NCDOT IT APPLICATION SUPPORT PROJECT LIABILITY INSURANCE TRACKING AND ENFORCEMENT SYSTEM

Transcription

1 Award Authorized on 12/15/06 Vendor: Ciber NCDOT IT APPLICATION SUPPORT PROJECT LIABILITY INSURANCE TRACKING AND ENFORCEMENT SYSTEM Scope Statement July 24, 2006 Tracking No. TECH

2 Maggie Thomas Transportation Information Technology Manager NCDOT, IT State of North Carolina Department of Transportation Information Technology DOT LITES Application Maintenance and Support Initiative Scope Statement Department/Agency Department of Transportation - Information Technology Issue Date July 25, 2006 Name Project Sponsor Project Contact Category LITES Maintenance and IT Support (Tracking Number: TECH ) Mark Paxton NCDOT-IT Chief Information Officer Maggie P. Thomas NCDOT-IT Transportation Applications Manager Attachment 8 - Legacy Systems Support Deadline for Vendor Questions July 31, 2006 Submit Questions to Deadline for Proposal Submissions Submit Proposals to [email protected] August 23, 2:00 pm DOT Procurement Office Attn: Vickie Boykin 401 Oberlin Road, Suite 250 Raleigh, N. C Submit all vendor questions to the address indicated above. Written questions must be submitted by the date and time stated above. Please put LITES Maintenance and IT Support TECH Questions in the subject line of your . Responses to the questions will be ed to all the eligible vendors on Attachment 8 of the Technical Services Contract. Oral answers are not binding on the State. Vendor contact regarding this Scope Statement with anyone other than Vickie Boykin will be grounds for rejection of said Vendor s offer. 2

3 IMPORTANT: Please return one (1) original and five (5) copies of this proposal to the address listed above. Indicate firm name and scope statement title on the front of each proposal envelope or package. Scope Statement Purpose The purpose of this scope statement is to solicit proposals from eligible vendors for application support services for the Liability Insurance Tracking and Enforcement System. The existing Agency implemented liability insurance tracking and enforcement system is known as LITES (Liability Insurance Tracking and Enforcement System). This in-house developed system has been implemented by the North Carolina Department of Transportation Information Technology group for the North Carolina Department of Transportation Division of Motor Vehicles. LITES is further explained on page 7, Section

4 Table of Contents SCOPE STATEMENT PURPOSE BACKGROUND INITIATIVE OVERVIEW SYSTEM OVERVIEW LITES The Purpose of LITES CRS STARS IRP/MC Drivers License Imaging LITES Application LITES Modules COMMUNICATION PROCESS Communication and Issue Resolution Steps AGENCY PROJECT MANAGEMENT METHODOLOGIES INITIATIVE EXPECTATIONS AND RESULTS VENDOR TEAM TRANSITION ASSESSMENT OF CURRENT ENVIRONMENT (PHASE I) SYSTEMS SUPPORT TRANSITION (PHASE II) FULL SYSTEMS SUPPORT (PHASE III) LITES APPLICATION SUPPORT REQUIREMENTS PROJECT PERFORMANCE DATA AND METRICS APPLICATION SUPPORT PROCESSES ROLES & RESPONSIBILITIES DEPARTMENT RESPONSIBILITIES & ROLES Department Responsibilities End-User Training Application Support Hardware and Tools Software Quality Assurance(SQA) Project Management Tools Department Roles DOT/IT Management Role Department - Project Management Office Role Department Hardware and Server Support Role Department - User Workstation Support Role Department - Application Database Administration Role VENDOR RESPONSIBILITIES & ROLES Vendor Responsibilities Applications Support Responsibilities Project Planning, Tracking and Reporting (Project Management) Change Management Project Management Responsibilities Vendor Project Management Skills Applications Support Group Responsibilities Vendor Application Support Skills DELIVERABLES AND WORK PRODUCTS VENDOR PROPOSAL REQUIREMENTS

5 6.0 BEST VALUE PROCUREMENT TIMETABLE/SCHEDULE ADDITIONAL CONTRACTUAL TERMS PROPOSAL EVALUATION AND VENDOR...41 SELECTION CRITERIA INFORMATION REGARDING AGENCY S EVALUATION PROCESS...41 RISK RELATED...42 RISK CATEGORY SUBTOTAL...42 BENEFIT RELATED...42 BENEFIT CATEGORY SUBTOTAL...42 COST CATEGORY SUBTOTAL...42 Vendor Total Evaluation Score ADMINISTRATIVE ITEMS COST PROPOSAL INSTRUCTIONS AND FORMAT EXECUTION OF SCOPE STATEMENT - TECH-00XXX...44 EXHIBIT 1 LITES APPLICATION SUPPORT GLOSSARY...45 DEFINITION OF ACRONYMS...45 EXHIBIT 2 COST SCHEDULE A

6 1.0 BACKGROUND The North Carolina Department of Transportation (NCDOT) is a very complex organization with an annual budget of over $3 billion dollars and has over 14,000 employees. Its mission is to provide and support a safe and integrated transportation system for the citizens of North Carolina. NCDOT consists of two major divisions, the Division of Highways (DOH) and Division of Motor Vehicles (DMV). DOH directs, plans, constructs, maintains and operates the second largest state-maintained transportation system in the nation to include aviation, ferry, public transportation, rail and highway systems. It is divided into 11 main divisions with 14 local division offices located geographically throughout the state. DMV licenses and regulates the citizens and motor vehicles that utilize these transportation systems. The Division of Motor Vehicles operates 124 driver license offices, 128 license plate agencies, three mobile driver license offices; nine weigh stations and eight enforcement district offices. 1.1 Initiative Overview North Carolina Department of Transportation - Information Technology (NCDOT-IT) requires software application support for LITES (Liability Insurance Tracking and Enforcement System). Software application support activities shall include: Production support - to address urgent and critical system interruptions 24 hours a day, seven days a week (24 x 7), including batch support (10%) Maintenance support to make necessary changes to existing functions and features to ensure the proper functioning of the system (50%) Enhancements support - to add new functionality to the existing application system (30%) User support - to conduct system research and inquiries, including Help Desk Support (10%) The major work to be performed shall include a variety of production, maintenance, enhancement, and user support services as outlined in this Scope Statement, including, but not limited to, the following: Performing upgrades to proprietary software that facilitate the processing of application transactions Providing 24 x 7 batch and online production support for the mainframe application Providing 24 x 7 production support for internet applications Addressing the reported client issues, problems, and requests Providing Help Desk support Conducting disaster recovery testing to verify the functionality of the designated application Maintaining the current documentation for designated application Reviewing the existing production processes and proposing improvements 6

7 Providing application business and technical support for the development team Generating letters for the designated application Completing status reports Planning, tracking and reporting work efforts and issues Provide full application systems support for the designated application, including developing, modifying, and testing new and existing technical components Performing project level work and working on other change requests Also, a proposed Service Level Agreement (SLA) must be developed to establish the commitments and agreements for application systems support that the vendor will provide and must be submitted with the vendor proposal. The terms of the SLA(s), and any amendments thereto, shall be governed by the terms and conditions of the Technical Services Contract. 1.2 System Overview LITES The LITES application supports the liability insurance business needs for North Carolina (NC) motor vehicles. LITES provides automated business support for DMV clients. It was implemented in August LITES has mainframe and Internet components. Some of the technical components of this system adhere to the North Carolina Statewide Architecture; however, the online component is written in Sapiens ObjectPool running under CICS 2.2. Several batch mainframe components of this system are written in Enterprise COBOL 3.3 and DB The batch and online components operate under the IBM ZOS operating system. The LITES Internet components are written in Java 1.2 and utilize OJB 1.0 (Object Relational Bridge), DB2 Connect 7.0, Websphere Application Server 3.5, and Windows NT 4.0 as the Operating System (OS). NCDOT is taking the necessary steps for the OS platform migration to Windows In NC, the registered owner of a motor vehicle must have the proper level of liability insurance coverage provided by an insurance company authorized to do business in the state. The LITES internet components support the recording of new insurance and terminated liability insurance by the insurance companies and insurance agencies, as well as the self-certification of liability insurance and payment of civil penalties for violation of NC liability insurance mandates by the NC citizens. LITES is a medium sized application system and interfaces with the following NCDOT applications: STARS (State Titling and Registration System) automates titling and registration services SADLS (State Automated Driver License System) automates driver license related services 7

