2008

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REQUEST FOR PROPOSALS FOR

Department of Labor and Industry Commonwealth Workforce Development System (CWDS) Support and Enhancement Services

ISSUING OFFICE

Office of Administration OIT Bureau of Procurement 506 Finance Building Harrisburg, PA 17120

RFP NUMBER

6100023240

DATE OF ISSUANCE

April 22, 2013

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REQUEST FOR PROPOSALS FOR Commonwealth Workforce Development System (CWDS) Support and Enhancement Services

TABLE OF CONTENTS

CALENDAR OF EVENTS

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Part I—GENERAL INFORMATION

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Part II—PROPOSAL REQUIREMENTS

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Part III—CRITERIA FOR SELECTION

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Part IV—WORK STATEMENT

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APPENDIX A, STANDARD CONTRACT TERMS AND CONDITIONS APPENDIX B, DOMESTIC WORKFORCE UTILIZATION CERTIFICATION APPENDIX C, PROPOSAL COVER SHEET APPENDIX D, COST MATRIX APPENDIX E, TRADE SECRET/CONFIDENTIAL PROPRIETARY INFORMATION NOTICE APPENDIX F, LOBBYING CERTIFICATION FORM APPENDIX G, PROJECT REFERENCES APPENDIX H, PERSONNEL EXPERIENCE BY KEY POSITION APPENDIX I, RESERVED APPENDIX J, PERSONNEL WORKS SKILL RESUME FORMAT APPENDIX K, RIGHT TO REPRESENT ACKNOWLEDGEMENT

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APPENDIX L, L&I VOICE, DATA, AND POWER INFRASTRUCTURE REQUIREMENTS APPENDIX M, PROJECT FACILITY ROUTER, SWITCH, AND SITE SERVER REQUIREMENTS APPENDIX N, SYSTEM MANAGEMENT PLAN-CHANGE MANAGEMENT APPENDIX O, SAMPLE RELEASE APPENDIX P, LI OIT PROJECT MANAGEMENT DOCUMENTS APPENDIX Q, CWDS SERVICE LEVEL AGREEMENT APPENDIX R, CWDS TECHNICAL REQUIREMENTS APPENDIX S, CWDS STATEMENT OF WORK APPENDIX T, TECHNOLOGY UPGRADES APPENDIX U, L&I TECHNICAL ARCHITECTURE REQUIREMENTS APPENDIX V, L&I SHARED PRODUCT ENVIRONMENTS APPENDIX W, CWDS ENVIRONMENTS APPENDIX X, L&I ENTERPRISE SECURITY STANDARDS AND REQUIREMENTS APPENDIX Y, INDENTITY AND ACCESS MANAGEMENT (IAM) INFRASTRUCTURE AND DIAGRAMS – SHARED PRODUCTS APPENDIX Z, IDENTIFICATION AND AUTHENTICATION OF USERS ON NEW L&I COMPUTER SYSTEMS C-301 APPENDIX AA, APPLICATION ACCESS CONTROL C-306 APPENDIX BB, DATA ENCRYPTION STANDARDS C-320 APPENDIX CC, L&I REMEDY COMPONENTS AND PROCESSES – SHARED PRODUCT SOFTWARE – REMEDY APPENDIX DD, PROPOSED RESOURCE HOURS MATRIX APPENDIX EE, L&I TIVOLI ENTERPRISE APPLICATION – SHARED PRODUCT SOFTWARE – TIVOLI

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APPENDIX FF, L&I CONTENT MANAGEMENT REQUIREMENTS APPENDIX GG, OIT BUSINESS PROCESS INTEGRATION SOFTWARE – SHARED PRODUCTS SOFTWARE – WEBMETHODS APPENDIX HH, L&I ACCESSIBILITY REQUIREMENTS APPENDIX II, CWDS DATABASE ARCHITECTURE OVERVIEW APPENDIX JJ, L&I STANDARD ENVIRONMENT APPENDIX KK, L&I ENTERPRISE STANDARDS APPENDIX LL, DISASTER RECOVERY PLAN APPENDIX MM, CWDS BUSINESS CONTEXT OVERVIEW APPENDIX NN, L&I APPLICATION LIFECYCLE MANAGEMENT REQUIREMENTS APPENDIX OO, L&I BUSINESS OBJECTS ENTERPRISE APPENDIX PP, L&I COMMUNICATION AN COLLABORATION APPENDIX QQ, SYSTEM ADMINISTRATION GUIDELINES FOR NON COMMONWEALTH EMPLOYEES CONSULTANTS C-3401 APPENDIX RR, PERSONNEL WORK SKILLS

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CALENDAR OF EVENTS The Commonwealth will make every effort to adhere to the following schedule:

Activity

Responsibility

Date

Potential Offerors

Thursday, May 1, 2013 at 1:00 PM

Issuing Office/Potential Offerors

Friday, May 10, 2013 at 10:00 AM

Answers to Potential Offeror questions posted to the DGS website (http://www.dgsweb.state.pa.us/RTA/Search.aspx) no later than this date.

Issuing Office

Monday, May 17, 2013 at 4:00 PM

Please monitor website for all communications regarding the RFP.

Potential Offerors

On Going

Offerors

Friday, May 29, 2013 at 1:00 PM

Deadline to submit Questions via email to: [email protected] Pre-proposal Conference Office for Information Technology 503 Finance Building Harrisburg, PA 17120

Sealed proposal must be received by the Issuing Office at: Bureau of IT Procurement c/o Commonwealth Mail Processing Center 2 Technology Park (rear) Attn: IT Procurement, 506 Finance Harrisburg, PA 17110 Attn: Tami Mistretta Proposals must be time and date stamped by the facility receiving the proposal. Proposals may only be hand-delivered between 6:00 a.m. and 2:45 p.m., Monday through Friday, excluding Commonwealth holidays.

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PART I GENERAL INFORMATION I-1. Purpose. This request for proposals (RFP) provides to those interested in submitting proposals for the subject procurement (“Offerors”) sufficient information to enable them to prepare and submit proposals for the Office of Administration’s consideration on behalf of the Commonwealth of Pennsylvania (“Commonwealth”) to satisfy a need for Commonwealth Workforce Development System (CWDS) Support and Enhancement Services (“Project”). I-2. Issuing Office. The Office of Administration (“Issuing Office”) has issued this RFP on behalf of the Commonwealth. The sole point of contact in the Commonwealth for this RFP shall be Tami Mistretta, Associate Commodity Manager, OA OIT Bureau of Procurement, 506 Finance Building, Harrisburg, PA 17120, [email protected], the Issuing Officer for this RFP. Please refer all inquiries to the Issuing Officer. I-3. Scope. This RFP contains instructions governing the requested proposals, including the requirements for the information and material to be included; a description of the service to be provided; requirements which Offerors must meet to be eligible for consideration; general evaluation criteria; and other requirements specific to this RFP. I-4. Problem Statement. L&I seeks to procure the services of a qualified contractor for development of application enhancements, refinements and new features for the existing core Commonwealth Workforce Development System (CWDS) solution, maintenance and support for day-to-day operations, and completion of complex upgrades to support the technical solution. Additional detail is provided in Part IV of this RFP. I-5. Type of Contract. It is proposed that if the Issuing Office enters into a contract as a result of this RFP, it will be a firm, fixed price contract containing the Contract Terms and Conditions as shown in Appendix A. The Issuing Office, in its sole discretion, may undertake negotiations with Offerors whose proposals, in the judgment of the Issuing Office, show them to be qualified, responsible and capable of performing the Project. I-6. Rejection of Proposals. The Issuing Office reserves the right, in its sole and complete discretion, to reject any proposal received as a result of this RFP. I-7. Incurring Costs. The Issuing Office is not liable for any costs the Offeror incurs in preparation and submission of its proposal, in participating in the RFP process or in anticipation of award of the contract. I-8. Pre-proposal Conference. The Issuing Office will hold a Pre-proposal conference as specified in the Calendar of Events. The purpose of this conference is to provide opportunity for clarification of the RFP. Offerors should forward all questions to the Issuing Office in accordance with Part I, Section I-9 to ensure adequate time for analysis before the Issuing Office provides an answer. Offerors may also ask questions at the conference. In view of the limited facilities available for the conference, Offerors should limit their representation to two (2) individuals per Offeror. The Pre-proposal conference is for information only. Any answers furnished during the conference will not be official until they have been verified, in writing, by the Issuing Office. All questions and written answers will be posted on the Department of

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General Services‟ (DGS) website as an addendum to, and shall become part of, this RFP. Attendance at the Pre-proposal Conference is not mandatory. I-9. Questions & Answers. If an Offeror has any questions regarding this RFP, the Offeror must submit the questions by email (with the subject line ―RFP 6100023240 Question‖) to the Issuing Officer named in Part I, Section I-2 of the RFP. Questions must be submitted via email no later than the date indicated on the Calendar of Events. The Offeror shall not attempt to contact the Issuing Officer by any other means. The Issuing Officer shall post the answers to the questions on the DGS website by the date stated on the Calendar of Events. An Offeror who submits a question after the deadline date for receipt of questions indicated on the Calendar of Events assumes the risk that its proposal will not be responsive or competitive because the Commonwealth is not able to respond before the proposal receipt date or in sufficient time for the Offeror to prepare a responsive or competitive proposal. When submitted after the deadline date for receipt of questions indicated on the Calendar of Events, the Issuing Officer may respond to questions of an administrative nature by directing the questioning Offeror to specific provisions in the RFP. To the extent that the Issuing Office decides to respond to a nonadministrative question after the deadline date for receipt of questions indicated on the Calendar of Events, the answer must be provided to all Offerors through an addendum. All questions and responses as posted on the DGS website are considered as an addendum to, and part of, this RFP in accordance with RFP Part I, Section I-10. Each Offeror shall be responsible to monitor the DGS website for new or revised RFP information. The Issuing Office shall not be bound by any verbal information nor shall it be bound by any written information that is not either contained within the RFP or formally issued as an addendum by the Issuing Office. The Issuing Office does not consider questions to be a protest of the specifications or of the solicitation. I-10. Addenda to the RFP. If the Issuing Office deems it necessary to revise any part of this RFP before the proposal response date, the Issuing Office will post an addendum to the DGS website at http://www.dgsweb.state.pa.us/RTA/Search.aspx. It is the Offeror‟s responsibility to periodically check the website for any new information or addenda to the RFP. Answers to the questions asked during the Questions & Answers period also will be posted to the website as an addendum to the RFP. I-11. Response Date. To be considered for selection, hard copies of proposals must arrive at the Issuing Office on or before the time and date specified in the RFP Calendar of Events. The Issuing Office will not accept proposals via email or facsimile transmission. Offerors who send proposals by mail or other delivery service should allow sufficient delivery time to ensure timely receipt of their proposals. If, due to inclement weather, natural disaster, or any other cause, the Commonwealth office location to which proposals are to be returned is closed on the proposal response date, the deadline for submission will be automatically extended until the next Commonwealth business day on which the office is open, unless the Issuing Office otherwise notifies Offerors by posting an Addendum to the RFP. The hour for submission of proposals shall remain the same. The Issuing Office will reject, unopened, any late proposals. I-12. Proposals. To be considered, Offerors should submit a complete response to this RFP to the Issuing Office, using the format provided in Part II, providing nine (9) paper copies of the Technical Submittal and two (2) paper copy of the Cost Submittal and two (2) paper copies of the Small Diverse Business (SDB) participation submittal. In addition to the paper copies 2

of the proposal, Offerors shall submit two complete and exact copies of the entire proposal (Technical, Cost and SDB submittals, along with all requested documents) on CD-ROM or Flash drive in Microsoft Office or Microsoft Office-compatible format. The electronic copy must be a mirror image of the paper copy and any spreadsheets must be in Microsoft Excel. The Offerors may not lock or protect any cells or tabs. Offerors should ensure that there is no costing information in the technical submittal. Offerors should not reiterate technical information in the cost submittal. The CD or Flash drive should clearly identify the Offeror and include the name and version number of the virus scanning software that was used to scan the CD or Flash drive before it was submitted. The Offeror shall make no other distribution of its proposal to any other Offeror or Commonwealth official or Commonwealth consultant. Each proposal page should be numbered for ease of reference. An official authorized to bind the Offeror to its provisions must sign the proposal. If the official signs the Proposal Cover Sheet (Appendix D to this RFP) and the Proposal Cover Sheet is attached to the Offeror‟s proposal, the requirement will be met. For this RFP, the proposal must remain valid until a contract is fully executed. If the Issuing Office selects the Offeror‟s proposal for award, the contents of the selected Offeror‟s proposal will become, except to the extent the contents are changed through Best and Final Offers or negotiations, contractual obligations. Each Offeror submitting a proposal specifically waives any right to withdraw or modify it, except that the Offeror may withdraw its proposal by written notice received at the Issuing Office‟s address for proposal delivery prior to the exact hour and date specified for proposal receipt. An Offeror or its authorized representative may withdraw its proposal in person prior to the exact hour and date set for proposal receipt, provided the withdrawing person provides appropriate identification and signs a receipt for the proposal. An Offeror may modify its submitted proposal prior to the exact hour and date set for proposal receipt only by submitting a new sealed proposal or sealed modification which complies with the RFP requirements. I-13. Small Diverse Business Information. The Issuing Office encourages participation by small diverse businesses as prime contractors, and encourages all prime contractors to make a significant commitment to use small diverse businesses as subcontractors and suppliers. A Small Diverse Business is a DGS-verified minority-owned business, woman-owned business, veteran-owned business or service-disabled veteran-owned business. A small business is a business in the United States which is independently owned, not dominant in its field of operation, employs no more than 100 full-time or full-time equivalent employees, and earns less than $7 million in gross annual revenues for building design, $20 million in gross annual revenues for sales and services and $25 million in gross annual revenues for those businesses in the information technology sales or service business. Questions regarding this Program can be directed to: Department of General Services Bureau of Small Business Opportunities Room 611, North Office Building Harrisburg, PA 17125 Phone: (717) 783-3119 Fax: (717) 787-7052 3

Email: [email protected] Website: www.dgs.state.pa.us The Department‟s directory of BSBO-verified minority, women, veteran and service disabled veteran-owned businesses can be accessed from: Searching for Small Diverse Businesses. I-14. Economy of Preparation. Offerors should prepare proposals simply and economically, providing a straightforward, concise description of the Offeror‟s ability to meet the requirements of the RFP. The Issuing Office has established a page limit of one hundred (100) pages, excluding appendices and resumes. The page limit does not apply to financial information submitted by Offerors in response to Section II-9. Financial Capability. Offerors should submit proposals on 8 ½ by 11 inch paper formatted with 1 inch margins. Proposals should be doublespaced with 12-point font size, and with consecutive page numbers at the bottom. Duplex printing is acceptable and suggested. Please keep marketing materials to a minimum. I-15.

