Bid designation: Public State of California


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State of California

Bid CDCR 14-002

5

Solicitation CDCR 14-002

Managed Electronic Data Interchange (EDI) Services (MES),

Bid designation: Public

State of California

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State of California

Bid CDCR 14-002

5

Bid CDCR 14-002 Managed Electronic Data Interchange (EDI) Services (MES), Bid Number   

CDCR 14-002

Bid Title   

Managed Electronic Data Interchange (EDI) Services (MES),

Expected Expenditure    $300,000.00 (This price is expected - not guaranteed) Bid Start Date

Oct 20, 2014 4:40:42 PM PDT

Bid End Date

Nov 5, 2014 1:00:00 PM PST

Question & Answer End Oct 27, 2014 11:00:00 AM PDT Date Bid Contact   

William Collard Contract Analyst 916-358-2127 [email protected]

Bid Contact   

Deborah Chu CDCR IT Acquisitions Manager 916-358-2181 [email protected]

Standard Disclaimer     The State of California advises that prospective bidders periodically check the websites, including but not limited to Bidsync, and/or other state department links for modifications to bid documents. The State of California is not responsible for a prospective bidder's misunderstanding of the bid solicitation or nonresponsive bid due to failure to check these websites for updates or amendments to bid documents, and/or other information regarding the bid solicitations. Failure to periodically check these websites will be at the bidder's sole risk. The information published and/or responded to on these websites is public information. Confidential questions/issues/concerns should be directed to the contact on the ad.

Description The Contractor shall provide Managed EDI Services (MES), in addition to senior expert technical, professional implementation services, and training in EDI components to CDCR’s staff. The training and knowledge transfer provided by the Contractor shall extend the functionality and usability of the Department’s Enterprise Resource Planning (ERP) 2005 SAP production system.  The Contractor shall be the EDI Subject Matter Expert (SME) and provide  system analysis in partnership with the EDI Project Manager (EPM) to ensure the successful implementation of an efficient and effective EDI Solution, including SAP system integration and interfaces. The Contractor shall act as leader in the development, implementation and adherence to EDI processes that will ensure long-term viability of CDCR’s EDI system and business processes.

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State of California

STATE OF CALIFORNIA

Bid CDCR 14-002

DEPARTMENT OF CORRECTIONS AND REHABILITATION

REQUEST FOR QUOTATION EIS 4004-ITSC (Rev. 09/30/2013) PAGE 1 OF 9

IT SERVICES QUOTATION INFORMATION RESPONSE DUE DATE AND TIME:

DATE:

October 20, 2014

November 5, 2014 at 1:00 (PST)

RFQ SOLICITATION NUMBER:

REVISION NUMBER:

CDCR 14-002 SUBMIT RESPONSES TO:

AWARD METHOD:

William Collard

Value Effective

REQUESTOR AND RESPONSE SUBMISSION INFORMATION CONTACT, PHONE NUMBER, AND EMAIL: DIVISION NAME AND ADDRESS:

William Collard (916) 358-2127 [email protected]

Enterprise Information Services 1940 Birkmont Drive Rancho Cordova, CA 95742-6401 DELIVERY INFORMATION

DELIVERY DATE:

`

Start Services Within Thirty (30) Business Days of Award DELIVERY LOCATION:

1900 Birkmont Drive, Rancho Cordova, CA 95742-6401 SMALL BUSINESS/DISABLED VETERANS BUSINESS ENTERPRISE INFORMATION Are you claiming preference as a Small Business? Yes No If “Yes”, manufacturer? Yes No Are you a Non-Small Business claiming at least 25% Small Business Subcontractor preference? Yes No SB/MB/DVBE Certification Number: _________________________ Expiration Date: _________________________

FEDERAL EMPLOYER ID NUMBER: COMPANY NAME AND ADDRESS:

SUPPLIER INFORMATION QUOTATION TOTAL (excluding taxes): CONTACT, PHONE NUMBER, AND EMAIL:

SUPPLIER SIGNATURE AUTHORIZATION By virtue of submitting a quote, the Authorized Representative signing this RFQ accepts all terms and conditions expressed herein. Bidder offers and agrees that if this response is accepted within thirty (30) business days from the date of opening to furnish all of the items upon which prices are quoted, at the prices set opposite each item, delivered at the designated point(s) by the method of delivery and within the times specified above and subject to the attached General Provisions. DECLARATIONS UNDER PENALTY OF PERJURY: By signing below, with inclusion of the date of signature, the Authorized Representative DECLARES UNDER PENALTY OF PERJURY, under the laws of the State of California as follows: (1) (STATEMENT OF COMPLIANCE). The Bidder has complied with the non-discrimination program requirements of Government Code 12990 and Title 2, California Administrative Code Section 8103, and such declaration is true and correct; (2) the National Labor Relations Board declaration set forth in Paragraph 48 of the General Provisions is true and correct; and (3) if a claim is made for the Small Business preference, the information set forth within is true and correct.

AUTHORIZED REPRESENTITVE:

SIGNATURE:

TITLE:

DATE:

PHONE #:

FAX #:

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State of California

STATE OF CALIFORNIA

Bid CDCR 14-002

DEPARTMENT OF CORRECTIONS AND REHABILITATION

REQUEST FOR QUOTATION EIS 4004-ITSC (Rev. 09/30/2013) PAGE 2 of 9

California Government Code (GC) § 14838 et seq. requires that a 5% preference be given to Bidders who qualify as a Small Business or a Non-Small Business claiming at least 25% California Certified Small Business. For requirements, see California Code of Regulations (CCR), Title 2, § 1896 et seq. The requirements for Nonprofit Veteran Service Agencies qualifying as a Small Business are contained in Military and Veterans Code (MVC) § 999.50 et seq. If this response is accepted within thirty (30) business days following the date the response is due, Bidder offers and agrees to furnish all the items upon which prices are quoted at the prices set opposite each item, delivered at the designated point(s) by the method of delivery and within the times specified and subject to the General Provisions – IT (GSPD-401IT). A.

AWARD OF CONTRACT For the purposes of this solicitation, award will be made on the basis of “Value Effective” to the responsible Bidder meeting all administrative, mandatory qualifications, and technical requirements, terms, and conditions of this solicitation. The State will use the Standard Agreement form (STD 213) for the purchase execution. Attachment 3 provides a sample of the STD 213. Award of contract, if made, will be in accordance with the Request for Quote (RFQ) information on Evaluation to a responsible Bidder whose bid complies with all the requirements of the RFQ documents and any Addenda thereto, except for such immaterial defects as may be waived by the State. Award, if made, will be made within thirty (30) business days after the scheduled date for Contract Award as specified in the RFQ; however, a Bidder may extend the offer beyond thirty (30) business days in the event of a delay of contract award. The State reserves the right to modify or cancel this RFQ in whole, or in part. See Exhibit A, Section R and Exhibit E, Section E, Paragraph 2. Written and/or electronic notification of the State’s Intent to Award will be made to all Bidders. If a Bidder, having submitted a bid, can show that its bid, instead of the bid selected by the State, should be selected for contract award, the Bidder will be allowed five (5) business days to submit a Notice of Intent to Protest, according to the instructions contained in the paragraph titled “Protests” of this RFQ.

B.

VALUE EFFECTIVE EVALUATION CRITERIA The overall responsiveness of each quote is based on the complete response from the Bidder to all RFQ requirements, including the Statement of Work (Exhibit A) for the engagement. The following three (3) subsections and criteria will be reviewed and scored by the Evaluation Team. 1.

ADMINISTRATIVE REQUIREMENTS (Pass/Fail) Administrative requirements will be scored as pass or fail. Responsiveness to the requirements listed in this RFQ will be either given a “pass” (e.g., complied with requirement, completed and returned document) or “fail” (e.g., did not comply with requirement, did not complete or return document). Administrative requirements include, but are not limited to:         

2.

Signed Request for Quotation – IT Services (EIS 4004-ITSC), including all pages, Exhibits, and Attachments Bidder Declaration (GSPD-05-105) (see page 3 of 9) Disabled Veteran Business Enterprise Declarations (STD 843), if applicable (see page 4 of 9) Payee Data Record (STD 204) (see page 4 of 9) Postconsumer Content Certification Form (CIWMB 74) (see page 5 of 9) TACPA Application Forms, if applicable (see page 6 of 9) Seller’s Permit Information (see page 7 of 9) Two Responses (“Master Copy” and “Copy”) submitted in a single sealed envelope (see page 2 of 9) Two Cost Worksheets (Exhibits B-1, B-2, B-3) submitted in separate sealed envelopes (see page 3 of 9)

CONTRACTOR MINIMUM QUALIFICATIONS (100 Points Possible) Bidders must provide substantiation as to how the Company/Contractor meets the Mandatory Qualifications listed in the Statement of Work. Customer references and/or supporting documentation for each

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State of California

STATE OF CALIFORNIA

Bid CDCR 14-002

DEPARTMENT OF CORRECTIONS AND REHABILITATION

REQUEST FOR QUOTATION EIS 4004-ITSC (Rev. 09/30/2013) PAGE 3 of 9

requirement must be submitted as indicated in the Statement of Work. A maximum number of points for each requirement in a Bidder’s response are listed below:      

The most years’ delivering and supporting EDI solutions (0-20 points); The most full life cycle implementations of an EDI solution (0-15 points); The most experience providing (documented) successfully managed EDI solutions to the largest number of Fortune 500 companies, and/or Public Sector organizations (0-20 points); The most efficient and detailed processes for response to issues/emergencies (0-15points); The most reliable/uptime availability for previous documented engagements (0-15 points); The most reliable and detailed disaster and recovery plans/procedures (0-15 points).

A score of “0” indicates that the Bidder did not meet the requirement. The Bidder’s must have a minimum qualification requirement score of 75 points. If the minimum score is not met, no points will be awarded and the bidder’s response will be deemed non-responsive and eliminated from further evaluation. The bidders that meet the minimum qualification score will move to the final evaluation step (Step #3) of cost. 3.

COST (100 Points Possible) Each Bidder’s cost score will be calculated based on the ratio of the lowest cost proposal to the Bidder’s cost, multiplied by the maximum number of cost points possible (100), as shown in the calculation below: Lowest Overall Cost Bid Bidder Total Cost

C.

x

100

=

Bidder Final Cost Score

BID REQUIREMENTS 1.

BIDDER INSTRUCTIONS (GSPD-451) Bidder Instructions were recently revised. Please read them carefully. The revised Bidder Instructions (GSPD-451) is found in Attachment 4 or can be located at: http://www.documents.dgs.ca.gov/pd/modellang/GSPD451-110911.pdf

2.

CASH DISCOUNTS Cash discounts will not be considered when evaluating quote responses for award purposes. However, the discount percentage may be used as a tiebreaker in the event of tie bids. Discount must be at least one percent (1%) and a minimum of $75.00. See Required Payment Date in General Provisions – Information Technology (GSPD-401IT), Paragraph 30. _____% cash discount for payment within _____ days.

3.

DELIVERY Final delivery, inspection, and receipt shall be at the location described on the first page of this solicitation.

4.

QUOTATION ATTACHMENTS Bid responses that reference a Supplier’s own terms, conditions, and/or provisions will be considered nonresponsive and will be rejected.

5.

RESPONSE/BID PACKAGES Bidders are required to submit two (2) paper bid responses in one (1) sealed envelope and two (2) paper cost worksheets (Exhibits B-1, B-2, B-3) in two (2) separate sealed envelopes, by the due date and time identified on the first page of this solicitation. The first paper bid response will be deemed the “Master Copy”. For evaluation purposes, the Master Copy shall be complete and include all of the required bid submittals in order to be deemed responsive to the bid requirements. If the paper bid response is incomplete and/or includes discrepancies, Bidder may be deemed non-responsive and subject to the

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State of California

STATE OF CALIFORNIA

Bid CDCR 14-002

DEPARTMENT OF CORRECTIONS AND REHABILITATION

REQUEST FOR QUOTATION EIS 4004-ITSC (Rev. 09/30/2013) PAGE 4 of 9

rejection process. information. 6.

The second bid response will be deemed a “Copy”. Right to request additional

SUBSTITUTIONS Substitution for like items may be accepted, only if the requested item is not available and the substitution item is identical to the original request.

D.

CHANGE ORDERS Any Purchase Order resulting from this quote may be amended, modified, or terminated at any time by mutual agreement of the parties in writing. Change Orders amending, modifying, or terminating the Purchase Order and/or time, per Exhibit E, Section A, including modifications of compensation payable and/or time per Exhibit , may be issued only by the State Procurement Officer. All such Change Orders shall be in writing and issued only upon written concurrence of the Supplier.

E.

DECLARATION FORMS 1.

BIDDER DECLARATION (GSPD-05-105) All Bidders must complete the Bidder Declaration form and include it with the bid response. When completing the declaration, Bidders must identify all Subcontractors proposed for participation in the contract. Bidders awarded an Agreement are contractually obligated to use the Subcontractors for the corresponding work identified, unless the State agrees to a substitution, and it is incorporated by Amendment to the Agreement. The Bidder Declaration (GSPD-05-105) form is found in Attachment 5 or can be located at: http://www.documents.dgs.ca.gov/pd/delegations/GSPD105.pdf

2.

DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS (STD 843) Bidders who have been certified by the State of California as a DVBE (or who are bidding rental equipment and have obtained the participation of Subcontractors certified by the State of California as a DVBE) must also submit a completed Disabled Veteran Business Enterprise Declaration form. All disabled veteran owners and disabled veteran managers of the DVBE(s) must sign the form(s). The completed form should be included with the bid response. The Disabled Veteran Business Enterprise Declarations (STD 843) is found in Attachment 6 or can be located at: http://www.documents.dgs.ca.gov/pd/poliproc/STD-843FillPrintFields.pdf

F.

FACSIMILE (FAX) BIDS Faxed Bids will not be accepted for this solicitation.

G. KEY ACTION DATES Action Release of RFQ RFQ Questions Due RFQ Responses Due Evaluation of Responses* Public Cost Opening * Notice of Intent to Award* Award*

Date October 20, 2014 October 27, 2014 November 5, 2014 November 12 - November 13, 2014 November 14 , 2014 December 1, 2014 December 15, 2014

Time 11:00 AM (PST) 1:00 PM (PST) 1:30 PM (PST)

*These Key Action Dates are subject to change, depending on the length of time taken for the evaluation process. Only active participants will be notified of such date changes.

Public Cost Opening will be held at: California Department of Corrections and Rehabilitation Enterprise Information Services 1940 Birkmont Drive, Executive Conference Room Rancho Cordova, CA 95742-6401

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State of California

STATE OF CALIFORNIA

Bid CDCR 14-002

DEPARTMENT OF CORRECTIONS AND REHABILITATION

REQUEST FOR QUOTATION EIS 4004-ITSC (Rev. 09/30/2013) PAGE 5 of 9

H.

PAYEE DATA RECORD The successful Bidder will be required to submit a Payee Data Record (STD 204) listing their Taxpayer Identification Number. The Payee Data Record (STD 204) form can be found in Attachment 7 or located at: http://www.documents.dgs.ca.gov/dgs/fmc/pdf/std204.pdf

I.

POSTCONSUMER RECYCLED-CONTENT PRODUCTS The State Agency Buy Recycled Campaign requires State Agencies to report purchases in many product categories. In order to comply with those requirements, Contractors are required to complete and return the Postconsumer-Content Certification (CIWMB 74) form with their bid response. Failure to complete and return the form may disqualify a Contractor’s bid from consideration. The Postconsumer-Content Certification (CIWMB 74) form can be found in Attachment 8 or located at: http://www.calrecycle.ca.gov/buyrecycled/stateagency/Forms/CalRecycle074.pdf

J.

PREFERENCE PROGRAMS 1.

DISABLED VETERAN BUSINESS ENTERPRISE a.

Disabled Veterans Business Enterprise (DVBE) Program Requirements For the purposes of this solicitation, the DVBE Program Requirements have been waived.

b.

Disabled Veterans Business Enterprise Incentive The State of California has established goals for DVBEs participating in State contracts. Bidders must complete and return all the appropriate pages in order for the bid to be considered responsive. Please review the California DVBE Incentive information (page 3 of 4) can be found in Attachment 9 or at: http://www.documents.dgs.ca.gov/pd/delegations/DVBEPckt2.doc

2.

SMALL BUSINESS a.

Small Business Regulations The Small Business regulations (located in CCR Title 2, Division 2, Chapter 3, Subchapter 8, Section 1896 et. seq.), concerning the application and calculation of the Small Business Preference, Small Business Certification, responsibilities of Small Business, Department certification, and appeals are revised, effective 09/09/2004. The new regulations can be viewed at www.pd.dgs.ca.gov/smbus. Access the regulations by Clicking on “Small Business Regulations” in the right sidebar. For those without Internet access, a copy of the regulations can be obtained by calling the State of California Department of General Service’s (DGS) Office of Small Business and DVBE Services (OSDS) at (916) 375-4940.

b.

Non-Small Business Subcontractor Preference A 5% bid preference is now available to a non-small business claiming 25% California Certified Small Business Subcontractor participation. If applicable, claim the preference in the box on the first page of this solicitation.

c.

Small Business Nonprofit Veteran Service Agencies (SB/NVSA) SB/NVSA Prime Bidders meeting requirements specified in the MVC § 999.50 et seq. and obtaining a California certification as a Small Business are eligible for the 5% Small Business Preference. If applicable, claim the preference in the box on the first page of this solicitation.

d.

Bid Attachment, if Claiming the Small Business Preference All Bidders must complete and include the Bidder Declaration (GSPD-05-105) form. If claiming the Non-Small Business Subcontractor Preference, the form must list all of the California certified Small

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State of California

STATE OF CALIFORNIA

Bid CDCR 14-002

DEPARTMENT OF CORRECTIONS AND REHABILITATION

REQUEST FOR QUOTATION EIS 4004-ITSC (Rev. 09/30/2013) PAGE 6 of 9

Businesses with which you commit to subcontract in an amount of at least 25% of the net bid price. All certified Small Businesses must perform a “Commercially Useful Function” in the performance of the contract as defined in GC § 14837(d)(4). e.

