statistical trends over a period of time.

GF-45 RQ-34

7 The System must provide the ability for the user to “drill down” on the summary-level data (i.e., navigate from summary-level data to detail-level data) to receive more detailed information.

GF-48

8 The System must allow users to specify the specific data elements that are provided during the drill down. The user must have the ability to select single, multiple, or all data elements for display.

GF-49 GF-50

9 The System must provide a customized portal (home page) based on the business needs of each individual user. An example of a customized portal is “My Yahoo”.

GF-54

10 The System must ensure that individual users have the ability to create and modify their own queries/reports.

RQ-9

11 The System must provide a query/reporting environment where the user is prompted for input, for example with drop down menus, selection boxes, pick lists, parameters, cascading prompts, free-form data entry and dynamic filters, when specifying query/report criteria.

RQ-14 RQ-26

12 The System must provide the ability for the user to select single, multiple, or all data elements from a list when specifying query/report criteria.

RQ-15

13 The System must provide the ability to export query and report results to a standard file format outside the System.

RQ-17 RQ-18

14 When displaying and organizing results of queries and reports, the System must provide the ability for users to array the data in the following formats: tabular, columns, 3-dimensional effect, bar chart, line chart, and pie chart.

RQ-20

15 The System must provide the ability for individual and administrative users to save and reuse query criteria.

RQ-23


March 30, 2005

APPENDICES


Appendix A – Contract Terms and Conditions

March 30, 2005 A-1

APPENDIX A - CONTRACT TERMS AND CONDITIONS

STATE OF CALIFORNIA STANDARD AGREEMENT STD. 213 (NEW 06/03)

FOR I.T. GOODS/SERVICES ONLY

REGISTRATION NUMBER

PURCHASING AUTHORITY NUMBER AGREEMENT NUMBER

1. This Agreement is entered into between the State Agency and the Contractor named below STATE AGENCY’S NAME Department of Insurance (hereafter called State) CONTRACTOR’S NAME

(hereafter called Contractor)2. The term of this

Agreement is: through

3. The maximum amount of this Agreement is: $

4. The parties agree to comply with the terms and conditions of the following attachments which are by this reference made a part of the Agreement:

Attachment A – Administrative Requirements x Pages

Attachment B - Functional and Technical Requirements x Pages Attachment C – Response to RFP CDI 0845-33 x Pages Attachment D* - IT General Provisions (Revised and Effective 08/16/2004) Attachment E* - IT Purchase Special Provisions (dated 01/21/03) Attachment F* - IT Maintenance Special Provisions (dated 01/21/03) Attachment G* - IT Software License Special Provisions (dated 01/21/03) Attachment H* - IT Personal Special Provisions (dated 01/21/03) Items shown with the Asterisk (*), are hereby incorporated by reference and made part of this agreement as if attached hereto. These documents can be viewed at http://www.pd.dgs.ca.gov/modellang/ModelContracts.htm and http://www.pd.dgs.ca.gov/modellang/ITModules.htm

IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. CALIFORNIA

CONTRACTOR Department of General Services

Use Only CONTRACTOR’S NAME (If other than an individual, state whether a corporation, partnership, etc.)

BY (Authorized Signature) DATE SIGNED

PRINTED NAME AND TITLE OF PERSON SIGNING

ADDRESS

STATE OF CALIFORNIA

AGENCY NAME

Department of Insurance BY (Authorized Signature) DATE SIGNED

PRINTED NAME AND TITLE OF PERSON SIGNING ADDRESS Exempt per

STANDARD AGREEMENT



March 30, 2005 B-1

APPENDIX B - COST WORKBOOK

Form VII-1 - Total Cost Summary Worksheet

Cost Category Summary CostVII-2 COTS Software Cost -$ VII-3 Hardware Cost -$ VII-4 System Integrator Implementation and Other One-Time Costs -$ VII-5 COTS Version Upgrade Costs -$ VII-6 Bidder Labor Costs -$

Total -$

Form VII-2 - Detailed COTS Software Costs

Item Description Version/ # of Licenses/ SpecificationsPurchase

Price Tax DeliveryInstallation

ChargeTotal Unit

CostQuantity Needed

Total Item Cost(Unit Cost*Quantity)

-$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$

Total -$



March 30, 2005 B-2

Form VII-3 - Detailed Hardware Costs

Item Description Make/Model/SpecificationsPurchase

Price Tax DeliveryInstallation

ChargeTotal Unit

CostQuantity Needed

Total Item Cost(Unit Cost*Quantity)