Alternate Proposals. The Issuing Office will not accept alternate proposals.

I-16. Discussions for Clarification. Offerors may be required to make an oral or written clarification of their proposals to the Issuing Office to ensure thorough mutual understanding and Offeror responsiveness to the solicitation requirements. The Issuing Office will initiate requests for clarification. Clarifications may occur at any stage of the evaluation and selection process prior to contract execution. I-17. Prime Contractor Responsibilities. The contract will require the selected Offeror to assume responsibility for all services offered in its proposal whether it produces them itself or by subcontract. The Issuing Office will consider the selected Offeror to be the sole point of contact with regard to contractual matters. I-18.

Proposal Contents.

A. Confidential Information. The Commonwealth is not requesting, and does not require, confidential proprietary information or trade secrets to be included as part of Offerors‟ submissions in order to evaluate proposals submitted in response to this RFP. Accordingly, except as provided herein, Offerors should not label proposal submissions as confidential or proprietary or trade secret protected. Any Offeror who determines that it must divulge such information as part of its proposal must submit the signed written statement described in subsection c. below and must additionally provide a redacted version of its proposal, which removes only the confidential proprietary information and trade secrets, for required public disclosure purposes. B. Commonwealth Use. All material submitted with the proposal shall be considered the property of the Commonwealth of Pennsylvania and may be returned only at the Issuing Office‟s option. The Commonwealth has the right to use any or all ideas not protected by intellectual property rights that are presented in any proposal regardless of whether the proposal becomes part of a contract. Notwithstanding any Offeror copyright and/or trademark designations contained on proposals, the Commonwealth shall have the right to make copies and distribute proposals internally and to comply with public record or other disclosure requirements under the provisions of any Commonwealth or United States statute or regulation, or rule or order of any court of competent jurisdiction. 4

C. Public Disclosure. After the award of a contract pursuant to this RFP, all proposal submissions are subject to disclosure in response to a request for public records made under the Pennsylvania Right-to-Know-Law, 65 P.S. § 67.101, et seq. If a proposal submission contains confidential proprietary information or trade secrets, a signed written statement to this effect must be provided with the submission in accordance with 65 P.S. § 67.707(b) for the information to be considered exempt under 65 P.S. § 67.708(b)(11) from public records requests. If financial capability information is submitted in response to Part II of this RFP such financial capability information is exempt from public records disclosure under 65 P.S. § 67.708(b)(26). Reference Appendix E, Trade Secret/Confidential Proprietary Information Notice. I-19.

Best and Final Offers.

A. While not required, the Issuing Office reserves the right to conduct discussions with Offerors for the purpose of obtaining “best and final offers.” To obtain best and final offers from Offerors, the Issuing Office may do one or more of the following, in any combination and order: 1. Schedule oral presentations; 2. Request revised proposals; 3. Conduct a reverse online auction; and 4. Enter into pre-selection negotiations. B. The following Offerors will not be invited by the Issuing Office to submit a Best and Final Offer: 1. Those Offerors, which the Issuing Office has determined to be not responsible or whose proposals the Issuing Office has determined to be not responsive. 2. Those Offerors, which the Issuing Office has determined in accordance with Part III, Section III-5, from the submitted and gathered financial and other information, do not possess the financial capability, experience or qualifications to assure good faith performance of the contract. 3. Those Offerors whose score for their technical submittal of the proposal is less than 70% of the total amount of technical points allotted to the technical criterion. The issuing office may further limit participation in the best and final offers process to those remaining responsible offerors which the Issuing Office has, within its discretion, determined to be within the top competitive range of responsive proposals. C. The Evaluation Criteria found in Part III, Section III-4, shall also be used to evaluate the Best and Final offers. D. Price reductions offered through any reverse online auction shall have no effect upon the Offeror‟s Technical Submittal. Dollar commitments to Small Diverse Businesses can be reduced only in the same percentage as the percent reduction in the total price offered through any reverse online auction or negotiations.

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I-20. News Releases. Offerors shall not issue news releases, Internet postings, advertisements or any other public communications pertaining to this Project without prior written approval of the Issuing Office, and then only in coordination with the Issuing Office. I-21. Restriction of Contact. From the issue date of this RFP until the Issuing Office selects a proposal for award, the Issuing Officer is the sole point of contact concerning this RFP. Any violation of this condition may be cause for the Issuing Office to reject the offending Offeror‟s proposal. If the Issuing Office later discovers that the Offeror has engaged in any violations of this condition, the Issuing Office may reject the offending Offeror‟s proposal or rescind its contract award. Offerors must agree not to distribute any part of their proposals beyond the Issuing Office. An Offeror who shares information contained in its proposal with other Commonwealth personnel and/or competing Offeror personnel may be disqualified. I-22. Issuing Office Participation. Offerors shall provide all services, supplies, facilities, and other support necessary to complete the identified work, except as otherwise provided in this Part I, Section I-22. Facility and Equipment Requirements: The Commonwealth will NOT provide work and meeting facilities for this project. The Selected Offeror must provide a project facility with sufficient office and meeting space for the Selected Offeror‟s proposed personnel and for approximately twenty- five (25) full-time and five (5) parttime Commonwealth staff assigned to the Project. All Project staff must be housed in the same facility. Occupancy of the Selected Offeror space by Commonwealth employees does not constitute a lease or other real estate interest. The employees shall only have a personal property right to use identified space. The Commonwealth shall not pay any rent, any charges for electricity and water, or any other cost, fee, or tax associated with this space. The Commonwealth will NOT accept separate billing for lease/rental expenses, these costs must be embedded within the proposed service deliverables. The Selected Offeror may, at its cost, relocate the L&I employees within the same building or to another building if it provides greater convenience, effectiveness, or efficiency. The Selected Offeror‟s proposed project facility must: A. Be accessible within seven (7) miles of the Commonwealth Capitol Complex and provide ample free parking for Project staff. B. Have adequate, fully-functional conference rooms, including teleconferencing capabilities and projectors, based on the Selected Offeror‟s proposed schedule. C. Have telecommunication capabilities to allow Project staff and Executives in other locations to participate in meetings. D. Be secured and access monitored through the use of a key card, fob or other threshold scan access type of system. E.

Meet applicable Americans with Disabilities Act (ADA) accessibility requirements.

F.

Be occupied by Project staff within 60 days after the Contract Effective Date.

G. Be open from 6:00 a.m. to 6:00 p.m. Monday–Friday; Business hours should be 8:00 a.m. to 5:00 p.m. The Selected Offeror should allow for 24 hours a day, 7 days a week

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access to the project facility for those individuals identified by the Selected Offeror and/or the CWDS Project Management Team. H. Meet the requirements of Appendix KK, L&I Voice, Data and Power Infrastructure Requirements, including all items and costs within the Selected Offeror‟s proposal. I.

Meet the requirements of Appendix LL, Project Facility Router, Switch and Site Server Requirements. The Selected Offeror must propose these services and procure equipment to support those services, including costs for any voice/data circuits needed for connectivity to other locations. Upon contract award, further architectural review will be performed to evaluate voice and data service provisioning.

J.

Be furnished and equipped by the Selected Offeror including workspace/modular furniture needed for project staff during the term of the contract. Workspace/modular furniture should be comparable in quality to that used by Commonwealth staff. This includes both the Selected Offeror‟s staff and Commonwealth staff assigned to the project. Cubicles should be provided for all project staff. The recommended size of the cubicles is at a minimum of 48 square feet. If this recommendation precludes the use of existing space available to the Selected Offeror, the CWDS Project Management Team is willing to consider smaller workspaces, subject to inspection and approval. Key project management staff should have private offices assigned for their use with floor to ceiling walls and at least 120 square feet. The office furniture should meet general ergonomic standards and be less than five (5) years old.

K. Be equipped with the following items: 1. Desks or appropriate work surfaces 2. Chairs 3. Meeting tables 4. Telephones and telephone service with voice mail 5. Fax machine 6. Office supplies 7. Copy and printing equipment (including printing supplies). Network printers and copiers should be sized to accommodate the printing and copying needs of a team the size of the one being proposed, including the Commonwealth staff. 8. A minimum of one (1) network group printer (black and white) 9. A minimum of one (1) color laser printer 10. Any other items deemed necessary by the Selected Offeror to support the Project L.

The Commonwealth will provide the following items for the project facility: 1. A Local Area Network (LAN) connection and Commonwealth Metropolitan Area Network (MAN) Connection for the Selected Offeror and Commonwealth staff. 2. Selected Offeror e-mail accounts on the Commonwealth network 3. Access to required Commonwealth facilities 7

4. Access to project-related documentation 5. Desktop Hardware The Selected Offeror must provide a project facility that is furnished, equipped, and meets the requirements listed above for the term of the Contract. The Commonwealth will NOT accept separate billing for Project Facility related costs. The project facility should be occupied within 60 days after the Contract Effective Date. The Selected Offeror IS responsible for all of its employee and subcontractor expenses. The Commonwealth will NOT accept separate billing for travel (travel expenses, parking, tolls, lodging, per diem, etc.). I-23. Term of Contract. The term of the contract will commence on the Effective Date and will end three (3) years after the Effective Date. The Commonwealth may renew the contract for up to an additional two (2) one (1) year renewals, in the Commonwealth’s discretion, by letter notice. The Issuing Office will fix the Effective Date after the contract has been fully executed by the selected Offeror and by the Commonwealth and all approvals required by Commonwealth contracting procedures have been obtained. The selected Offeror shall not begin to perform or incur any expenses under the contract until (1) the contract Effective Date has arrived; (2) it has received a copy of the fully executed contract; and (3) it has received a purchase order or other written notice to proceed signed by the Contracting Officer. I-24. Offeror’s Representations and Authorizations. By submitting its proposal, each Offeror understands, represents, and acknowledges that: A. All of the Offeror‟s information and representations in the proposal are true, correct, material and important, and the Issuing Office may rely upon the contents of the proposal in awarding the contract(s). The Commonwealth shall treat any misstatement, omission or misrepresentation as fraudulent concealment of the true facts relating to the Proposal submission, punishable pursuant to 18 Pa. C.S. § 4904. B. The Offeror has arrived at the price(s) and amounts in its proposal independently and without consultation, communication, or agreement with any other Offeror or potential offeror. C. The Offeror has not disclosed the price(s), the amount of the proposal, nor the approximate price(s) or amount(s) of its proposal to any other firm or person who is an Offeror or potential offeror for this RFP, and the Offeror shall not disclose any of these items on or before the proposal submission deadline specified in the Calendar of Events of this RFP. D. The Offeror has not attempted, nor will it attempt, to induce any firm or person to refrain from submitting a proposal on this contract, or to submit a proposal higher than this proposal, or to submit any intentionally high or noncompetitive proposal or other form of complementary proposal. E. The Offeror makes its proposal in good faith and not pursuant to any agreement or discussion with, or inducement from, any firm or person to submit a complementary or other noncompetitive proposal. F. To the best knowledge of the person signing the proposal for the Offeror, the Offeror, its affiliates, subsidiaries, officers, directors, and employees are not currently under 8

investigation by any Local, State or Federal governmental agency and have not in the last four years been convicted or found liable for any act prohibited by Local, State or Federal law in any jurisdiction, involving conspiracy or collusion with respect to bidding or proposing on any public contract, except as the Offeror has disclosed in its proposal. G. To the best of the knowledge of the person signing the proposal for the Offeror and except as the Offeror has otherwise disclosed in its proposal, the Offeror has no outstanding, delinquent obligations to the Commonwealth including, but not limited to, any state tax liability not being contested on appeal or other obligation of the Offeror that is owed to the Commonwealth. H. The Offeror is not currently under suspension or debarment by the Commonwealth, any other state or the federal government, and if the Offeror cannot so certify, then it shall submit along with its proposal a written explanation of why it cannot make such certification. I. The Offeror has not made, under separate contract with the Issuing Office, any recommendations to the Issuing Office concerning the need for the services described in its proposal or the specifications for the services described in the proposal. (See Pennsylvania State Adverse Interest Act) J. Each Offeror, by submitting its proposal, authorizes Commonwealth agencies to release to the Commonwealth information concerning the Offeror's Pennsylvania taxes, unemployment compensation and workers‟ compensation liabilities. K. Until the selected Offeror receives a fully executed and approved written contract from the Issuing Office, there is no legal and valid contract, in law or in equity The selected Offeror shall not begin to perform or incur any expenses under the contract until (1) the contract Effective Date has arrived; (2) it has received a copy of the fully executed contract; and 3) it has received a purchase order or other written notice to proceed signed by the Contracting Officer. I-25.

Notification of Selection.

A. Contract Negotiations. The Issuing Office will notify all Offerors in writing of the Offeror selected for contract negotiations after the Issuing Office has determined, taking into consideration all of the evaluation factors, the proposal that is the most advantageous to the Issuing Office. B. Award. Offerors whose proposals are not selected will be notified when contract negotiations have been successfully completed and the Issuing Office has received the final negotiated contract signed by the selected Offeror. I-26. Debriefing Conferences. Upon notification of award, Offerors whose proposals were not selected will be given the opportunity to be debriefed. The Issuing Office will schedule the debriefing at a mutually agreeable time. The debriefing will not compare the Offeror with other Offerors, other than the position of the Offeror‟s proposal in relation to all other Offeror proposals. An Offeror‟s exercise of the opportunity to be debriefed does not constitute nor toll the time for filing a protest (See Section I-28 of this RFP).