8 IRP (International Registration Plan) automates registration services for commercial vehicles MC (Motor Carrier) tracks insurance for commercial and other special vehicles CRS (Crash Reporting System) tracks and maintains motor vehicle accident information Imaging System allows special documents related to DOT services to be electronically stored and retrieved System Attributes Elements and Size: System Elements Size Sapiens processes 780 Sapiens queries 110 Sapiens forms 140 Sapiens tables 160 Sapiens transactions 50 Sapiens generated Assembler programs 238 CICS/COBOL programs 12 COBOL Batch programs 29 SAS programs 5 REXX programs 2 JCL 40 Copybooks 70 Production DB2 database tables 23 Java Servlet 495 Production reports 24 Production DB2 table size 93.5 million rows Major Processes Monthly releases 40 Production Helpdesk Issues handled per month 4 Production change request per month 87 Production change request waiting 128 DMV License Plate Agency accesses LITES 625 Insurance Companies access LITES Inquiry 6 Internal System Interfaces 8

9 A diagram of the LITES mainframe interfaces is documented below. LITES SYSTEM INTERFACES CRASH Drivers License Accident information FS-1 information Correspondence Letters STARS FS-1 information Plate Turn-in information Prima Facie information Lapse information Hearing information FS5/7 information FR-3 service Fee collection LITES Form-E information Form-K information BMC- 91information BMC-35 information Lapse information IRP/ Motor Carrier Correspondence Letters FR-3 documents Imaging 9

10 Organization Chart Business Organization IT Organization George Tatum DMV Commissioner Mark Paxton Department of Transportation CIO W ayne Hurder Director of Drivers License and Registration Ken Bergman DMV Director Brenda Freeman Assistant Director Maggie Thomas Info. Technology Manager LITES Business Staff LITES Technical Staff 10

11 The Purpose of LITES The registered owner of a motor vehicle must have the proper level of liability insurance coverage provided by an insurance company authorized to do business in NC, or prove the ability to selfinsure. The Liability Insurance Unit (LIU) is responsible for the enforcement of this requirement. The LITES system was written to aid the LIU by tracking liability insurance on motor vehicles, creating lapses in insurance coverage for motor vehicles, automating correspondence with customers concerning their lapses, sampling the self-certifications of insurance, tracking insurance company information, and maintaining insurance Hearing Officer calendars and itineraries. LITES interfaces with the following NCDOT applications: CRS The CRS system accepts vehicle registration information from customers and sends it to LITES for insurance validation. LITES sends a response to the CRS notifying whether the customer has valid insurance on record. LITES may also create a Prima Facie lapse on the customer based on the vehicle s insurance status STARS Vehicle Registration services for a vehicle through STARS check for the existence of insurance lapses. Depending on the lapse stage, a customer may not be able to complete certain Vehicle Registration services. STARS accepts new insurance information from customers, and sends it to LITES, which processes it against existing lapses. STARS informs LITES of Plate Turn-ins, which affects lapse statuses. The LITES system utilizes the STARS financial, refund, inquiry, and back out processes IRP/MC In the LITES system, selective Motor Carrier and IRP services check for the existence of fleet insurance lapses. Depending on the lapse stage, a customer may not be able to complete certain Motor Carrier/IRP services. The Motor Carrier and IRP systems accept new insurance and insurance termination information from fleets. They send the information to LITES, which processes it against existing fleet lapses or creates new fleet lapses Drivers License The LITES system utilizes the Drivers License Correspondence system to send letters to LITES customers. The LIU creates letters in the Correspondence system for immediate printing. The LITES system also creates letters in the Correspondence system on a daily basis, which are printed at night for mailing the next day. 11

12 Imaging The LIU submits documents for imaging to the Imaging Scan Center. The Unit also scans its own documents into the Imaging system if the documents are received by fax. These images are available to the LIU using Imaging client software on their PCs LITES Application LITES is one of several critical DMV applications. The primary user of the LITES application system is the DMV- LIU unit; however, the LITES application also interfaces with STARS, IRP, Motor Carrier, SADLS, Imaging, and CRASH applications. It is considered to be a medium sized application, whereas STARS and SADLS are considered to be very complex applications. IRP is also a medium sized application, but with more complex logic processing than LITES; MC (Motor Carrier) is a more simple application. LITES has mainframe and internet components, as well as STARS, IRP, MC, and SADLS. The purpose of LITES is to: Accept and process new insurance notifications from insurance companies Accept and process terminated insurance notification from insurance companies Process self-insurance notifications Accept and verify self-certifications Establish interface between Vehicle Registration services and Liability Insurance services Allow inquiry on Liability Insurance data Process and track prima facie requests Accept and track hearing requests Process and track insurance lapses Provide administrative services Establish interface between IRP/Motor Carrier and Liability Services 12

13 A diagram of the mainframe architecture for the LITES application and the other major DMV systems is as follows: DMV SYSTEMS MAINFRAME ARCHITECTURE STARS, IRP/MC, SADLS LITES CICS 2.2 CICS 2.2 MQ Series ObjectPool Forms -transactions ObjectPool Queries COBOL (online/batch) COBOL (online/batch) programs -transactions ObjectPool batch Transactions UTP Batch Assembler ObjectPool batch Queries ObjectPool Processes Batch Easytrieve DB2 Batch SAS 13

14 Z/OS Product Major Software/Tools on Mainframe Description / Function Z/OS 390 is the operating system on the mainframe. Enterprise COBOL 3.3 COBOL is the language used for developing mainframe programs. DB2 8.0 DB2 is the Relational Database used on the mainframe for storing the application data. CICS 2.2 (Customer Information and Control System) CICS is the platform for the Sapiens online environment Endevor Endevor is the mainframe source code version controller. TSO (Timesharing Sharing Option) ISPF/PDF (Interactive System Productivity Facility/Program Development Facility) TSO provides general purpose services that allow the programmer to perform computer related tasks in an interactive environment. ISPF/PDF is a component of TSO that facilitates interaction with the TSO services. Xpediter Debugging tool for batch and online COBOL programs Connect Direct Allow insurance companies to send data to DMV and vice versa Sapiens ObjectPool Used to develop and execute online and batch components 14

15 A diagram of LITES Internet architecture is documented below. LITES INTERNET COMPONENT DIAGRAM TECHNICAL SOLUTION Thin Client Java Technologies Servlets Enterprise Java Beans XML/XSL, Dynamic HTML, JSP HTTP Protocol Browser and Platform Independent 15