Small Business Certification Bidders claiming the Small Business Preference must be certified by the State of California as a Small Business or must commit to subcontract at least 25% of the net bid price with one or more California certified Small Businesses. Completed certification applications and required support documents must be submitted to the DGS OSDS no later than 5:00 p.m. on the bid due date, and DGS OSDS must be able to approve the application as submitted. Small Business Nonprofit Veteran Service Agencies (SB/NVSA) claiming the Small Business Preference must possess certification by the State of California prior to the day and time bids are due. Questions regarding certification should be directed to DGS OSDS at (916) 375-4940.

3.

TARGET AREA CONTRACT PREFERENCE ACT (TACPA) PROGRAM PREFERENCE The TACPA Program Preference will be granted for this procurement. Bidders wishing to take advantage of this preference will need to review the following website and submit the appropriate response with the bid. The form can be found in Attachment 10 or located at: http://www.documents.dgs.ca.gov/pd/poliproc/tacpapage.pdf Bidders wishing to take advantage of the TACPA Program Preference are required to submit the following applications/forms:  TACPA (STD 830)  Bidder’s Summary of Contract Activities and Labor Hours (DGS/PD 525)  Manufacturer Summary of Contract Activities and Labor Hours (DGS/PD 526)

K.

PRICES Pricing shall be all-inclusive. Only the price/changes submitted in the quote response shall be accepted and included in the awarded Purchase Order.

L.

PROHIBITION ON TAX DELIQUENTS Persons or companies identified as the largest tax delinquents by the State of California Franchise Tax Board or BOE under authority of RTC § 7063 or 19195, shall be disqualified from the bidding process. PCC § 10295.4, Approval of Contracts: (a) Notwithstanding any other law, a State Agency shall not enter into any contract for the acquisitions of goods or services with a contractor whose name appears on either list of the 500 largest tax delinquencies pursuant to Section 7063 or 19195 of the Revenue and Taxation Code. Any contract entered into in violation of this subdivision is void and unenforceable. (b) This section shall apply to any contract executed on or after July 1, 2012.

M. PROTESTS Any Bidders’ issues regarding solicitation requirements must be resolved (or attempts to resolve them must have been made) before a protest may be submitted according to the procedure below. These issues will first be resolved by the contact for the solicitation, or if they result in a protest. The procurement procedure is designed to give the bidder and the State adequate opportunity to submit questions and discuss the requirements prior to the RFQ Response Due date indicated in the Key Action Dates. There are two (2) types of protests: requirements (initial) protests and award protests. Protests regarding any issue other than selection of the “successful bidder” are requirements protests and will be heard and resolved by the Deputy Director of the Department of General Services, Procurement Division, whose decision is final. All requirements protests must be made in writing and submitted in a timely manner prior to RFQ Responses Due date, to the Deputy Director address indicated below. If a Bidder has submitted a bid which it believes to be responsive to the requirements of the RFQ and to be the bid that should have been selected according to the evaluation procedures in the solicitation, and the Bidder believes the State has incorrectly selected another Bidder for award, the Bidder may submit a protest of the selection as described below. Protests regarding selection of the “successful vendor” will be heard and resolved by the Victim Compensation and Government Claims Board whose decision will be final.

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State of California

STATE OF CALIFORNIA

Bid CDCR 14-002

DEPARTMENT OF CORRECTIONS AND REHABILITATION

REQUEST FOR QUOTATION EIS 4004-ITSC (Rev. 09/30/2013) PAGE 7 of 9

All protests of award must be made in writing, signed by an individual authorized to bind the Bidder contractually and financially, and contain a statement of the reason(s) for protest; citing the law, rule, regulation, or procedure on which the protest is based. The Protester must provide facts and evidence to support the claim. Protests must be mailed or delivered to: Deputy Director Procurement Division 707 Third Street, Second Floor South West Sacramento, CA 95605 Fax Number: (916) 375-4611 All protests to the RFQ or protests concerning the evaluation, recommendation, or other aspects of the selection process must be received by the DGS Procurement Division Deputy Director as promptly as possible, but not later than the date indicated in the Notification of Intent to Award. Certified or registered mail must be used unless delivered in person, in which case the Protester should obtain a Receipt of Delivery. During the 5 days of the Intent to Award period, the Bidder may submit a protest. N.

REFERENCES Bidder shall provide customer references from different contracts using Customer Experience Reference Form “Attachment 2”. The customer references are intended to gather information related to the bidder’s experience successfully servicing accounts similar to the requirements of this solicitation. Customer must fully complete the Customer Experience Reference Form and return directly to the bidder. The bidders must then submit the completed forms with the bid response. Each contract reference shall:   

Be valued at $50,000.00 at a minimum. Have similar scope of work to that requested in this solicitation’s Statement of Work (SOW). Be for work performed within the last three (3) years.

Failure to submit the Customer Experience References may result in the bid being considered non-responsive. Bidders are required to provide Resume(s) for all key personnel in the solicitation, failure to do so may lead to disqualification. O. REQUESTS FOR ADDITIONAL INFORMATION At the State’s option, and prior to award, Bidders may be required to submit additional written clarifying information. Failure to submit the required written information as specified may be grounds for bid rejection. P.

RESPONSIBLE BIDDER The Department of Corrections and Rehabilitation may require Bidder(s) to submit evidence of their qualifications at such times and under conditions, as it may deem necessary. The question of whether a particular Bidder is a Responsible Bidder may involve an evaluation of the Bidder’s experience, type of facility, expertise and/or financial resources regarding the particular items requested by the pertinent solicitation. If a Bidder has been determined to be non-responsible, the bid shall be rejected.

Q. SELLER’S PERMIT If applicable, please note that award will be conditional on providing the following document prior to award. You must provide your company’s California retailer’s seller’s permit or certification of registration and, if applicable, the permit or certification of all participating affiliates, issued by State of California Board of Equalization (BOE), pursuant to all requirements as set forth in the Revenue and Taxation Code (RTC) § 6487, 7101, 6452.1, 6487.3, and 18510, and PCC § 10295.1. In order to expedite the process of verifying the validity of the permit, provide the BOE permit number in the space provided below (or attach a copy of the permit with your bid).

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State of California

STATE OF CALIFORNIA

Bid CDCR 14-002

DEPARTMENT OF CORRECTIONS AND REHABILITATION

REQUEST FOR QUOTATION EIS 4004-ITSC (Rev. 09/30/2013) PAGE 8 of 9

Retailer’s Seller’s Permit Number: _______________________

R.

SPECIFICATION COMPLIANCE If the Bidder has indicated that the products and/or services offered does not comply in all respects with the attached Exhibit A, Statement of Work (SOW), Bidder is to list any and all deviations, in detail, in his/her response. The bidder must indicate below if the product(s) / service(s) offered in this bid comply in all respects with the attached SOW. YES_________ NO_________ List below in detail any and all deviations, if the bidder has indicated that the product(s)/ services(s) offered does not comply in all respects with the attached SOW.

LIST DEVIATIONS:

S.

TOBACCO-FREE ENVIRONMENT Pursuant to Penal Code § 5030.1, the use of tobacco products by a person on the grounds of any institution or facility under the jurisdiction of CDCR is strictly prohibited.

T.

ATTACHMENTS The documents below are considered part of this solicitation. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16.

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Exhibit A, Statement of Work Exhibit A-1, Deliverable Expectation Document Exhibit A-2, Deliverable Acceptance Document Exhibit B, Budget Detail and Payment Provisions Exhibit B-1, B-2, B-3 Cost Worksheets Exhibit C, Information Technology Provisions Exhibit D, CDCR Special Provisions Attachment 1, Confidentiality and Non-Disclosure Agreement Attachment 2.1, Customer Experience/Reference Form Attachment 2.2, Customer Experience/Reference Form Attachment 2.3, Customer Experience/Reference Form Attachment 3 Standard Agreement (STD 213) Attachment 4, Bidder Instructions (GSPD-451) (see page 2 of 9) Attachment 5, Bidder Declaration (GSPD-05-105) (see page 4 of 9) Attachment 6, Disabled Veteran Business Enterprise Declarations (STD 843) (see page 4 of 9) Attachment 7, Payee Data Record (STD 204) (see page 5 of 9)

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State of California

STATE OF CALIFORNIA

Bid CDCR 14-002

DEPARTMENT OF CORRECTIONS AND REHABILITATION

REQUEST FOR QUOTATION EIS 4004-ITSC (Rev. 09/30/2013) PAGE 9 of 9

17. 18. 19. 20. U.

Attachment 8, Postconsumer-Content Certification (CIWMB 74) (see page 5 of 9) Attachment 9, California DVBE Program Requirements, if applicable (see page 5 of 9) Attachment 10, Target Area Contract Preference Act (TACPA) Program Preference (see page 6 of 9) Seller’s Permit Information (see page 7 of 9)

RESPONSE CHECKLIST The following checklist identifies applicable items that must be completed and returned with the bid, in order to be evaluated for award. This checklist must not be considered all-inclusive. It is only a tool to aid the Bidder. It is the sole responsibility of the Bidder to read the RFQ thoroughly and comply with all requirements herein. Failure to return any of these items with your bid response may result in your bid being considered nonresponsive and rejected. Signed Request for Quotation – IT Services (EIS 4004-ITSC), including all pages, Exhibits, and Attachments Bidder Declaration (GSPD-05-105) (see page 3 of 9) Disabled Veteran Business Enterprise Declarations (STD 843), if applicable (see page 4 of 9) Payee Data Record (STD 204) (see page 5 of 9) Postconsumer Content Certification Form (CIWMB 74) (see page 5 of 9) TACPA Application Forms, if applicable (see page 6 of 9) Seller’s Permit Information (see page 7 of 9) Two Responses (“Master Copy” and “Copy”) submitted in a single sealed envelope (see page 2 of 9) Two Cost Worksheets (Exhibits B-1, B-2, B-3) submitted in separate sealed envelopes (see page 3 of 9) Attachment 2.1, Customer Experience/Reference Form for each reference Attachment 2.2, Customer Experience/Reference Form for each reference Attachment 2.3, Customer Experience/Reference Form for each reference

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p. 11

State of California

Bid CDCR 14-002

ATTACHMENT 1 CONFIDENTIALITY AND NON-DISCLOSURE AGREEMENT I certify that I shall hold in confidence all discussions, bids, proposals, correspondence, memoranda, working papers, procurement of goods and services, or any other information on any media, which has any bearing on or discloses any aspect of projects within the California Department of Corrections and Rehabilitation’s (CDCR) Division of Enterprise Information Services (EIS). Based on my involvement with EIS, where applicable, I certify that I have no personal or financial interest and no present employment or activity, which would be incompatible with my participation in the discussions, review and or participation in the procurement process for this procurement and any related procurement thereof. For the duration of my involvement in this Project, I agree not to accept any gift, benefit, gratuity or consideration, or begin a personal or financial interest in a party who is offering, or associated with a business, on the Project. At all times during and after the process by which the CDCR procures Delegata Corporation’s services, CDCR’s employees, CDCR’s prospective bidders, and/or CDCR’s vendors shall keep confidential, and shall not disclose to any third party or use, such confidential information, except in the course of their employment by or contractual relationship with the Department, and for the benefit of CDCR. The parties shall protect CDCR’s confidential information using the same degree of care, but no less than a reasonable degree of care, as such party uses to protect his/her/its own confidential information. The parties shall carefully restrict access to CDCR’s confidential information, and they may disclose it only to their employees, contractors, and/or other State agencies that have a need to know it and are bound by obligations of confidentiality. I understand that consultants can be categorized as a public official for purposes of adherence to Conflict of Interest laws and the filing of a Statement of Economic Interests (Form 700). I certify that I have read and understand Conflict of Interest provisions identified in the online presentation “Ethics Orientation for State Officials” sponsored by the State of California Department of Justice, Office of the Attorney General and the Fair Political Practices Commission located at http://caag.state.ca.us/ethics/index.htm. I certify that I will keep confidential and secure and will not copy, give or otherwise disclose to any other party who has not signed a copy of this confidentiality agreement, all information concerning the planning, processes, development or procedures of the Project and all bids, proposals, correspondence, etc. which I learn in the course of my duties on the Project. I understand that the information to be kept confidential includes, but is not limited to, specifications, administrative requirements, terms and conditions, any aspect of any supplier’s response or potential response to the solicitation, and includes concepts and discussions as well as written or electronic materials. I understand that if I leave this Project before it ends, I must still keep all Project information confidential. I understand that following completion of this project that I must still maintain confidentiality should the Project and/or my organization be subject to follow-on contracting criteria per Public Contract Code §10365.5. I agree to follow any instructions provided related to the Project regarding the confidentiality of Project information.

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State of California

Bid CDCR 14-002

I fully understand that any unauthorized disclosure I make may be a basis for civil or criminal penalties and/or contract termination. I agree to advise William J. Collard, CDCR IT Acquisitions Contract Analyst, at (916) 358-2127, immediately in the event that I either learn or have reason to believe that any person who has access to Project confidential information has or intends to disclose that information in violation of this agreement. I also agree that any questions or inquiries from bidders, potential bidders or third parties shall not be answered by me and that I will direct them to the CDCR EIS Policy, Planning, Project Management, and IT Acquisitions – IT Acquisitions Unit.

Date:________________ Signature:_______________________________________________ Printed Name:_______________________

Title_______________________________

Organization:_________________________________________________________________ Telephone Number:____________________

Fax Number:________________________

Email Address:________________________________________________________________

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State of California

Bid CDCR 14-002

ATTACHMENT 2.1 CUSTOMER EXPERIENCE / REFERENCE FORM (Mandatory Qualifications, Section D.1.a of SOW)

Bidder: Make copies of this form; one for each customer. Customer: The Bidder of this RFQ is giving you this Customer Experience/Reference Form to verify your overall satisfaction of their performance. Contractor’s (Bidder) Name Contractor’s Customer Reference Name Contract Number Dollar amount of the Contract Customer Contact Name and Title Phone Number Fax Number E-Mail Address

Rating Guidelines and Description of Rating Scale: Exceptional (5) – Best-in-class performance. Performance met all contract requirements and exceeded several to the reference’s benefit. No issues were encountered. Very Good (4) – Performance met all contract requirements and exceeded some to the reference’s benefit. There were a few minor issues, which were negligible. Satisfactory (3) – Performance met contract requirements. There were some minor issues, and corrective actions taken by the Contractor were acceptable. Marginal (2) – Performance did not meet the contractual requirements. There were issues, some of a serious nature, for which corrective action was only somewhat effective. Unsatisfactory (1) – Performance did not meet contractual requirements. There were serious issues and the Contractor’s corrective actions were ineffective. (1 of 2 - Customer Experience Reference Form)

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State of California

Questions 1. How would you rate the Bidder’s EDI blue printing and design documentation? 2. How would you rate the Bidder’s EDI system integration and documentation? 3. How would you rate the Bidder’s EDI system testing and documentation? 4. How would you rate the Bidder’s Customer Service?

Bid CDCR 14-002

Rating (select one)

N/A     

N/A     

N/A      N/A     

5. How would you rate the Bidder’s Performance Support?

N/A     

6. How would you rate your level of overall satisfaction with the Bidder?

N/A     

Additional comments:

Customer’s Signature:

Date:

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State of California

Bid CDCR 14-002

ATTACHMENT 2.2 CUSTOMER EXPERIENCE / REFERENCE FORM (Mandatory Qualifications, Section D.1.b of SOW)

Bidder: Make copies of this form; one for each customer. Customer: The Bidder of this RFQ is giving you this Customer Experience/Reference Form to verify your overall satisfaction of their performance. Contractor’s (Bidder) Name Contractor’s Customer Reference Name Contract Number Dollar amount of the Contract Customer Contact Name and Title Phone Number Fax Number E-Mail Address

Rating Guidelines and Description of Rating Scale: Exceptional (5) – Best-in-class performance. Performance met all contract requirements and exceeded several to the reference’s benefit. No issues were encountered. Very Good (4) – Performance met all contract requirements and exceeded some to the reference’s benefit. There were a few minor issues, which were negligible. Satisfactory (3) – Performance met contract requirements. There were some minor issues, and corrective actions taken by the Contractor were acceptable. Marginal (2) – Performance did not meet the contractual requirements. There were issues, some of a serious nature, for which corrective action was only somewhat effective. Unsatisfactory (1) – Performance did not meet contractual requirements. There were serious issues and the Contractor’s corrective actions were ineffective. (1 of 2 - Customer Experience Reference Form)

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State of California

Questions 1. How would you rate the Bidder’s experience in providing a secure system? 2. How would you rate the Bidder’s experience in providing a reliable system capable of processing EDI documents? 3. How would you rate the Bidder’s system uptime availability? 4. How would you rate the Bidder’s Customer Service?