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I-27.

RFP Protest Procedure.

A. Who May File a Protest. An Offeror or Prospective Offeror which is aggrieved in connection with the RFP or award of the contract may file a protest. An Offeror is an entity which submits a proposal in response to an RFP. A Prospective Offeror is an entity which has not submitted a proposal in response to the RFP. No protest may be filed if the RFP is cancelled or if all proposals received in response to the RFP are rejected. B. Place for Filing. A protest must be filed with the Agency Head Designee at: Mr. John Clark Special Assistant to the Secretary of Administration Governor's Office of Administration 207 Finance Building Harrisburg, PA 17120 C. Time for Filing. 1. A Prospective Offeror which is considering filing a proposal must file the protest within seven (7) days after the Prospective Offeror knew or should have known of the facts giving rise to the protest, but in no event later than the proposal submission deadline specified in the RFP. 2. A protest filed by an Offeror which submits a proposal must be filed within seven (7) days after the protesting Offeror knew or should have known of the facts giving rise to the protest, but in no event may an Offeror file a protest later than seven (7) days after the date the notice of award of the contract is posted on the DGS website. 3. The date of filing the protest is the date the Agency Head Designee receives the protest. 4. For purposes of this RFP, to be timely, a protest must be received by 4:00 p.m. of the seventh day. 5. Commonwealth agencies are required by law to disregard any protest received beyond the deadlines established in this Section I-28. D. Contents of Protest. 1. A protest must be in writing. Hard copy in paper and electronic copy via email are acceptable. 2. A protest shall state all grounds upon which the protesting party asserts that the RFP or contract award was improper. 3. The protesting party may submit with the protest any documents or information it deems relevant. E.

Notice of Protest. 1. The Agency Head Designee will notify the successful Offeror of the protest if contractor selection has already been made. 10

2. If the Agency Head Designee receives the protest before selection, and he or she determines that substantial issues are raised by the protest, the Agency Head Designee will, in the sole discretion of the Agency Head Designee, notify all Offerors which appear to have a substantial and reasonable prospect of selection, as determined by the Agency Head, that a protest has been filed. F.

Stay of Procurement. 1. The Agency Head designee will promptly decide upon receipt of a timely protest whether or not the award of a contract shall be delayed, or if the protest is timely received after the award, whether the performance of the contract should be suspended. 2. The Issuing Office shall not proceed further with the RFP unless the Agency Head Designee makes a written determination that the protest is clearly without merit or that award of the contract without delay is necessary to protect the substantial interests of the Commonwealth.

G. Response and Reply. 1. Within 15 days of receipt of the protest, a response to the protest may be submitted to the Agency Head Designee. The protesting party must be copied on the response. 2. The protesting party may file a reply to the response within ten days of the date of the response. H. Procedures. 1. The Agency Head Designee shall review the protest and any response and reply. 2. The Agency Head Designee may request and review such additional documents or information he deems necessary to render a decision and may, at his sole discretion, conduct a hearing. 3. The Agency Head Designee shall provide to the protesting party and the contracting officer a reasonable opportunity to review and address any additional documents or information deemed necessary by the Agency Head Designee to render a decision. I.

Determination. The Agency Head Designee shall promptly, but in no event later than 60 days from the filing of the protest unless both parties agree to an extension, issue a written determination. The determination shall: 1. State the reason for the decision, and 2. If the determination is a denial of the protest, inform the protesting party of its right to file an action in the Commonwealth Court within fifteen (15) days of the determination mailing date. 3. The Agency Head Designee shall send a copy of the determination to the protesting party and any other person determined by the Agency Head Designee in his sole discretion to be affected by the determination.

I-28. Use of Electronic Versions of this RFP. This RFP is being made available by electronic means. If an Offeror electronically accepts the RFP, the Offeror acknowledges and accepts full 11

responsibility to insure that no changes are made to the RFP. In the event of a conflict between a version of the RFP in the Offeror‟s possession and the Issuing Office‟s version of the RFP, the Issuing Office‟s version shall govern. I-29.

Information Technology Bulletins.

This RFP is subject to the Information Technology Bulletins (ITB‟s) issued by the Office of Administration, Office for Information Technology (OA-OIT). ITB‟s may be found at http://www.portal.state.pa.us/portal/server.pt?open=512&objID=416&PageID=210791&mode=2 All proposals must be submitted on the basis that all ITBs are applicable to this procurement. It is the responsibility of the Offeror to read and be familiar with the ITBs. Notwithstanding the foregoing, if the Offeror believes that any ITB is not applicable to this procurement, it must list all such ITBs in its technical submittal, and explain why it believes the ITB is not applicable. The Issuing Office may, in its sole discretion, accept or reject any request that an ITB not be considered to be applicable to the procurement. The Offeror‟s failure to list an ITB will result in its waiving its right to do so later, unless the Issuing Office, in its sole discretion, determines that it would be in the best interest of the Commonwealth to waive the pertinent ITB. I-30. Participating Addendum with an External Procurement Activity. Section 1902 of the Commonwealth Procurement Code, 62 Pa.C.S. § 1902, permits external procurement activities to participate in cooperative purchasing agreements for the procurement of services, supplies or construction. A. Definitions. The following words and phrases have the meanings set forth in this provision: 1. External procurement activity: The term, as defined in 62 Pa. C. S. § 1901, means a “buying organization not located in the Commonwealth [of Pennsylvania] which if located in this Commonwealth would qualify as a public procurement unit [under 62 Pa. C.S. §1901]. An agency of the United States is an external procurement activity.” 2. Participating addendum: A bilateral agreement executed by the Selected Offeror and an external procurement activity that clarifies the operation of the Contract for the external procurement activity concerned. The terms and conditions in any participating addendum shall affect only the procurements of the purchasing entities under the jurisdiction of the external procurement activity signing the participating addendum. 3. Public procurement unit: The term, as defined in 62 Pa. C. S. § 1901, means a “local public procurement unit or purchasing agency.” 4. Purchasing agency: The term, as defined in 62 Pa. C. S. § 103, means a “Commonwealth agency authorized by this part or any other law to enter into contracts for itself or as the agent of another Commonwealth agency.” B. General. A participating addendum shall incorporate the terms and conditions of the Contract resulting from this RFP. The Selected Offeror shall not be required to enter into any participating addendum. C. Additional Terms. 12

1. A participating addendum may include additional terms that are required by the law governing the external procurement activity. 2. A participating addendum may include new, mutually agreed upon terms that clarify ordering procedures specific to a participating external procurement activity. 3. The construction and effect of any participating addendum shall be governed by and construed in accordance with the laws governing the external procurement activity. 4. If an additional term requested by the external procurement activity will result in an increased cost to the Selected Offeror, the Selected Offeror shall adjust its pricing up or down accordingly. D. Prices. 1. Price adjustment. For any costs affecting the percent markup that the Selected Offeror will or will not incur or that differ from costs incurred or not incurred in the fulfillment of this Contract, the Selected Offeror shall adjust its pricing up or down accordingly. These costs may include, but not be limited to: a. State and local taxes; b. Unemployment and workers compensation fees; c. E-commerce transaction fees; and d. Costs associated with additional terms, established pursuant to this Part I, Section I-32. 2. The Selected Offeror‟s pricing for an external procurement activity shall be firm and fixed for the duration of the initial term of the Contract. After the initial term of the Contract, if the Contract is renewed, the Selected Offeror‟s pricing may be adjusted up or down based on market conditions only with the mutual agreement of both the Selected Offeror and any external procurement activity. E.

Usage Reports on External Procurement Activities. The Selected Offeror shall furnish to the Contracting Officer an electronic quarterly usage report, preferably in spreadsheet format no later than the fifteenth calendar day of the succeeding calendar quarter. Reports shall be e-mailed to the Contracting Officer for the Contract. Each report shall indicate the name and address of the Selected Offeror, contract number, period covered by the report, the name of the external procurement activity that has used the Contract and the total volume of sales to the external procurement activity for the reporting period.

F.

Electronic Copy of Participating Addendum. The Selected Offeror, upon request of the Contracting Officer, shall submit one electronic copy of the participating addendum to the Contracting Officer within ten days after request.

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PART II PROPOSAL REQUIREMENTS Offerors must submit their proposals in the format, including heading descriptions, outlined below. To be considered, the proposal must respond to all requirements in this part of the RFP. Offerors should provide any other information thought to be relevant, but not applicable to the enumerated categories, as an appendix to the Proposal. All cost data relating to this proposal and all Small Diverse Business cost data should be kept separate from and not included in the Technical Submittal. Each Proposal shall consist of the following three separately sealed submittals: A. Technical Submittal, which shall be a response to RFP Part II, Sections II-1 throughII-8; B. Small Diverse Business participation submittal, in response to RFP Part II, Section II-9; and C. Cost Submittal, in response to RFP Part II, Section II-10. The Issuing Office reserves the right to request additional information which, in the Issuing Office‟s opinion, is necessary to assure that the Offeror‟s competence, number of qualified employees, business organization, and financial resources are adequate to perform according to the RFP. The Issuing Office may make investigations as deemed necessary to determine the ability of the Offeror to perform the Project, and the Offeror shall furnish to the Issuing Office all requested information and data. The Issuing Office reserves the right to reject any proposal if the evidence submitted by, or investigation of, such Offeror fails to satisfy the Issuing Office that such Offeror is properly qualified to carry out the obligations of the RFP and to complete the Project as specified. II-1. Statement of the Problem. State in succinct terms your understanding of the problem presented or the service required by this RFP. II-2. Management Summary. Include a narrative description of the proposed effort and a list of the items to be delivered or services to be provided. II-3. Work Plan. Describe in narrative form your technical plan for accomplishing the work. Use the Task descriptions and Reports and Project Controls in Part IV of this RFP as your reference point. Modifications of the task descriptions are permitted; however, reasons for changes should be fully explained. Provide a chart with the number of hours per person allocated to each task. Include a Program Evaluation and Review Technique (PERT) or similar type display, time related, showing each event. If more than one approach is apparent, comment on why you chose this approach. II-4. Prior Experience. Include experience in system development and deployment in the business area of Labor and Workforce Services affecting employers, providers and citizens highlighting public and internal staff functions and linkage to financial tracking and reports. Provide information on at least three (3) projects with emphasis on those that were similar to this project in size, scope, regency, duration, and complexity. Experience shown should be work done by individuals who will be assigned to this project as well as that of your company. Studies or projects referred to must be identified and the name of the customer shown, including the name, address, and telephone number of the responsible official of the customer, company, or 14

agency who may be contacted. Selected Offeror shall refer to Appendix G, Project References and must complete a separate form for each project referenced. II-5. Personnel. Include the number of executive and professional personnel, analysts, auditors, researchers, programmers, consultants, etc., who will be engaged in the work. The number should be a minimum of 22 Full-Time Employees (FTE) at 1920 hours per year. Show where these personnel will be physically located during the time they are engaged in the Project. For key personnel, include the employee‟s name and, through a resume or similar document using the format of Appendix H, Personnel Work Skills Resume Format, the Project personnel‟s education and experience in as it relates to this project. Indicate the responsibilities each individual will have in this Project and how long each has been with your company. The Selected Offeror shall refer to Appendix RR, Personnel Work Skills, which identifies required work skills for key personnel. For the purposes of this RFP Core Key Personnel are Project Manager, Mobile Application Developer, Quality Assurance/Implementation Manager (Testing/Training/Knowledge Transfer), Technical Manager, Application Manager, Application Development Track Lead, Infrastructure Administrator (Build & Deployment), Database Administrator, Web Methods/Interface SME, Data Mart/Warehouse SME (ETL/BI), Supplemental Key Personnel- are Batch/$ Universe SME, Business Objects Reports/Developer SME, Security SME. Appendix J, Personnel Work Skills Resume Format and Appendix K, Right to Represent Acknowledgement must be completed for each of the identified key personnel. Key personnel should be the actual (not representative) staff the Selected Offeror plans to dedicate to this project and must be currently employed by the Selected Offeror. Indicate the responsibilities each individual will have in this project and how long each has been with your company. Identify by name any subcontractors you intend to use and the services they will perform. The successful Offeror will be required during negotiations to certify their proposed team/key personnel. Any changes to the team will need to be identified up to and including negotiations. The Selected Offeror will be expected to deliver the certified team to the project without change (unless the employee leaves their organization or for other catastrophic related reasons). Resumes are not to include personal information that will, or will be likely to, require redaction prior to release of the proposal under the Right to Know Law. This includes home addresses and phone numbers, Social Security Numbers, Drivers‟ License numbers or numbers from state ID cards issued in lieu of a Drivers‟ License, financial account numbers, etc. If the Commonwealth requires any of this information for security verification or other purposes, the information will be requested separately and as necessary. II-6. Training. If appropriate, indicate recommended training of agency personnel. Include the agency personnel to be trained, the number to be trained, duration of the program, place of training, curricula, training materials to be used, number and frequency of sessions, and number and level of instructors. II-7. Financial Capability. Describe your company‟s financial stability and economic capability to perform the contract requirements. Provide your company‟s financial statements (audited, if available) for the past three fiscal years. Financial statements must include the company‟s Balance Sheet and Income Statement or Profit/Loss Statements. Also include a Dun & Bradstreet comprehensive report, if available. If your company is a publicly traded company, please provide a link to your financial records on your company website in lieu of providing hardcopies. The Commonwealth reserves the right to request additional information it deems necessary to evaluate an Offeror‟s financial capability. 15

II-8. Objections and Additions to Standard Contract Terms and Conditions. The Offeror will identify which, if any, of the terms and conditions (contained in Appendix A) it would like to negotiate and what additional terms and conditions the Offeror would like to add to the standard contract terms and conditions. The Offeror‟s failure to make a submission under this paragraph will result in its waiving its right to do so later, but the Issuing Office may consider late objections and requests for additions if to do so, in the Issuing Office‟s sole discretion, would be in the best interest of the Commonwealth. The Issuing Office may, in its sole discretion, accept or reject any requested changes to the standard contract terms and conditions. The Offeror shall not request changes to the other provisions of the RFP, nor shall the Offeror request to completely substitute its own terms and conditions for Appendix A. All terms and conditions must appear in one integrated contract. The Issuing Office will not accept references to the Offeror‟s, or any other, online guides or online terms and conditions contained in any proposal. Regardless of any objections set out in its proposal, the Offeror must submit its proposal, including the cost proposal, on the basis of the terms and conditions set out in Appendix A. The Issuing Office will reject any proposal that is conditioned on the negotiation of the terms and conditions set out in Appendix A or to other provisions of the RFP as specifically identified above. II-9.