-$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$

Total -$



March 30, 2005 B-3

Form VII-5 - Detailed COTS Software Costs

Item DescriptionOptional

Year 1 CostOptional Year

2 CostOptional Year

3 CostTotal Optional Cost

(Year 1 + Year 2 + Year 3)-$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$

Total -$

Form VII-4 - System Integration Implementation and Other One-Time Costs

Item Description Estimated Staff Hours Total Item Cost

Total 0 -$



March 30, 2005 B-4

Form VII-6 - Labor Costs

Bidder Classification Hourly Rate

Estimated Staff Hours (For Evaluation Purposes Only)

Total Evaluation Cost

Project Manager 144 $ - Technical Architect 50 Lead Developer 163 Database Administrator 70 Test Manager 44 Lead Trainer 44

Per Call Fee

Estimated Number of Calls (For Evaluation

Purposes Only) Total Evaluation

Cost Technical Support Call 5 $ - Total $ -

RFP CDI 0845-33 Enterprise Information Portal RFP Appendix C – Proposal Response Forms

March 30, 2005 C-1

APPENDIX C - PROPOSAL RESPONSE FORMS

FORM C1: ADMINISTRATIVE REQUIREMENTS RESPONSE MATRIX

FORM C2: STATEMENT OF FINANCIAL CONDITION

FORM C3: FINANCIAL INFORMATION REQUIREMENTS

FORM C4: SUBCONTRACTOR LIST

FORM C5: CONTRACTOR INFORMATION

FORM C6: PAYEE DATA RECORD – FORM STD. 204

FORM C7: CONFIDENTIALITY STATEMENT

FORM C8: CORPORATE EXPERIENCE REFERENCES

FORM C9: RESUME SUMMARY

FORM C10: NON DISCRIMINATION COMPLIANCE STATEMENT – FORM STD. 019

FORM C11: CERTIFICATION OF COMPLIANCE WITH THE AMERICAN DISABILITIES ACT (ADA) OF 1990

FORM C12: PRE-QUALIFICATION PROPOSAL TRANSMITTAL FORM

FORM C13: HARDWARE AND SOFTWARE PROPOSED

FORM C14: BID CERTIFICATION

FORM C15: COMMERCIALLY USEFUL FUNCTION STATEMENT


March 30, 2005 C-2

FORM C1: ADMINISTRATIVE REQUIREMENTS RESPONSE MATRIX For each Proposal Item listed in Form C1, Administrative Requirements Response Matrix, the Bidder must check “Yes” on the matrix, indicating compliance, or “No” on the matrix indicating non-compliance.

Proposal Item Contractor Agrees to

Meet?

Reference to

Proposal Section

#1: The Bidder must provide the State with sufficient information to allow the State to confirm the Bidder’s ability to perform successfully under the contract.

YES ___

NO ___

V.6.1

#2: The State requires that the contract resulting from RFP CDI 0845-33 be issued to one prime contractor who shall be responsible for successful performance of this RFP. The prime contractor shall be responsible for successful performance of all Subcontractors and will be required to assume responsibility for design, development, testing, and implementation of all systems in their proposal. Furthermore, the State will consider the prime contractor to be the sole point of contact with regard to contractual matters, payment of any and all charges resulting from the outsource or purchase of the equipment and maintenance of the equipment for the term of the contract. The prime contractor must serve as system integrator for RFP CDI 0845-33 and must coordinate services with other entities, if necessary, for hardware and software testing, and the resolution of communications problems. Bidders must provide documents to demonstrate financial capability, to demonstrate financial solvency and the capacity to fulfill the obligations of this RFP. Corporate or individual tax identification numbers must be provided to facilitate verification of tax compliance. (See Financial Information, Appendix C, Form C2 and Form C3, for additional information.) NOTE: The State may obtain independent credit statements for Bidders submitting a proposal. The Contractor will be responsible for compliance with requirements under the contract, even if requirements are delegated to subcontractors. All State policies, guidelines, and requirements apply to subcontractors. The contractor and subcontractors shall not in any way represent themselves in the name of the CDI or the State of California without prior written approval.