16 Major Software/Tools on Internet Application Server/ Web Server Product Description / Function Windows NT 4.0 Microsoft Windows NT Operating System Remote OSE (Open Servlet Engine) IIS Server 4.0 WebSphere 3.5 DB2 Connect 7.0 Remote OSE uses OSE protocol as a transport mechanism to allow communication between the web server and application server. Web server; runs on Windows NT 4.0 and responds to www ( http and https ) requests. IBM WebSphere Application Server is a high performance and extremely scalable transaction engine for dynamic e-business applications; Available on different platforms including Windows NT 4.0. A, Java 2 Enterprise Edition (J2EE) application server environment Provides connectivity to different enterprise resources including legacy systems applications and data. Allows use of different connectors like IBM MQ Series, JDBC etc. Allows communication with DB2 by using JDBC (Java Database Connectivity) J2SE 1.2 (Java 2 Standard Edition)/IBM JDK This is required since the current version of WebSphere Application Server 3.5 uses JDK 1.2; this is platform on which the Java programs run. IBM Websphere Host Publisher 3.5 LITES internet utilizes some of the Host Publisher files. Even though Host Publisher has a mainframe screen scraping functionality, LITES internet does not use this screen scraping feature. 16

17 Major Software/Tools on Internet Developer s Workstation Product Description / Function Windows 2000 Professional Microsoft Operating System WSAD 5.0 ( WebSphere Application Developer ) WebSphere Application Developer is an Integrated Development Environment ( IDE ) for WebSphere Server 5.0 suite. Visual Source Safe (VSS) Client 6.0 Applications developed and tested on this IDE will run seamlessly on WebSphere Suite of Application Servers. Allows interaction with Microsoft Visual Source Safe (VSS); used for checking out the source code from VSS. Source code is modified under WSAD environment and checked back in by using VSS client. J2SE 1.4.2_08 ( Java Development Kit ) Java Development Kit version 1.4 (JDK 1.4) provided by Sun Microsystems. Used to communicate with applications that demand JDK 1.4 API. DB2 Connect 7.0 Allows communication with DB2 by using JDBC (Java Database Connectivity). Eclipse 3.1 (Java IDE) Java IDE is used to create, modify, and compile Java programs. 17

18 LITES application system consists of approximately 140 Sapiens forms, 50 Sapiens ObjectPool transactions, 780 Sapiens ObjectPool processes, 110 Sapiens ObjectPool queries, 41 COBOL programs, 5 SAS programs, 2 REXX and 238 Assembler programs (only generated by Sapiens tools; no modification by project team necessary require only regeneration as needed), plus 495 Java servlets. LITES mainframe programs are categorized by the complexity of program logic as follows: Program Logic Complexity Category Type Programs Simple Medium Complex Total Sapiens ObjectPool Processes COBOL Assembler (Generated by Sapiens Tool) Queries SAS REXX Totals ,176 LITES Internet programs are categorized by the complexity of program logic as follows: Program Logic Complexity Category Type Programs Simple Medium Complex Total Java Servlets

19 LITES application utilizes a DB2 database with over 93.5 million rows distributed among 23 DB2 tables. Also, LITES interfaces with several STARS, SADLS, and IRP tables, plus several DMV Enterprise tables that are also used by other DMV applications. The DMV Enterprise tables are shared among the DMV Systems as needed. These enterprise tables are managed and maintained by the DOT-IT Database team. The LITES applications uses the following DMV Enterprise tables: Address (contains residential, mailing, one-time, and vehicle location addresses of all DMV customers) Address History (contains history of changes made to a customer s address) Customer (contains high level customer related information for all DMV customers Customer Name History (contains history of changes made to a customer s name) Citizen (contains detailed information for each customer) Letter Request (stores standard letters for DMV services) Letter Variable (contains specific variables for the standard letters) The major mainframe tools associated with LITES include: proprietary Sapiens development tools, TSO (general purpose services for computer related activities), Endevor (Version Control), Xpediter (Debugging Tool), File Aid (File/Database Edits and Inquiry), Insight (DB2 Performance Monitor), Zeke (Job Scheduler), XPTR (Online Report Generator), ImagePlus Optical Storage and Retrieval (Imaging Tool), Bar Code, Finalist (Address Verification), Prescribe (for online forms), Elixir (for batch forms), APF (Advanced Printing Facility); special Lexmark printers with an internal card are used to print the forms. The internet related tools include Websphere Studio Application Development (WSAD) and Dreamweaver UltraDev (Web Page Development) LITES Modules LITES contains the following primary modules: New Insurance - Accept and process new insurance notifications from insurance companies This module accepts FS-1 (non-fleet), FORM-E (fleet non-regulated goods), and BMC-91 (fleet regulated goods) documents to show the initiation of liability insurance. The documents are submitted via tape, Electronic Data Interchange (EDI), Connect Direct, fax and mail. Insurance companies can also enter FS-1s through the LITES Internet application. The LITES system does not process insurance documents for automobile dealers. Insurance Termination - Accept and process terminated insurance notifications from insurance companies This module accepts FS-4 (non-fleet), FORM-K (fleet non-regulated goods), and BMC-35 (fleet regulated goods) documents to show the initiation of liability insurance. The documents are submitted via tape, Electronic Data Interchange (EDI), Connect Direct, fax 19

20 and mail. Insurance companies can also enter FS-4s through the LITES Internet application. The LITES system does not process insurance documents for automobile dealers. Self-Insurance - Process self-insurance notifications Companies can self-insure vehicles by requesting a self-insurance certificate from the Department of Insurance. The self-insurance document is entered on the LITES system; however, the system has no way to match the self-insurance certificate with individual vehicles. Self-Certification - Accept and verify self-certification Customers can self-certify insurance for non-fleet vehicles. Self-certifications are accepted through registration services for vehicles without lapses (FR-2) or by returning an FS5/7 lapse document for vehicles with a lapse (FR-3), or entering the FS5/7 on the LITES Internet application. The LITES system samples selected FR-2 certifications to verify insurance. STARS Interface - Establish interface between Vehicle Registration services and Liability Insurance services Vehicle Registrations services for a vehicle through STARS check for the existence of insurance lapses. Depending on the lapse stage, a customer may not be able to complete certain Vehicle Registration services. In addition, the LITES system utilizes the STARS financial, correspondence, refund, and back out processes. Inquiry - Allow inquiry on Liability Insurance data The Liability Insurance Unit can inquire on vehicle lapse, fleet lapse, and hearing information. Prima Facie - Process and track prima facie requests The Liability Insurance Unit can enter prima facie lapses as a result of notification of an accident involving a vehicle without insurance or notification of an insurance lapse for a customer and vehicle. Prima Facie lapses are also created when insurance on file disproves a self-certification (FR-3) submitted by the customer. In addition, an interface between LITES and the CRASH reporting system exists to automatically create prima facie lapses as the result of an accident report from law enforcement. Hearings - Accept and track hearing requests When a lapse occurs, a customer has the right to request a hearing to challenge the lapse. A customer can request a hearing via the telephone or mail. The system assigns the request a hearing officer, location, time and date. Once the hearing is held, the hearing officer enters the hearing disposition into the system. The LITES system does not allow for hearing for dealer or fleet lapses. 20

21 Lapse Processing - Process and track insurance lapses Insurance lapses age through different stages. Lapses start in pending status. At this point, the customer has not been notified of the lapse. Once the lapse reaches the lapse effective date, the system will open the lapse. Lapses created as the result of an FS-4 document open is warning (FS5/7) stage. Lapses in warning stage and pending prima facie lapse age to stop (FS7) stage. All unresolved lapses in stop stage age to pick-up (FS44) stage. Administrative - Provide administrative services The LITES system provides various administrative functions. The functions include statistical reports, refunds, insurance company maintenance, and security maintenance. Motor Carrier - Establish interface between Motor Carrier services and Liability Insurance services In the LITES system, selective Motor Carrier and IRP services check for the existence of fleet insurance lapses. Depending on the lapse stage, a customer may not be able to complete certain Motor Carrier/IRP services. The LITES system does not support fleet lapse letters and fleet hearings. Transmittal Modules - LITES receives new policy information and policy termination information from insurance companies by various electronic media. These include EDI mailbox, tape, and Connect Direct. LITES processes this information nightly in the batch cycle. If the data does not pass the editing process, LITES sends the rejected data back to the insurance companies by and Connect Direct. LITES also takes a sample of selfcertifications by customers and sends them to insurance companies by . The insurance company verifies the self-certifications by sending FS-1 s to LITES. The change volume per LITES module based on estimated change volume per year and the maximum change volume in the last twelve month period is documented below: 21