Small Diverse Business Participation Submittal. A. To receive credit for being a Small Diverse Business or for subcontracting with a Small Diverse Business (including purchasing supplies and/or services through a purchase agreement), an Offeror must include proof of Small Diverse Business qualification in the Small Diverse Business participation submittal of the proposal, as indicated below: A Small Diverse Business verified by BSBO as a Small Diverse Business must provide a photocopy of their verification letter. B. In addition to the above verification letter, the Offeror must include in the Small Diverse Business participation submittal of the proposal the following information: 1. All Offerors must include a numerical percentage which represents the total percentage of the work (as a percentage of the total cost in the Cost Submittal) to be performed by the Offeror and not by subcontractors and suppliers. 2. All Offerors must include a numerical percentage which represents the total percentage of the total cost in the Cost Submittal that the Offeror commits to paying to Small Diverse Businesses (SDBs) as subcontractors. To support its total percentage SDB subcontractor commitment, Offeror must also include: a. The percentage and dollar amount of each subcontract commitment to a Small Diverse Business; b. The name of each Small Diverse Business. The Offeror will not receive credit for stating that after the contract is awarded it will find a Small Diverse Business. c. The services or supplies each Small Diverse Business will provide, including the timeframe for providing the services or supplies. d. The location where each Small Diverse Business will perform services. 16

e. The timeframe for each Small Diverse Business to provide or deliver the goods or services. f. A signed subcontract or letter of intent for each Small Diverse Business. The subcontract or letter of intent must identify the specific work, goods or services the Small Diverse Business will perform and how the work, goods or services relates to the project. g. The name, address and telephone number of the primary contact person for each Small Diverse Business. 3. The total percentages and each SDB subcontractor commitment will become contractual obligations once the contract is fully executed. 4. The name and telephone number of the Offeror‟s project (contact) person for the Small Diverse Business information. C. The Offeror is required to submit two copies of its Small Diverse Business participation submittal. The submittal shall be clearly identified as Small Diverse Business information and sealed in its own envelope, separate from the remainder of the proposal. D. A Small Diverse Business can be included as a subcontractor with as many prime contractors as it chooses in separate proposals. E.

An Offeror that qualifies as a Small Diverse Business and submits a proposal as a prime contractor is not prohibited from being included as a subcontractor in separate proposals submitted by other Offerors.

II-10. Cost Submittal. The information requested in this Part II, Section II-10 shall constitute the Cost Submittal. The Cost Submittal shall be placed in a separate sealed envelope within the sealed proposal, separated from the technical submittal. The total proposed cost shall be broken down into the following components listed on Appendix D. Please use the instructions contained in Appendix D for further information. Offerors should not include any assumptions in their cost submittals. If the Offeror includes assumptions in its cost submittal, the Issuing Office may reject the proposal. Offerors should direct in writing to the Issuing Office pursuant to Part I, Section I-9, of this RFP any questions about whether a cost or other component is included or applies. All Offerors will then have the benefit of the Issuing Office‟s written answer so that all proposals are submitted on the same basis. The Commonwealth reserves the right to negotiate costs with the selected Offeror prior to exercising any renewal options. The selected Offeror‟s pricing will remain fixed for at least the initial 36 months of the contract. Sixty (60) days prior to any renewal date, Commonwealth will meet with the selected Offeror to conduct a review of the rates and rate card based on market conditions. The Commonwealth shall increase pricing at each renewal opportunity by no more than the lesser of 5% or the percentage increase in the United States Consumer Price Index for all Urban Consumers (CPI), published by the United States Bureau of Labor Statistics, for the immediately preceding calendar year.

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The Issuing Office will reimburse the selected Offeror for work satisfactorily performed after execution of a written contract and the start of the contract term, in accordance with contract requirements, and only after the Issuing Office has issued a notice to proceed. II-11. Domestic Workforce Utilization Certification. Complete and sign the Domestic Workforce Utilization Certification contained in Appendix B of this RFP. Offerors who seek consideration for this criterion must submit in hardcopy the signed Domestic Workforce Utilization Certification Form in the same sealed envelope with the Technical Submittal. II-12. Lobbying Certification and Disclosure of Lobbying Activities. This Project will be funded, in whole or in part, with federal monies. Public Law 101-121, Section 319, prohibits federal funds from being expended by the recipient or by any lower tier sub-recipients of a federal contract, grant, loan, or a cooperative agreement to pay any person for influencing, or attempting to influence a federal agency or Congress in connection with the awarding of any federal contract, the making of any federal grant or loan, or entering into any cooperative agreement. All parties who submit proposals in response to this RFP must sign the “Lobbying Certification Form,” attached as Appendix F.

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PART III CRITERIA FOR SELECTION III-1. Mandatory Responsiveness Requirements. To be eligible for selection, a proposal must be: A. Timely received from an Offeror; B. Properly signed by the Offeror. III-2. Technical Nonconforming Proposals. The two (2) Mandatory Responsiveness Requirements set forth in Section III-1 above (A-B) are the only RFP requirements that the Commonwealth will consider to be non-waivable. The Issuing Office reserves the right, in its sole discretion, to (1) waive any other technical or immaterial nonconformities in an Offeror‟s proposal, (2) allow the Offeror to cure the nonconformity, or (3) consider the nonconformity in the scoring of the Offeror‟s proposal. III-3. Evaluation. The Issuing Office has selected a committee of qualified personnel to review and evaluate timely submitted proposals. Independent of the committee, BSBO will evaluate the Small Diverse Business participation submittal and provide the Issuing Office with a rating for this component of each proposal. The Issuing Office will notify in writing of its selection for negotiation the responsible Offeror whose proposal is determined to be the most advantageous to the Commonwealth as determined by the Issuing Office after taking into consideration all of the evaluation factors. III-4. Evaluation Criteria. The following criteria will be used in evaluating each proposal: A. Technical: The Issuing Office has established the weight for the Technical criterion for this RFP as 50% of the total points. Evaluation will be based upon the following: Work Plan Personnel Prior Experience Statement of Problem Management Summary B. The final Technical scores are determined by giving the maximum number of technical points available to the proposal with the highest raw technical score. The remaining proposals are rated by applying the Technical Scoring Formula set forth at the following webpage: http://www.portal.state.pa.us/portal/server.pt/community/rfp_scoring_formulas_overvie w/20124. C. Cost: The Issuing Office has established the weight for the Cost criterion for this RFP as 30% of the total points. The cost criterion is rated by giving the proposal with the lowest total cost the maximum number of Cost points available. The remaining proposals are rated by applying the Cost Formula set forth at the following webpage: http://www.portal.state.pa.us/portal/server.pt/community/rfp_scoring_formulas_overvie w/20124 19

D. Small Diverse Business Participation: BSBO has established the weight for the Small Diverse Business (SDB) participation criterion for this RFP as 20 % of the total points. Each SDB participation submittal will be rated for its approach to enhancing the utilization of SDBs in accordance with the below-listed priority ranking and subject to the following requirements: 1. A business submitting a proposal as a prime contractor must perform 60% of the total contract value to receive points for this criterion under any priority ranking. 2. To receive credit for an SDB subcontracting commitment, the SDB subcontractor must perform at least fifty percent (50%) of the work subcontracted to it. 3. A significant subcontracting commitment is a minimum of five percent (5%) of the total contract value. 4. A subcontracting commitment less than five percent (5%) of the total contract value is considered nominal and will receive reduced or no additional SDB points depending on the priority ranking. Priority Rank 1: Proposals submitted by SDBs as prime offerors will receive 150 points. In addition, SDB prime offerors that have significant subcontracting commitments to additional SDBs may receive up to an additional 50 points (200 points total available). Subcontracting commitments to additional SDBs are evaluated based on the proposal offering the highest total percentage SDB subcontracting commitment. All other Offerors will be scored in proportion to the highest total percentage SDB subcontracting commitment within this ranking. See formula below. Priority Rank 2: Proposals submitted by SDBs as prime contractors, with no or nominal subcontracting commitments to additional SDBs, will receive 150 points. Priority Rank 3: Proposals submitted by non-small diverse businesses as prime contractors, with significant subcontracting commitments to SDBs, will receive up to 100 points. Proposals submitted with nominal subcontracting commitments to SDBs will receive points equal to the percentage level of their total SDB subcontracting commitment. SDB subcontracting commitments are evaluated based on the proposal offering the highest total percentage SDB subcontracting commitment. All other Offerors will be scored in proportion to the highest total percentage SDB subcontracting commitment within this ranking. See formula below. Priority Rank 4: Proposals by non-small diverse businesses as prime contractors with no SDB subcontracting commitments shall receive no points under this criterion. To the extent that there are multiple SDB Participation submittals in Priority Rank 1 and/or Priority Rank 3 that offer significant subcontracting commitments to SDBs, the proposal offering the highest total percentage SDB subcontracting commitment shall receive the highest score (or additional points) available in that Priority Rank category and the other proposal(s) in that category shall be scored in proportion to the highest total percentage SDB subcontracting commitment. Proportional scoring is determined by applying the following formula: 20

SDB % Being Scored x Points/Additional = Awarded/Additional Highest % SDB Commitment Points Available* SDB Points Priority Rank 1 = 50 Additional Points Available Priority Rank 3 = 100 Total Points Available Please refer to the following webpage for an illustrative chart which shows SDB scoring based on a hypothetical situation in which the Commonwealth receives proposals for each Priority Rank: http://www.portal.state.pa.us/portal/server.pt/community/rfp_scoring_formulas_overview /20124 E.

Domestic Workforce Utilization: Any points received for the Domestic Workforce Utilization criterion are bonus points in addition to the total points for this RFP. The maximum amount of bonus points available for this criterion is 3% of the total points for this RFP. To the extent permitted by the laws and treaties of the United States, each proposal will be scored for its commitment to use domestic workforce in the fulfillment of the contract. Maximum consideration will be given to those Offerors who will perform the contracted direct labor exclusively within the geographical boundaries of the United States or within the geographical boundaries of a country that is a party to the World Trade Organization Government Procurement Agreement. Those who propose to perform a portion of the direct labor outside of the United States and not within the geographical boundaries of a party to the World Trade Organization Government Procurement Agreement will receive a correspondingly smaller score for this criterion. See the following webpage for the Domestic Workforce Utilization Formula: http://www.portal.state.pa.us/portal/server.pt/community/rfp_scoring_formulas_overvie w/20124. Offerors who seek consideration for this criterion must submit in hardcopy the signed Domestic Workforce Utilization Certification Form in the same sealed envelope with the Technical Submittal. The certification will be included as a contractual obligation when the contract is executed.

III-5. Offeror Responsibility. To be responsible, an Offeror must submit a responsive proposal and possess the capability to fully perform the contract requirements in all respects and the integrity and reliability to assure good faith performance of the contract. In order for an Offeror to be considered responsible for this RFP and therefore eligible for selection for best and final offers or selection for contract negotiations: A. The total score for the technical submittal of the Offeror‟s proposal must be greater than or equal to 70% of the available technical points; and B. The Offeror‟s financial information must demonstrate that the Offeror possesses the financial capability to assure good faith performance of the contract. The Issuing Office will review the Offeror‟s previous three financial statements, any additional information received from the Offeror, and any other publicly-available financial information concerning the Offeror, and assess each Offeror‟s financial capacity based on calculating and analyzing various financial ratios, and comparison with industry standards and trends. 21

An Offeror which fails to demonstrate sufficient financial capability to assure good faith performance of the contract as specified herein may be considered by the Issuing Office, in its sole discretion, for Best and Final Offers or contract negotiation contingent upon such Offeror providing contract performance security, in a form acceptable to the Issuing Office, for twenty percent (20%) of the proposed value of the base term of the contract. Based on the financial condition of the Offeror, the Issuing Office may require a certified or bank (cashier‟s) check, letter of credit, or a performance bond conditioned upon the faithful performance of the contract by the Offeror. The required performance security must be issued or executed by a bank or surety company authorized to do business in the Commonwealth. The cost of the required performance security will be the sole responsibility of the Offeror and cannot increase the Offeror‟s cost proposal or the contract cost to the Commonwealth. Further, the Issuing Office will award a contract only to an Offeror determined to be responsible in accordance with the most current version of Commonwealth Management Directive 215.9, Contractor Responsibility Program. III-6. Final Ranking and Award. A. After any best and final offer process conducted, the Issuing Office will combine the evaluation committee‟s final technical scores, BSBO‟s final small diverse business participation scores, the final cost scores, and (when applicable) the domestic workforce utilization scores, in accordance with the relative weights assigned to these areas as set forth in this Part. B. The Issuing Office will rank responsible offerors according to the total overall score assigned to each, in descending order. C. The Issuing Office must select for contract negotiations the offeror with the highest overall score; PROVIDED, HOWEVER, THAT AN AWARD WILL NOT BE MADE TO AN OFFEROR WHOSE PROPOSAL RECEIVED THE LOWEST TECHNICAL SCORE AND HAD THE LOWEST COST SCORE OF THE RESPONSIVE PROPOSALS RECEIVED FROM RESPONSIBLE OFFERORS. IN THE EVENT SUCH A PROPOSAL ACHIEVES THE HIGHEST OVERALL SCORE, IT SHALL BE ELIMINATED FROM CONSIDERATION AND AWARD SHALL BE MADE TO THE OFFEROR WITH THE NEXT HIGHEST OVERALL SCORE. D. The Issuing Office has the discretion to reject all proposals or cancel the request for proposals, at any time prior to the time a contract is fully executed, when it is in the best interests of the Commonwealth. The reasons for the rejection or cancellation shall be made part of the contract file.