Bid CDCR 14-002

Rating (select one)

N/A     

N/A     

N/A      N/A     

5. How would you rate the Bidder’s Performance Support?

N/A     

6. How would you rate your level of overall satisfaction with the Bidder?

N/A     

Additional comments:

Customer’s Signature:

Date:

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State of California

Bid CDCR 14-002

ATTACHMENT 2.3 CUSTOMER EXPERIENCE / REFERENCE FORM (Mandatory Qualifications, Section D.1.e of SOW)

Bidder: Make copies of this form; one for each customer. Customer: The Bidder of this RFQ is giving you this Customer Experience/Reference Form to verify your overall satisfaction of their performance. Contractor’s (Bidder) Name Contractor’s Customer Reference Name Contract Number Dollar amount of the Contract Customer Contact Name and Title Phone Number Fax Number E-Mail Address

Rating Guidelines and Description of Rating Scale: Exceptional (5) – Best-in-class performance. Performance met all contract requirements and exceeded several to the reference’s benefit. No issues were encountered. Very Good (4) – Performance met all contract requirements and exceeded some to the reference’s benefit. There were a few minor issues, which were negligible. Satisfactory (3) – Performance met contract requirements. There were some minor issues, and corrective actions taken by the Contractor were acceptable. Marginal (2) – Performance did not meet the contractual requirements. There were issues, some of a serious nature, for which corrective action was only somewhat effective. Unsatisfactory (1) – Performance did not meet contractual requirements. There were serious issues and the Contractor’s corrective actions were ineffective. (1 of 2 - Customer Experience Reference Form)

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State of California

Questions 1. How would you rate the Bidder’s knowledge, skill set, and logistic capabilities of processing EDI business documents? 2. How would you rate the Bidder’s skill set and knowledge of SAP IDOC and EDI document integration? 3. How would you rate the Bidder’s knowledge, skill set, and logistic capabilities of sending business documents to vendors in EDI format? 4. How would you rate the Bidder’s Customer Service?

Bid CDCR 14-002

Rating (select one)

N/A     

N/A     

N/A      N/A     

5. How would you rate the Bidder’s Performance Support?

N/A     

6. How would you rate your level of overall satisfaction with the Bidder?

N/A     

Additional comments:

Customer’s Signature:

Date:

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State of California 3 ATTACHMENT SAMPLE STD 213

Bid CDCR 14-002

STATE OF CALIFORNIA

STANDARD AGREEMENT

STANDARD AGREEMENT…

STD 213www (Rev 06/07)

FOR I.T. GOODS/SERVICES ONLY REGISTRATION NUMBER

PURCHASE AUTHORITY NUMBER

AGREEMENT NUMBER

9I-0615-DCR-HQ1 1. This Agreement is entered into between the State Agency and the Contractor named below STATE AGENCY'S NAME

California Department of Corrections and Rehabilitation

(hereafter called State)

CONTRACTOR'S NAME

(hereafter called Contractor) The term of this Agreement is:

Through

3. The maximum amount of this Agreement is:

through

2.

4. The parties agree to comply with the terms and conditions of the following attachment which are by this reference

made a part of the Agreement.

* DGS IT Provisions are incorporated by reference. See Exhibit C page for website links to specific IT Provisions

IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. CALIFORNIA

Department of General Services

CONTRACTOR

Use Only

CONTRACTOR’S NAME (if other than an individual, state whether a corporation, partnership, etc.)

BY (Authorized Signature)

DATE SIGNED(Do not type)

 PRINTED NAME AND TITLE OF PERSON SIGNING

ADDRESS

STATE OF CALIFORNIA AGENCY NAME

California Department of Corrections and Rehabilitation BY (Authorized Signature)

DATE SIGNED(Do not type)

 PRINTED NAME AND TITLE OF PERSON SIGNING

Deborah Chu, Manager, IT Acquisitions Unit

Exempt per

ADDRESS

1900 Birkmont Drive Rancho Cordova, CA 95742

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State of California

ATTACHMENT 4 BIDDER INSTRUCTIONS

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Bid CDCR 14-002

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State of California

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Bid CDCR 14-002

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State of California

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Bid CDCR 14-002

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State of California

State of California—Department of General Services, Procurement Division GSPD–05–105 (EST 8/05)

ATTACHMENT 5 SAMPLE BIDDER DECLARATION

Bid CDCR 14-002 Solicitation Number_____________________

BIDDER DECLARATION 1.

Prime bidder information (Review attached Bidder Declaration Instructions prior to completion of this form): a. Identify current California certification(s) (MB, SB, SB/NVSA, DVBE): ____________ or None ____ (If “None”, go to Item #2) b. Will subcontractors be used for this contract? Yes ___ No ___ (If yes, indicate the distinct element of work your firm will perform in this contract e.g., list the proposed products produced by your firm, state if your firm owns the transportation vehicles that will deliver the products to the State, identify which solicited services your firm will perform, etc.). Use additional sheets, as necessary. _________________________________________________________________________________________________________________________ _________________________________________________________________________________________________________________________ c. If you are a California certified DVBE:

2.

(1) Are you a broker or agent? Yes ___ No ___ (2) If the contract includes equipment rental, does your company own at least 51% of the equipment provided in this contract (quantity and value)? Yes ___ No ___ N/A ___

If no subcontractors will be used, skip to certification below. Otherwise, list all subcontractors for this contract. (Attach additional pages if necessary): Subcontractor Name, Contact Person, Phone Number & Fax Number

Subcontractor Address & Email Address

CA Certification (MB, SB, DVBE or None)

Work performed or goods provided for this contract

Corresponding % of bid price

Good Standing?

51% Rental?

CERTIFICATION: By signing the bid response, I certify under penalty of perjury that the information provided is true and correct. Page_____ of _____

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State of California

Bid CDCR 14-002

State of California—Department of General Services, Procurement Division GSPD–05–105 (EST 8/05) Instructions

BIDDER DECLARATION Instructions All prime bidders (the firm submitting the bid) must complete the Bidder Declaration. 1.a. Identify all current certifications issued by the State of California. If the prime bidder has no California certification(s), check the line labeled “None” and proceed to Item #2. If the prime bidder possesses one or more of the following certifications, enter the applicable certification(s) on the line: • Microbusiness (MB) • Small Business (SB) • Small Business Nonprofit Veteran Service Agency (SB/NVSA) • Disabled Veteran Business Enterprise (DVBE) 1.b. Mark either “Yes” or “No” to identify whether subcontractors will be used for the contract. If the response is “No”, proceed to Item #1.c. If “Yes”, enter on the line the distinct element of work contained in the contract to be performed or the goods to be provided by the prime bidder. Do not include goods or services to be provided by subcontractors. Bidders certified as MB, SB, SB/NVSA, and/or DVBE must provide a commercially useful function as defined in Military and Veterans Code Section 999(e)(2)(A) for DVBEs and Government Code Section 14837(d)(4)(A) for small/microbusinesses. For questions regarding commercially useful function determinations made in conjunction with certification approval, contact the Department of General Services, Procurement Division, Office of Small Business and DVBE Certification (OSDC), OSDC Certification and Compliance Unit via email at: [email protected] Bids must propose that certified bidders provide a commercially useful function for the resulting contract or the bid will be deemed non-responsive and rejected by the State. For questions regarding the solicitation, contact the procurement official identified in the solicitation. Note: A subcontractor is any person, firm, corporation, or organization contracting to perform part of the prime’s contract. 1.c. This item is only to be completed by businesses certified by California as a DVBE. (1) Declare whether the prime bidder is a broker or agent by marking either “Yes” or “No”. The Military and Veterans Code Section 999.2 (b) defines “broker” or “agent” as a certified DVBE contractor or subcontractor that does not have title, possession, control, and risk of loss of materials, supplies, services, or equipment provided to an awarding department, unless one or more of the disabled veteran owners has at least 51-percent ownership of the quantity and value of the materials, supplies, services, and of each piece of equipment provided under the contract.

2.

2. (continued) Column Labels Subcontractor Name, Contact Person, Phone Number & Fax Number—List each element for all subcontractors. Subcontractor Address & Email Address—Enter the address and if available, an Email address. CA Certification (MB, SB, DVBE or None)—If the subcontractor possesses a current State of California certification(s), verify on the OSDC website (www.pd.dgs.ca.gov/smbus) that it is still valid and list all current certifications here. Otherwise, enter “None”. [Note: A SB/NVSA should not be participating as a subcontractor] Work performed or goods provided for this contract—Identify the distinct element of work contained in the contract to be performed or the goods to be provided by each subcontractor. Certified subcontractors must provide a commercially useful function for the contract. (See paragraph 1.b above for code citations regarding the definition of commercially useful function.) If a certified subcontractor is further subcontracting a greater portion of the work or goods provided for the resulting contract than would be expected by normal industry practices, attach a separate sheet of paper explaining the situation. Corresponding % of bid price—Enter the corresponding percentage of the total bid price for the goods and/or services to be provided by each subcontractor. Do not enter a dollar amount. Good Standing?—Provide a response for each subcontractor listed. Enter either “Yes” or “No” to indicate that the prime bidder has verified that the subcontractor(s) is in good standing for all of the following: • Possesses valid license(s) for any license(s) or permits required by the solicitation or by law • If a corporation, the company is qualified to do business in California and designated by the State of California Secretary of State to be in good standing • Possesses valid State of California certification(s) if claiming MB, SB, and/or DVBE status • Is not listed on the OSDC website as ineligible to transact business with the State 51% Rental?—This pertains to the applicability of rental equipment. Based on the following parameters, enter either “N/A” (not applicable),“Yes” or “No” for each subcontractor listed. Enter “N/A” if the: • Subcontractor is NOT a DVBE (regardless of whether or not rental equipment is provided by the subcontractor) or • Subcontractor is NOT providing rental equipment (regardless of whether or not subcontractor is a DVBE)

(2) If bidding rental equipment, mark either “Yes” or “No” to identify if the prime bidder owns at least 51% of the equipment provided (quantity and value). If not bidding rental equipment, mark “N/A” for “not applicable.”

Enter “Yes” if the subcontractor is a California certified DVBE providing rental equipment and the subcontractor owns at least 51% of the rental equipment (quantity and value) it will be providing for the contract.

If no subcontractors are proposed, do not complete the table. Read the certification at the bottom of the form and complete “Page ___ of ___” on the form.

Enter “No” if the subcontractor is a California certified DVBE providing rental equipment but the subcontractor does NOT own at least 51% of the rental equipment (quantity and value) it will be providing.

If subcontractors will be used, complete the table listing all subcontractors. If necessary, attach additional pages and complete the “Page ___ of ___” accordingly. 10/20/2014 5:41 PM

Read the certification at the bottom of the page and complete the “Page ___ of ___” accordingly. p. 25

State of California STATE OF CALIFORNIA – DEPARTMENT OF GENERAL SERVICES PROCUREMENT DIVISION

Bid CDCR ATTACHMENT 6 14-002 SAMPLE DVBE STD843

DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS STD. 843 (Rev. 5/2006)

Instructions: The disabled veteran (DV) owner(s) and DV manager(s) of the Disabled Veteran Business Enterprise (DVBE) must complete this declaration when a DVBE contractor or subcontractor will provide materials, supplies, services or equipment [Military and Veterans Code Section 999.2]. Violations are misdemeanors and punishable by imprisonment or fine and violators are liable for civil penalties. All signatures are made under penalty of perjury. SECTION 1

Name of certified DVBE:

DVBE Ref. Number:

Description (materials/supplies/services/equipment proposed): Solicitation/Contract Number:

SCPRS Ref. Number:__________________________ (FOR STATE USE ONLY) SECTION 2

APPLIES TO ALL DVBEs. Check only one box in Section 2 and provide original signatures. I (we) declare that the DVBE is not a broker or agent, as defined in Military and Veterans Code Section 999.2 (b), of materials, supplies, services or equipment listed above. Also, complete Section 3 below if renting equipment. Pursuant to Military and Veterans Code Section 999.2 (f), I (we) declare that the DVBE is a broker or agent for the principal(s) listed below or on an attached sheet(s). (Pursuant to Military and Veterans Code 999.2 (e), State funds expended for equipment rented from equipment brokers pursuant to contracts awarded under this section shall not be credited toward the 3-percent DVBE participation goal.) All DV owners and managers of the DVBE (attach additional pages with sufficient signature blocks for each person to sign):

(Printed Name of DV Owner/Manager)

(Signature of DV Owner/ Manager)

(Date Signed)

(Printed Name of DV Owner/Manager)

(Signature of DV Owner/Manager)

(Date Signed)

Firm/Principal for whom the DVBE is acting as a broker or agent: (If more than one firm, list on extra sheets.)

Firm/Principal Phone:

(Print or Type Name)

Address: SECTION 3

APPLIES TO ALL DVBEs THAT RENT EQUIPMENT AND DECLARE THE DVBE IS NOT A BROKER. Pursuant to Military and Veterans Code Section 999.2 (c), (d) and (g), I am (we are) the DV(s) with at least 51% ownership of the DVBE, or a DV manager(s) of the DVBE. The DVBE maintains certification requirements in accordance with Military and Veterans Code Section 999 et. seq. The undersigned owner(s) own(s) at least 51% of the quantity and value of each piece of equipment that will be rented for use in the contract identified above. I (we), the DV owners of the equipment, have submitted to the administering agency my (our) personal federal tax return(s) at time of certification and annually thereafter as defined in Military and Veterans Code 999.2, subsections (c) and (g). Failure by the disabled veteran equipment owner(s) to submit their personal federal tax return(s) to the administering agency as defined in Military and Veterans Code 999.2, subsections (c) and (g), will result in the DVBE being deemed an equipment broker. Disabled Veteran Owner(s) of the DVBE (attach additional pages with signature blocks for each person to sign): (Printed Name)

(Signature)

(Address of Owner)

(Telephone)

(Date Signed)

(Tax Identification Number of Owner)

Disabled Veteran Manager(s) of the DVBE (attach additional pages with sufficient signature blocks for each person to sign): (Printed Name of DV Manager)

(Signature of DV Manager)

(Date Signed)

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PRINT

CLEAR

of p. 26

State of California

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ATTACHMENT 8 SAMPLE CALRECYCLE 74

State of California

Bid CDCR 14-002

STATE OF CALIFORNIA Department of Resources Recycling and Recovery (CalRecycle) CalRecycle 74 (Revised 01/10 for State Agencies)

To be completed by the State agency

Postconsumer-Content Certification

Purchasing Agent:

PO #:

Phone:

E-mail:

State Agency:

The State Agency Buy Recycled Campaign (SABRC) is a state mandated program that requires the reporting of all purchases made within 11 specified product categories. All state agencies are required to verify the recycled-content of all products purchased within each of these categories. All businesses shall certify in writing to the contracting officer or his or her representative the minimum percentage, if not exact percentage, of postconsumer recycled-content (PCRC) material in the products, materials, goods, or supplies offered or sold to the State regardless of whether the product meets the minimum content requirements specified in law (see reverse side). The certification shall be furnished under penalty of perjury. The certification shall be provided regardless of content, even if the product contains no recycled material. A State agency may waive the certification requirement if the percentage of postconsumer material in the products, materials, goods, or supplies can be verified in a written advertisement, including, but not limited to, a product label, a catalog, or a manufacturer or vendor Internet website. Contractor/Company Name_________________________________________________________________________________ Address_____________________________________________________________________Phone_____________________

Item #

Product or Services Description

1

Percent Postconsumer RecycledContent Material

2

SABRC Product Category Code

Meets SABRC

Purchase Order # RFQ # RFP # IFB # Cal Card Order #

Public Contract Code sections 12205 (a) (1), (2), (3) and (b) (1), (2), and (3)

Pursuant to Public Contract Code 12205(a)(1), I certify under penalty of perjury under the laws of the State of California that the above information is true and correct.

______________________________________________________________________________________________________________

Print Name

Signature

Title

Date

(See footnotes on the back of this page.) 10/20/2014 5:41 PM

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FOOTNOTES: 1.

“Postconsumer recycled-content material” is defined as products that were bought, used, and recycled by consumers. For example, a newspaper that has been purchased, recycled, and used to make another product would be considered postconsumer material.

2.

“Product category” refers to one of the categories listed below, into which the reportable purchase is best placed.

3.

If the product does not belong in any of the product categories, enter “N/A.” Common “N/A” products include wood products, natural textiles, aggregate, concrete, and electronics such as computers, TV, software on a disk or CD, and telephones.

4.

Reused or refurbished products, there is no minimum content requirement. (PCC 12209 (l))

Code

Product Categories

Product Examples

Minimum Postconsumer Content Requirement

Examples are inclusive but are not limited to the individual product. Paper Products

Paper janitorial supplies, cartons, wrapping, packaging, file folders, and hanging files, building insulation and panels, corrugated boxes, tissue, and toweling.

30 percent by fiber weight postconsumer fiber.

2

Printing and Writing Papers

Copy, xerographic, watermark, cotton fiber, offset, forms, computer printout paper, white wove envelopes, manila envelopes, book paper, note pads, writing tablets, newsprint, and other uncoated writing papers, posters, index cards, calendars, brochures, reports, magazines, and publications.

30 percent by fiber weight postconsumer fiber.

3

Mulch, Compost, and Co-compost Products

Soil amendments, erosion controls, soil toppings, ground covers, weed suppressants, and organic materials used for water conservation; yard trimmings and wood byproducts that are separated from the municipal solid waste stream or other source of organic materials such as biosolids or other comparable substitutes such as livestock, horse, or other animal manure, food residues or fish processing byproducts; mechanical breakdown of materials.

80 percent recovered material that would otherwise be normally disposed of in a landfill.

4

Glass Products

Windows, test tubes, beakers, laboratory or hospital supplies, fiberglass (insulation), reflective beads, tiles, construction blocks, desktop accessories, flat glass sheets, loose-grain abrasives, deburring media, liquid filter media, and containers.

10 percent postconsumer, by weight.

5

Lubricating Oils

Intended for use in a crankcase, transmission, engine, power steering, gearbox, differential chainsaw, transformer dielectric, fluid, cutting, hydraulic, industrial, or automobile, bus, truck, vessel, plane, train, heavy equipment, or machinery powered by an internal combustion engine.

70 percent re-refined base oil.

6a

Plastic Products

Printer or duplication cartridges, diskette, carpet, office products, plastic lumber, buckets, wastebaskets, containers, benches, tables, fencing, clothing, mats, packaging, signs, posts, binders, sheet, buckets, building products, garden hose, and trays.

10 percent postconsumer, by weight.

6b

Printer or Duplication Cartridges

7

Paint

Water-based paint, graffiti abatement, interior and exterior, and maintenance.

50 percent postconsumer paint (exceptions when 50 percent postconsumer content is not available or is restricted by a local air quality management district, then 10 percent postconsumer content may be substituted).