22 LITES MODULES Estimated Change Volume/ Year Maximum Change Volume in Last 12 Month Period New Insurance Insurance Termination Self Insurance 1 1 Self Certification STARS Interface 6 3 Inquiry 2 2 Prima Facie 3 3 Hearings 3 7 Lapse Processing 9 5 Administrative 3 3 Motor Carrier 3 3 Transmittal Modules 4 4 Total The change activities for the LITES modules fluctuate from year to year depending on the business requirements of the DMV clients, new legislative mandates, technical requirements, and other variables. Consequently, the above statistics only represent a snapshot of what happened in the last twelve month period and what the technical management estimates as possible activities in a year. 1.3 Communication Process The main group involved in providing end user support to the LIU is the DMV Help Desk. Most end-user questions are directed to the Registration Help Desk. The Help Desk employees provide knowledgeable support to the end users. If technical issues cannot be resolved through the Help Desk, the Liability Technical Support Team has a technical support person available during business hours. Users also report problems and request application changes through weekly change request meetings. 22

23 1.3.1 Communication and Issue Resolution Steps Due to the division of responsibilities and capabilities in responding to different types of issues, there are two primary issue resolution processes and communications flows. Users with issues regarding connectivity, system response time, hardware and software installation or configuration issues call the Department Help Desk. The Help Desk makes the determination if the Help Desk can address the question, or if the question needs to be distributed to another group within Department IT. Users with other types of issues such as system problems, change requests, business questions, etc report these problems to the Registration Help Desk. If the Registration Help Desk personnel cannot resolve the issue, they contact the LITES technical Help Desk support person. A Help Desk issue is recorded in the LITES Technical Help Desk database and usually resolved within one hour. Issues that can not be resolved by the technical Help Desk personnel require a change request and will be processed through the normal change request process. The LITES Application Support team s first step in resolving any reported issue is to determine if the issue is a defect, a training issue, or a change request. Training issues are referred back to the appropriate LIU personnel and the defect log closed with an explanation of the resolution. 1.4 Agency Project Management Methodologies Department has implemented a project management methodology for use by all Department projects using the SAP Project Scheduling and Timekeeping application modules. The selected vendor must use these 1 DOT-IT provided-applications to plan and report on all LITES Application Support activities. It is the responsibility of the selected vendor to indoctrinate and implement the use of these tools for their team members from contract start date

24 2.0 INITIATIVE EXPECTATIONS AND RESULTS This initiative will consist of three distinct phases: Assessment of the Current Environment, System Support Transition, and Full Systems Support. The expectations and results from each phase are described in detail below. Proposal cost will consist of all three phases. 2.1 Vendor Team Transition The vendor selected for this contract award shall bear the expense of transitioning the LITES Application business knowledge and operations from the incumbent LITES Application Maintenance team. This is to minimize the risk of loss of critical operations support during the transition operations outlined below. 2.2 Assessment of Current Environment (Phase I) The selected vendor shall conduct an assessment of the business, software, hardware, database, and telecommunications infrastructure environments for the LITES Application and its components and develop a transition plan for subsuming the Application Support activities from the incumbent vendor(s). Project-specific technical documentation and source code will be made available to the vendor for review to gain a technical understanding of the application and the associated technical architecture. Representatives of the LIU, the Vehicle Registration unit, the IRP unit and the Crash unit will be available to meet with the vendor to provide an understanding from the Department s business perspective of the requirements for application support of the LITES System. The deliverable products for this phase, Transition Plans for Systems Support, will be executed during the System Support Transition phase. 2.3 Systems Support Transition (Phase II) In this phase, support for the LITES Application Support will be incrementally transitioned to the vendor from the incumbent vendor and Department staff, as defined in the Transition Plan for Systems Support developed during Phase I. A baseline SLA shall be developed to establish the commitments and agreements for application systems support that the vendor will provide. The terms of the SLA(s) and any amendments thereto, shall be governed by the terms and conditions of the Technical Services Contract. The vendor shall be fully responsible for support of all LITES Application Support functions at the completion of this phase. a 2.4 Full Systems Support (Phase III) The vendor shall provide full application systems support for the LITES Application System, which meets or exceeds the commitments defined in the SLA developed during Phase II. The vendor shall provide full support that will include on-call coverage 24 hours a day, 7 days a week. During this phase, the vendor shall be responsible for periodic SLA reviews with Department Senior Management and Business Owners for tuning of SLA commitments. a NOTE: The terms and conditions of the Technical Services Contract may not be modified by subsequent agreements except those amendments that are approved by ITS. 24

25 Specific Phase III application systems support requirements for LITES Application Systems are described in the following sections LITES Application Support Requirements Project resources assigned to support LITES Application Support must have sufficient skills to perform the following common functions: Project management Software design and development Technical architecture planning Requirements management Business analysis Documentation skills Project Performance Data and Metrics The vendor shall establish and maintain a centrally managed and accessible digital, historical repository of project plans, project correspondence, meeting agenda and minutes, action items, issues, change requests, actual and budgeted performance data, vendor submitted invoices, service level commitments and achievements, risk identification and mitigation plans, and lessons learned. All data that will be produced as a result of support provided for LITES Application, including planning data, re-planning data, and data related to all instances of support shall be documented and captured in a repository that the vendor must establish and maintain. This repository will also be used to capture specific performance data, as explicitly identified in the SLA. Initial Service Level commitments for Application Support must be established to meet Department information technology and business requirements, documented in a written Service Level Agreement, and agreed to by the vendor, and Department Senior Management representing the interests of the Department stakeholders. The Service Level Agreement for the support of LITES Application Support shall be subject to periodic review by DOT-IT Senior Management and the Business Owners. The Service Level Agreement may be modified to reflect revised commitments in accordance with the change procedures detailed within the governing SLA. Annually, the DOT-IT Senior Management and Business Owners will conduct formal reviews of Service Level commitments for LITES Applications to determine the actions needed to bring the support of LITES Applications in line with the current and projected needs of the Department stakeholders. Any resulting proposed SLA changes shall be processed in accordance with the change procedures detailed within the governing SLA. 2.5 Application Support Processes The vendor shall implement, and further tailor and improve existing defined processes for LITES Application Support, as follows. 25

26 Define and document any proposed changes to incumbent processes that the Vendor s approach would require for providing support of existing production application systems. The vendor shall provide defined and documented processes and procedures that specifically identify any proposed changes in the roles and role responsibilities for support activities and tasks that will be provided for the LITES Application Systems. 3.0 ROLES & RESPONSIBILITIES 3.1 Department Responsibilities & Roles Department Responsibilities The following sections outline the Department s responsibilities End-User Training Department is responsible for training Department end-users of the LITES Application Systems in system functionality and usage Application Support Hardware and Tools Department is responsible for providing: All hardware, including computers and peripherals All current application software, including all software modules necessary for execution and support of LITES Application Systems All software development, maintenance, and configuration control/management tools needed to maintain existing applications, enhancements, upgrades, revisions or releases, or any new LITES Application Systems approved by the Agency All communications and network equipment, software and connectivity, including LAN connectivity and all database support Access to all systems as needed to provide the LITES Application Support Software Quality Assurance(SQA) Department is responsible for the following: Software Quality Assurance (SQA) oversight for this initiative. The Department shall be responsible for conducting formal audits and reviews of the quality of the team s processes. The Department s Program Management Office (PMO) will work with LITES Application Support team to support the vendor s development of: LITES Application Support team s SQA plans improvements to processes, methods, standards and procedures 26