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PART IV WORK STATEMENT IV-1. Objectives. A. General. 1. L&I seeks to procure the services of a qualified contractor for development of application enhancements, refinements and new features for the existing core Commonwealth Workforce Development System (CWDS) solution, maintenance and support for day-to-day operations, and completion of complex upgrades to support the technical solution . B. Specific. 1. L&I intends to secure cost effective services that allow for timeliness and flexibility with regard to new development in order to adapt to changing business rules, new standards, and mandates. 2. L&I intends to secure services to ensure a consistent effort and continuity in staffing. 3. L&I intends to provide customers with a CWDS solution that continues to offer efficiency, effectiveness, and quality via business process improvements. IV-2. Nature and Scope of the Project. The CWDS was originally developed and implemented to support the business of Pennsylvania‟s workforce development program for L&I, its business partners and public consumers of workforce programs. Currently, there are four specific Workforce Partnering Agencies (WPAs) supported by the CWDS: L&I‟s Bureau of Workforce Development Partnership (BWDP), L&I‟s Office of Vocational Rehabilitation (OVR), L&I‟s Center for Workforce Information and Analysis (CWIA), and the Department of Public Welfare‟s (DPW) Bureau of Program Support (BPS) formerly the Bureau of Employment and Training Programs (BETP). Reference Appendix MM, CWDS Business Context Overview, for more specific information on CWDS solution, purpose and CWDS business partners. Reference Appendix S, CWDS Statement of Work, for a description of current contracted services. The scope of this project includes the following: A. The Selected Offeror will provide for the transition of services from the current contractor. B. The Selected Offeror will provide services that support a flexible methodology for planning, development and implementation of functional releases on a regular recurring basis (six releases per year) to enhance the existing CWDS application in order to support current and new workforce initiatives. The work may include providing options for business process re-engineering, as well as project management, release planning, development and implementation. C. The Selected Offeror will provide technical services related to release implementation and ongoing support of CWDS. This may include options for hardware requirement support and upgrades, software version changes or upgrades, new software products, 23

application failure, programming, and configuration. Note: All hardware and software is owned or licensed by the Commonwealth and resides on Commonwealth property. Actual hardware upgrades are completed by the L&I Office of Information Technology (OIT) team. D. The Selected Offeror will provide support services for the maintenance of relational, transactional, reporting, and data warehouse databases including maintenance, user administration, accessibility of all data, and any conversion and migration plans. E.

CWDS Project Staff, L&I OIT staff and contracted staff will work collaboratively on development and maintenance work throughout the life of the contract.

F.

The Selected Offeror will provide training for L&I OIT staff and business area trainers.

G. The Selected Offeror will provide knowledge transfer and mentoring to L&I OIT staff throughout the life of the contract. H. The Selected Offeror shall perform quality assurance processes to ensure that the system continues to meet the performance criteria (Service Level Agreements) and that the solution is in accordance with industry-accepted practices, Commonwealth standards and project requirements and recommendations. I.

The Selected Offeror shall conduct periodic configuration/customization/code reviews to assess the architecture and programming that has been developed and to identify options for performance improvements. The Offeror shall implement any improvements that are approved by the Commonwealth.

Out of Scope: The Commonwealth is responsible for printing of materials for training end users. IV-3. Requirements. A. The Selected Offeror shall provide development services to implement enhancements and maintenance via an iterative release process throughout the life of the contract. B. The Selected Offeror is responsible for all activities as defined in this RFP leading up to the release date to ensure that the release takes place as scheduled. C. The Selected Offeror shall provide maintenance services, including software upgrades and options for hardware requirement support and upgrades, in support of the existing CWDS infrastructure/solution per the requirements and tasks as described in this RFP. D. The Selected Offeror shall maintain consistently available staff and meet all staffing requirements as described in Part II-5, Personnel. E. The Selected Offeror shall comply with all L&I technical requirements throughout the life of the contract. Reference Appendix R, CWDS Technical Requirements. F. The Selected Offeror shall adhere to the System Administration Guidelines for Non Commonwealth Employees Consultants C-340-1. Reference Appendix QQ. G. The Selected Offeror shall provide project management services throughout the life of the contract. Using L&I project management methodology and the existing CWDS project management plans, the Offeror shall create and/or maintain documentation and manage all processes including, at a minimum, work plan, project communications, 24

risks, issues, change control, documentation, and project control as described in Section IV-5, Reports and Project Controls. H. The Selected Offeror shall submit all work products to the L&I CWDS Project Manager for review and approval. I. The Selected Offeror shall prepare and submit a monthly status report by the 10th of each month. This report will be the sole paid deliverable (payment point) for all tasks and work products required per this contract. J. The Offeror must adhere to ITIL v3 foundations standards in managing the data, application and service management functions. Within their proposal response, Offerors shall describe how ITIL v3 principles will be leveraged with a special emphasis on Incident Management, Problem Management and Continual Service Improvement. K. Emergency Preparedness. To support continuity of operations during an emergency, including a pandemic, the Commonwealth needs a strategy for maintaining operations for an extended period of time. One part of this strategy is to ensure that essential contracts that provide critical business services to the Commonwealth have planned for such an emergency and put contingencies in place to provide needed goods and services. 1. Describe how you anticipate such a crisis will impact your operations. 2. Describe your emergency response continuity of operations plan. Please attach a copy of your plan, or at a minimum, summarize how your plan addresses the following aspects of pandemic preparedness: a. Employee training (describe your organization‟s training plan, and how frequently your plan will be shared with employees) b. Identified essential business functions and key employees (within your organization) necessary to carry them out c. Contingency plans for: i. How your organization will handle staffing issues when a portion of key employees are incapacitated due to illness. ii. How employees in your organization will carry out the essential functions if contagion control measures prevent them from coming to the primary workplace. d. How your organization will communicate with staff and suppliers when primary communications systems are overloaded or otherwise fail, including key contacts, chain of communications (including suppliers), etc. e. How and when your emergency plan will be tested, and if the plan will be tested by a third-party. IV-4. Tasks. The Selected Offeror shall be responsible for assuming and providing services for the CWDS for the life of the contract via four major task areas as described below. These task areas are Initiation and Transition, Release Management, Maintenance and Support, and Turnover and Contract Closeout. See Appendix MM, CWDS Business Context Overview 25

Attachment: Roles and Responsibilities, for further clarification on the Selected Offeror‟s responsibilities with regard to tasks. Note: The Selected Offeror shall prepare and submit a monthly status report by the 10th of each month. This report will be the sole paid deliverable (payment point) for all tasks and work products required per this contract. A. Initiation and Transition 1. Upon notification of Project Start, the Selected Offeror shall have a period of no greater than 6 months to conduct project initiation and to ensure a complete transition of CWDS support from the incumbent contractor by June 30, 2014. Transition shall be transparent to CWDS customers with regard to CWDS solution functionality. During this phase, the Selected Offeror shall work cooperatively with the Incumbent Contractor and Commonwealth CWDS project staff to understand existing structures and processes and to prepare and successfully execute the transition plan. The Selected Offeror shall consider the incumbent‟s Turnover Plan (Reference Appendix S, CWDS Statement of Work) when preparing its transition plan tasks and activities. Transition activities shall include validation of the proposed approach to managing this project, review of existing materials on CWDS programs and systems, review of work completed by other service providers, review of the governance structure, establishment of a framework for moving the Project forward, and physically moving staff into the facility provided by the Selected Offeror as required by this RFP. The framework to be established must include a project charter and a detailed work plan. As part of the transition, the Commonwealth will determine what, if any, changes will be made to the existing CWDS project plans (e.g. Communication, Risk Management, Issue Management, Change Control Management), based on recommendations provided by the Selected Offeror in its proposal. Reference Appendix P, L&I OIT Project Management Documents. Plan updates to reflect approved modifications shall be the responsibility of the Selected Offeror per Section IV-5, Reports and Project Controls. The project management documentation agreed upon during project initiation/transition shall be used throughout the life of the contract and may be revisited for accuracy/relevancy if warranted. Currently, L&I has three CWDS releases scheduled to occur during the six month transition phase. The Incumbent Contractor shall be responsible for the planning and execution of the February 2014 release. The Selected Offeror shall observe the activities for the February 2014 release, and participate in the planning and execution of the April 2014 release. The Selected Offeror shall be responsible for planning and execution of the June 2014 release with minimal support from the Incumbent Contractor. 2. Initiation and Transition Work Products include: a. Transition Plan – The Selected Offeror shall create and execute a plan for transition of CWDS services that coordinates with the Incumbent Contractor‟s turnover plan. At a minimum, include all activities as described above as well as staffing and hours expected with regard to participation in transition activities. Reference Task 6 - Service Turnover, in Appendix S, CWDS 26

Statement of Work, for information on turnover activities that the Incumbent will provide, as necessary, in response to the Selected Offeror‟s transition plan. B. Release Management Six times per contract year, (except the first year, during which the incumbent will be responsible for two of the releases) the Selected Offeror shall plan and execute a release to enhance and/or sustain the existing CWDS solution. Release efforts may occur in an overlapping manner, with one release implementation scheduled every two months. This schedule may be subject to an exception if, due to the nature of the release requirements, it is deemed necessary to have an extended release period (e.g. 4 months instead of 2 months duration). Each individual release is considered a project and includes project management, release planning, development and implementation. Project management services for release efforts are described in Part IV-5, Reports and Project Controls. Reference Appendix O, Sample Release, for a listing of requirements that is representative of a typical release. Note: all Offerors shall include their approach to the sample release requirements as part of their technical response to this RFP. 1. Release Planning a. At the start of each planned release, the Commonwealth CWDS Team, in collaboration with the Selected Offeror, will define and prioritize the list of work items to be included in the upcoming release. Work items may include, at a minimum, items that support (new) enhancements, regular maintenance requested via incident management, software upgrades and/or options for/hardware requirement support and upgrades. Descriptions of the various types of maintenance and the support areas that may be included in the releases are provided below. The Commonwealth CWDS Team will provide to the Selected Offeror the initial listing of work items along with the anticipated complexity level for each work item. The Selected Offeror shall conduct an impact analysis to determine the actual complexity of each work item. Complexity levels are described as the following: i. Very high – a work item classified as having very high complexity will require the highest level of technical analysis and development of software that includes the evaluation of hardware and other challenges to recommend, design, develop and implement new or revised system solutions. ii. High – a work item classified as having high complexity will require an elevated level of technical analysis and development of software that includes the evaluation of hardware and other challenges to recommend, design, develop and implement new or revised system solutions. iii. Medium – a work item classified as having medium complexity will require an intermediate level of technical analysis and development of software and other challenges to recommend, design, develop and implement new or revised system solutions. 27

iv. Low – a work item classified as having low complexity will require the minimal level of technical analysis and development of software to design, develop and implement new or revised system solutions. Upon completion of work item analysis, the Selected Offeror will facilitate a session(s) with the CWDS Project Team to discuss and finalize the scope of the release as well as the tasks, work products, deliverables, and milestones (based, at a minimum, on requirements of this RFP) to implement the release. b. Work products associated with Release Planning include: i. Work Items and Scope of Release Document – Upon completion of release planning activities, The Selected Offeror shall create a document that defines the work items, scope, and features of the release effort. At a minimum, the document shall include: a) Approach for the release b) A detailed work plan that includes the tasks, deliverables, work products and milestones associated with the scope of work for the planned functional release; include a Gantt chart. This work plan must include, but is not limited to: i.

Business Process Re-engineering (BPR) - Although BPR could be included in every release, the level of detail is determined by the complexity of the requirements.

ii.

Validation of the business requirements, including detailed requirements gathering (JAD)

iii.

General System Design – General system design is included in every release, however, the level of detail is determined by the complexity of the requirements. General system design includes integration of L&I Shared Services.

iv.

Detailed System Design – Detailed system design is included in every release, however, the level of detail is determined by the complexity of the requirements.

v.

System Development – specific to requirements for the release based on the agreed upon design; include data conversion tasks, if applicable; documentation of system changes

vi.

Testing including User Acceptance Testing (UAT performed by Commonwealth Project Staff, but Offeror would be responsible for any defect resolution identified.)

vii.

Training – specific to type and extent of training to be provided, if applicable

viii.