8

Antifreeze

Recycled antifreeze, and antifreeze containing a bittering agent or made from polypropylene or other similar non-toxic substance.

70 percent postconsumer material.

9

Tires

Truck and bus tires, and those used on fleet vehicles and passenger cars.

Retreaded: Must use an existing casing that has undergone retreading or recapping process in accordance with Public Resource Code (commencing with section 42400).

10

Tire- Derived Products

Flooring, mats, wheelchair ramps, playground cover, parking bumpers, bullet traps, hoses, bumpers, truck bedliners, pads, walkways, tree ties, road surfacing, wheel chocks, rollers, traffic control products, mudflaps, and posts.

50 percent recycled used tires.

11

Metal

Staplers, paper clips, steel furniture, desks, pedestals, scissors, jacks, rebar, pipe, plumbing fixtures, chairs, ladders, file cabinets, shelving, containers, lockers, sheet metal, girders, building and construction products, bridges, braces, nails, and screws.

10 percent postconsumer material, by weight.

State of California

1

a. Have 10 percent postconsumer material, or b. Are purchased as remanufactured, or c. Are backed by a vendor-offered program that will take back the printer cartridge after their useful life and ensure that the cartridge is recycled and comply with the definition of recycled as set forth in section Public Contract Code 12156.

Bid CDCR 14-002

p. 29

For additional information, please visit www.calrecycle.ca.gov/BuyRecycled/StateAgency/

State of California

ATTACHMENT 9 DVBE PROGRAM REQUIREMENTS STD840

Bid CDCR 14-002

ATTACHMENT ___ Solicitation Number _____

CALIFORNIA DISABLED VETERAN BUSINESS ENTERPRISE (DVBE) PROGRAM REQUIREMENTS (Revision Date 02/28/2005)

Please read the requirements and instructions carefully before you begin. AUTHORITY. The Disabled Veteran Business Enterprise (DVBE) Participation Goal Program for State contracts is established in Public Contract Code (PCC), §10115 et seq., Military and Veterans Code (MVC), §999 et seq., and California Code of Regulations (CCR), Title 2, §1896.60 et seq. The minimum DVBE participation percentage (goal) is 3% for this solicitation unless another percentage is specified in the solicitation. INTRODUCTION. The bidder must complete the identified forms and fully document at least one of the options (A, B or C) in this document to comply with this solicitation’s DVBE program requirements. Bids or proposals (hereafter called “bids”) that fail to submit all required forms and fully document and meet one of the DVBE program requirement options shall be considered non-responsive. Information submitted by the intended awardee to comply with this solicitation’s DVBE requirements will be verified by the State. If evidence of an alleged violation is found during the verification process, the State shall initiate an investigation, in accordance with the requirements of the PCC §10115, et seq., and MVC §999 et seq., and follow the investigatory procedures required by the CCR §1896.80. Contractors found to be in violation of certain provisions may be subject to loss of certification, penalties and/or contract termination. Only State of California, Office of Small Business and DVBE Services (OSDS), certified DVBEs (hereafter called “DVBE”) who perform a commercially useful function relevant to this solicitation, may be used to satisfy the DVBE program requirements. The criteria and definition for performing a commercially useful function are contained herein on the page entitled Resources & Information. Bidders are to verify each DVBE subcontractor’s certification with OSDS to ensure DVBE eligibility. PLEASE READ ALL INSTRUCTIONS CAREFULLY. These instructions contain information about the DVBE program requirements, bidder responsibilities, and requirements for performing and documenting each of the three available options (Option A, Option B, or Option C) as detailed below. Bidders are responsible for thorough review and compliance with these instructions. Complete and document your option selection and related information on the forms identified herein. To meet the DVBE program requirements, bidders must complete and fully document at least one of the following compliance options: Option A - Commitment to full DVBE participation - For a bidder who is a DVBE or who is able to meet the commitment to use identified certified DVBE(s) to fulfill the full DVBE participation goal. Option B - Good Faith Effort - For a bidder documenting its completed effort, made prior to the bid due date, to obtain DVBE participation that may result in partial or no DVBE participation. (For partial participation, identified certified DVBE(s) must be used). Option C - Business Utilization Plan - For a bidder using an annual plan (subject to pre-bid submission approval) to satisfy DVBE participation requirements. Applies only to solicitations for goods and information technology.

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p. 30

State of California

Bid CDCR 14-002

ATTACHMENT ___ Solicitation Number _____

OPTION A – COMMITMENT -- Commit to meet or exceed the DVBE participation requirement in this solicitation by either Method A1 (bidder is a California certified DVBE) or A2 (bidder is not a California certified DVBE). Bidders must document DVBE participation commitment by completing and submitting the attached Documentation of Disabled Veteran Business Enterprise Program Requirements (STD. 840) and the Bidder Declaration (GSPD-05-105) located elsewhere within the solicitation document. Failure to complete and submit the required forms as instructed shall render the bid non-responsive. At the State’s option prior to award of the contract, a written confirmation from each DVBE subcontractor identified on the Bidder Declaration must be provided. As directed by the State, the written confirmation must be signed by the bidder and/or the DVBE subcontractor(s). The written confirmation may request information that includes but is not limited to the DVBE scope of work, work to be performed by the DVBE, term of intended subcontract with the DVBE, anticipated dates the DVBE will perform required work, rate and conditions of payment, and total amount to be paid to the DVBE. If further verification is necessary, the State will obtain additional information to verify the above requirements. Method A1. Certified DVBE bidder: a. Commit to performing at least 3% of the contract bid amount (unless otherwise specified) with the prime bidder’s firm or in combination with another DVBE(s). b. Document option intention on the STD. 840 (Section A) and document DVBE participation on the Bidder Declaration GSPD-05-105. c. At the State’s option a DVBE bidder working in combination with other DVBEs shall submit proof of its commitment by submitting a written confirmation from the DVBE(s) identified as a subcontractor on the Bidder Declaration. When requested, the document must be submitted to the address or facsimile number specified and within the timeframe identified in the notification. Failure to submit the written confirmation as specified may be grounds for bid rejection. Method A2. Non-DVBE bidder: a. Commit to using certified DVBE(s) for at least 3% (unless otherwise specified) of the bid amount. b. When a bidder commits to less than the required 3% DVBE participation or its commitment may fall below 3% such as when specific line items/groups are not selected for award, then Option B, Good Faith Effort must be completed. c. Document option intention on the STD. 840 (Section A) and document DVBE participation on the Bidder Declaration GSPD-05-105. Note: If Option B is selected, see Good Faith Effort documentation requirements below. d. At the State’s option prior to contract award, a bidder is to submit proof of its commitment by

submitting a written confirmation from each DVBE identified as a subcontractor on the Bidder Declaration GSPD-05-105. The awarding department contracting official named in the solicitation may contact each listed DVBE, by mail, fax or telephone, for verification of the bidder’s submitted DVBE information. When requested, the document must be submitted to the address or facsimile number specified and within the timeframe identified in the notification. Failure to submit the written confirmation as specified may be grounds for bid rejection.

OPTION B – GOOD FAITH EFFORT (GFE) performance and documentation requirements must be completely satisfied prior to bid submission if the bidder is unable to obtain and commit to the full DVBE participation percentage goal (Option A) and does not exercise Option C. Perform and document the following Steps 1 through 5 on both pages of the attached STD. 840 form. Failure to perform and document GFE Steps 1 through 5 as instructed, which includes properly completing and submitting both pages of STD. 840 and the Bidder Declaration GSPD-05-105, shall result in the bid being deemed non-

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State of California

Bid CDCR 14-002

ATTACHMENT ___ Solicitation Number _____

responsive. Step 3, Advertisement, is required unless specifically waived for this solicitation due to time limits imposed by the awarding department.

Step 1: Awarding Department (PCC §10115.2[b][1]) Contact the department’s contracting official named in this solicitation to identify interested DVBEs. The contact must be fully documented and the results described on the STD. 840 (Page 1), Section B, Step 1.

Step 2: Other State and Federal Agencies, and Local Organizations (PCC §10115.2[b][2]) All three entities must be contacted. For searches that are accomplished online, attach screen print(s) of Web results for verification. The screen prints should be current and coincide with the goods/services sought in the State’s solicitation. STATE: Contact the Department of General Services, Procurement Division (DGS-PD), Office of Small Business and DVBE Services (OSDS), to obtain a list of certified DVBEs by telephone at (916) 322-5060 for the 24-hour automated telephone system or (916) 375-4940 for the receptionist during normal business hours. This information can also be obtained by searching the online database at www.pd.dgs.ca.gov/smbus. Begin by selecting Certified Firm Inquiry Services and then search by using either the Keyword Search or the Standard Query options. The contact must be fully documented and the results described on the STD. 840 (Page 1), Section B, Step 2. FEDERAL: Search the U.S. Small Business Administration’s (SBA) Central Contractor Registration (CCR) on-line database at www.ccr.gov/ to identify potential DVBEs and click on the "Dynamic Small Business Search" button. Search options and information are provided on the CCR Dynamic Small Business Search site. First time users should click on the “help” button for detailed instructions. You must fully document this contact and describe the results on the STD. 840 (Page 1), Section B, Step 2. LOCAL: Contact at least one local DVBE organization to identify DVBEs. For a list of local DVBE organizations, please refer to the DVBE Resource Packet that may be accessed online (www.pd.dgs.ca.gov/smbus - select “DVBE Resource Packet”) or obtain a hardcopy by requesting it from DGS-PD Office of Small Business and DVBE Services (see the Resources & Information page provided herein). You must fully document your contact with local DVBE organizations and describe the results on the STD. 840 (Page 1), Section B, Step 2.

Step 3: Advertisements (PCC §10115.2[b][3]) Advertisements are mandatory unless waived by the awarding department within the solicitation. CONTENT REQUIREMENTS: Include all of the following in your advertisement(s): (1) company name; (2) contact name; (3) address; (4) telephone and facsimile numbers (if applicable); (5) e-mail address (if applicable); (6) the State’s solicitation number; (7) description of goods and/or services for which subcontractor participation is sought (Note: It must be goods and/or services for which the subcontractor will be performing a commercially useful function); (8) the location(s) of work to be performed; (9) the State’s bid due date and/or your due date for receiving DVBE responses. HOW MANY & WHERE TO PUBLISH: Bidders must publish at a minimum, two (2) ads: one (1) each in a trade paper and a DVBE focus paper unless the paper has a dual purpose (fulfilling both trade and focus Page 3 of 10 10/20/2014 5:41 PM

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State of California

Bid CDCR 14-002

ATTACHMENT ___ Solicitation Number _____

requirements as defined in CCR, Title 2, §1896.61(k)), in which case one (1) ad is acceptable in lieu of the two (2) mentioned above. Please see the DVBE Resource Packet for a list of acceptable publications.

WHEN: Pursuant to CCR §1896.63(2), advertisements must be published after the solicitation’s release date and at least 14 days prior to the bid due date, unless a different time period is expressly established in this solicitation.

DOCUMENT & SUBMIT: On the STD. 840 (Page 2), Section C, Step 3, document the publication name(s) where advertisement(s) were published, the contact name and phone number, and the date of publication. Include a copy of the advertisement(s) with your bid. Step 4: Invitations to Participate (PCC §10115.2[b][4]) WHO: Invite (solicit) DVBEs who can provide relevant goods and/or services to this solicitation to subcontract with you. Conducting Steps 1 through 3 produces a list of DVBEs from which you may choose potential DVBE subcontractors to contact. Bidders are advised to contact as many DVBEs (who provide relevant goods and/or services in the applicable location(s)) as possible. Only California certified DVBEs should be contacted -- please refer non-California certified DVBEs to the OSDS to learn about certification (see the Resources & Information page for contact information). FOR WHAT: Solicit DVBEs for goods and/or services relevant to the State’s solicitation. If you are unable to identify specific portions of the proposed contract to subcontract, the State encourages bidders to avoid making a predetermination that no DVBEs are able to perform or no portions of the work can be subcontracted, without first contacting and soliciting participation from them. This allows DVBEs to respond whether they can or cannot provide goods or services related to the solicitation, and provides a bidder with responses for consideration. HOW TO INVITE & CONTENT REQUIREMENTS: Written invitations are required. At a minimum, invitations must contain all of the following: (1) company name; (2) contact name; (3) address; (4) telephone and facsimile (if applicable) numbers; (5) return e-mail address (if applicable); (6) the State’s solicitation number; (7) description of goods and/or services for which subcontractor participation is sought (Note: It must be goods and/or services for which the subcontractor will be performing a commercially useful function); (8) the location(s) of work to be performed; (9) the State’s bid due date and/or your due date for receiving DVBE responses. The invitation should also include the anticipated schedule for subcontractor performance and terms/conditions related to payment of the subcontractor. WHEN: Provide DVBEs with a reasonable time period to receive and respond to your invitation, and to be considered by you for participation as described in Step 5 (below), prior to your bid submission. DOCUMENT & SUBMIT: Bidders must document the completed contacts on STD. 840 (Page 2), Section C. Attach additional copies of STD. 840A as necessary to list your DVBE contacts. You are required to attach a copy of: (1) each invitation or offer sent by mail, fax or e-mail; and (2) should include confirmation of transmittal or delivery. Your bid may be considered nonresponsive if it fails to include copies of the written invitations and delivery confirmations.

Step 5: Consider all responding DVBEs for contract participation (PCC §10115.2[b][5]) Consideration must be based on business needs for this contract and the same evaluation criteria must be applied to each potential DVBE subcontractor offering the same goods and services. Any firm selected for participation must be documented on the Bidder Declaration Page 4 of 10 10/20/2014 5:41 PM

p. 33

State of California

Bid CDCR 14-002

ATTACHMENT ___ Solicitation Number _____

GSPD-05-105. Bidders must commit to using the certified DVBEs in the capacity and for the amount identified on the GSPD-05-105. Any firm not selected must be identified on the STD. 840 (Page 2), Section C, and the reason for non-selection documented on the form. Attach additional copies of STD. 840A as necessary to list all of your DVBE contacts that were not selected. OPTION C – THE DVBE BUSINESS UTILIZATION PLAN (BUP) option permits bidders to submit an approved DVBE BUP to satisfy DVBE participation solicitation requirements up to 3%. DVBE BUPs apply only to solicitations for goods and Information Technology (IT) goods and services. DVBE BUPs are a company’s commitment to expend a minimum of 3% of its total statewide contract dollars with DVBEs -- this percentage is based on all of its contracts held in California, not just those with the State. DVBE BUPs must be submitted to and approved by the DGS-PD prior to the bid due date. Please call the DGS-PD, Office of Small Business and DVBE Services for assistance. Bidders choosing this option must properly complete and submit STD. 840 (Section A), the Bidders Declaration (GSPD-05105), and include a copy of its approval letter with the bid; failure to submit these documents shall render your bid non-responsive.

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State of California

Bid CDCR 14-002

ATTACHMENT ___ Solicitation Number _____

RESOURCES AND INFORMATION For questions regarding bid documentation requirements, contact the contracting official at the awarding department for this solicitation. In accordance with Public Contract Code Section 10115.2(b)(3), bidders must advertise in trade and focus publications unless the requirement is waived. The Department of General Services, Procurement Division (DGS-PD) publishes a list of trade and focus publications to assist bidders in meeting these contract requirements. To obtain this list, please contact the DGS-PD Office of Small Business and DVBE Services and request the “DVBE Resource Packet.” U.S. Small Business Administration (SBA): Use the Central Contractor Registration (CCR) on-line database. Internet contact only –Database: www.ccr.gov/.

FOR: Service-Disabled Veteran-owned businesses in California (Remember to verify each DVBE’s California certification.)

Local Organizations (see the DVBE Resource Packet available from DGS-PD DVBE Program Section listed below)

FOR: List of potential DVBE subcontractors

DGS-PD Office of Small Business and DVBE Services (OSDS) 707 Third Street, Room 1-400, West Sacramento, CA 95605 Website: www.pd.dgs.ca.gov/smbus 24-hour automated information & document requests: (916) 322-5060 Receptionist: (916) 375-4940 Fax: (916) 375-4950

FOR:  Directory of Certified DVBEs  Certification Applications  Certification Information  Certification Status, Concerns

DGS-PD Office of Small Business and DVBE Services 707 Third Street, Room 1-400, West Sacramento, CA 95605 Voice, 8 am-5 pm: (800) 559-5529 Fax: (916) 375-4597

FOR:  DVBE Program Participation Requirements  DVBE Program Info. and Statewide Policy  DVBE Resource Packet  DVBE Business Utilization Plan  Small Business/DVBE Advocates

ADVERTISEMENT FORMAT EXAMPLE

Commercially Useful Function Definition

This example offers a suggested format that includes required information outlined in Option B, Good Faith Effort, Step 3. You can substitute the applicable information for the bolded, italicized words.

California Code of Regulations, Title 2, § 1896.61(l):

DVBEs are invited to participate as a potential subcontractor to perform a commercially useful function specific to DGS’ IFB No. 12345 for fencing materials in Chowchilla. DVBE responses due to me 1/1/02; Bids due to the State 1/15/02.

As defined in MVC §999, a person or an entity is deemed to perform a "commercially useful function" if a person or entity does all of the following:

Contact: ABC Company Jane Doe, General Manager 123 Main Street, Sacramento, CA 95814 voice: 555/555-5555; fax: 555/555-5556 or e-mail: [email protected]

The term "DVBE contractor, subcontractor or supplier" means any person or entity that satisfies the ownership (or management) and control requirements of §1896.61(f); is certified in accordance with §1896.70; and provides services or goods that contribute to the fulfillment of the contract requirements by performing a commercially useful function.

   

Is responsible for the execution of a distinct element of the work of the contract. Carries out the obligation by actually performing, managing, or supervising the work involved. Performs work that is normal for its business services and functions. Is not further subcontracting a portion of the work that is greater than that expected to be subcontracted by normal industry practices.