YES ___ YES ___ YES ___ YES ___ YES ___

NO ___ NO ___ NO ___ NO ___ NO ___

V.6.2.1

#3: Work to be provided by subcontractors must be well documented in the RFP response. Subcontractor List, Appendix C, Form C5, must be completed for both the contractor and all subcontractors. The Bidder must explain how they will manage and control the work of the subcontractors. This information must be included if subcontractors are being utilized. The Contractor must have written agreement from the State prior to replacement

YES ___ YES ___ YES

NO ___ NO ___ NO

V.6.2.2


March 30, 2005 C-3


Meet?

Reference to

Proposal Section

or substitution of any subcontractor. For any proposed replacement or substitution before or after the award, the Contractor must provide the State with references, resumes, and financial documentation, in addition to meeting all other applicable requirements, and submission of all applicable forms, in this RFP. The Bidder must agree that all requirements will be adhered to and that requirements will apply to subcontractors even if subcontractor concurrence is not specifically defined in the Administrative Requirement. The Bidder agrees that each subcontractor contributing 10% or more of the value of the contract must provide the information required on the forms listed below. Any subcontractor who the Contractor chooses to use in fulfilling a contract, and who is expected to receive 10% or more of the compensation paid for the system development provided under the contract must also meet all Administrative and Functional and Technical Requirements applicable to the subcontracted work and must submit the following forms: a. Cover Letter b. Financial Information, Forms C2 and C3 c. Contractor Information, Form C5 d. Non Discrimination Compliance Statement – Form STD. 019, Form C10 e. Certification of Compliance with the American Disabilities Act (ADA) of 1990, Form C11 f. Bid Certification, Form C14

___ YES ___ YES ___

___ NO ___ NO ___

#4: Upon award to a contractor, notice shall be given by the State to the subcontractors listed in Subcontractor List, Appendix C, Form C4, of their participation in the contract. Notification to the subcontractor by the prime contractor is encouraged immediately after award of an RFP. There will be no assignment of responsibility to a third party without prior written approval from the State.

YES ___

NO ___

V.6.2.3

#5: The Bidder’s firm must have been in existence for a minimum of three (3) years prior to the due date of the Final Proposal to ensure corporate stability. The Bidder must complete and submit Contractor Information, Appendix C, Form C5. This form will provide the State information regarding firm experience, firm size, firm market focus, company background, and experience in similar or dissimilar industries with projects of same size and scope. A separate form must be completed for the prime contractor and each subcontractor participating in this Bid.

YES ___

NO ___

V.6.2.4

#6: The Bidder’s Final Proposal submission must contain a fully executed copy of the Payee Data Record STD Form 204 – (reference Appendix C, Form C6, for a link to the DGS website).

YES ___

NO ___

V.6.2.5

#7: To preserve the integrity of the security measures integrated into the State’s automated information systems, the Bidder agrees that all personnel (including subcontractors) assigned to the project will submit a signed copy of the Confidentiality Statement provided in Appendix C, Form C7, prior to working on this project. The contractor engaging in services to the State pertaining to this project, requiring contact with State information will be required to exercise security

YES ___ YES ___

NO ___ NO ___

V.6.2.6


March 30, 2005 C-4


Meet?

Reference to

Proposal Section

precautions for data that is made available and must accept full legal responsibility for the protection of this confidential information. This includes financial, statistical, personal, technical and all other types of data and information relating to operations at the CDI, whether expressly made available to the contractors, or encountered coincident to programming work or testing. Under no circumstances shall the Bidder use or publish, sell or otherwise disclose to any third party the contents of any records or data, or reports derived from data, submitted for processing without the authorization and consent of the State in writing.

YES ___

NO ___

#8: Bidders must provide two (2) or more references using Corporate Experience References, Appendix C, Form C8. The purpose of this section is to provide the State the ability to verify the claims made in the proposal by the Bidder. The references must meet the following requirements: • Successfully performed two (2) similar implementations within the past three

(3) years. For purposes of this RFP, “similar implementations” is defined as: - System is utilized by a geographically dispersed user base (minimum of two (2) physical locations operating over a WAN); and

- Minimum concurrent user base of 120; and - Data Store is similar (40GB, 3500 tables) in size to the IDB • At least one (1) reference must be for a State or Federal government entity • At least one (1) reference must be for the specific product being proposed. It is desirable that at least one reference would be for implementing a BI tool utilizing Oracle as the source data or product data store. The Bidder recognizes that references will be contacted at the State’s discretion.