Implementation and support specific to the release 28

c) Identification of enhancements to include, at a minimum, a list containing each feature and a brief description of the feature and the WPA and CWDS tracks impacted d) Maintenance changes to existing features to include a list containing each feature and a brief description of the feature and the WPA and CWDS tracks impacted e) New or updated staff resources and responsibilities (both Selected Offeror resources and L&I staff) along with an organization structure f) A roles and responsibilities matrix listing each high-level activity role and responsible entity (Commonwealth or Selected Offeror) g) Implementation rollout plan to include highlighting how the work defined in the Requirements and Scope of Release will be implemented. Specifically, it must outline the sequence of events and internal and external dependencies. The rollout plan must also align with the Detailed Project Work plan. h) Assumptions and constraints that would impact the release. Once agreed to by the CWDS Project Management Team, the Requirements and Scope of Release document, with work products and milestones, will serve as the baseline against which changes to the project that impact scope and timeline will be measured. The Selected Offeror‟s detailed work plan must be incorporated into the Selected Offeror's Project Work Plan for managing the functional release. Following the detailed system design for the functional release, any changes to the baseline Highlevel Work Plan must be approved by the CWDS Project Management Team to establish a new baseline for the functional release. 2. Release Development and Implementation Upon Commonwealth approval of Release Planning work products, the Selected Offeror shall manage the development and implementation of the release. The Selected Offeror shall complete the following tasks and work products. The degree of detail is determined by the complexity of the requirements. a. Business Process Re-engineering (BPR) i. The Selected Offeror shall consider all new release requirements (particularly those labeled high complexity) in relation to current processes to determine what, if any, opportunities may exist for business process re-engineering. This will be accomplished via the Selected Offeror‟s performance of a gap analysis. The Selected Offeror shall conduct an “As Is” Assessment that identifies or validates the processes, sub-processes, activities and steps associated with each WPA via existing documentation and/or discussion with L&I project staff. A “To be” Assessment shall then be conducted that 29

includes the identification of a common “To-Be” state that reflects all agency needs per the requirements listing. The Selected Offeror shall then conduct a gap analysis to identify areas where the addition of the new requirements might lend themselves to opportunities for business and systems process reengineering. ii. Work products associated with Business Process Re-engineering include: a) Assessment and Recommendations for Business Process Reengineering the Selected Offeror shall document the to-be state, prioritize requirements, and identify areas that could benefit from business process reengineering. The BPR Assessment and Recommendations must, at a minimum: b) Describe the process vision in the new process redesign and benefits of the recommended solution and potential cost savings c) Detail the infrastructure requirements d) Describe the changes to the organizational structure, job skills, information technology and the impact on performance measures. e) Identify barriers for implementing change f) Describe transition strategies CWDS Business Area Staff will take ownership of developing new policies and procedures as a result of business process changes. However, L&I will call on the Selected Offeror for support in this process in varying degrees such as helping identify what policies and procedures will need to change and how business decisions will impact the system. L&I‟s Bureau of Human Resources will have responsibility for any labormanagement relations issues and for compliance with existing labor agreements. b. Pre-Development Tasks (Design) i. Prior to development, the Selected Offeror will conduct the following sub-tasks. a) Detailed Requirements Gathering – Using the work items listing and the Commonwealth approved recommendations for business process re-engineering, the Selected Offeror shall conduct joint application design (JAD) sessions with identified Commonwealth project team/subject matter experts to ensure a full understanding of each work item and gather detailed requirements for each work item. The Selected Offeror shall be responsible for scheduling JAD sessions and creating/sending invitations to attendees, creating JAD session agendas, 30

documenting JAD minutes including, at a minimum, all detailed requirements, decisions and parking lot items. b) General Systems Design (GSD) - The Selected Offeror shall develop a general system design that encompasses all agreed upon requirements and all business process recommendations that were approved at completion of the BPR task. The GSD shall include several innovative and appealing user interface design options, consistent with the current CWDS user interface, which meet all accessibility requirements. The CWDS Project Management Team will need to select and approve the user interface design prior to starting development. c) Detailed System Design (DSD) – Based on the approved General System Design document, the Selected Offeror shall develop a detailed design that includes the following elements: application design, an integrated data model with data definitions, detailed technical specifications, technical architecture, platforms, business logic diagrams, screen flow, screen mockups, detailed business roles, reference tables, and report designs, (depending on the release requirements.) ii. Work products associated with the Pre-Development Tasks include: a) Pre-Development Documentation – The Selected Offeror shall develop documentation that identifies the Detailed Requirements, the GSD, and DSD. The Detailed Requirements shall include all requirements in the original listing as well as additional details agreed upon during JAD and documented within the approved meeting minutes. The General and Detailed System Designs shall include a level of detail that is consistent with the complexity of the requirements. The Selected Offeror shall include an interface strategy demonstrating how system changes will interact with existing applications. The designs shall also include how the application will interface with systems outside of CWDS (where applicable). b) Updated Use Case Document – the Selected Offeror shall create or update existing use cases (in CWDS‟ existing Use Case Document) for each requirement in the listing using the Rational ReqPro tool. c. Data Conversion i. If data conversion is a requirement within the release, the Selected Offeror shall be responsible for leading the conversion task. Activities shall include, at a minimum, planning, data mapping, and iterative testing (including testing that will facilitate data clean up). The Selected Offeror shall review/discuss with Commonwealth CWDS 31

project staff the testing results and outstanding issues as they refine and finalize the conversion process to achieve successful results. Final migration into the production environment at the time of release implementation is also included in this task. L&I CWDS Technical Staff will assist with the writing of any data extracts that need to be pulled from existing applications. The Commonwealth will assist the Offeror with interpreting data that is not directly available for extraction from existing/legacy data stores, but is required in the CWDS application database. The extracts will be provided in a format requested by the Selected Offeror. The Selected Offeror is responsible for writing all data transformation and load programs required to migrate the extracted legacy data to the CWDS database. Note: The Commonwealth anticipates providing program staff to perform manual clean up prior to final data conversion. ii. Work products associated with Data Conversion include: a) Data Conversion Plan – After preliminary planning discussion(s) with the project personnel, the Selected Offeror will develop a data conversion plan that at a minimum, describes tasks, owners, and durations. b) Data Mapping Document – After necessary discussions with project personnel, the Selected Offeror shall create and provide finalized data mapping documentation. d. Development i. The Offeror shall plan for and develop the solution based upon the approved pre-development documentation. Throughout the development task, the Selected Offeror shall adhere to all L&I development standards and requirements as described in Appendices R, CWDS Technical Requirements. ii. Work products associated with the Development task include: a) Development Plan – Dependent on the solution proposed by the Selected Offeror, this plan must include components that are applicable to the associated release and may include plans for the following: i)

Development of all associated modules

ii) Customization of any components that require off-theshelf software for integration iii) Customization of any existing system components and an impact analysis of the proposed changes iv) Data capture interfaces to pull and store images and index data v) Database development 32

vi) Data conversion logic and extracts vii) Interface logic and extracts viii) Quality Assurance (per CWDS Developer‟s Checklist) e. Testing i. The Selected Offeror shall plan for and complete various types of testing to verify that all requirements and design specifications have been successfully met. The Selected Offeror shall provide a comprehensive test plan that details the technical processes that will be used to set up and execute testing procedures. The Selected Offeror shall also be responsible for developing test case scenarios and writing automated test scripts that will be reviewed, validated, and approved by the CWDS Project Management Team. At a minimum, the Selected Offeror shall plan and execute all testing as described below, with the exception of Accessibility Testing and User Acceptance Test (UAT). The Selected Offeror shall be responsible to assist the Commonwealth with Accessibility and UAT as noted.

Type of Testing

Description

Unit Testing

Unit testing tests and reviews the basic building blocks of the system such as a screens or programs to ensure that they have been built as per specifications. It focuses on removing any defects prior to component integration testing. This includes a code review for best practices and input/output testing. It will be conducted in an informal manner and is used to make sure that transactions and business processes are working according to their design specifications.

Component Component integration testing looks at how the transactions and business Integration Testing processes work together. This type of testing also insures that data exchanges and inter-process synchronization works properly. Also, component integration testing verifies that exception-processing logic is complete and correct. For example, it ensures that an error returned from a stored procedure call is correct and completely handled so there is no possibility of the system behaving in an unpredictable fashion. The scope of component integration testing includes all aspects of the current functional release of high-level services. Lastly, component integration testing is intended to ensure that the current functional release functions properly after it is connected with the existing system and previous functional releases.

33

Type of Testing

Description

Accessibility Testing

Accessibility testing includes ensuring that the system continues to allow navigation, control and interpretation by a screen reader; continues to provide output that is accessible via a refreshable Braille display and continues to support keyboard emulation or device independence for data input. The Commonwealth is responsible for Accessibility Testing.

Systems Systems Integration Testing is testing the system as a whole to ensure Integration Testing compliance with the requirements specifications. This includes verifying that the inputs into the system produce the desired responses and outputs; continual retesting (regression testing) to ensure that changes to any one component do not adversely affect the functionality of the system, and that all expected results continue to be met. Systems integration testing, regression testing, and quality assurance testing must be performed for each release and for all bug fix maintenance. Stress/Load Testing

Stress/Load testing includes conducting performance tests on the system by identifying peak usage within units of work and system components to peak capacity. The process also includes strategies for monitoring and resolving performance issues. Note: Execution of these tests is performed by Commonwealth CWDS project staff.

Security Testing

Security Testing tests the system to ensure that all defined role-based user profiles have access to data and processes and perform functionality as per specifications. Note: The Selected Offeror shall collaborate with Commonwealth CWDS project staff on execution of Security Testing.

User Acceptance User Acceptance Testing is the final test phase, conducted by the Testing customer once the Selected Offeror has successfully tested the solution as noted above. User Acceptance Testing ensures that the current functional release is meeting all of the agreed upon requirements. The Commonwealth is responsible for planning and execution of User Acceptance Testing. The Offeror shall assist with UAT by ensuring the testers are familiarized with system changes prior to UAT start and participating in the defect resolution process. ii. Work products associated with Testing include: a) Comprehensive Test Plan – the Selected Offeror shall develop a comprehensive test plan that describes the approach to all phases of testing outlined above. The approach shall consider L&I standards for testing tools. Include roles and responsibilities, including those of Commonwealth CWDS project staff. At a minimum, the testing plan/approach must include: 34

i)

ii) iii)

iv)

v)

vi)

Identifying the testing strategy for all of types of testing. It must outline how test scripts will be developed, who will be involved in testing, what data will be captured within each test script, and what mechanism will be used to log and resolve test defects/results. The code promotion control points that will be used for testing A mechanism to log all test cases, results and issue resolution (Currently this is done in HP Quality Center which must be compatible with any new or proposed Offeror solution.) Acceptance criteria for allowing a problem or other project work product to be moved from each testing stage to the next Methodology for managing how the Selected Offeror will do testing. This task must verify that the release does not have design and coding errors and omissions and passes all test case scenarios. The Selected Offeror must propose an acceptable error handling plan based on industry standards, industry averages, and best practices for CWDS Project Management Team approval, with the understanding unit testing shall conclude only when an error rate of zero has been achieved. All business requirements identified as critical to the business process must be operational without errors prior to moving to production. The stress/load test results must demonstrate that the system will support the required number of concurrent users. Weekly meeting with Commonwealth‟s CWDS Lead Analyst to discuss testing status (for all testing types) as well as inclusion of testing information/statistics within the weekly project status report. (Exception: Commonwealth CWDS project staff will provide UAT statistics to the Selected Offeror for inclusion in weekly status reports). Include at a minimum:   

vii)

Testing Scenario Run Results Testing Inputs and Run Results Testing Reports – Errors, omissions, and potential points of failure description

Testing Phase Results Acceptance – submission of the test results to the CWDS Project Team for review, concurrence that testing was conducted in accordance with the plan and acceptance of the test results. Additionally, the plan should call out specifics for the various types of testing as noted below. 35

 Component Integration Testing Within the plan, the Selected Offeror shall define in detail how the different parts of the system will be tested with special attention to verify that the application is technically working across all the service layers. This includes documenting how cyclical testing will be performed as well as interactive testing to prove out the system. In addition, this includes defining in detail how the system will be tested along with its feeds to legacy and other systems and technologies. Component integration testing must include testing all components contained across modules of the application. This includes regression/QA testing to ensure that newly-modified code still complies with the specified requirements and that unmodified code has not been affected by the maintenance activities. The Selected Offeror shall document results (in the testing tool) associated with integration testing as well as resolution of any issues.  Systems Integration Testing Within the plan, the Selected Offeror must define in detail how the end-to-end system test will ensure that changes to any one or more modules does not adversely affect the expected functionality of the entire system. The Selected Offeror must describe in detail how regression and quality assurance testing will ensure that newly modified code still complies with the specified requirements and that unmodified code has not been affected by the maintenance activities. Systems Integration Testing must include verifying that the inputs into the system produce the desired responses and outputs; continual retesting (regression testing) to ensures that changes to any one component does not adversely affect the functionality of the system and that all expected results continue to be met. Systems integration testing, regression testing and quality assurance testing must be performed for each functional release and for all bug fix maintenance The Selected Offeror must document test results (in the testing tool) associated with system integration testing as well as resolution of any issues. The plan should also include collaboration with Commonwealth CWDS Project Team members with regard to discussion of test results and when appropriate, resolution of defects, 

Stress/Load Testing 36

Within the plan, the Selected Offeror must define in detail how stress and load testing using HP Load Runner software will be used to identify peak usage within units of work and stressing the system to peak capacity. The process must also include strategies for monitoring and resolving performance issues. The Selected Offeror will be responsible for modifications to the application, databases, or other application components in order to meet acceptable performance levels defined as all transactions have three (3) seconds or less internal processing time. Internal processing time is defined as receipt of data request, internal processing and completion of processing on the client. Ninety-five (95) percent of all transactions must have a sub-second internal processing time. The remaining five (5) percent of transactions must have no more than three (3) second maximum internal processing time. Stress/Load Testing Results – Stress testing must include identifying peak usage within units of work and maximizing load on the system within each unit of work. The Selected Offeror shall document results associated with stress testing (in the testing tool) as well as resolve any issues. 