A contractor, subcontractor, or supplier will not be considered to perform a commercially useful function if the contractor's, subcontractor's, or supplier's role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of disabled veteran business enterprise participation.

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State of California

Bid CDCR 14-002 ATTACHMENT ___ Solicitation Number _____

STATE OF CALIFORNIA – GENERAL SERVICES PROCUREMENT DIVISION

DOCUMENTATION OF DISABLED VETERAN BUSINESS ENTERPRISE PROGRAM REQUIREMENTS STD. 840 (REV. 1/2005)

A. Designation Of Option – Check the appropriate box(es) to indicate the option(s) with which you choose to comply, complete the applicable sections and attach the required supporting documentation. You are advised to read all instructions carefully prior to completing this form. Remember that only California certified DVBEs who can provide related goods and/or services may be used to satisfy these program solicitation requirements. DVBEs must perform a commercially useful function. During contract performance, all requests for substituting DVBEs subcontractors must be made in accordance with the provisions of California Code of Regulations, Title 2, §1896.64(c). OPTION A – I commit to meeting the full DVBE Agreement participation requirement. Complete:

STD. 840, Section A (check the box on this form) and Bidder Declaration form GSPD-05-105 (located elsewhere in the solicitation)

OPTION B – I performed and documented a Good Faith Effort (GFE) in an attempt to obtain DVBE participation. Complete:

STD. 840, Section A (check the box on this form), STD. 840, Section B (for GFE Steps 1 & 2), STD. 840 (REVERSE), Section C (for GFE Steps 3-5), and Bidder Declaration form GSPD-05-105 (located elsewhere in the solicitation)

OPTION C – I submit a copy of my firm’s “Notice of Approved DVBE Business Utilization Plan.” Complete:

STD. 840, Section A (check the box on this form) and Bidder Declaration form GSPD-05-105 (located elsewhere in the solicitation)

B. Documentation of Good Faith Effort Steps 1 and 2 – Full information must be provided. Remember to carefully read all instructions prior to completing this form. Please refer to the Resources & Information page for detailed contact information. STEP 1. Contact the Awarding Department (the contracting official, unless another contact is specified) to identify potential DVBE subcontractors, and document this contact below. Date Contacted

/

Contact Name

Telephone Number

/

(

)

-

ext.

Describe Result

STEP 2. Contact all of the following and document your contacts as required: Other State and federal agencies and local organizations to identify potential DVBE subcontractors. Attach screen print(s) of Web Results for verification. Other State Agency – Procurement Division, Office of Small Business and DVBE Services (OSDS) PHONE CONTACT

Date

/

OR

Telephone Number

/

Date

ONLINE SEARCH

/

Contact Name

I contacted the OSDS for a list of California certified DVBEs.

(916) 322-5060 (916) 375-4940 Internet Address

/

I searched the OSDS online database to identify California certified DVBEs.

www.pd.dgs.ca.gov/smbus

Describe Result

Federal Agency – U.S. Small Business Administration (SBA) online database Date

/

Internet Address

/

I searched the federal online database for California DVBEs.

www.ccr.gov/.

Describe Result

Local DVBE Organizations – Contact at least one local DVBE organization – refer to the DVBE Resource Packet for a list of acceptable contacts. (www.pd.dgs.ca.gov/smbus – select “DVBE Resource Packet”) Date

/

Organization Name

Contact Name

/

Telephone Number and/or Internet Address

(

)

-

www.

Describe Result

Date

/

Organization Name

/

Contact Name

Telephone Number and/or Internet Address

(

)

-

www.

Describe Result

Go to Page 2, Section C to continue Good Faith Effort documentation 

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Page 7 of 10

p. 36

State of California

Bid CDCR 14-002

ATTACHMENT ___ Solicitation Number _____

STATE OF CALIFORNIA – GENERAL SERVICES PROCUREMENT DIVISION

ADDITIONAL DISABLED VETERAN BUSINESS ENTERPRISE CONTACTS STD. 840A (REV. 1/2005)

C. Documentation of Good Faith Effort Steps 3, 4 and 5 – Full information must be provided. STEP 3. Publish advertisements: At least two (2) advertisements: One (1) ad in an accepted trade paper; and one (1) ad in an accepted DVBE focus paper (please see the DVBE Resource Packet for a list of all accepted publications and a sample advertisement format); unless the paper is an approved dual purpose (fulfilling both trade and focus requirements), in which case one (1) ad is acceptable. Document this step as required and remember to attach a copy of your advertisement(s). Focus Paper Name (list full name)

Contact Name

Telephone Number

( Address

)

-

Date Ad Published

/ Trade Paper Name (list full name)

Contact Name

/

Telephone Number

( Address

)

-

Date Ad Published

/

/

I certify the ad was placed to reach both trade and focus audiences through this one publication. Trade and Focus Paper Name (list full name)

Contact Name

Telephone Number

( Address

)

-

Date Ad Published

/

/

STEP 4 & STEP 5. Document your completed contacts with (Step 4) and consideration of (Step 5), relevant DVBEs. Business reasons for non-selection must be explained. Attach additional pages to list all other DVBE contacts (you may use STD. 840A). Copies of all written invitations must be attached. Delivery confirmations should also be attached and submitted with the bid. Date Contacted

/

DVBE Company Name

/

DVBE Contact Name & Reference #

Telephone Number

(

)

-

Fax Number

ext.

(

)

E-mail (if available)

-

Street Address, City, State, and Zip Code

DVBE was selected and is listed on the GSPD-05-105

Date Contacted

/

DVBE not selected for the following business reasons:

DVBE Company Name

/

DVBE Contact Name & Reference #

Telephone Number

(

)

-

Fax Number

ext.

(

)

E-mail (if available)

-

Street Address, City, State, and Zip Code

DVBE was selected and is listed on the GSPD-05-105

Date Contacted

/

DVBE not selected for the following business reasons:

DVBE Company Name

/

DVBE Contact Name & Reference #

Telephone Number

(

)

-

Fax Number

ext.

(

)

E-mail (if available)

-

Street Address, City, State, and Zip Code

DVBE was selected and is listed on the GSPD-05-105

DVBE not selected for the following business reasons:

ATTACH ADDITIONAL PAGES (OR USE STD. 840A) TO LIST ALL OTHER DVBE CONTACTS

10/20/2014 5:41 PM

Page 8 of 10

p. 37

State of California

Bid CDCR 14-002

ATTACHMENT ___ Solicitation Number _____

STATE OF CALIFORNIA – GENERAL SERVICES PROCUREMENT DIVISION

ADDITIONAL DISABLED VETERAN BUSINESS ENTERPRISE CONTACTS STD. 840A (REV. 1/2005)

This document may be used as a continuation from Section C, STD. 840, Steps 4 & 5 Date Contacted

/

DVBE Company Name

/

DVBE Contact Name & Reference #

Telephone Number

(

)

-

Fax Number

ext.

(

)

E-mail (if available)

-

Street Address, City, State, and Zip Code

DVBE was selected and is listed on the GSPD-05-105

Date Contacted

/

DVBE not selected for the following business reasons:

DVBE Company Name

/

DVBE Contact Name & Reference #

Telephone Number

(

)

-

Fax Number

ext.

(

)

E-mail (if available)

-

Street Address, City, State, and Zip Code

DVBE was selected and is listed on the GSPD-05-105

Date Contacted

/

DVBE not selected for the following business reasons:

DVBE Company Name

/

DVBE Contact Name & Reference #

Telephone Number

(

)

-

Fax Number

ext.

(

)

E-mail (if available)

-

Street Address, City, State, and Zip Code

DVBE was selected and is listed on the GSPD-05-105

Date Contacted

/

DVBE not selected for the following business reasons:

DVBE Company Name

/

DVBE Contact Name & Reference #

Telephone Number

(

)

-

Fax Number

ext.

(

)

E-mail (if available)

-

Street Address, City, State, and Zip Code

DVBE was selected and is listed on the GSPD-05-105

Date Contacted

/

DVBE not selected for the following business reasons:

DVBE Company Name

/

DVBE Contact Name & Reference #

Telephone Number

(

)

-

Fax Number

ext.

(

)

E-mail (if available)

-

Street Address, City, State, and Zip Code

DVBE was selected and is listed on the GSPD-05-105

10/20/2014 5:41 PM

DVBE not selected for the following business reasons:

Page 9 of 10

p. 38

State of California

Bid CDCR 14-002

ATTACHMENT ___ Solicitation Number _____

DVBE Program Requirements Supplier Checklist (Rev. 2-28-2005) Please do not submit this checklist with your bid. It is provided for your use only. Checking every box of your elected compliance option does not guarantee that your bid will be deemed compliant. OPTION A: COMMITMENT TO DVBE AGREEMENT PARTICIPATION STD. 840 included with bid Designated the Commitment Option in Section A – Checked the first box of the form STD. 840 Bidder Declaration form GSPD-05-105 completed and included with bid Proposed DVBE participation meets the 3% requirement (unless a different percentage is specified)

OPTION B: GOOD FAITH EFFORT (GFE) STD. 840 included with bid Designated the GFE Option in Section A – checked the second box of the form STD. 840 Bidder Declaration form GSPD-05-105 completed and included with bid (any participation obtained is identified on the form) (Step 1) Contacted the Awarding Department and listed the contact information and results (Step 2) Contacted Other State agency (Office of Small Business and DVBE Services) and listed the contact and results – if a DVBE search was conducted online, included a screen print with bid (Step 2) Searched the Federal U.S. Small Business Administration (SBA) using the Central Contractor Registration (CCR) on-line database, noted the results and included a screen print with bid (Step 2) Contacted Local DVBE Organization(s) and listed the contact and results – if a DVBE search was conducted online, included a screen print with bid (Step 3) Advertised – IF NOT WAIVED IN THE SOLICITATION  Listed full information for the advertisement(s) and publication(s)  At least 2 ads (one in a trade publication and one in a DVBE focus publication); OR 1 ad in one approved dual-purpose publication (for approved publications, see the Resource Packet at www.dgs.ca.gov/smbus)  Attached a copy of the advertisement(s) and affidavit(s) of publication  The advertisements were published at least 14 days prior to the bid due date (or lesser time as specified)  The advertisements included required contact information (Step 4) Listed on STD. 840 all DVBEs contacted that were not selected to perform as subcontractors  Attached copies of the invitations sent to DVBEs  Invitations included the required contact information  Attached copies of the delivery confirmations for invitations to DVBEs (e.g. mail receipts, fax confirmations, etc.) (Step 5) Listed the business reasons for non-selection of DVBEs contacted

OPTION C: BUSINESS UTILIZATION PLAN (BUP) Prior to the bid due date – Submitted a BUP to DGS-PD and received approval STD. 840 included with bid Designated the BUP Option in Section A – Checked the third box of the form STD. 840 Attached a copy of the BUP Approval letter from DGS-PD Bidder Declaration form GSPD-05-105 completed and included with bid

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State of California

Bid CDCR 14-002

ATTACHMENT 10 TACPA FORMS

Target Area Contract Preference Act (TACPA) Purpose The TACPA program was established to stimulate economic growth and employment opportunities in designated Areas throughout the state of California. Description The Department of General Services (DGS), Procurement Division (PD), Dispute Resolution Unit (DRU) oversee the TACPA program and evaluate all TACPA applications. The state agency conducting the competitive solicitation is responsible for including the preference option information and request forms, in any solicitation for a contract in excess of $100,000. However, DGS-PD recommends that state agencies include the preference option information and request of forms for any solicitation estimated to be over $85,000. However, for any contract in which the worksite is fixed by the provisions of the contract, the preference option does not apply. Whenever the state prepares a solicitation for a contract for goods, the state shall award a 5 percent preference to Californian-based companies who demonstrate and certify under penalty of perjury that at least 50 percent of the labor hours, required to manufacture the goods and perform the contract, shall be accomplished at an identified worksite or worksite located in or adjacent to a distressed area. (GC4533) In evaluating proposals for contracts for services, the state shall award 5 percent preference on the price submitted by California-based companies who demonstrate and certify under penalty of perjury that not less than 90 percent of the total labor hours requires to perform the contract shall be accomplished at an indentified worksite or worksites located in a distressed area. (GC4534) Bidders may also apply for an additional workforce preference of 1 of 4 percent if the bidder certifies under penalty of perjury to hire persons living within a targeted employment area or are enterprises zone eligible employees equal to 5 to 20 percent of its workforce during the period of the contract performance. (GC4533.1) The DGS-PD-DRU monitors compliance of all contracts awarded based on the approval of TACPA work site(s) and workforce preference. Bidders that have requested and have been given preference shall submit monthly performance reports demonstrating compliance with worksite(s) and workforce requirements (if requested). Bidder’s who fail to comply may be assessed a penalty fee or may be ineligible to directly or indirectly transact with the state for a period up to 36 months. (GC4535.1) Authority California Government Code, Title I, Division 5, Chapter 10.5, Section 4530 et seq., and California Code of Regulations, Title II, Division 2, Chapter 3, Subchapter 9, Article 1, Sections 1896.30 - 1896.41

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Related Web Sites •

California Government Code, Title I, Division 5, Chapter 10.5, Section 4530 et seq., (use this link: http://www.leginfo.ca.gov/calaw.html )



California Code of Regulations, Title II, Division 2, Chapter 3, Subchapter 9, Article 1, Sections 1896.30 - 1896.41 ( use this link: http://ccr.oal.ca.gov/linkedslice/default.asp?SP=CCR-1000&Action=Welcome )

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Standard language for contracting officials



TACPA Request Form Std 830



LAMBRA Preference Request - Std. 832



EZA Request Form Std 831



Manufacturer's Summary of Contract Activities and Labor Hours DGS/PD 525 (goods)



Bidder's Summary of Contract Activities and Labor Hours DGS/PD 526 (goods and services)

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Bid CDCR 14-002

EXHIBIT B-1 - COST WORK SHEET Cost Items Deliv Deliverable Num Title

1

EDI Implementation Cost: (Provide cost breakdown below)

2

Implementation Travel Cost

3

Transaction Cost

EDI Implemtation Due Date

Initial EDI Implementaton Cost

EDI Transactions Per Month Number of Transactions

Cost Per Transaction

External Partners Per Month Number of Partners

Cost per Partner

Transaction Size Per Month Volume

Cost per transaction Size

Monthly Recurring Cost Total Deliverable Cost

1000 >1000

4

External Partner Cost

10 >10

5

5000kc

Transaction Volume Cost

>5000kc Monthly Recurring Cost 6

(Not included in other cost/Provide cost breakdown below)

Total Base Deliverables Cost for Original Contract * Discount Total Base Deliverables Cost for Original Contract Minus Discount

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State of California

Deliv Deliverable Num Title

Due Date

Initial EDI Implementaton Cost

Number of Transactions

Cost Per Transaction

Number of Partners

Bid CDCR 14-002

Cost per Partner

Volume

Cost per transaction Size

Total Deliverable Cost

Contractor may offer a discount on invoices in order for the invoices to be paid within thirty (30) days of receipt. Discount offered must be at least one percent and a minimum of $50.00. Discount offered on invoices to be paid within 30 days of receipt =______% * The percent of discount (highest discount prevails) may be used in the event of tie bids. The contractor hereby agrees to provide all labor and transportation necessary to perform the services required in accordance with the Statement of Work and the Terms and Conditions of the Agreement. CDCR NOTE: This is a deliverables-based contract. Therefore, the hourly rates indicated here are used to aid in the determination of deliverable costs only. NOTE: PLEASE FILL IN THE YELLOW HIGHLIGHTED AREA OF THE SPREADSHEET; ALL OTHER CELLS ARE CALCULATED.

Bidder's Cost Explanation:

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EXHIBIT B-2 - COST WORK SHEET (Optional Year 1) Cost Items Deliv Deliverable Num Title

1

EDI Implementation Cost: (Provide cost breakdown below)

2

Implementation Travel Cost

3

Transaction Cost

EDI Implemtation Due Date

Initial EDI Implementaton Cost

EDI Transactions Per Month Number of Transactions

Cost Per Transaction

External Partners Per Month Number of Partners

Cost per Partner

Transaction Size Per Month Volume

Cost per transaction Size

Monthly Recurring Cost Total Deliverable Cost

1000 >1000

4

External Partner Cost

10 >10

5

5000kc

Transaction Volume Cost

>5000kc Monthly Recurring Cost 6

(Not included in other cost/Provide cost breakdown below)

Total Base Deliverables Cost for Original Contract * Discount Total Base Deliverables Cost for Original Contract Minus Discount

Page 1 of 2 10/20/2014 5:41 PM

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State of California

Deliv Deliverable Num Title

Due Date

Initial EDI Implementaton Cost

Number of Transactions

Cost Per Transaction

Number of Partners

Bid CDCR 14-002

Cost per Partner

Volume

Cost per transaction Size

Total Deliverable Cost

Contractor may offer a discount on invoices in order for the invoices to be paid within thirty (30) days of receipt. Discount offered must be at least one percent and a minimum of $50.00. Discount offered on invoices to be paid within 30 days of receipt =______% * The percent of discount (highest discount prevails) may be used in the event of tie bids. The contractor hereby agrees to provide all labor and transportation necessary to perform the services required in accordance with the Statement of Work and the Terms and Conditions of the Agreement. CDCR NOTE: This is a deliverables-based contract. Therefore, the hourly rates indicated here are used to aid in the determination of deliverable costs only. NOTE: PLEASE FILL IN THE YELLOW HIGHLIGHTED AREA OF THE SPREADSHEET; ALL OTHER CELLS ARE CALCULATED.