27 Project Management Tools Department is responsible for providing the tools, and guidance for managing the baseline for LITES Application Support effort, enhancements and any future projects. The Department s PMO is responsible for providing all Department project management and control activity training necessary for the LITES Application Support team to use the Department provided tools to effectively track and report the status of all work assigned under the terms of the contract. Department is responsible for providing: SAP Project Assistant project management methodology training and project plan creation and maintenance assistance Department Roles This section discusses the Department application-support roles, as well as any special skills needed for each role DOT/IT Management Role This section describes the duties performed by DOT-IT Management, see Table 3.1. Department DOT-IT Management Duties for the role based duties and performance frequency. This group is critical in overseeing the production support for LITES. This group also facilitates support of the business vision for LITES clients. Table 3.1. Department DOT-IT Management Duties Item Department DOT-IT Management Duties Frequency and Id Comments 1 Set Application Guidelines Review every 3 to 6 months or as needed 2 Conduct regular reviews of the progress of all vendor work effort (e.g., change requests and projects) Weekly or Bi- Weekly 3 Manage Vendor Contract Daily Department - Project Management Office Role. This section describes the duties performed by the Project Management Office (PMO), see Table 3.2. PMO Roles and Performance Frequency. This group is critical in project oversight and review. The PMO provides project management expertise, support and coordinates activities to communicate project management activities throughout the organization. Table 3.2. PMO Roles and Performance Frequency 27

28 Item PMO Roles Frequency and Id Comments 1 Lead project review meetings Bi-weekly 2 Lead Architecture meetings Bi-weekly 3 Conduct project status reviews Weekly/Monthly 4 Proactively provide project management support to help ensure project success. As needed Department Hardware and Server Support Role This section lists the functional duties for Department IT Hardware and Application Server Support and the person or group identified to provide this function. See Table 3.3 for the rolebased duties and performance frequency. Table 3.3. Department IT Hardware and Application Server Support Duties Item Department IT Hardware and Application Comments Id Server Support Duties 1 Managed entirely by Department IT. No steps or information provided by Vendor Windows Operating System, Web servers Department - User Workstation Support Role This section lists the functional duties for the Department s IT User Workstation Support and the person or group identified to provide this function. See Table 3.4 for the role-based duties and performance frequency. Table 3.4. Department - User Workstation Support Duties Item Department User Workstation Support Duties Comments Id 1 Respond to questions or concerns from the Application Support group, Business Unit principals, Computer System Liaisons, and directly from users via Help Desk As Needed. Currently the Department IT Technical Services group provides this support. 28

29 Department - Application Database Administration Role This section lists the functional duties for the Department - Application Database Administration and the person or group identified to provide this function for the application. See Table 3.5 below. Table 3.5. Department - Application Database Administration Duties Item Department Application Database Administration Comments Id Duties 1 Backup the data and manage the data storage Daily 2 Implement the database change request for Test and Production Environment As Needed, in coordination with Application Support group. 3.2 Vendor Responsibilities & Roles Vendor Responsibilities Specific vendor responsibilities are identified in the following sections: Applications Support Responsibilities The vendor shall: Provide documentation such as resumes and professional certifications to validate staff qualifications and professional experience for all applications support staff. Track and report on metrics as mutually agreed upon within the governing SLA. See Section 2.3 regarding the SLA. Provide appropriate processes, procedures and controls necessary to establish and maintain integrity of all deliverables and work products for which the vendor has responsibility in accordance with the contract, including: All planning and re-planning documents All reports Other work product Conduct formal, documented quality reviews of each deliverable produced prior to submission to Department and throughout the support process, according to documented tasks and timeframes detailed within the Department approved project plans and schedules. Supply all required cell phones and pagers for its staff. 29

30 Project Planning, Tracking and Reporting (Project Management) The vendor shall be responsible for planning, tracking budget and actual hours costs for support tasks, performance metrics, and other activities required for providing the LITES Application Support, following the Department project management methodology and further detailed within the governing SLA Change Management The vendor shall use the mutually agreed upon change management processes detailed within the governing SLA Project Management Responsibilities This section describes the IT Project Management Responsibilities. Please see Table 3.6 for those responsibilities and performance frequency. The Vendor Project Manager will report directly to the DOT-IT Project Advisor and is responsible for planning and implementing IT projects, when requested. The Vendor s Project Manager must work with the LIU to define deliverables and related acceptance criteria and establish project parameters relative to scope, schedule and cost. He/she is also responsible for the day-to-day activities of the Project Team - assigning work, identifying and resolving issues, monitoring work quality, and tracking progress; ensuring that deliverables are produced on time and within defined acceptance standards as stated on the following page: 30

31 Table 3.6. Project Management Responsibilities Item Frequency and Comments Id Project Management Responsibilities 1 Project oversight activities Day-to-day management of project staff, including work assignments, staff development, issue tracking and resolution, and monitoring work progress. 2 Manage Integrated Change Management Process Daily 3 Manage project applying Department IT Methodology Perform project initiation, planning, execution, controlling, and closure activities in accordance with Agency project management guidelines using Agency-provided PS tools. 4 Perform project administrative duties Record time worked; Ensure timely distribution of any meeting agendas and recorded meeting minutes; Schedule meetings; Prepare weekly status reports 5 Manage and coordinate cross-functional teams efforts to achieve project objectives 6 Facilitate communications between Project Team, Sponsor, clients, IT management and other project stakeholders 7 Provide project management expertise to Department DOT/IT Management Establish and manage project agreements with other Agency project teams as required for application interface development or ongoing operations; Coordinate with Agency cross-functional units to obtain project objectives. Facilitate effective communication among business unit and IT teams; Manage risks, ensure stakeholder consensus on priorities and approach of team activities and milestone progress. Attend and participate in department meetings as required to meet project objectives, establish priorities, and resolve issues. 31

32 3.2.2 Vendor Project Management Skills The vendor proposed staff shall have the following skill set / knowledge: PMI (Project Management Institute) / PMP (Project Management Professional) certification; or five or more years of project management experience. Experienced in managing in-house software development, enhancements, implementation, and maintenance projects Knowledge and experience in managing similarly scoped state transportation related system projects Ability to manage and coordinate issue resolution across the Department organization Applications Support Group Responsibilities The responsibilities of the Applications Support Group are described in the following table. Table 3.7. Applications Support Group Responsibilities Item Frequency and Comments Id Applications Support Group Responsibilities 1 Management of project repository Create and maintain digital repository index. Maintain master project repository for all project documents: deliverables, contractual documents, project management files, and other project related documents. Perform repository archival and backup for business continuity purposes. 2 Perform software design and development in accordance with documented Business Requirements and Rules, in support of maintenance and production support needs, and in support of the agreed-upon Release schedules. Ensure client agreement and sign-off on specifications. Work assignments must be made in accordance with established priorities and managed on a daily basis to ensure progress in meeting project objectives. 32