Security Testing

Within the plan, the Selected Offeror, with input from the CWDS Project Team, shall define in detail how security testing will ensure that the roles-based security is working properly and that the system will be protected from malicious attacks and security vulnerabilities. This shall also include testing key safeguards, ensuring that auditing is occurring and performing „Ethical Hacking‟ of customer and user interfaces. The security test plan must ensure that the system meets the I Series of OA/OIT ITBs. Security testing must include testing the system to make sure role-based security is working properly. Refer to ITBSEC005 – Commonwealth Application Certification and Accreditation for more information. The Selected Offeror must document results associated with security testing (in the testing tool) as well as provide resolution of any issues. b) Test Scripts The Selected Offeror shall develop test scripts for all types of testing (with the exception of UAT) that reflect all requirements in the approved Detailed Requirements Document. These initial scripts must be detailed and must be developed in conjunction with the development of the 37

application so that the scripts are finalized by the time development is complete. Test scripts shall be finalized during the SIT testing. At a minimum, test scripts shall include the test scenario, associated requirement(s), and expected results. f. Training i. Based on the complexity of the content of the release, the Selected Offeror shall propose development of training materials and executing a strategy for training. The Selected Offeror shall use L&I standard training development tools or standards-based materials to develop and manage training materials and job aids for the project. L&I will provide the software and access to a repository for development and management of the training materials. The Selected Offeror shall use software that will produce training materials so that the presentations can be stored and executed using the Commonwealth‟s standard delivery system. ii. Work products associated with Training may include: a) Training Plan - The Selected Offeror shall provide an updated training plan if this plan was not sufficiently outlined during Release Planning. b) Training Sessions – The Selected Offeror shall conduct training sessions on-site if complexity of the release warrants and if approved by the CWDS Project Team Manager. Training sessions shall be recorded. c) Training Materials – The Selected Offeror shall develop training materials per the approved training plan. g. Implementation i. Upon User Acceptance Test Signoff, the Selected Offeror shall be responsible for implementation of the successfully tested version of the release into the CWDS Production environment. This includes the final migration of data into Production if applicable to the release. ii.

Work products associated with Implementation include: Implementation Plan - After discussions with the CWDS Project Team, the Selected Offeror shall provide a plan that includes, at a minimum, all tasks and activities, durations, start and finish dates, dependencies and resources (Commonwealth and Offeror), and contingency plan. The implementation plan shall be submitted to the CWDS Project Manager no less than 30 days prior to the scheduled Production release date.

h. Final Acceptance and Warranty Period i. Notwithstanding any contrary terms in Appendix A, a thirty day stabilization/acceptance period shall follow each release 38

implementation. During this timeframe, the Selected Offeror shall monitor the system (review error logs, conduct status meetings and collect issues), conduct maintenance activities and prioritize and correct defects that are related to release requirements or otherwise resulted from the release. Corrections shall be made following a normal Systems Development Life Cycle (SDLC), including analysis, code changes, testing (including regression testing), culminating in deployment of a patch release on the 15th day of the stabilization period. The Selected Offeror shall mentor L&I CWDS Technical staff in performing these activities. Additionally, existing documentation must be updated to reflect any changes to the release and to record the patch release schedule. Following the thirty (30) day stabilization period and final acceptance (by the Commonwealth) of the release, the Selected Offeror will provide a warranty period of ninety (90) days or until the next release, date whichever comes first. i. System Documentation i. For each release, the Selected Offeror shall update and maintain system documentation that depicts, at a minimum, functional, interface, integration, data, security and internal control requirements, data sensitivity and criticality descriptions, system/subsystem modules, program, database design, and backup, recovery, and restart procedures. Software code documentation includes description of all design tools, documents, and diagrams used in the development of source code including, but not limited to, data flow diagrams, entity relationship diagrams, workflow diagrams, window layouts, report layouts, process flows, interface designs, logical and physical database design diagrams, technical and user manuals, data dictionary, and details on the development software used to write and compile the source code. The Selected Offeror shall create complete, clear, concise, accurate, and up-to-date documentation that will be used by L&I-OIT application and operational personnel to maintain the system and prepare system administrators. L&I-OIT staff must have a role in preparation; however, the Selected Offeror is solely responsible for developing, producing, and maintaining all system documentation work products throughout the project using the existing CWDS documentation tools and processes. Documentation must include: a) Technical Documentation – describes the technical architecture of the solution. The technical documentation shall include information regarding system functions, application procedures, error troubleshooting guides including 39

contingencies, relational database design, record or table layouts, data dictionary, performance specifications, program descriptions, application program interface (API) references, disaster recovery, dependency diagrams, etc. The technical documentation, in conjunction with the System Operation Documentation, shall provide sufficient information to enable L&I-OIT to maintain the system, develop custom programs and reports, and modify the system. b) System Operation Documentation – describes the steps and procedures needed to operate the system on a day-to-day basis. It shall include system administration procedures, system start up and shut down procedures, program executables, hardware/software requirements, dependency diagrams, deployment procedures, backup and recovery procedures, archival and restoration procedures, contingency procedures, batch job procedures, security procedures, table maintenance procedures, etc. c) System Standards Manual – describes the standards used to develop the application such as coding methodology, data dictionary, naming conventions, and other similar items. ii. Work products associated with System Documentation include: a) Updated Documents Listing - The Selected Offeror shall develop a list of documents that have been updated for the release. Include, at a minimum, the title of each document that has been updated. j. Knowledge Transfer i. To enable L&I OIT to continue to maintain, further develop, and operationally support CWDS, the Selected Offeror shall develop and execute a Knowledge Transfer Plan as part of each release, as appropriate. This plan will consider knowledge transfer needs for L&I OIT staff who will have application development and maintenance responsibilities for the system as well as staff who will have administrative, operational, and maintenance responsibilities for the hardware and software used in the Selected Offeror‟s solution. In addition to the technical training and knowledge transfer, this includes best practices in project management, business process reengineering, requirements definition and testing. The goal for the Selected Offeror‟s L&I OIT knowledge transfer strategy is to continue preparing L&I-OIT staff to independently maintain, support, and further enhance CWDS. The Selected Offeror shall integrate the L&I-OIT staff with the contracted staff during all release management tasks and activities to ensure that the L&I-OIT staff thoroughly understand how the new requirements are being 40

developed, the manner in which the design or configuration is occurring, its supporting infrastructure, and ultimately provide the L&I OIT staff with the abilities and skills needed to independently maintain, support, and further enhance the CWDS system. L&I-OIT staff shall understand the business process behind CWDS and therefore shall be involved in any and all appropriate requirement gathering sessions that are conducted. The Selected Offeror shall work with the CWDS Project Team to develop a training, knowledge transfer and mentoring approach appropriate for each L&I-OIT support area and its staff. The Selected Offeror should note that not all areas may require mentoring. The Selected Offeror‟s knowledge transfer approach shall address the L&I-OIT roles listed below and the technologies that will be used in the development and implementation of the releases: a) L&I-OIT Developer, Business Analyst, and Database Staff Developers, business analysts, database analysts, and system administrators will require knowledge transfer in the technologies applicable to their role on the project b) L&I-OIT Technical Staff L&I-OIT technical staff on the CWDS project will require knowledge transfer in the technologies applicable to their role on the project including enterprise architecture, infrastructure and operations, database administration, shared services, systems management, security and systems monitoring, enterprise data mart, and warehouse. Based on its proposed knowledge transfer solution, the Selected Offeror may recommend formal training classes within its detailed project work plan. If the Selected Offeror determines that customized formal training is needed, then the Selected Offeror shall propose a formal training strategy that describes the recommended training details within its approach. For each proposed course, include a needs assessment, the target audience, prerequisite knowledge, objectives, course outlines, course length, course format (group instruction, classroom or a lab), course provider, and course evaluation. As the Selected Offeror works with the L&I OIT staff, it may recommend that staff attend additional ongoing outside training to gain a working knowledge of specific skill sets. The Commonwealth is responsible for these training costs. The Commonwealth will take responsibility for training new employees if the Selected Offeror‟s formal classroom training on a particular course has already occurred. The Selected Offeror is responsible for all costs associated with any initial training including course costs, textbooks and any other course materials. Travel shall be minimized to the greatest extent possible. The Selected Offeror should not propose training that requires travel outside the 41

Commonwealth. The Selected Offeror is responsible for its own travel and lodging costs associated with any training. The Commonwealth is responsible for the meal subsistence costs and the vehicle transportation costs for the employee attending the training. However, as stated above, travel shall be minimized and the ideal location for training is the Harrisburg area. The CWDS Project Team will work with the Selected Offeror to secure all formal training through the most cost-effective means of delivery. When practical, at least for larger group participation, the Selected Offeror is encouraged to conduct onsite formal classroom training to reduce costs. L&I OIT reserves the right to include additional staff, in an audit capacity, in all aspects of the training as long as the training room can accommodate additional staff and the subject matter is relevant to their duties and responsibilities. In conjunction with the CWDS Project Team, the Selected Offeror shall develop training materials from a developer, business analyst, systems and application administrator‟s and database administrator‟s perspective, for all aspects of the new release as appropriate. The training materials shall be provided in both hardcopy and updateable electronic formats and shall reference the technical manuals developed by the Selected Offeror. The Selected Offeror shall be responsible for production, packaging and distribution of all training materials. At a minimum, the Selected Offeror shall measure and report knowledge transfer progress quarterly for all L&I-OIT participants. The Selected Offeror shall make any adjustments to the training plan, individual mentoring, system documentation, and knowledge transfer approach determined to be necessary as a result of any quarterly review. Although the review shall place emphasis on staff directly participating in the project, it may also include managers and executives. Methods for monitoring and measuring progress, success and effectiveness of the training, mentoring and knowledge transfer shall be included in the knowledge transfer plan. ii. Work products associated with Knowledge Transfer include: a) Knowledge Transfer Plan – The Selected Offeror shall create and execute a Knowledge Transfer Plan that describes its strategy for educating L&I OIT Staff on the CWDS solution as new releases and maintenance/support occur. The plan shall include a mechanism for measuring effectiveness of the knowledge transfer. b) Staff Knowledge Transfer Needs Assessments – For each prospective course, the Selected Offer shall prepare and conduct a needs assessment of the target audience to determine the level and type of knowledge transfer necessary.

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c) Knowledge Transfer Materials – the Selected Offeror shall prepare and provide copies of materials in both hardcopy and dateable electronic formats. d) Quarterly Knowledge Transfer Report – The Selected Offeror shall prepare a quarterly report that reflects progress made in providing CWDS Project staff with knowledge required to support and maintain the CWDS solution. At a minimum, the quarterly Knowledge Transfer Report shall include the schedule and the number of hours of knowledge transfer completed during the quarter. Reference Appendix P, L&I OIT Project Management Documents, Monthly Knowledge Transfer Report attachment. k. Release Close Out i. Within 30 days after the post-implementation patch release, the Selected Offeror shall prepare a final report, referred to as a „Release Review‟ that will report the outcome against the original planned scope, cost, schedule, and risks. ii. Release Close Out work products shall include: a) Release Final Report – The Selected Offeror shall create a document that includes, at a minimum: viii)

ix)

x) xi) xii) xiii) xiv)

xv)

A summary of the work completed by task and achievement of the Project‟s business and technical objectives An assessment of the approach and technology used in the completed functional release and options for improvement Performance and attainment of work completed against the planned target time and cost The effect on the original project plan of any changes that were approved The total impact of approved changes Analysis of all quality assurance work carried out to meet the CWDS Project Team‟s expectations A recap of problems encountered and lessons learned that might be used to improve performance of subsequent tasks Options for procedural and organizational changes to improve project performance

C. Maintenance and Support 1. The Selected Offeror shall provide ongoing maintenance and support for CWDS throughout the life of the Contract. At a minimum, the Selected Offeror shall conduct maintenance as defined below:

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a. Corrective maintenance acts to correct errors that are uncovered after software is in use, including diagnosing and fixing design, logic, or coding errors. b. Adaptive maintenance is applied when changes in the external environment precipitate modifications to the software, such as new hardware, operating system changes, peripheral changes, etc. c. Perfective maintenance to the existing programs which incorporates modifications that are requested by the business community, such as changes, insertions, deletions, and modification. d. Preventive maintenance is changes made to existing programs which improves future maintainability and reliability and provides a basis for future enhancement. e. Performance maintenance is periodically performed to ensure the application operates in an efficient manner in terms of system updates, changes in the development toolset and the fine tuning of those changes. 2. Maintenance tasks include at minimum, installing, configuring, patching and troubleshooting third party software. 3. The Selected Offeror shall maintain the CWDS solution, including but not limited to, the following areas: a. Business Objects Enterprise (BOE) – The Selected Offeror shall be aware of the L&I staff managed admin function but be prepared to give support or perform all admin functions to include at a minimum, i. Data Warehouse ii. Data Services iii. Crystal Reports iv. Xcelsius a) software installs b) Service Pack installs c) security configuration d) performance tuning e) reporting f) business view g) universe migration h) backup and restore strategy i) problem/issue resolution j) ETL job creation and modifications

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Note: The Correspondence and Report Inventories for detailed listings of system generated correspondence and reporting, will be available at the Preproposal Conference. b. Business Logical Layer documents – The Selected Offeror shall create, update, and maintain documentation containing server names, IPs, network routes, firewall rules, URLs, and network shares for 6 environments. c. Security (Site Minder /IAM) – The Selected Offeror shall conduct troubleshooting, problem resolution, Web Services Description Language updates, security script development and maintenance, and user access. d. Release Deployment Process - The Selected Offeror shall work with L&I OIT to deploy/migrate application code for new releases through the various environments, etc. In addition the Quick Test Pro tool shall be used to certify each release. e. Team Foundation Server – The Selected Offeror shall perform all administrative functions to include, at a minimum: i. shelving, branching, and merging source code ii. user administration iii. solutions for each project f. Daily Server Checks – The Selected Offeror shall check web and application servers across 6 environments and take corrective action as necessary (via viewing windows logs, CWDS error logs, etc.) g. Server Rebuilds – The Selected Offeror shall provide, at a minimum, coordination, code deployment, IIS configuration, and any documentation requiring updated, h. Load Testing & Script Development – The Selected Offeror shall assist with development, maintenance, and troubleshooting of scripts, application, interpreting results, corrective action, etc. i. Auto Coder – The Selected Offeror shall be aware of the Commonwealth Staff managed admin function but be prepared to give support or perform all admin functions to include at a minimum:, assist with development, maintenance, and troubleshooting, j. GIS – The Selected Offeror shall be aware of the Commonwealth Staff managed admin function but be prepared to give support or perform all admin functions to include at a minimum:, assist with development, maintenance, and troubleshooting, k. Web Methods – The Selected Offeror shall be aware of the Commonwealth Staff managed admin function but be prepared to give support or perform all admin functions to include at a minimum:, assist with development, maintenance, and troubleshooting,

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l. Rational – The Selected Offeror shall, at a minimum, perform all administrative functions to include install, configure, and user administration. m. Requisite Pro – The Selected Offeror shall, at a minimum, perform all administrative functions to include install, configure, and user administration. n. $U (Dollar Universe) – The Selected Offeror shall be aware of the Commonwealth Staff managed admin function but be prepared to give support or perform all admin functions to include at a minimum all administrative functions to include: i. daily checks on $U and batch jobs ii. new development and maintenance of existing $U jobs iii. uprocs iv. batch jobs o. Problem Resolution with all project staff developer PCs – The Selected Offeror shall assist with problem identification and issue/problem resolution for developer and business analyst PCs, develop corrective action plans and address implementation timeline with regard to overall impact, etc. p. The Selected Offeror shall set up (install, configure) technologies including but not limited to Team Foundation Server (TFS), Web Methods, Visual Studio Team System on developer PCs. q. The Selected Offeror shall develop and maintain scripts for Rational and Requisite Pro r. Administrative Functions – The Selected Offeror shall conduct various preventative and corrective actions to include logging into servers, reviewing Windows logs, application specific logs, interpreting information and reacting according to prevent/minimize system down time. s. IIS – The Selected Offeror shall perform all administrative functions to include, at a minimum, configuration, testing, and troubleshooting t. CA2 Requirements – The Selected Offeror shall lead the Commonwealth Application Certification and Accreditation process, including coordination with Labor and Industry and Office of Administration points of contact, analysis and issue resolution, corrective action planning and implementation u. DR Planning – The Selected Offeror shall maintain the DR plan, create, update and maintain documentation to ensure current and accurate technical content. Reference Appendix LL, Disaster Recovery Plan. v. McAfee Exclusion Paperwork – The Selected Offeror shall create, update and maintain documentation to ensure it is current and accurate. w. Server Backup Documentation – The Selected Offeror shall create, update and maintain documentation to ensure it remains current and accurate.