Bidder's Cost Explanation:

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Bid CDCR 14-002

EXHIBIT B-3 - COST WORK SHEET (Optional Year 2) Cost Items Deliv Deliverable Num Title

1

EDI Implementation Cost: (Provide cost breakdown below)

2

Implementation Travel Cost

3

Transaction Cost

EDI Implemtation Due Date

Initial EDI Implementaton Cost

EDI Transactions Per Month Number of Transactions

Cost Per Transaction

External Partners Per Month Number of Partners

Cost per Partner

Transaction Size Per Month Volume

Cost per transaction Size

Monthly Recurring Cost Total Deliverable Cost

1000 >1000

4

External Partner Cost

10 >10

5

5000kc

Transaction Volume Cost

>5000kc Monthly Recurring Cost 6

(Not included in other cost/Provide cost breakdown below)

Total Base Deliverables Cost for Original Contract * Discount Total Base Deliverables Cost for Original Contract Minus Discount

Page 1 of 2 10/20/2014 5:41 PM

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State of California

Deliv Deliverable Num Title

Due Date

Initial EDI Implementaton Cost

Number of Transactions

Cost Per Transaction

Number of Partners

Bid CDCR 14-002

Cost per Partner

Volume

Cost per transaction Size

Total Deliverable Cost

Contractor may offer a discount on invoices in order for the invoices to be paid within thirty (30) days of receipt. Discount offered must be at least one percent and a minimum of $50.00. Discount offered on invoices to be paid within 30 days of receipt =______% * The percent of discount (highest discount prevails) may be used in the event of tie bids. The contractor hereby agrees to provide all labor and transportation necessary to perform the services required in accordance with the Statement of Work and the Terms and Conditions of the Agreement. CDCR NOTE: This is a deliverables-based contract. Therefore, the hourly rates indicated here are used to aid in the determination of deliverable costs only. NOTE: PLEASE FILL IN THE YELLOW HIGHLIGHTED AREA OF THE SPREADSHEET; ALL OTHER CELLS ARE CALCULATED.

Bidder's Cost Explanation:

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Bid CDCR 14-002

EXHIBIT A -STATEMENT OF WORK

This Statement of Work (SOW) Agreement reflects the contracted services to be provided by the Contractor for the California Department of Corrections and Rehabilitation (CDCR). A. PURPOSE This SOW defines the Electronic Data Interchange (EDI) activities of the Software, Applications and Products (SAP) Supply Chain Management (SCM)/Supplier Relationship Management (SRM)/Materials Management (MM) Agreement for the Business Information System (BIS) Project within CDCR. The Contractor shall provide Managed EDI Services (MES), in addition to senior expert technical, professional implementation services, and training in EDI components to CDCR’s staff. The training and knowledge transfer provided by the Contractor shall extend the functionality and usability of the Department’s Enterprise Resource Planning (ERP) 2005 SAP production system. The Contractor shall be the EDI Subject Matter Expert (SME) and provide system analysis in partnership with the EDI Project Manager (EPM) to ensure the successful implementation of an efficient and effective EDI Solution, including SAP system integration and interfaces. The Contractor shall act as leader in the development, implementation and adherence to EDI processes that will ensure long-term viability of CDCR’s EDI system and business processes. B. BACKGROUND As part of CDCR’s efforts to improve efficiencies in its accounts payable process, a task force addressed the need to introduce MES to handle specific financial transactions. Currently, the Accounting Unit receives paper invoices and manually keys the invoice data into the BIS ERP SAP. This manual process is a significant workload, increases delays and errors, and results in excessive processing times. The Accounting Unit must eliminate manual entry in order to increase productivity, process invoices in a timely manner, reduce costs, and improve accuracy. CDCR received funding in Fiscal Year 2014/2015 to integrate EDI into its financial management practices and reporting processes. The procurement of an EDI solution will further improve CDCR’s financial processes. C. POTENTIAL SOLUTION CDCR intends to execute an Agreement with an MES Contractor who can receive invoices from CDCR’s vendors and transmit them to SAP in a format supported by EDI protocol. Vendors will transmit their invoices as a file on-line to the MES Contractor. CDCR’s Accounting Unit staff will access the MES on-line and download the invoice data into SAP.

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EXHIBIT A -STATEMENT OF WORK

The following is the environment in which the EDI solution must exist. All components are Enterprise Architecture (EA) compliant. Technical Architecture Operating System Database Technology Application Server Technology Web Server Technology Other Software

IDOC (SAP) AIX (IBM) DB2 (IBM) SAP SAP Network Communications

D. MINIMUM QUALIFICATIONS The MES Contractor must meet Mandatory Qualifications to be considered for award. Requirements for reference documentation are listed in the Contractor’s Mandatory Qualifications and will be used to verify Contractor responses. Lack of documentation will disqualify the Contractor’s response to the appropriate qualification. At CDCR’s discretion, interviews, demonstrations, and/or follow up questionnaires may be used to clarify/support, verify, or disqualify responses to the qualifications. A reference may be repeated. In addition to Attachment A, which must be filled out by each reference, include for each reference:      

Response time to issues Flexibility Reliability Issue escalation Any unresolved conflicts Experience

Append this information to Attachment A, using as many sheets as necessary. 1. Contractor’s Mandatory Qualifications a. Minimum of ten (10) years’ experience delivering and supporting EDI solutions, including five (5) full life cycle implementations (consisting of blueprint and design document creation, project realization, integration, testing, and post go-live support) in a SAP ERP environment. Contractor must provide two (2) or more references that include company name, contact information, and number of years the project lasted for each company—start and end dates of each engagement must be identified. Description of blueprint and design document creation, project realization, integration, testing, and post go-live support must be indicated for each reference above. Please include Attachment 2.1 for each reference.

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EXHIBIT A -STATEMENT OF WORK

b. Experience providing successfully managed EDI services to a minimum of five (5) large US companies, such as Fortune 500 companies, or large Public Sector organizations. Contractor must provide a minimum of two (2) references that include company names, contact information, and number of years the services were provided for each company—start and end dates of each engagement must be identified. c. Experience providing secure, reliable, and uptime system availability of twenty-four hours, seven days a week (24x7) operations, capable of processing EDI documents among CDCR and its vendors Contractor must provide documentation outlining uptime system availability for a minimum of two (2) previous engagements similar in size and scope and how requirements were met and sustained, including software, hardware, and communication setup/configuration. Please include Attachment 2.2 for each reference. d. Focused, proactive customer support approach, with skilled personnel and efficient processes to respond to issues in a timely manner. Must be able to respond to issues outside of CDCR’s business hours. Contractor must include documentation outlining response times; procedures to address issues; and service requests low, medium, high, and emergencies by customer; and policy and procedures for addressing issues that occur outside core work hours. Documentation must include an escalation process for high priority/emergency issues and service requests. e. Knowledge, skill set, and logistic capabilities to process EDI business documents, such as receiving EDI forms, translating EDI files to SAP IDOC, posting IDOC to CDCR SAP ERP, and sending CDCR documents to vendors in EDI format. Contractor must provide at least two (2) references that include company name(s), contact information, and number of years the aforementioned requirements were performed for each company—start and end dates of engagements must be identified. Please include Attachment 2.3 for each reference. f.

Documentation of disaster and recovery plans and data file backup procedures. Contractor must be able to provide transaction logs and communication message documentation, including a retention time for these documents, for a minimum of two (2) references identified in paragraphs a, b, c, d, or e above. Each reference must include the appropriate 2.1, 2.2 or 2.3 Attachment Provide turnaround times for resubmitting lost or missing EDI files in the case of load failures.

E. SCOPE OF SERVICES The objective of this engagement is to provide and manage expert technical and professional services and training in EDI modules to CDCR staff. The Contractor shall provide cross-application system analysis and work as a partner with the CDCR EPM to ensure successful implementation of efficient and effective solutions to business EDI

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EXHIBIT A -STATEMENT OF WORK

problems including system integration. The Contractor shall be a leader in the development, implementation, and adherence to internal processes that will ensure the long-term viability of CDCR’s SAP EDI system and business processes. The Contractor shall build the skill set of the CDCR team through knowledge transfer. The Contractor must implement an EDI processing mechanism and provide an EDI subsystem and all necessary communication components, including any Cloud Services. The EDI subsystem must be integrated with CDCR’s SAP ERP installed servers. The EDI service must cover the end-to-end process, translation (mapping), preparation, and transport of the EDI documents among CDCR and its vendors. Although EDI connectivity is part of the SAP R/3 applications and integrates with standard purchasing and accounting modules, the EDI conversion and communication software is not. An EDI subsystem is required for:     

Converting data; Messaging and interchange handling; Communication; Partner profile administration; and Process monitoring.

The initial scope of the implementation is limited to the inbound vendor invoice (EDI 810 document) and outbound purchase order process for selected vendors. The payment process (claim remittance) is done through the State Controller’s Office and is not within the scope of this project. The MES Contractor shall provide the following deliverables. All deliverables documents will follow the document acceptance procedures cited elsewhere in this SOW. 1.

EDI Project Plan This Plan shall document the project schedule and any subsequent revisions to it. The Contractor shall review the CDCR configuration prior to writing the EDI Project Plan.

2. User Requirement Document This document shall outline all system mandatory requirements, as well as all supplemental requirements for future system enhancements. Group and one-on-one meetings shall be used to collect the required information. 3.

System Architecture Document This document shall describe the EDI architecture needed to fulfill all accepted mandatory requirements for the production system. The architecture shall not address user-defined supplemental requirements which will serve as a basis for future system enhancements.

4. System Testing The testing of EDI shall include, but not be limited to:

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EXHIBIT A -STATEMENT OF WORK



A Test Plan that outlines the test approach to be followed for: o o o

integrated system testing; unit testing; and acceptable testing results.

Test Cases will define input, process, and anticipated output. 

Acceptance Testing shall include, but not be limited to, successful testing of all interfaces, together with the testing of CDCR’s security measures and any Department of Technology security requirements. The Contractor shall participate in the Acceptance Testing of the EDI system.

5. Implementation of EDI Components at Vendor/ CDCR Sites EDI configuration at each vendor / CDCR site shall be documented. Any lessons learned or configuration enhancements that come to light during site preparation shall be communicated to all sites for updates to the existing configuration. EDI implementation shall provide professional services to develop and implement a SAP EDI system including, but not limited to:     

Deliver an EDI subsystem (data conversion, message handling, communication and process monitoring); Develop, implement and test interfaces with CDCR’s main suppliers; Ensure highly reliable and secure data connections; Integrate vendor invoice and outbound purchase order processes into CDCR’s current SAP ERP system; and Maintain interfaces as CDCR’s and supplier systems change and build new interfaces as CDCR requires.

CDCR requires managed software services (software as a service, or SaaS) to provide and manage connections with its external business partners’ Database/Applications and the capability of point-to-point exchange, including necessary transformations, translation, and transports, upload. Business-related electronic documents, such as Invoices, Purchase Orders, and Delivery Notes, must be accommodated in the EDI solution. These documents are in industry standard EDI. The requested service must be available on a 24x7, fully automated basis. The Send, Received, Success, and Failure of the transaction must communicate to the designated CDCR staff as each transaction completes. This service must accommodate all future software and communication upgrades. After each successful transaction for Receiving (IDE), Translation (to IDOC), Upload (posting document), Generation SAP IDOC, Translation (to EDI), and Sending the EDI documents to the vendor a status report of each activity must be transmitted to CDCR. CDCR personnel must have access to review the status of the send and receive documents on a dashboard or web portal medium. The EDI service must provide 24 x 7 services that can transmit and receive EDI documents at any time. The EDI service provider must provide all testing (with the assistance of CDCR staff) and demonstrate

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EXHIBIT A -STATEMENT OF WORK

the successful completion of the EDI Transport, Translation, and Upload activities. The EDI service provider must have the resources, means, and skill-sets that allow successful completion of the initial setup, configuration and integration tests within three (3) months from the start of the contract. The SAP EDI system must meet the following minimum conditions:    

Data transferred to Contractor must be backed up and be able to be restored; The duration of data storage must be specified/ defined; SAP must be capable of decrypting the secured data; and Contractor must be able to provide technical support.

6. Training Training of CDCR staff shall be in the form of On-the-Job Training (OJT) and hands-on participation. All training must take place at the Aerojet campus of CDCR. Indicate training plans to include:   

Number of CDCR staff to be trained will be no more than five (5) CDCR staff members Training documentation must be provided in Microsoft’s Word format Duration of training will be no less than fifteen (15) business days for five (5) CDCR staff members. The training time required will be one-hundred twenty hours (120) for five (5) CDCR staff members.

F. DELIVERABLE ACCEPTANCE CRITERIA All concluded work shall be submitted to the CDCR EPM, or a selected representative, for review, approval and/or rejection. A Deliverable Expectation Document (Exhibit A-1) and Deliverable Acceptance Document (Exhibit A-2) must be submitted and approved, prior to commencement of any new work. Payment for all tasks performed under this SOW is by deliverables. It shall be CDCR’s sole determination as to whether a deliverable has been successfully completed and is acceptable. Signed acceptance is required from the CDCR EPM, or a selected representative, before approving an invoice for payment. Throughout the contract, CDCR will review and validate deliverables prior to final acceptance. In addition, the CDCR EPM, or a selected representative, will verify and approve the Contractor’s invoices. Deliverable acceptance criteria consist of the following: 1. Specific work completed as specified; the final deliverable product/service was rendered; 2. Plans, schedules, designs, documentation and reports (deliverables) completed as specified and approved; 3. All deliverable documentation and artifact gathering have been completed; 4. All deliverables must be in a format useful to the State; and

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EXHIBIT A -STATEMENT OF WORK

5. If a deliverable is not accepted, the State shall provide the reason, in writing, within ten (10) business days of receipt of the deliverable. G. CONTRACT COMPLETION CRITERIA Status monitoring and acceptance of detailed activities and deliverables as outlined above in Section F, Deliverable Acceptance Criteria, will be carried out by the CDCR EPM, or a selected representative, and assisted by the selected Contractor. Following the submission of the final review document, the CDCR EPM, or a selected representative, will inform the selected Contractor by both postal mail and e-mail when the Contractor’s services are completed. Following this notification, the Contractor shall submit a report to the Contractor’s Project Manager and the CDCR EPM, or a selected representative, confirming the completed tasks and the current status of related work at the time the services were rendered complete. H. EVALUATION OF CONTRACTOR The CDCR EPM shall complete a written evaluation of the Contractor’s performance under this Agreement within sixty (60) days following the term end date. The evaluation shall be prepared on the Contract/Contractor Evaluation Form (STD 4), and maintained in the Agreement file for three (3) years. If the Contractor’s performance was unsatisfactory, a copy of the evaluation shall be sent to the DGS, Office of Legal Services, within five (5) business days, and to the Contractor within fifteen (15) business days, following the completion of the evaluation. I.

PROJECT ASSUMPTIONS AND CONSTRAINTS 1. The Contractor’s work hours must be consistent with CDCR’s key staff on-site. CDCR’s core business hours are 8 A.M. to 5 P.M., Pacific Standard Time (PST), Monday through Friday, except for State holidays. 2. No overtime pay will be authorized for non-standard work hours. 3. Time off for the Contractor’s staff may be authorized if there is no foreseeable impact to the expected deliverables or work schedule, as determined by the CDCR EPM, or selected representative. 4. The work location is at CDCR Enterprise Information Service’s (EIS’s) Aerojet facility in Rancho Cordova, California. 5. The CDCR EPM, or selected representative, reserves the right to renegotiate services necessary to meet the needs of the project according to State priorities. CDCR and the Contractor shall mutually agree to all changes. Renegotiated services within the original scope of this Agreement shall be defined and documented on Exhibit A-1, Deliverable Expectation Document, prior to commencement of the work. Renegotiated services outside the scope of the original Agreement will require control agency approval prior to commencement of work on the renegotiated services. 6. CDCR and the Contractor are mutually obligated to keep open and regular channels of communication in order to ensure the successful execution of this contract. Both parties are responsible for communicating any potential problem or issue to the CDCR BIS EPM

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EXHIBIT A -STATEMENT OF WORK

and the Contractor, respectively, within forty-eight (48) business hours of becoming aware of said problem. 7. The Contractor certifies that it has appropriate systems and controls in place to ensure that State funds will not be used in the performance of this Agreement for the acquisition, operation, or maintenance of computer software in violation of copyright laws. 8. The Contractor certifies that all Contractor staff has the necessary skill sets, training, and/or certifications required to perform duties under this Agreement. 9. The Contractor must submit a resume for review of all personnel substitutions in advance of any personnel change. All Contractor personnel substitutions must be approved in advance by the CDCR EPM. J. CDCR ROLES AND RESPONSIBILITIES 1. CDCR will provide the Department’s mission, strategies, and programs. 2. CDCR will help resolve and escalate project issues within CDCR, as necessary. 3. The CDCR EPM, or a selected representative, will review and approve the work plan for each deliverable before the Contractor commences work. 4. The CDCR EPM, or a selected representative, will review and approve all work products. 5. CDCR will provide Contractor access to applicable files, reports, contracts, documents, and other relevant information. 6. CDCR will provide staff availability for consultation meetings. 7. CDCR will provide security access to the EIS facility at Aerojet 8. CDCR will provide workspace accommodations at EIS’s Aerojet facility in Rancho Cordova, California. Office space will include a desk, telephone, IT equipment, software, and hardware necessary for the Contractor to accomplish assigned tasks at no cost to the Contractor. 9. CDCR will not provide any clerical assistance for documents or telephone support. K. CONTRACTOR ROLES AND RESPONSIBILITIES The Contractor is required to perform and/or provide the following: 1. Support the CDCR project team with advice and assistance reasonably requested; 2. Provide assistance to the CDCR EPM, or a selected representative, in planning, monitoring, and controlling the activities and tasks to be carried out by the Contractor’s staff and;

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EXHIBIT A -STATEMENT OF WORK