YES ___ YES ___ YES ___

NO ___ NO ___ NO ___

V.6.2.7

#9: The Bidder agrees to provide information regarding references and staff capability for Key Personnel. The Bidder agrees that the State reserves the right to approve or reject replacement project team members. In response to this section of the RFP, the Bidder shall provide the following résumé information for each Key Personnel by using the Resume Summary, Appendix C, Form C9. (1) Required Résumés At a minimum, curricula vitae shall be included for the personnel listed below. It is expected that no individual identified by the Bidder will simultaneously fill more than one of the positions listed below. All résumés supplied shall be for specific named individuals. Key Personnel:

• Project Manager • Technical Architect • Lead Developer • Database Administrator • Lead Tester

YES ___ YES ___

NO ___ NO ___

V.6.2.8


March 30, 2005 C-5


Meet?

Reference to

Proposal Section

• Lead Trainer (2) Bidder Project Team Changes Before the start of the project the State recognizes that an unusual circumstance may result in the change of a proposed Key Personnel staff person identified in the Bidder’s proposal. The Bidder may substitute staff personnel at the time of contract implementation who are different from those offered at the time of bid submission ONLY if such substitute personnel have equivalent skills and experience. If the Bidder must substitute the Project Manager, the Bidder must submit, in writing, the reason for the change and provide a résumé for the substitute personnel. The State will either approve or reject the substitution. After the start of the project the State recognizes that a resignation, or other such event, may cause Key Personnel not to be available to the Bidder. If this should occur, the Bidder must agree that the State has the right to approve or reject replacement project team members assigned by the Bidder to this project. The Bidder will not be allowed extra time or money to replace personnel. The replacement project team member must possess the same or a higher level of technical expertise and/or experience than the original staff person leaving the project. The Bidder must notify the CDI’s EIP Project Manager of personnel vacancies and provide résumés of replacement staff as support for the Bidder’s compliance with this provision.

YES ___ YES ___

NO ___ NO ___

#10: A valid Workers’ Compensation Insurance Policy for all employees proposed in the performance of this contract must be included in the Final Proposal. The Bidder and proposed subcontractors must maintain in force (as required by State law) a valid Workers’ Compensation Insurance Policy for all employees engaged in the performance of the contract. They agree to furnish the State satisfactory evidence thereof in the Final Proposal and at any time the State may request.

YES ___ YES ___

NO ___ NO ___

V.6.2.9

#11: The Bidder’s Final Proposal must contain a completed Nondiscrimination Compliance Statement (reference Appendix C, Form C10 for a link to the DGS website).

YES ___

NO ___

V.6.3.1

#12: The Bidder’s Final Proposal must indicate compliance with the Americans with Disabilities Act by signing the form provided in Appendix C, Form C11.

YES ___

NO ___

V.6.3.2

#13: To request the Small Business Preference, the Bidder’s proposal must contain a letter requesting the Small Business Preference, and a copy of the Small Business approval letter from DGS, showing the Bidder’s Small Business number. The Bidder’s proposal should not contain this item if there is no intention to claim this preference. The Bidder must check “Yes” on the matrix, indicating the Bidder is claiming this preference, or “No” on the matrix indicating the Bidder is not claiming this preference. A 5% bid preference is now available to a non-small business claiming 25% California certified small business subcontractor participation. Bidders claiming the 5% preference must be certified by California as a small business or must commit to subcontract at least 25% of the net bid price with one or more California certified small businesses. Completed certification applications and

YES ___ YES ___

NO ___ NO ___

V.6.3.3


March 30, 2005 C-6


Meet?

Reference to

Proposal Section

required support documents must be submitted to the Office of Small Business and DVBE Certification (OSDC) no later than 5:00 p.m. on the Final Proposal due date, and the OSDC must be able to approve the application as submitted. New Information Regarding Small Businesses If your firm is a certified California small business, in accordance with Assembly Bill 669, your company must address specific aspects of the Legislation that requires certified small businesses to perform a commercially useful function as defined by government Code Section 14837, 14838.6, 14839, 14842, and 14842.5. Therefore, you must provide written documentation that:

a) Your company is responsible for the execution of a distinct element of the work of the contract.

b) You carry out its obligation by actually performing, managing, or supervising the work involved.

c) Performs work that is normal for your business services and functions. d) Is not further subcontracting a portion of the work that is greater than that

expected to be subcontracted by normal industry practices. e) A contractor, subcontractor, or supplier will not be considered to perform

a commercially useful function if the contractor’s, subcontractor’s, or supplier’s role is limited to that of an extra participant in the transaction, contract, or project through which funds are passed in order to obtain the appearance of small business or micro business participation. Provide proof that this statement does not pertain to your company’s potential involvement in this procurement.