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x. Database Administration – The Selected Offeror shall provide at minimum Database support that consists of performance tuning, backup and restore, tracing, deployments, maintenance, service packs, software upgrades, etc. y. OPSWAT - The Selected Offeror shall provide at minimum administrative functions including maintenance, upgrades, troubleshooting z. System Framework - The Selected Offeror shall provide at minimum all administrative functions. 4. The Selected Offeror shall be responsible for planning and implementation of CWDS software upgrades and options for hardware requirement support and upgrades as part of the maintenance effort. Upgrades that are expected to occur within the base (3 year) contract period include, at a minimum, those efforts described in Appendix T, D. Turnover/Contract Closeout 1. The Selected Offeror shall work with the CWDS Project Team and the subsequent Contractor (if applicable) to ensure a smooth transition to the party that will assume the new development, maintenance and support of CWDS. The Selected Offeror shall also work with the CWDS Project Team to ensure a complete contract closeout. The Selected Offeror shall develop administrative and contract closeout products to include, at a minimum, a staff transition plan (to include knowledge transfer), product documentation, project reports, project archives, lessons learned, contract documentation, and formal acceptance. The Selected Offeror shall develop and execute a formal turnover and closure plan with identified criteria and responsible parties. The Selected Offeror shall provide contract closeout and financial documentation, including, but not limited to, invoices and payment records, and the results of any contract-related inspections that are being stored by the Selected Offeror. 2. Work products associated with Turnover/Contract Closeout include: a. Turnover/Close Out Plan – the Selected Offeror shall create, with input from the CWDS Project Management Team, a plan that describes all activities necessary for a smooth transition to the subsequent contractor or L&I OIT. At a minimum, include tasks, start/finish dates, durations, and responsible resources. b. Staff Transition Plan – the Selected Offeror shall provide an update of the existing plan. IV-5. Reports and Project Control Project management services involve planning, organizing and managing resources to bring about the successful completion of specific project goals and objectives. Project Management is composed of several different types of activities such as: Planning the work (tasks, subtasks, activities, milestones) needed to meet the project objectives, schedule and budget, and tracking to the baseline. Executing a change control management plan. 47

Assessing/controlling risks, actions, issues and decisions (RAID). Estimating, allocating and monitoring the activity of project resources. Directing activity and controlling project execution. Facilitating work product review and approval process. Reporting status and tracking progress against the project plan. Executing a communication plan. Participating in After Action Reviews (AAR). The Selected Offeror shall provide project management services to execute the activities throughout the life of the contract. Existing CWDS project management plans will be provided to the Selected Offeror. The Selected Offeror is expected to comprehend, adhere to and maintain project management plan documentation throughout the life of the contract. The Selected Offeror will have the opportunity to recommend, for Commonwealth approval, modifications to the existing CWDS project management plans during project transition. At a minimum, the Selected Offeror may use a combination of current L&I-OIT project management document templates and the existing CWDS project management plans. The Selected Offeror shall create and/or maintain all documentation and manage all processes essential to executing the activities related to the contract. The L&I-OIT Project Management documentation templates are found in Appendix P, L&I OIT Project Management Documents. A. Project Team Members The Selected Offeror shall maintain a Contact List of project team members, including all Commonwealth and non-Commonwealth staff and their roles and responsibilities. Working with the CWDS Project Manager, a RASCI chart shall be created identifying the level of responsibility of each role. Reference Appendix P, L&I OIT Project Management Documents. B. Project Governance The Selected Offeror shall understand and apply the CWDS management framework within which project decisions are made and responsibilities are assigned. Working with the CWDS Project Manager, Selected Offeror staff will participate on existing committees to support the project governance framework. Reference Appendix P, L&I OIT Project Management Documents C. Resource Assessment The Resource Assessment Plan is used to document the resources that are required for the project, those that are potentially available, or those that will need to be obtained to complete the project within the timeframe planned. Using the Work Breakdown Structure, the Selected Offeror will develop a detailed list of resource options required to execute the project. The Selected Offeror will collaborate with the CWDS Project Manager if resource needs change at any time throughout the project. Reference Appendix P, L&I OIT Project Management Documents. D. Work Breakdown Structure (Project Plan) 48

The Selected Offeror shall maintain the initial work plan in MS Project format 2010 (provided during the transition task) for each task. All project plans shall identify the work elements of each task, the resources assigned to the task, the time allotted to each task and the work products to be produced. Where appropriate, a PERT or GANTT chart display should be used to show project, task, and time relationship. E.

Risk Management The Risk Management Plan is used to identify risks that could potentially affect the project. The Selected Offeror will provide a concise list of the project‟s risk factors and define Mitigation Plans and Contingency Plans for those risks. Throughout the project the Selected Offeror will implement and track the risks and the results of any mitigation or exercised contingency plans. Reference the Risk Management Plan in Appendix P, L&I OIT Project Management Documents.

F.

Issue Management An issue is an occurrence or event that may have an impact on the project. These may or may not be directly linked with the project but may have an impact on the project‟s scope, timeline, quality, products, deliverables, resources, budget or operation. The Selected Offeror shall be aware of issues and ensure the planning, coordination and notification of all appropriate parties concerned. The Selected Offeror shall track, manage and resolve issues per the existing Issue Management Plan Appendix P, L&I OIT Project Management Documents and use CWDS‟ Clear Quest tool for documenting issues throughout the contract.

G. Change Management and Change Control Management Changes to a project can affect the integrity of the project, the resources required, quality, schedule and the overall success of the development effort. The Selected Offeror shall adhere to L&I-OIT procedures to ensure that all changes are necessary, the effect of each change is understandable, and all changes are approved by the appropriate entities. 1. The Selected Offeror shall conduct change management per the existing CWDS Change Management Plan. Reference Appendix N, System Management Plan Change Management 2. The Selected Offeror shall track changes to project requirements. The resulting impact of incorporating changes shall be reflected in the project plan including scope, timeline, work products, resources and cost. 3. The Change Control Management process manages both contract- and non-contractlevel change requests and includes two (2) separate processing methods; one for changes that have no impact on time, cost, schedule, scope, or work products, and the second for changes that have a potential impact on time, cost, schedule, or work products. All change control items that impact the time, scope, and/or cost of the project shall be submitted to the Project Change Control Board for review and approval. Note: Changes affecting project costs/scope may also require a formal contract amendment.

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4. The Selected Offeror shall schedule change management meetings as necessary to address changes in a timely manner. The Selected Offeror shall prepare agendas and minutes, and update the change management tool with decisions. 5. The Selected Offeror is responsible for preparing the documentation and assisting the L&I CWDS Technical Staff with all proposed change requests, presenting and reporting change requests to the Project Change Control Board and, when appropriate, to the L&I-OIT Shared Services Change Control Board (SSCCB) and Enterprise Change Control Board (ECCB). H. Document Management Collaboration tools allow teams to work together easily and efficiently. The features and functions of a collaboration tool facilitate teamwork among members of a project team, which could include such items as announcements, calendars, tasks, documents, discussions, notifications, and project search. 1. The Selected Offeror shall provide document management services per the existing CWDS Document Management Plan. Reference the Document Management Plan which is part of Appendix P, LI OIT Project Management Documents. 2. The Selected Offeror and CWDS Project Management Team shall use a combination of shared folders on the L&I network and an L&I shared collaboration tool to manage project documents. It is the Selected Offeror‟s responsibility to provide training on the selected collaboration tool for Selected Offeror staff. I.

Configuration Management Configuration Management is the task of tracking and controlling changes in the software. The Configuration Management process includes identification of all artifacts, such as software units, computer files, hardware, networking components, documents, and other software products to be controlled during development. 1. The Selected Offeror shall conduct configuration management per the existing CWDS Configuration Management Plan. Reference The Configuration Management Plan which is part of Appendix P, LI OIT Project Management Documents.

J.

Data Management Data management is the task of controlling, protecting, delivering and enhancing the value of data and information assets. 1. The Selected Offeror shall conduct data management per the existing CWDS Data Management Plan. Reference the Data Management Plan which is part of Appendix P, LI OIT Project Management Documents.

K. Communications A Communications Plan shall be established by the Selected Offeror to ensure all stakeholders are kept abreast of the project. Meetings and reports shall provide status and discussion regarding the entire project including both new releases and ongoing maintenance activities for all components of the project (from requirements through implementation) as well as any other items that may impact the project scope, schedule, and work products. 50

1. The Selected Offeror shall manage project communications per the existing CWDS Communications Plan. Reference The Communications Plan, which is part of Appendix P, LI OIT Project Management Documents. 2.

The Selected Offeror shall provide status reports per the existing CWDS Communications Management Plan. Reference the Communications Plan, which is part of Appendix P, LI OIT Project Management Documents. The Selected Offeror shall conduct meetings per the existing CWDS Communications Plan. Reference the Communications Plan, which is part of Appendix P, LI OIT Project Management Documents. The Selected Offeror is responsible for invitations, agendas and meeting minutes for all meetings.

3. The Selected Offeror shall prepare and submit a monthly status report by the 10th of each month. The monthly status report should provide a summary of the activity which occurred during the month including both planned and accomplished. The report should provide a summary of all the Work Products associated with each of the Tasks. The report should be delivered in a way it identifies and verifies the activity using information from the Work Plan. This report will be the sole paid deliverable (payment point) for all tasks and work products required per this contract. Reference the Sample Monthly Management Report attachment of Appendix P, LI OIT Project Management Documents. 4. The Selected Offeror shall provide a final report that includes documentation of all information referenced in Section IV-4.4. Turnover/Closeout Task. Final report format should closely resemble that of the Monthly Status Report. IV-6. Service Level Agreements The Selected Offeror shall comply with CWDS Service Level Agreements as described in Appendix Q, CWDS Service Level Agreements. As part of the proposal, the Offeror may propose alternative service level agreements and/or service credits; however, these must be submitted on the basis of information included in Appendix Q, CWDS Service Level Agreements and the proposal must be submitted on the basis that the SLA‟s in Appendix Q, CWDS Service Level Agreements, will apply to this procurement. IV-7. Contract Requirements—Small Diverse Business Participation. All contracts containing Small Diverse Business participation must also include a provision requiring the Selected Offeror to meet and maintain those commitments made to Small Diverse Businesses at the time of proposal submittal or contract negotiation, unless a change in the commitment is approved by the BSBO. All contracts containing Small Diverse Business participation must include a provision requiring Small Diverse Business subcontractors to perform at least 50% of the subcontracted work. The Selected Offeror‟s commitments to Small Diverse Businesses made at the time of proposal submittal or contract negotiation shall, to the extent so provided in the commitment, be maintained throughout the term of the contract and through any renewal or extension of the contract. Any proposed change must be submitted to BSBO, which will make a recommendation to the Contracting Officer regarding a course of action. 51

If a contract is assigned to another contractor, the new contractor must maintain the Small Diverse Business participation of the original contract. The Selected Offeror shall complete the Prime Contractor‟s Quarterly Utilization Report (or similar type document containing the same information) and submit it to the contracting officer of the Issuing Office and BSBO within 10 workdays at the end of each quarter the contract is in force. This information will be used to determine the actual dollar amount paid to Small Diverse Business subcontractors and suppliers. Also, this information will serve as a record of fulfillment of the commitment the Selected Offeror made and for which it received Small Diverse Business participation points. If there was no activity during the quarter then the form must be completed by stating “No activity in this quarter.” NOTE: EQUAL EMPLOYMENT OPPORTUNITY AND CONTRACT COMPLIANCE STATEMENTS REFERRING TO COMPANY EQUAL EMPLOYMENT OPPORTUNITY POLICIES OR PAST CONTRACT COMPLIANCE PRACTICES DO NOT CONSTITUTE PROOF OF SMALL DIVERSE BUSINESS STATUS OR ENTITLE AN OFFEROR TO RECEIVE CREDIT FOR SMALL DIVERSE BUSINESS UTILIZATION.

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