33 Item Frequency and Comments Id Applications Support Group Responsibilities 3 Service Level Agreement Management As directed by IT Project Manager, develop and maintain the Vendor s Service Level Agreement document. 4 Perform business and systems analysis of client requests for modifications and enhancements, and in support of ongoing maintenance and production support needs. 5 Perform application software quality control 6 Prepare project meeting agendas, record and distribute meeting minutes. 7 Perform software configuration management functions. Provide systems analysis support for proposed application enhancements. Business rules, design decisions, option papers, and all related specification information must be documented in a form and using tools as determined by DOT IT and the Business Unit. Test application enhancements, upgrades, releases, and revisions for defects. Develop test plans, and test results. Facilitate user acceptance testing and documentation of user acceptance test results. For cross-functional, technical and other required meetings to attain project objectives prepare meeting agendas, record meeting minutes, develop consensus on minutes, and make distribution of minutes to attendees. As needed Vendor Application Support Skills The Application Support Group proposed staff shall have the following skill set/knowledge in accordance with its role: Project resources assigned to support LITES must have sufficient skills to perform the following common functions for the mainframe components: requirements management; business analysis; testing; programming (5 or more years of COBOL, TSO, CICS, MVS/JCL, VSAM, and DB2), project management, and software configuration management, as well as Microsoft Office. The skill requirements for the LITES internet components are: 3 to 5 years of Java, DB2 Connect, OJB, Websphere, web page and services development (i.e., XSL, HTML,and XML), Websphere Studio Application Development (WSAD), project management; and software configuration management. Proposed staff shall have strong programming and analytical skills, as well as effective oral and written communication skills. Project resources for LITES familiar with motor vehicle liability insurance processing shall receive extra points in the evaluation process. One or more project resources assigned to support LITES must have the required skills outlined in the previous paragraph for mainframe resources as well as at least five (5) years of DBA/system-level experience in Sapiens ObjectPool in a CICS/DB2 environment, at least five (5) years of Sapiens ObjectPool development and maintenance experience, able to analyze and resolve Sapiens system failures, resolve Sapiens ObjectPool migration issues including journal and log file corruption, resolve issues with Sapiens I/O modules, change 33

34 the Pure, and manage changes (i.e., new releases or upgrades of CICS and DB2 as they affect the Sapiens ObjectPool environment). Other preferred skills, but not required are SAS, REXX, DreamWeaver, and SourceSafe. 4.0 Deliverables and Work Products The purpose of this contract is to provide the DOT/IT with the resources to support the LITES system. The Vendor and any associated subcontractors shall have in-depth software development life cycle experience in supporting development of mainframe and internet/client-server applications. The following Work Products and Deliverables as described in Table 4.1 shall be fixed-price Contract Line Items. For the Vendor and each known or anticipated subcontractor, Vendor shall provide the mandatory Vendor response for each Contract Line Item Deliverable or Work Product and sample documentation regarding experience in the following Deliverables and Work Products. Table 4.1. Contract Line Items: Deliverables and Work Products Contract Line tem #/ Type Transition Deliverables and Work Products Mandatory Bid Responses LITES -1 Deliverable: Transition Plan for Systems Support Vendor Response Vendor shall detail the proposed approach for achieving the transition from the LITES team to the vendors proposed staff including the estimated time line for each phase. The Vendor shall provide defined and documented processes and procedures that specifically identify any proposed changes in the roles and role responsibilities for support activities and tasks that will be provided for LITES Application Support. This Transition Plan for Systems Support shall provide a project plan to include activities, assigned resources, duration, start and end dates, milestones and critical path. Define and document any proposed changes to incumbent processes that the Vendor s approach will require for providing support for production application systems. 34

35 Contract Line tem #/ Type LITES -2 (Work Product) Vendor Response LITES -3 (Work Product) Vendor Response LITES Application Support Deliverables and Work Products Work Product: Vendor shall provide LITES Application Administration Support (see Table 3.10 Vendor Provided Application Support Role) including daily, weekly, monthly, yearly general and ad hoc support tasks, build and maintain a repository for LITES application troubleshooting tips. Work Product: Vendor shall provide LITES custom report generation support using SQL, as requested by client organizations in support of department needs such as audits. An example of a custom report might be the number of new insurance and terminated services for NC vehicles in Mandatory Bid Responses Vendor must describe the quantity and experience of staff that will provide the Department LITES Application Administration Support. Department reserves the right to review and approve the qualifications of all resources assigned to the project by the vendor Vendor must describe approach and document proposed-staff experience in creating custom reports and provide examples of previously created reports. 5.0 Vendor Proposal Requirements Vendor proposals must be straightforward, clear, well organized, easy to understand, and concise. They must contain the following six sections. No other sections may be submitted. A. Table of contents (1 page maximum). B. Statement of no conflict of interest (1 page maximum) - Vendors shall certify that neither they, nor any of their personnel who may provide services under any awarded contract, have a conflict of interest as defined or described in NC General Statute ; and that Vendor (including past or present staff) has not participated in prior work with the State that would bias the work of this project and/or create real or perceived questions regarding the veracity, integrity or trustworthiness of the work, including findings and recommendations. Also the Vendor (including past and present staff) has no pre-existing disposition on any finding or recommendation that comes from a vested interest in any particular technology, service or product or an emotional investment in the project or its results. C. Corporate background and experience - The vendor shall provide information on the vendor s corporate organization (history, size, financial soundness, etc.), experience and 35

36 skills regarding the Vendor s track record, reputation and past two (2) years performance that indicates the capabilities for the successful completion of this work, specific designation of tasks that the contractor and subcontractor are to perform, description of the special skills or expertise that each contractor and subcontractor will contribute and process for performing quality review at the completion of each deliverable. A minimum of three references of projects with similar scope to the specified required work activities defined in this document or other projects indicating the Vendor s past performance, experiences and capabilities to do this work must be provided with project description (accompanied by an explanation of how it relates to this project), cost, and other pertinent information. Contact person(s), with telephone numbers and addresses must be provided for each reference. The State will contract with a single party (Vendor) for all services related to this Scope Statement. Vendor s proposal shall include company information, quality review requirements and the list and resumes of proposed staff. If no subcontractors are to be used, the proposal shall include a statement from the Vendor that no sub-contractors will be used. The Vendor must have experience in providing application support for public sector agencies or equivalent experience. Vendor must list at least (3) three experiences with application support projects. If Vendor does not have experience with providing application support for public sectors, list other application support experiences that would indicate the contractor s capability to provide application support needs. Include the following information for each experience: Branch(es) of government; Organization names, addresses, name of contact person, and telephone numbers. As part of the evaluation process, Department will be contacting this reference; Project description; Size and complexity of projects; Time period of project; Staff-months expended; Contract cost if public, or available; The number of concurrent and named users at organization; and Documented methodology for development, delivery and maintenance of application support. D. Project approach - This section shall describe the objectives of the project, the methodology or approach for performing the project, the list of deliverables resulting from the work, the person-days involved in the work and the schedule/timetable for completing the project. The use of subcontractors is allowed, but shall be described plainly in the project approach. Also, the responsibility of the Contractor shall be unequivocally described in the project approach. E. Project personnel staffing and Contractor organization for completing this project - This section shall include the proposed staffing, responsibilities and organizational structure for accomplishing this project. Names and qualifications (including resumes) of proposed staff to be assigned to the project shall be provided. Subcontracting is allowed for this work pursuant to Paragraphs 4 and 5 of the General Terms and Conditions for Goods and Services, 36