YES ___

NO ___

#14: The Bidder must agree to meet the specifications for interfaces contained in Section VI, Functional and Technical Requirements. Any proposed equipment must interface to existing installed equipment in order to meet the specifications contained in Section VI, Functional and Technical Requirements, the prime contractor shall agree to be responsible for making any necessary arrangements with the supplier(s) of such installed equipment, for such interface.

YES ___ YES ___

NO ___ NO ___

V.6.3.4

#15: The Bidder must agree that the State shall have exclusive ownership of all data gathered or developed resulting from this RFP. The State shall exclusively own all data gathered or developed for the State, resulting from this RFP. The contractor shall have no rights to any such data gathered as a part of the Contract resulting from this RFP. All such data shall be designated “confidential,” and must be protected as specified within the Contract. At the end of the contract the State shall own all database and data storage design documents, schema, documentation, licensing, and end-user documentation developed to support the EIP system.

YES ___

NO ___

V.6.4

#16: The Bidder must agree that the State shall have the option of procuring the Bidder’s proposed additional hardware as part of this contract or may purchase the proposed additional hardware from another provider.

YES ___

NO ___

V.6.5

#17: The Bidder must agree that the State shall have the option of procuring the version upgrades and support for the proposed COTS software for up to three (3) one-year (1-year) options or may purchase COTS software version upgrades and

YES ___

NO ___

V.6.6


March 30, 2005 C-7


Meet?

Reference to

Proposal Section

support from another provider. #18: On January 1, 2004, Chapter 623, Statutes of 2003, became effective and required all small business, microbusinesses and disabled veteran business enterprises to perform a “commercially useful function” in any contract they perform for the State. • A business that is performing a commercially useful function is one that does

all of the following” • Is responsible for the execution of a distinct element of the work of the

contract. • Carries out its obligation by actually performing, managing or supervising

the work involved. • Performs work that is normal for its business, services and function. • Is not further subcontracting a portion of the work that is greater tan that

expected to be subcontracted by normal industry practices.

The Bidder must provide a written statement detailing the role, services and/or goods the subcontractor(s) will provide to meet the Commercially Useful Function requirement, using the Commercially Useful Function Statement, Appendix C, Form C15.

YES ___

NO ___

V.6.7

#19: The EIP shall be designed, developed, tested and implemented using a project-phased approach with payments structured as follows:

1. Payment #1 Milestone, COTS Software Installation and Verification and Hardware Installation and Verification: The Contractor may invoice for Payment #1 after all proposed COTS software and hardware is installed on the applicable State platform and the State has verified the successful installation; and. In addition, all documentation (including licensing) shall have been delivered to the State. The Payment #1 Milestone must not exceed 20% of the total Development Costs.

2. Payment #2 Milestone, Development and Implementation: The Contractor may invoice for Payment # 2 after successful completion of all development and implementation activities, including State User Acceptance Testing and migration of the System to production . The Payment #2 Milestone must not exceed 60% of the total Development Costs.

3. Payment #3 Milestone, Completion of EIP Production Acceptance Period: The Contractor may invoice for Payment # 3 after successful completion of the EIP Production Acceptance Period and written Acceptance by the State Project Manager. The EIP Production Acceptance Period is specified in Section VI.1.5, System Development and Implementation Requirements. The Payment #3 Milestone must be the remainder total Development Costs (i.e., total Development Cost minus Payment 1 Milestone and Payment #2 Milestone).

4. Optional Contract Extensions Payment Milestones: Should the State exercise any of the optional contract extensions for software version upgrades, the Contractor may invoice for payment the annual payment amount after execution of the contract extension.

5. Unanticipated Tasks Payment Milestones: The Contractor may invoice for Unanticipated Task Work Authorizations after completion of the Work Authorization and acceptance by the State.