3. Comply with all applicable CDCR, EIS and BIS policies and procedures including, but not limited to, the EPM guidelines. L. CONFIDENTIALITY OF INFORMATION To preserve the integrity of CDCR confidentiality and confidentiality measures, the Contractor is required to sign a confidentiality, non-disclosure and computer security policy attached to this SOW. Similarly, Contractor’s employees engaging in services to CDCR as related to this SOW and the resulting contract are required to exercise security precautions for any confidential CDCR information with which they may come in contact. The Contractor and the Contractor’s employees must sign formal compliance agreements regarding confidentiality and non-disclosure, computer security and acceptable use policy prior to commencing the work identified in this SOW. M. ENTERPRISE ARCHITECTURE 1. Introduction and Purpose CDCR operates in a dynamic environment where future success depends greatly on the organization's ability to manage change. Consequently, CDCR must manage its information technology (IT) portfolios for application services, data within those applications, and enabling technologies. To address this, CDCR undertook the development of an Enterprise Architecture (EA) which is managed by the CDCR Enterprise Information Services (EIS) Enterprise Architecture Program. EA provides a structured methodology for aligning IT investments with business needs and strategic goals and provides the foundation for the strategic deployment of IT investments at CDCR. The CDCR EA Program focuses on providing an architecture framework and methodologies for the deployment of services, data, and technologies at CDCR achieving EA benefits such as consolidation, cost avoidance, cost savings, and reuse. Additionally California’s Governor and the California Department of Technology (CDT) has recognized the benefits and value of implementing EA at a State level and has mandated agencies and departments to implement EA. To help articulate CDCR EA’s requirements, this document provides an overview for vendors when responding to a CDCR Request for Proposal (RFP), Request for Offer (RFO), Request for Quote (RFQ), or Invitation for Bid (IFB). 2. EA Services Overview The EA Program was established in late 2006 and its initial focus was technical architecture which has achieved maturity. In 2009, EA began to expand its architecture portfolios to include services achieved through applications and data within those applications. Currently these two architecture practices are in their infancy stages. However, the EA Program has focused its current attention to managing these two portfolios and leveraging new projects to achieve higher EA maturity levels. Over time, EA will have more content to approve solution architectures for EA alignment. EA expects vendors to re-use the CDCR enterprise portfolios and leverage services, data, and technologies before providing new services, data, and technologies. EA expects vendors to align to CDCR future-state logical or conceptual models as they are developed. Such an example would be future logical data model elements. The goal is to gain more consistent structure and architecture alignment to achieve enterprise goals through project solutions. Additionally, the EA Program is mandated to utilize the Federal Page 9 of 14 10/20/2014 5:41 PM

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EXHIBIT A -STATEMENT OF WORK

Enterprise Architecture (FEA) reference models which require alignment of CDCR’s performance, business, application, data, and technology architectures. While new projects or applications create their own solution architecture, individual solutions must align, support and extend to the enterprise. EA promotes this enterprise vision by leveraging new solution architecture to achieve enterprise goals realizing full benefits of CDCR IT investments. The following EA services are offered for application, data, and technical architectures of which new projects and/or applications must adhere to.

3. Project and EA Engagement Requirements The EA Program engagement frequency is based on the size and complexity of projects. The larger and more complex applications or projects require more EA interactions and approvals during the project’s lifecycle. For smaller projects, EA engages the project for solution identification. EA integration points within a project’s lifecycle have been documented in the CDCR’s Microsoft Project Templates. EA Service Architecture Research Architecture Creation Architecture Compliance Architecture Consulting

Reportable Projects Mandated Mandated Mandated Mandated

Delegated Projects As Required Mandated Mandated As Required

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EXHIBIT A -STATEMENT OF WORK

4. Key Architecture Requirements The EA Program is focused on building and managing the following portfolio views of which projects and applications must contribute and adhere to:     

Technology Standards Applications, Web Services, and Interfaces Enterprise Data Dictionary and Security Classification Technical Segments of Project Solution Architecture for Enterprise Portfolio Business Performance Metrics

5. EA Artifacts a. Architecture Information EA provides CDCR with architecture information and maintains those architecture portfolios using Troux. In order to accomplish this, new projects and applications must provide detailed information regarding their architecture for all FEA domains. Based on CDCR’s current EA maturity, certain architecture components, attributes, and relationships are required. As EA matures, so will the architecture requirements of new projects or applications. b. Models The EA modeling tool, Troux Architect, is used to model as-is, to-be, and gap analysis states for projects and applications which provide information needed for architecture sharing and analysis, identification of enterprise opportunities and ensure enterprise solutions comply with EA. CDCR EA views are at the enterprise level, integrating business processes, applications, data, technologies and projects for best value. EA relies on vendors to assist the enterprise by recognizing the enterprise business view and reflect it in the EA models submitted to EA for approval. Submitting integrated models consistent to CDCR’s architecture provides the best opportunity to be successful. Each vendor will be responsible to document their architecture in Troux and procure adequate Troux licenses to complete required EA artifacts. At the end of the project, Troux licenses will be transferred to CDCR EA to maintain created project EA artifacts. EA models are required for CDT approved projects during the software development life cycle phases (planning, analysis, design, etc.). Once the application is in production, the EA models will be refreshed periodically to capture any changes over the lifetime of the application. Contracts for more than $1,000,000 may require Vendors to procure Troux licenses. The following models are typical requirements for CDT approved projects.

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State of California

Bid CDCR 14-002

EXHIBIT A -STATEMENT OF WORK

EA Models As-is Models

To-Be Models

Web Services Models Models of Technical Segments of Project Solution Architecture for Enterprise Portfolio

Description This model shows the actual current state and environment including all other impacted applications that apply including interfaces, technologies, business process and business functions aligned to the standard FEA architectures. This model shows the expected end-state of the application in production; other impacted applications if any, all interfaces (web services and otherwise), the technologies, business process and business functions aligned to the standard FEA architectures. Models are required for each software development life cycle phase. Conceptual models are required initially. Refined detailed models are required as more information is known so at the end of the project, the to-be model results in the detailed delivered state of the application in production. Web service models are broken out separately to show web services interfaces that are exposed for enterprise re-use. There will be one model per web service. At this time, EA has not defined web service granularity therefore web services may be required to be more granular or fine grained as standards develop and mature. These models are broken out separately to show project solution architecture segments that are of particular interest to CDCR for future enterprise re-use. There will be one model per segment. The fine grain granularity of the model will need to be addressed and may change as CDCR EA practices mature.

6. EA Governance CDCR recognizes the importance of EA and its role in governing IT solution and standards decisions. The CDCR EA Program is managed by a Chief Enterprise Architect and is executed by an integrated team of architects, subject matter experts and support staff, each with a specific set of responsibilities. EA governs the formal process to document and approve project solutions through a governance process.

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State of California

Bid CDCR 14-002

EXHIBIT A -STATEMENT OF WORK

7. Key EA References  Federal Enterprise Architecture (FEA) Reference Models  National Information Exchange Model (NIEM)  Service Oriented Architecture Patterns  CDT Policy Letter 09-03 – Establishment of a Statewide EA  Statewide Information Management Manual (SIMM) Section 58  National Association of State Chief Information Officers (NASCIO) Enterprise Architecture Procedures  Troux – EA Tool N. PROJECT MANAGEMENT The DOT establishes and enforces State policy related to IT projects. This policy, described in the State Administrative Manual (SAM) Section 4800, requires State departments and agencies to follow the DOT’s California Project Management Methodology (CA-PMM) and to use the CA-PMM Toolkit for managing any IT project. In addition, IT Policy Letter 09-01 requires every IT project manager to achieve California Qualified (Cal-Q) status prior to managing an IT project. The specific training requirements necessary for achieving Cal-Q status are identified in the CDT’s Statewide Information Management Manual, Section 17E. In support of these requirements, the CDCR maintains a Project Management Methodology (CDCR-PMM). The CDCR-PMM augments, aligns with, and supplements the CA-PMM. The CDCR requires IT project managers, including vendors hired to manage or complete projects for CDCR, to possess Cal-Q status and to comply with the CA-PMM and CDCR-PMM when implementing any IT project. This includes utilizing CDCR’s schedule management tool and other templates as described in the CDCR-PMM. When responding to an RFO, RFP, RFQ or IFB associated with a CDCR IT project, vendors must include a declaration, agreeing to comply with and utilize the CA-PMM and the CDCR-PMM, including the use of CDCR’s schedule management tool. They must also complete and submit the appropriate CDT California Qualified Program – Training Requirement Validation forms (Primary and Secondary) to demonstrate the proposed project manager possesses the training and/or experience necessary for Cal-Q status. O. PERIOD OF PERFORMANCE The Period of Performance for Deliverables 1-6 identified in Section E, Scope of Services, of this SOW is six (6) months, upon final execution of the Agreement by all parties. Included in Deliverable 7 identified in Section E, Scope of Services is three (3) years of Managed Services (SaaS) and two (2) optional one (1) year extensions for Managed EDI Service at the bid price. Optional years’ bid price increases cannot exceed five (5) percent per year. Managed Services becomes effective upon the acceptance of the system by CDCR. Funding is subject to approval of project funding requests. If it is determined to be in the best interest of the State, the resulting Agreement may be amended consistent with the

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State of California

Bid CDCR 14-002

EXHIBIT A -STATEMENT OF WORK

original Scope of Services and at the contracted rates as referenced in Exhibit B-1, Cost Worksheet. P. WARRANTY Warranty for all hardware, software, parts, labor, and on-site service is for three (3) years with the option of two (2) one (1) year warranty extensions at the price indicated in Exhibit B1, Cost Worksheet. The initial three (3) years is effective upon the acceptance of the EDI system by CDCR. Q. SATISFACTION GUARANTEE If, for any reason, CDCR is not satisfied, CDCR will notify Contractor in writing within one calendar month of the time the State first becomes dissatisfied. Contractor will try to resolve the problem to CDCR’s satisfaction. If Contractor is unable to do so, CDCR will receive a credit equal to the prorated charge for the service for the period of time CDCR was dissatisfied. In the event such credit is not received, the Contractor agrees that CDCR may deduct the amount thereof from any monies due or that may become due to said supplier. R. TERMINATION OR CONTRACT MODIFICATION The State will have the right to terminate this Agreement upon thirty (30) business days advanced written notice issued to the Contractor. With the concurrence of the Contractor, the State has the right to modify the SOW for time and/or funds/and/or deliverables. S. CDCR CONTACTS 1. CDCR IT Contract Analyst William J. Collard Enterprise Information Services—IT Acquisitions Unit Phone: (916) 358-2127 Fax: (916) 358-2019 Email: [email protected] 2. CDCR EDI Project Manager Hameed Jaafari Business Information Systems Phone: (916) 358-1415 Fax: (916) 358-2019 Email: [email protected]

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State of California

Bid CDCR 14-002

EXHIBIT A-1 - DELIVERABLES EXPECTATION DOCUMENT (DED)

Stakeholder Roles and Responsibilities The following RACIVS chart shows the stakeholders for this deliverable and their respective roles and responsibilities: Deliverable

R

A

C

I

V

S

XX

R = Responsible A = Accountable C = Consulted I = Informed V = Verifies S = Signs-Off

RACIVS Key Person or party responsible for ensuring deliverable is completed to Accountable's, Verifies’, and Signs-Off’s satisfaction Person or party accountable for successful completion of the deliverable Person(s) or party(ies) assigned to provide consultation if needed Person(s) or party(ies) identified to simply be informed of deliverable progress Person(s) or party(ies) identified to review the deliverable and advise Signs-Off to accept or reject the deliverable Person or party that is the approving authority (signatory) for the completed deliverable

Anticipated Start and Stop Date Out-of-Scope The following items are not in scope for this deliverable: Assumptions The following assumptions have been identified for this deliverable: Summary of Tasks Artifacts (to be uploaded to SharePoint EA repository) Approved _____________________________________________________ CDCR User Project Manager

__________ Date

Approved _____________________________________________________ Project Consultant Team Lead

__________ Date

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State of California

Bid CDCR 14-002

EXHIBIT A-2 - DELIVERABLE ACCEPTANCE DOCUMENT (DAD)

CONTRACTOR NAME: CDCR CONTRACT NUMBER:

DED NUMBER:

DELIVERABLE TITLE: DELIVERABLE COMPLETION DATE: TOTAL COST OF APPROVED DELIVERABLE:

$

DESCRIPTION OF TASKS AND DELIVERABLE:

CDCR’S ACCEPTANCE OR REJECTION:

AUTHORIZED AND APPROVED:

CONTRACTOR / DATE

CDCR USER PROJECT MANAGER / DATE

Note: Once the Contractor and the CDCR User Project Manager, or a selected representative, has approved the DAD as stipulated in the Agreement, the Contractor may submit an invoice to the CDCR.

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State of California

Bid CDCR 14-002

EXHIBIT B - BUDGET DETAIL AND PAYMENT PROVISIONS

A. INVOICING AND PAYMENT a. For services satisfactorily rendered, and upon receipt and approval of contractor’s invoices, the CDCR agrees to pay the Contractor for services in accordance with Exhibit B-1, Rate Sheet attached hereto and made a part of this Agreement. b. Invoices shall include the Agreement Number and Purchase Order number and shall be submitted in triplicate. Upon completion and acceptance of each deliverable, but not more frequently than monthly in arrears, Contractor shall mail invoices to: California Department of Corrections and Rehabilitation Headquarters Accounting Services Section Attention: Contracts Accounts Payable P.O. Box 187018, Sacramento, CA 95818-7018 c.

Each invoice shall identify the deliverable number and title, including month or week, and the cost as itemized in Exhibit B-1. Invoices shall be on the Contractor’s letterhead, include the Contractor’s name, the CDCR Agreement number, the Consultant’s name(s), and the invoice total.

d. Invoices are submitted to the address identified above. Concurrently, an electronic copy of the invoice shall be submitted to the CDCR EIS Infrastructure Management Unit. The designee assigned to receive the electronic copy of the invoice will be: California Department of Corrections and Rehabilitation Enterprise Information Services, Aerojet Attention: Hameed Jaafari E-mail: [email protected] 2. B. BUDGET CONTINGENCY CLAUSE a. It is mutually agreed that if the California State Budget Act for the current fiscal year and/or any subsequent fiscal years covered under this Agreement does not appropriate sufficient funds for the program, this Agreement shall be of no further force and effect. In this event, the State shall have no liability to pay any funds whatsoever to Contractor, or to furnish any other considerations under this Agreement, and Contractor shall not be obligated to perform any provisions of this Agreement. b. If funding for the purposes of this program is reduced or deleted for any fiscal year by the California State Budget Act, the State shall have the option to either cancel this Agreement with no liability occurring to the State, or offer an Agreement amendment to Contractor to reflect the reduced amount.

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State of California

Bid CDCR 14-002

EXHIBIT B - BUDGET DETAIL AND PAYMENT PROVISIONS

C. PROMPT PAYMENT CLAUSE Payment will be made in accordance with, and within the time specified in, Government Code Chapter 4.5, commencing with Section 927. Payment to small/micro businesses shall be made in accordance with and within the time specified in Chapter 4.5, Government Code 927 et seq. D. SUBCONTRACTORS For all Agreements, with the exception of Interagency Agreements and other governmental entities/auxiliaries that are exempt from bidding, nothing contained in this Agreement, or otherwise, shall create any contractual relation between the State and any subcontractors, and no subcontract shall relieve the Contractor of Contractor’s responsibilities and obligations hereunder. The Contractor agrees to be as fully responsible to the State for the acts and omissions of its subcontractors and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the Contractor. The Contractor’s obligation to pay its subcontractors is an independent obligation from the State’s obligation to make payments to the Contractor. As a result, the State shall have no obligation to pay or to enforce the payment of any moneys to any subcontractor. E. RATES AND PAYMENT SCHEDULE Payment shall be upon satisfactory performance of work and upon receipt of an invoice received and approved by the designated CDCR representative(s). For services satisfactorily rendered, and upon receipt and approval of correct invoices, the State agrees to compensate the Contractor for actual expenditures incurred in accordance with the rates specified herein, which is attached hereto and made a part of the Agreement.

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State of California

Cost Items Deliv Deliverable Num Title

1

EDI Implementation Cost: (Provide cost breakdown below)

2

Implementation Travel Cost

3

Transaction Cost

EDI Implemtation Due Date

Initial EDI Implementaton Cost

Bid CDCR 14-002

EXHIBIT B-1 - COST WORK SHEET EDI Transactions External Partners Per Month Per Month Number of Transactions

Cost Per Transaction

Number of Partners

Cost per Partner

Transaction Size Per Month Volume

Cost per transaction Size

Monthly Recurring Cost Total Deliverable Cost

1000 >1000

4

External Partner Cost

10 >10

5

5000kc

Transaction Volume Cost

>5000kc Monthly Recurring Cost 6

(Not included in other cost/Provide cost breakdown below)

Total Base Deliverables Cost for Original Contract * Discount Total Base Deliverables Cost for Original Contract Minus Discount Contractor may offer a discount on invoices in order for the invoices to be paid within thirty (30) days of receipt. Discount offered must be at least one percent and a minimum of $50.00. Discount offered on invoices to be paid within 30 days of receipt =______% * The percent of discount (highest discount prevails) may be used in the event of tie bids. The contractor hereby agrees to provide all labor and transportation necessary to perform the services required in accordance with the Statement of Work and the Terms and Conditions of the Agreement. CDCR NOTE: This is a deliverables-based contract. Therefore, the hourly rates indicated here are used to aid in the determination of deliverable costs only. NOTE: PLEASE FILL IN THE YELLOW HIGHLIGHTED AREA OF THE SPREADSHEET; ALL OTHER CELLS ARE CALCULATED.