37 but its use shall be explained and the responding Vendor shall be responsible and accountable for all work performed by subcontractors. Project personnel should have experience in providing public sector application support or equivalent experience. For each resource, list proposed area of assignment along with past experience with training support projects for public sector. If the candidate does not have at least two years of experience with providing application support for public sectors, list other application support experiences that would indicate the resource s expertise. Each candidate shall provide information for at least three application support experiences. F. Deliverables Response This section shall include the Deliverables and Work Products listed in Section 4.0 of this Scope Statement. The response should be in the format included in this document. G. Costs - This solicitation will result in a fixed-price contract for the base period with the option to renew for two additional (1) one year periods as specified in Section 7. The Vendor shall submit a cost proposal in accordance with the cost proposal instructions and format requirements detailed in Section Department will provide office facilities, on-site local and long distance telephone service, and office equipment, including Department standard desktop and/or laptop systems for proposed personnel in support of the LITES Support requirements. Proposals must indicate the number of cubicles/offices and desktop or laptop systems required by the Vendor for performance of this contract. The cost proposal must include only those costs associated with the application support services of the LITES application systems as detailed within this document. Vendor is responsible for all costs associated with the assessment and transitioning project through the completion of the transition phases. Vendor must provide all facility, telephone, office equipment, travel, and other direct and indirect costs associated with the assessment and transition phases. This project requires a not-to-exceed bid amount for the fixed-price Deliverables and Work Products. The bid amount will cover all costs, including direct and indirect expenses. Travel, per diem, and other miscellaneous costs will be absorbed in the applicable bid amount. This amount will be used in the evaluation criteria in selecting the awarded vendor. 6.0 Best Value Procurement It is the intent of the Department to award this contract to a single overall Vendor. The evaluation and Vendor selection process will be based on best value in accordance with NCGS and Section 9.1 of this document. The particular procurement methods used are selected so as to result in the best buy for Department in terms of the functions to be performed. Competitive Best Value Procurement allows the use of alternate competitive purchasing 37

38 techniques in addition to low price analysis in the selection of supply sources determined to represent best value. The evaluation committee may request written clarifications of any offer received. However, the Department in its sole discretion may refuse to accept in full or partially the response to a clarification request given by any Vendor. Vendors are cautioned that the evaluators are not required to request clarifications; therefore, all offers should be complete and reflect the most favorable terms. Evaluation methodology shall be in accordance with Title 9 of the NCAC Subchapter 06B, Section.0302, or the corresponding section of any future NC Administrative Code, and Section 9.1 of this document. Department may elect to conduct negotiations with one or more Vendors and make requests of Vendors as may be necessary or proper for Best and Final Offers. Final ranking of responses and award of the contract will be made after the Department reviews all bids and completes its evaluation, or if negotiations are conducted, and all rounds of Best and Final Offers have concluded. An award will be made to the Vendor with the most advantageous offer. 7.0 TIMETABLE/SCHEDULE The term shall be one (1) year, and will expire upon the anniversary date of the effective date unless otherwise stated in the Notice of Award, or unless terminated earlier. The State retains the option to extend this contract for two (2) additional one (1) year periods at its sole discretion. The target start date for this initiative is 10/01/06. The base year-end date is _09/30/07_. Option year one begins _10/01/07 and ends _09/30/08. Option year two begins 10/01/08 and ends _09/30/09. 38

39 8.0 ADDITIONAL CONTRACTUAL TERMS 1) Supplement: The special terms and conditions set forth herein shall supplement the General Terms and Conditions for Goods and Related Services. In the event of a conflict between this Supplement and the General Terms and Conditions, or any other document, the order of precedence shall be determined by the State s solicitation document(s). 2) Invoices, Payment: Upon execution of this Agreement, the Vendor shall invoice Department for one-twelfth of the fixed-price annual contract value each month and upon approval by the Department, receive payment within thirty (30) days. If this Contract is terminated, the Vendor is required to complete a final accounting report and to return any unearned funds to the Department within sixty (60) days of the Contract termination date. All payments are contingent upon satisfactory performance of the invoiced items and fund availability. In addition to the Payment Terms of the General Terms and Conditions, the following terms shall apply: a) Invoices for partial delivery of any Deliverables or for the number of work hours expended without acceptance of the associated Deliverables may be submitted no more frequently than monthly, shall reflect all work performed. b) Invoicing for work unanticipated at initial contract award, as described herein, shall not exceed ten (10%) of the total costs identified by the Contract. 3) Reports: The Vendor shall provide periodic status reports to the Department IT Project Advisor. Status reports must include at a minimum a discussion of project progress, problems encountered and recommended solutions, identification of policy or management questions, and requested project plan adjustments. 4) Project Management: All project management and coordination on behalf of Department shall be through a single point of contact designated as the IT Project Advisor. Vendor shall designate an IT Project Manager who will provide the single point of contact for management and coordination of Vendor's work. All work performed pursuant to this Contract shall be coordinated between the Department IT Project Advisor and the Vendor IT Project Manager. 5) Meetings: The Vendor must meet with Department personnel, or designated representatives, to resolve technical or contractual problems that may occur during the term of the Contract. Meetings shall occur as problems arise and will be coordinated by Department. The Vendor will be given reasonable and sufficient notice of meeting dates, times, and locations. Face to face meetings are desired. However, at the Vendor's option and expense, a conference call meeting may be substituted. Consistent failure to participate in problem resolution meetings as demonstrated by two (2) consecutive missed or rescheduled meetings), or to make a good faith effort to resolve problems, may result in termination of the Contract. 6) Confidentiality of Data and Information: a) The Vendor shall protect the confidentiality of all information, data, instruments, studies, reports, records and other materials provided to it by the State or maintained or created in accordance with this Agreement. No such information, data, instruments, studies, reports, records and other materials in the possession of Vendor shall be disclosed in any form without the prior written consent of the State. The Vendor will 39

40 have written policies governing access to and duplication and dissemination of all such information, data, instruments, studies, reports, records and other materials. b) All project materials, deliverables, including software, data, and documentation created during the performance or provision of services hereunder is the property of the State of North Carolina and must be kept confidential or returned to DOT/IS, or destroyed with an acceptable certification of destruction provided to DOT/IS, or designee. Proprietary Vendor materials shall be identified to the State by Vendor prior to use or provision of services hereunder and shall remain the property of the Vendor. Derivative works of any Vendor proprietary materials prepared or created during the performance of provision of services hereunder shall be subject to a perpetual, royalty free, nonexclusive license to the State. 7) Personnel, Facilities, And Records Unless otherwise provided by the Department, the Vendor shall furnish all necessary personnel, services, and otherwise perform all acts, duties and responsibilities necessary or incidental to the accomplishment of the tasks specified in this Agreement. The Vendor shall be legally and financially responsible for its personnel including, but not limited to, any deductions for social security and other withholding taxes required by State or federal law. The Vendor shall not substitute key personnel assigned to the performance of this contract without prior written approval by the Department s Contract Administrator. The individuals designated as key personnel for purposes of this contract are those specified in the Vendor s proposal. 8) Conflict Between Terms In Technical Services Contract In the event of any conflict between the terms set forth herein and the terms set forth in Exhibit 3 of the Technical Services Contract, the terms set forth herein shall prevail. 9) VENDOR UTILIZATION OF WORKERS OUTSIDE U.S.: In accordance with Executive Order #60, the Vendor must detail in the bid response, the manner in which it intends to utilize resources or workers located outside of the United States. The State of North Carolina will evaluate the additional risks, costs, and other factors associated with such utilization prior to making an award for any such Vendor s proposal. The Vendor shall provide the following for any proposal or actual utilization or contract performance outside of the United States: (a) The location of work performed under a state contract by the Vendor, any subcontractors, employees, or other persons performing the contract. (b) The corporate structure and location of corporate employees and activities of the Vendors, its affiliates or any other subcontractors. (c) Notice of the relocation of the Vendor, employees of the Vendor, subcontractors of the Vendor, or other persons performing services under a state contract outside of the United States. (d) Any Vendor or subcontractor providing call or contact center services to the State of North Carolina shall disclose to inbound callers the location from which the call or contact center services are being provided. 40