YES ___

NO ___

V.6.8


March 30, 2005 C-8

FORM C2: STATEMENT OF FINANCIAL CONDITION

SUBMITTED BY: NAME OF FIRM: ADDRESS: DATES OF FINANCIAL STATEMENTS: PRIVACY NOTIFICATION The State of California Information Practices Act of 1977 requires the State to provide the following information to individuals who are asked to supply information about themselves:

The principle purpose for requesting the information on this form is to provide financial information to determine financial qualification. State policy and state and federal statutes authorize maintenance of this information. Furnishing all information on this form is mandatory. Failure to provide such information will delay or may even prevent completion of the action for which the form is being filled out.

The State will treat all financial information provided as confidential and this information will only be shared with State personnel involved in evaluation. All financial data will be returned or destroyed if requested. Contractors may be required to provide additional financial data as part of the RFP.


March 30, 2005 C-9

FORM C3: FINANCIAL INFORMATION REQUIREMENTS

The following financial information shall be provided: Complete financial statements for the last two (2) complete tax years including an Income Statement, Balance Sheet, Statement of Stockholder Equity Changes, and Cash Flow Statement at a minimum. Annual Reports are typically not complete. The financial statements must be accompanied by the following statement from the Certified Public Accountant/firm who prepared, examined, and reviewed the statements: “We have (prepared / examined / reviewed) the balance sheet of (Bidder) as of (Date) and the related statements of income, retained earnings and changes in financial position for the years ending (years). In (my / our ) opinion, the financial statements mentioned present fairly the financial position (Bidder) as of (Date) and the results of its operations and changes in its financial position for the years ending (years), in conformity with generally accepted accounting principles applied on a consistent basis.” Name of firm:

Address:

Signature: Title: Date:


March 30, 2005 C-10

FORM C4: SUBCONTRACTOR LIST

Subcontractors must be listed below: ______________________________ ______________________________ Company Name Company Name ______________________________ ______________________________ Primary Contact/Title Primary Contact/Title ______________________________ ______________________________ Address Address ______________________________ ______________________________ City, State Phone City, State Phone ______________________________ ______________________________ Company Name Company Name ______________________________ ______________________________ Primary Contact/Title Primary Contact/Title ______________________________ ______________________________ Address Address ______________________________ ______________________________ City, State Phone City, State Phone DO ANY OF THESE SUBCONTRACTORS REPRESENT 10% OR MORE OF THE BID AMOUNT? _______YES ______NO IF YES, LIST BY COMPANY NAME: IF YES, HAS THE SUBCONTRACTOR SUBMITTED ALL REQUIRED INFORMATION FOR THE WORK THEY ARE PROVIDING? ___YES ___NO

(REFER TO SECTION V.6.2.2, SUBCONTRACTORS)


March 30, 2005 C-11

FORM C5: CONTRACTOR INFORMATION

[Use this form to provide information about the Contractor and ALL Subcontractors being proposed as part of this bid. A separate form must be provided for each firm. Use your word processor’s copy and paste functionality to create copies of this form. THE TEXT WITHIN THESE BRACKETS IS TO BE DELETED IN YOUR RESPONSE.] 1. Please complete the following table: Name of company

Length of time in business

Length of time in business of installing, implementing, licensing, and servicing the proposed hardware, software and/or communications networking infrastructure

Gross revenue for the prior fiscal year (in US dollars)

Percentage of gross revenue generated by implementation and licensing of proposed hardware, software and/or communications networking infrastructure, if applicable

Total number of installed clients with the proposed hardware/software or service

Total number of clients in production with the same hardware or software version being proposed

Number of current public sector clients

Number of full time personnel at your company in:

Customer services and software technical support

Installation and training

Product development

Sales, marketing, and administrative support 2. Where is your headquarters located? Where are your Field offices located? 3. Which office(s) would service this account? What are the hours of operation for the office(s)

that will service this account?


March 30, 2005 C-12

[Form C5 continued…] 4. In the following table, please list credit references that can verify the financial standing of

your company. Additionally, attach the most recent audited financial statement or annual report for your company.

Institution Address Phone Number 5. If the contractor/subcontractor has had a contract terminated for default during the past five

years, all such incidents must be described. Termination for default is defined as notice to stop performance due to the contractor’s/subcontractor's nonperformance or poor performance, and the issue was either (a) not litigated; or (b) litigated and such litigation determined the contractor/subcontractor to be at fault.