41 9.0 PROPOSAL EVALUATION AND VENDOR SELECTION CRITERIA 9.1 Information Regarding Agency s Evaluation Process After the proposal due date, a team will be formed to evaluate proposals and make a recommendation. The team will include Department IT managers that are knowledgeable of the LITES system along with functional managers that are users of the system. The evaluation will include the vendor responses requested in Section 4.0 along with the SELECTION CRITERIA identified in this Section of this document. At its option the evaluation team may request oral presentations or discussions with any or all vendors for the purpose of clarification or to explain the materials presented in any part of the proposal. The evaluation and vendor selection process shall be based on best value. The particular procurement method used is selected so as to result in the best buy for the state in terms of the function to be performed. A trade off method of source selection shall be utilized. The State reserves the option to negotiate and request a best and final offer. All vendor proposals shall be reviewed based on the following selection criteria: Documented proof of the ability to provide onsite applications support, 24X7, for the LITES Application as outlined in this scope statement Demonstrated experience in providing business and systems analysis, software development, software quality control, software project management and application support functions for new and/or existing production systems within the last 24 months Proposed approach/strategy for providing applications support for LITES Existence of a defined and documented methodology for applications support to be applied by the vendor Evidence of vendor s success with comparable engagements Qualifications and experience of key personnel resumes submitted for each of the key support positions Clear, concise and professionally formatted proposal Total Cost 41

42 The following page gives a break-down of how the criteria will be weighed: LITES Risk-Weighted Quantitative Cost Benefit Criteria Risk Related 40% Weight for Each General Category 1. Documented proof of ability to provide onsite application support, 24X7 for LITES as outlined in this scope statement 2. Demonstrated experience in providing business and systems analysis, software development, software quality control, software project management, and application support for existing or new production systems within the last 24 months 3. Proposed approach/strategy for providing applications support for LITES 4. Existence of a defined and documented methodology for applications support (i.e., maintenance, development, and customer service activities) to be applied by the vendor Weight for Each Criteria (within Category 20% 20% 40% 20% Vendor Proposals Scores for Each Criterion (1-10) Weighted Scores for Each Criterion Weighted Total for Each Category A B C A B C A B C Risk Category Subtotal Benefit Related 40% 5. Evidence of vendor s success with comparable engagements 40% 6. Evidence of qualified and experienced personnel for each support positions 40% 7. Clear, concise, and professionally formatted proposal 20% Benefit Category Subtotal Cost Related 20% 8. Total cost of the vendor's approach 100% Cost Category Subtotal Vendor Total Evaluation Score 42

43 10.0 Administrative Items 10.1 Cost Proposal Instructions and Format The Cost Proposal must include the pricing for all services necessary to fulfill the proposal and must be entered on Cost Schedule A (see Exhibit 2) 43

44 11.0 EXECUTION OF SCOPE STATEMENT - TECH By signing the below, the Offeror certifies that: This Scope Statement Response was signed by an authorized representative of the Offeror; This Scope Statement Response was not derived through any acts of collusion as Stated in NCGS ; The Offeror agrees to all the mandatory terms and conditions and agrees to pay the 2% administrative fee to ITS per Section I, Paragraph B of the ITS Technical Services Contract; and The Offeror agrees to abide by all State CIO Policies, Standards and Procedures and in addition, adhere to the Statewide Technical Architecture. Therefore in compliance with the foregoing Scope Statement and subject to all terms and conditions of the ITS Technical Services Contract, including all exhibits, the undersigned offers and agrees to furnish the services set forth in the Scope Statement if the Scope Statement Response is accepted by the State. Failure to execute/sign scope statement prior to submittal shall render it invalid. Late bids are not acceptable. BIDDER: FEDERAL ID OR SOCIAL SECURITY NO. STREET ADDRESS: P.O. BOX: ZIP: CITY & STATE & ZIP: TELEPHONE NUMBER: TOLL FREE TEL. NO TYPE OR PRINT NAME & TITLE OF PERSON SIGNING: FAX NUMBER: AUTHORIZED SIGNATURE: DATE: Acceptance by Agency is contingent upon ITS approval of the Agency s recommendation of award. This contract award was approved by ITS on, as indicated by attached certification letter from ITS. ACCEPTANCE OF SCOPE STATEMENT RESPONSE If any or all parts of this scope are accepted, an authorized representative of Using Agency shall affix their signature hereto and this document along with the provisions of the Technical Services Contract shall then constitute the written agreement between the parties. A copy of this acceptance will be forwarded to the successful offeror(s). FOR Department of Transportation USE ONLY Offer accepted this day of, 2006, as indicated on attached certification or purchase order, by (Authorized representative of the Department of Transportation) 44

45 Exhibit 1 LITES Application Support Glossary The following glossary defines selected terms related to the LITES application or their Implementation Project within the Department. (See the following section for the definition of selected acronyms.) Definition of Acronyms The following table lists acronyms related to LITES maintenance, information technology, computer databases, and North Carolina State Government along with what each means. Acronym Acronym Expanded 24 x 7 24 hours a day, seven days a week ANSI API BIOS BOT CRS DB DBA DDL DMV DOI DOT DOT/IT EDI FAX FUN IMP IS American National Standards Institute Application Programming Interface Basic Input/Output System Board of Transportation (NC/DOT) Crash Reporting System Database Database Administrator Data Definition Language Division of Motor Vehicles (North Carolina) Department of Insurance (North Carolina) Department of Transportation (North Carolina) Department of Transportation/Information Technology Electronic Data Interchange Facsimile Functional Requirement Implementation Service Area Information Systems 45

46 Acronym IRP IT ITS JAD LAN LDI LEM LOS LOSA LITES LIU MC Acronym Expanded International Registration Plan Information Technology (NCDOT/IT) Office of Information Technology Services (NC) Joint Application Design or Joint Application Development Local Area Network Legacy Data Interface Labor, Equipment, and Materials Level of Service Level of Service Agreement Liability Insurance Tracking and Enforcement System Liability Insurance Unit Motor Carrier MIS NC NCDOT NCIIN NCSTA P&C PL/SQL PMI PMO PMP PRAM QA QFD Management Information Services North Carolina North Carolina Department of Transportation North Carolina Integrated Information Network North Carolina Statewide Technical Architecture Purchasing and Contracts (NC) Procedural Language extension to SQL Program Management Institute Program Management Office Program Management Professional Project Risk Assessment Method Quality Assurance Quality Function Deployment 46

47 Acronym RAM RAMP RDBMS SADLS SCIO SCTO SDLC SDM SLA SME SOW SPECS SQA SQL SRR STARS TCP/IP TEC VLAN VPN WAN Acronym Expanded Random Access Memory Risk Assessment and Management Process Relational Database Management System State Automated Driver License System State Chief Information Officer State Chief Technology Officer Systems Development Life-Cycle Service Delivery Manager Service Level Agreement Subject Matter Expert Statement of Work Specifications Proposals Estimates Contracts System Software Quality Assurance Structured Query Language Systems Requests/Requirements Reviews State Titling and Registration System Transmission Control Protocol over Internet Protocol Technical Requirement Virtual Local Area Network Virtual Private Network Wide Area Network 47

48 EXHIBIT 2 COST SCHEDULE A This Cost Schedule A contains the Vendor s proposed. Fixed-Price Bid for Professional Services development of Work Products as defined in Section 4. Base Amount Period Option Year 1 Option Year 2 Total Proposed Fixed-Price Costs Total Fixed Price $ $ $ $ 48