In the space provided, submit full details of all terminations for default experienced by the contractor/subcontractor during the past five years, including the other party's name, address, and telephone number. Present the contractor/subcontractor's position on the matter. The State will evaluate the facts and may, at its sole discretion, reject the contractor/subcontractor's proposal if the facts discovered indicate that completion of a contract resulting from this RFP may be jeopardized by selection of the contractor/subcontractor. In the case of multiple contractor/subcontractors submitting a proposal together, at its discretion, the State will evaluate the contractor/subcontractors in this regard individually or as a whole.

If no such terminations for default have been experienced by the contractor/subcontractor in the past five years, so declare in the space provided. The Bidder must include a statement swearing that under penalty of perjury that no terminations for default have been experienced by the contractor/subcontractor in the past five years. If the contractor/subcontractor has had a contract terminated for convenience, nonperformance, non-allocation of funds, or any other reason, which termination occurred before completion of the contract, during the past five years, describe fully all such terminations, including the name, address and telephone number of the other contracting party.

A contractor/subcontractor response that indicates that the requested information will only be provided if and when the contractor/subcontractor is selected as the apparently successful contractor/subcontractor is not acceptable and will result in the Bidder being rejected. Restricting the contractor/subcontractor response to include only legal action resulting from terminations for default is not acceptable and will result in the Bidder being rejected.


March 30, 2005 C-13

FORM C6: PAYEE DATA RECORD – FORM STD. 204 Bidders must refer to the following State of California DGS website link for standard State forms. When linked to the website, Bidders can search for the Form by name or form number. Bidders have the option of ordering paper or automated eForms, or completing the Fill and Print Forms offered in .pdf format.

http://www.dgs.ca.gov

http://www.documents.dgs.ca.gov/osp/pdf/std204.pdf


March 30, 2005 C-14

FORM C7: CONFIDENTIALITY STATEMENT

CONFIDENTIALITY STATEMENT As an authorized representative and/or corporate officer of the company named below, I warrant my company and its employees will not disclose any documents, diagrams, information and information storage media made available to us by the State for the purpose of responding to RFP CDI 0845-33 or in conjunction with any contract arising there from. I warrant that only those employees who are authorized and required to use such materials will have access to them. I further warrant that all materials provided by the State will be returned promptly after use and that all copies or derivations of the materials will be physically and/or electronically destroyed. I will include with the returned materials, a letter attesting to the complete return of materials and documenting the destruction of copies and derivations. Failure to so comply will subject this company to liability, both criminal and civil, including all damages to the State and third parties. I authorized the State to inspect and verify the above. I warrant that if my company is awarded the contract, it will not enter into any agreements or discussions with a third party concerning such materials prior to receiving written confirmation from the State that such third party has a confidentiality agreement with the State similar in nature to this one. Signature of Representative Date Typed Name of Representative Typed Title of Representative Typed Name of Company


March 30, 2005 C-15

FORM C8: CORPORATE EXPERIENCE REFERENCES

Instructions: Complete one of these forms for each reference. Duplicate these pages as needed.

Bidder Name: Contact/Name:

Date: Phone:

Complete one or more of the related categories shown on page 2 of this form to indicate which type of system was installed or implemented.

Client Name: Contact Name:

Address: Phone #:

Fax #:

Project Objectives:

Bidder Firm’s Involvement:

Project Benefits:

System Description:

Number of concurrent users:

Operating System:

Network description: Name of DBMS:

Application development languages:

Other:

Project Measurements: Total Est. Cost: Total Actual Cost:


March 30, 2005 C-16

Total Est. Hours: Total Actual Hr.:

Est. Start & Completion Dates: From:

To:

Actual Start & Completion Dates: From:

To:

Staff Continuity: DesignDev. & Imp.

Yes No Operations/ Maintenance

Yes No

What portion of the reference’s configuration is included in the solution proposed for State Use?

%

YES NO Is this the product proposed for EIP? Is this a State or Federal government reference? Is the project size & technology similar to EIP?

Other comments about the project or client environment:

We authorize you to contact the references above to further discuss our performance. ____YES ____NO Submitter: __________________________ Signature: __________________________


March 30, 2005 C-17

FORM C9: RESUME SUMMARY

Team Member’s Name: _________________________________________________

Role Description: __________________________________________________ The Bidder must provide a completed Resume Summary Form for each Key Personnel member of the project team and attach a resume that reflects the staff person’s experience.

Projects Where Team Member Performed Role: For each project experience listed, indicate the customer name and contact information, project name, start and end dates the team member performed the role, contract value, the experience gained, and the duration of the experience.

Proposed Resource Name:

Associated with: Bidder Name Subcontractor Name

DVBE Name

Number of years of education achieved

Degrees Held:

Number of years experience with the product(s) proposed:

Product Name(s):

Years Experience:

List skills and experiences that qualify the team member for the duties and responsibilities on this project (can be specific projects):

For any experiences applicable to this procurement, list client name, project title, start and end dates for your involvement in the project:


March 30, 2005 C-18

Client Name

Project Title

Start Date

End Date


March 30, 2005 C-19

FORM C10: NON DISCRIMINATION COMPLIANCE STATEMENT – FORM STD. 019

Bidders must refer to the following State of California DGS website link for standard State forms. When linked to the website, Bidders can search for the Form Cy name or form number. Bidders have the option of ordering paper or automated eForms, or completing the Fill and Print Forms offered in .pdf format.

http://www.dgs.ca.gov http://www.documents.dgs.ca.gov/osp/pdf/std019.pdf


March 30, 2005 C-20

FORM C11: CERTIFICATION OF COMPLIANCE WITH THE AMERICAN DISABILITIES ACT (ADA) OF 1990

Contractor assures State that it complies with the Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as well as applicable regulations and guidelines issued pursuant to the ADA. (42 U.S.C. 12101, et seq.)

Signature Date

Name and Title (Print or Type) Street Address

Firm Name City, State ZIP


March 30, 2005 C-21

FORM C12: PRE-QUALIFICATION PROPOSAL TRANSMITTAL FORM

PRE-QUALIFICATION PROPOSAL TRANSMITTAL

Bidders are required to complete this Form and include it as part of the Pre-Qualification Proposal. By signing this form, the Bidder confirms that it meets the Pre-Qualification requirements specified in RFP CDI 0845-33.

Bidder organization name:

Street:

City:

Bidder organization address:

State: Zip:

Years in Business:

Printed name of authorized person who can bind the company:

Signature of authorized person:

Title of person signing the Pre-Qualification Proposal:

Phone number of Person signing Pre-Qualification Proposal:

Email Address of Person signing Pre-Qualification Proposal:

Date signed:


March 30, 2005 C-22

FORM C13: HARDWARE AND SOFTWARE PROPOSED

Hardware Proposed:

Item Description Make/Model/Specifications Quantity

COTS Software Proposed:

Item Description Make/Model/Specifications Quantity


March 30, 2005 C-23

FORM C14: BID CERTIFICATION Date: ____________________ Name of Bidder: ____________________________________________________

Address of Bidder: __________________________________________________

________________________________________________

Phone Number of Bidder: ____________________________________ Reference: RFP CDI 0845-33 1. This is to notify you that (business’ name) _________________________agrees to all the

terms and conditions of this RFP and by signing below certifies that all requirements are met.

Or 2. This is to notify you that (business’ name) _________________________is a Subcontractor

contributing 10% or more to fulfilling the contract. The business identified agrees to all the terms and conditions identified for subcontractors. The business identified certifies by signing below that all applicable requirements will be met.

Sincerely, _______________________________ __________________ Name Date Company (____)__________________________ (____)___________________________ Phone Fax


March 30, 2005 C-24

FORM C15: COMMERCIALLY USEFUL FUNCTION CERTIFICATION Date: ____________________ Name of Bidder: ____________________________________________________

On January 1, 2004, Chapter 623, Statutes of 2003, became effective and required all small business, microbusinesses and disabled veteran business enterprises to perform a “commercially useful function” in any contract they perform for the State. A business that is performing a commercially useful function is one that does all of the following”

• Is responsible for the execution of a distinct element of the work of the contract. • Carries out its obligation by actually performing, managing or supervising the work

involved. • Performs work that is normal for its business, services and function. • Is not further subcontracting a portion of the work that is greater tan that expected to be

subcontracted by normal industry practices. The Bidder must provide a written statement below detailing the role, services and/or goods the subcontractor(s) will provide to meet the Commercially Useful Function requirement. Sincerely, _______________________________ __________________ Name Date Company (____)__________________________ (____)___________________________ Phone Fax

EIP RFP Final to post - California State University ... rfp.pdf · Title: Microsoft Word - EIP RFP...

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Transcript of EIP RFP Final to post - California State University ... rfp.pdf · Title: Microsoft Word - EIP RFP...