Bidder's Cost Explanation:

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p. 66

State of California

Bid CDCR 14-002

EXHIBIT B-2 - COST WORK SHEET (Optional Year 1) Cost Items Deliv Deliverable Num Title

1

EDI Implementation Cost: (Provide cost breakdown below)

2

Implementation Travel Cost

3

Transaction Cost

EDI Implemtation Due Date

Initial EDI Implementaton Cost

EDI Transactions Per Month Number of Transactions

Cost Per Transaction

External Partners Per Month Number of Partners

Cost per Partner

Transaction Size Per Month Volume

Cost per transaction Size

Monthly Recurring Cost Total Deliverable Cost

1000 >1000

4

External Partner Cost

10 >10

5

5000kc

Transaction Volume Cost

>5000kc Monthly Recurring Cost 6

(Not included in other cost/Provide cost breakdown below)

Total Base Deliverables Cost for Original Contract * Discount Total Base Deliverables Cost for Original Contract Minus Discount Contractor may offer a discount on invoices in order for the invoices to be paid within thirty (30) days of receipt. Discount offered must be at least one percent and a minimum of $50.00. Discount offered on invoices to be paid within 30 days of receipt =______% * The percent of discount (highest discount prevails) may be used in the event of tie bids. The contractor hereby agrees to provide all labor and transportation necessary to perform the services required in accordance with the Statement of Work and the Terms and Conditions of the Agreement. CDCR NOTE: This is a deliverables-based contract. Therefore, the hourly rates indicated here are used to aid in the determination of deliverable costs only. NOTE: PLEASE FILL IN THE YELLOW HIGHLIGHTED AREA OF THE SPREADSHEET; ALL OTHER CELLS ARE CALCULATED.

Bidder's Cost Explanation:

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p. 67

State of California

Bid CDCR 14-002

EXHIBIT B-3 - COST WORK SHEET (Optional Year 2) Cost Items Deliv Deliverable Num Title

1

EDI Implementation Cost: (Provide cost breakdown below)

2

Implementation Travel Cost

3

Transaction Cost

EDI Implemtation Due Date

Initial EDI Implementaton Cost

EDI Transactions Per Month Number of Transactions

Cost Per Transaction

External Partners Per Month Number of Partners

Cost per Partner

Transaction Size Per Month Volume

Cost per transaction Size

Monthly Recurring Cost Total Deliverable Cost

1000 >1000

4

External Partner Cost

10 >10

5

5000kc

Transaction Volume Cost

>5000kc Monthly Recurring Cost 6

(Not included in other cost/Provide cost breakdown below)

Total Base Deliverables Cost for Original Contract * Discount Total Base Deliverables Cost for Original Contract Minus Discount Contractor may offer a discount on invoices in order for the invoices to be paid within thirty (30) days of receipt. Discount offered must be at least one percent and a minimum of $50.00. Discount offered on invoices to be paid within 30 days of receipt =______% * The percent of discount (highest discount prevails) may be used in the event of tie bids. The contractor hereby agrees to provide all labor and transportation necessary to perform the services required in accordance with the Statement of Work and the Terms and Conditions of the Agreement. CDCR NOTE: This is a deliverables-based contract. Therefore, the hourly rates indicated here are used to aid in the determination of deliverable costs only. NOTE: PLEASE FILL IN THE YELLOW HIGHLIGHTED AREA OF THE SPREADSHEET; ALL OTHER CELLS ARE CALCULATED.

Bidder's Cost Explanation:

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p. 68

State of California

Bid CDCR 14-002

EXHIBIT C - DGS INFORMATION TECHNOLOGY PROVISIONS

The following DGS provisions for Information Technology are hereby incorporated by reference and made part of this Agreement as if attached hereto: 

General Provisions – Information Technology (GSPD-401IT), effective date 09/05/14. http://www.documents.dgs.ca.gov/pd/poliproc/GSPD401IT14_0905.pdf

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p. 69

State of California

Bid CDCR 14-002

EXHIBT D - STATE MODEL CLOUD COMPUTING SERVICES SPECIAL PROVISIONS (Software as a Service)

THESE SPECIAL PROVISIONS ARE ONLY TO BE USED FOR SOFTWARE AS A SERVICE (SaaS), AS DEFINED BELOW. THESE SPECIAL PROVISIONS ARE TO BE ATTACHED TO THE GENERAL PROVISIONS – INFORMATION TECHNOLOGY AND ACCOMPANIED BY, AT MINIMUM, A STATEMENT OF WORK (SOW) AND SERVICE LEVEL AGREEMENT (SLA). STATE AGENCIES MUST FIRST: A. CLASSIFY THEIR DATA PURSUANT TO THE CALIFORNIA STATE ADMINISTRATIVE MANUAL (SAM) 5305.5; B. CONSIDER THE FACTORS TO BE TAKEN INTO ACCOUNT WHEN SELECTING A PARTICULAR TECHNOLOGICAL APPROACH, IN ACCORDANCE WITH SAM 4981.1, 4983 AND 4983.1 AND THEN; C. MODIFY THESE SPECIAL PROVISIONS THROUGH THE SOW AND/OR SLA TO MEET THE NEEDS OF EACH ACQUISITION. 1. Definitions a) “Cloud Software as a Service (SaaS)” - The capability provided to the consumer is to use applications made available by the provider running on a cloud infrastructure. The applications are accessible from various client devices through a thin client interface such as a web browser (e.g., web-based email). The consumer does not manage or control the underlying cloud infrastructure including network, servers, operating systems, storage, or even individual application capabilities, with the possible exception of limited user-specific application configuration settings. b) “Cloud Platform as a Service (PaaS)” - The capability provided to the consumer is to deploy onto the cloud infrastructure consumer-created or acquired applications created using programming languages and tools supported by the provider. The consumer does not manage or control the underlying cloud infrastructure including network, servers, operating systems, or storage, but has control over the deployed applications and possibly application hosting environment configurations. c) “Cloud Infrastructure as a Service (IaaS)” - The capability provided to the consumer is to provision processing, storage, networks, and other fundamental computing resources where the consumer is able to deploy and run arbitrary software, which can include operating systems and applications. The consumer does not manage or control the underlying cloud infrastructure but has control over operating systems; storage, deployed applications, and possibly limited control of select networking components (e.g., host firewalls). d) “Data” - means any information, formulae, algorithms, or other content that the State, the State’s employees, agents and end users upload, create or modify using the SaaS pursuant to this Contract. Data also includes user identification information and metadata which may contain Data or from which the State’s Data may be ascertainable. e) “Data Breach” - means any access, destruction, loss, theft, use, modification or disclosure of Data by an unauthorized party or that is in violation of Contract terms and/or applicable state or federal law. f) “Recovery Point Objective (RPO)” - means the point in time to which Data can be recovered and/or systems restored when service is restored after an interruption. The Recovery Point Objective is expressed as a length of time between the interruption and the most proximate backup of Data immediately preceding the interruption. The RPO is detailed in the SLA. g) “Recovery Time Objective (RTO)” - means the period of time within which information technology services, systems, applications and functions must be recovered following an unplanned interruption. The RTO is detailed in the SLA.

DGS Procurement Division

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Page 1

09/03/14

p. 70

State of California

Bid CDCR 14-002

EXHIBT D - STATE MODEL CLOUD COMPUTING SERVICES SPECIAL PROVISIONS (Software as a Service) Terms 2. SaaS AVAILABILITY: Unless otherwise stated in the Statement of Work, a) The SaaS shall be available twenty-four (24) hours per day, 365 days per year (excluding agreed-upon maintenance downtime). b) If SaaS monthly availability averages less than 99.9% (excluding agreed-upon maintenance downtime), the State shall be entitled to recover damages, apply credits or use other contractual remedies as set forth in the Statement of Work. c) If SaaS monthly availability averages less than 99.9% (excluding agreed-upon maintenance downtime), for three (3) or more months in a rolling twelve-month period, the State may terminate the contract for material breach in accordance with the Termination for Default provision in the General Provisions – Information Technology. d) Contractor shall provide advance written notice to the State in the manner set forth in the Statement of Work of any major upgrades or changes that will affect the SaaS availability. 3. DATA AVAILABILITY: Unless otherwise stated in the Statement of Work, a) The Data shall be available twenty-four (24) hours per day, 365 days per year (excluding agreed-upon maintenance downtime). b) If Data monthly availability averages less than 99.9% (excluding agreed-upon maintenance downtime), the State shall be entitled to recover damages, apply credits or use other contractual remedies as set forth in the Statement of Work if the State is unable to access the Data as a result of: 1) Acts or omission of Contractor; 2) Acts or omissions of third parties working on behalf of Contractor; 3) Network compromise, network intrusion, hacks, introduction of viruses, disabling devices, malware and other forms of attack that can disrupt access to Contractor’s server, to the extent such attack would have been prevented by Contractor taking reasonable industry standard precautions; 4) Power outages or other telecommunications or Internet failures, to the extent such outages were within Contractor’s direct or express control. c) If Data monthly availability averages less than 99.9% (excluding agreed-upon maintenance downtime), for three (3) or more months in a rolling twelve-month period, the State may terminate the contract for material breach in accordance with the Termination for Default provision in the General Provisions – Information Technology. 4. SaaS and DATA SECURITY: a) In addition to the Compliance with Statutes and Regulations provision set forth in the General Provisions – Information Technology, Contractor shall certify to the State: 1) The sufficiency of its security standards, tools, technologies and procedures in providing SaaS under this Contract; 2) Compliance with the following: i. The California Information Practices Act (Civil Code Sections 1798 et seq.); ii. Security provisions of the California State Administrative Manual (Chapters 5100 and 5300) and the California Statewide Information Management Manual (Sections 58C, 58D, 66B, 5305A, 5310A and B, 5325A and B, 5330A, B and C, 5340A, B and C, 5360B); iii. Undergo an annual Statement on Standards for Attestation Engagements (SSAE) No. 16 Service Organization Control (SOC) 2 Type II audit. Audit results and Contractor’s plan to correct any negative findings shall be made available to the State upon request; and iv. Privacy provisions of the Federal Privacy Act of 1974;

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Page 2

09/03/14

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State of California

Bid CDCR 14-002

EXHIBT D - STATE MODEL CLOUD COMPUTING SERVICES SPECIAL PROVISIONS (Software as a Service)

b)

c) d) e) f)

3) Compliance with applicable industry standards and guidelines, including but not limited to relevant security provisions of the Payment Card Industry (PCI) Data Security Standard (PCIDSS) including the PCIDSS Cloud Computing Guidelines. Contractor shall implement and maintain all appropriate administrative, physical, technical and procedural safeguards in accordance with section a) above at all times during the term of this Contract to secure such Data from Data Breach, protect the Data and the SaaS from hacks, introduction of viruses, disabling devices, malware and other forms of malicious or inadvertent acts that can disrupt the State’s access to its Data. Contractor shall allow the State reasonable access to SaaS security logs, latency statistics, and other related SaaS security data that affect this Contract and the State’s Data, at no cost to the State. Contractor assumes responsibility for the security and confidentiality of the Data under its control. No Data shall be copied, modified, destroyed or deleted by Contractor other than for normal operation or maintenance of SaaS during the Contract period without prior written notice to and written approval by the State. Remote access to Data from outside the continental United States, including remote access to Data by authorized SaaS support staff in identified support centers, is prohibited unless approved in advance by the State Chief Information Security Officer.

5. ENCRYPTION: Confidential, sensitive or personal information shall be encrypted in accordance with California State Administrative Manual 5350.1 and California Statewide Information Management Manual 5305-A. 6. DATA LOCATION: Unless otherwise stated in the Statement of Work and approved in advance by the State Chief Information Security Officer, the physical location of Contractor’s data center where the Data is stored shall be within the continental United States. 7. RIGHTS TO DATA: The parties agree that as between them, all rights, including all intellectual property rights, in and to Data shall remain the exclusive property of the State, and Contractor has a limited, non-exclusive license to access and use the Data as provided to Contractor solely for performing its obligations under the Contract. Nothing herein shall be construed to confer any license or right to the Data, including user tracking and exception Data within the system, by implication, estoppel or otherwise, under copyright or other intellectual property rights, to any third party. Unauthorized use of Data by Contractor or third parties is prohibited. For the purposes of this requirement, the phrase “unauthorized use” means the data mining or processing of data, stored or transmitted by the service, for unrelated commercial purposes, advertising or advertising-related purposes, or for any other purpose other than security or service delivery analysis that is not explicitly authorized. 8. TRANSITION PERIOD: a) For ninety (90) days prior to the expiration date of this Contract, or upon notice of termination of this Contract, Contractor shall assist the State in extracting and/or transitioning all Data in the format determined by the State (“Transition Period”). b) The Transition Period may be modified in the SOW or as agreed upon in writing by the parties in a contract amendment. c) During the Transition Period, SaaS and Data access shall continue to be made available to the State without alteration. d) Contractor agrees to compensate the State for damages or losses the State incurs as a result of Contractor’s failure to comply with this section in accordance with the Limitation of Liability provision set forth in the General Provisions - Information Technology. e) Unless otherwise stated in the SOW, the Contractor shall permanently destroy or render inaccessible any portion of the Data in Contractor’s and/or subcontractor’s possession or control following the expiration of all DGS Procurement Division

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State of California

Bid CDCR 14-002

EXHIBT D - STATE MODEL CLOUD COMPUTING SERVICES SPECIAL PROVISIONS (Software as a Service)

f)

obligations in this section. Within thirty (30) days, Contractor shall issue a written statement to the State confirming the destruction or inaccessibility of the State’s Data. The State at its option, may purchase additional transition services as agreed upon in the SOW.

9. DATA BREACH: Unless otherwise stated in the Statement of Work, a) Upon discovery or reasonable belief of any Data Breach, Contractor shall notify the State by the fastest means available and also in writing, with additional notification provided to the Chief Information Security Officer or designee of the contracting agency. Contractor shall provide such notification within forty-eight (48) hours after Contractor reasonably believes there has been such a Data Breach. Contractor’s notification shall identify: 1) The nature of the Data Breach; 2) The Data accessed, used or disclosed; 3) The person(s) who accessed, used, disclosed and/or received Data (if known); 4) What Contractor has done or will do to quarantine and mitigate the Data Breach; and 5) What corrective action Contractor has taken or will take to prevent future Data Breaches. b) Contractor will provide daily updates, or more frequently if required by the State, regarding findings and actions performed by Contractor until the Data Breach has been effectively resolved to the State’s satisfaction. c) Contractor shall quarantine the Data Breach, ensure secure access to Data, and repair SaaS as needed in accordance with the SLA. Failure to do so may result in the State exercising its options for assessing damages or other remedies under this Contract. d) Notwithstanding anything to the contrary in the General Provisions - Information Technology, in performing services under this Contract, and to the extent authorized by the State in the Statement of Work, Contractor may be permitted by the State to use systems, or may be granted access to the State systems, which store, transmit or process State owned, licensed or maintained computerized Data consisting of personal information, as defined by Civil Code Section 1798.29 (g). If the Contractor causes or knowingly experiences a breach of the security of such Data, Contractor shall immediately report any breach of security of such system to the State following discovery or notification of the breach in the security of such Data. The State’s Chief Information Security Officer, or designee, shall determine whether notification to the individuals whose Data has been lost or breached is appropriate. If personal information of any resident of California was, or is reasonably believed to have been acquired by an unauthorized person as a result of a security breach of such system and Data that is not due to the fault of the State or any person or entity under the control of the State, Contractor shall bear any and all costs associated with the State’s notification obligations and other obligations set forth in Civil Code Section 1798.29 (d) as well as the cost of credit monitoring, subject to the dollar limitation, if any, agreed to by the State and Contractor in the applicable Statement of Work. These costs may include, but are not limited to staff time, material costs, postage, media announcements, and other identifiable costs associated with the breach of the security of such personal information. e) Contractor shall conduct an investigation of the Data Breach and shall share the report of the investigation with the State. The State and/or its authorized agents shall have the right to lead (if required by law) or participate in the investigation. Contractor shall cooperate fully with the State, its agents and law enforcement. 10. DISASTER RECOVERY/BUSINESS CONTINUITY: Unless otherwise stated in the Statement of Work, a) In the event of disaster or catastrophic failure that results in significant Data loss or extended loss of access to Data, Contractor shall notify the State by the fastest means available and also in writing, with additional notification provided to the Chief Information Security Officer or designee of the contracting agency.

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EXHIBT D - STATE MODEL CLOUD COMPUTING SERVICES SPECIAL PROVISIONS (Software as a Service) Contractor shall provide such notification within twenty-four (24) hours after Contractor reasonably believes there has been such a disaster or catastrophic failure. In the notification, Contactor shall inform the State of: 1) The scale and quantity of the Data loss; 2) What Contractor has done or will do to recover the Data and mitigate any deleterious effect of the Data loss; and 3) What corrective action Contractor has taken or will take to prevent future Data loss. 4) If Contractor fails to respond immediately and remedy the failure, the State may exercise its options for assessing damages or other remedies under this Contract. b) Contractor shall restore continuity of SaaS, restore Data in accordance with the RPO and RTO as set forth in the SLA, restore accessibility of Data, and repair SaaS as needed to meet the performance requirements stated in the SLA. Failure to do so may result in the State exercising its options for assessing damages or other remedies under this Contract. c) Contractor shall conduct an investigation of the disaster or catastrophic failure and shall share the report of the investigation with the State. The State and/or its authorized agents shall have the right to lead (if required by law) or participate in the investigation. Contractor shall cooperate fully with the State, its agents and law enforcement. 11. EXAMINATION AND AUDIT: In addition to the Examination and Audit provision set forth in the General Provisions - Information Technology, unless otherwise stated in the Statement of Work: a) Upon advance written request, Contractor agrees that the State or its designated representative shall have access to Contractor’s SaaS, operational documentation, records and databases, including online inspections, that relate to the SaaS purchased by the State. b) The online inspection shall allow the State, its authorized agents, or a mutually acceptable third party to test that controls are in place and working as intended. Tests may include, but not be limited to, the following: 1) Operating system/network vulnerability scans, 2) Web application vulnerability scans, 3) Database application vulnerability scans, and 4) Any other scans to be performed by the State or representatives on behalf of the State. c) After any significant Data loss or Data Breach or as a result of any disaster or catastrophic failure, Contractor will at its expense have an independent, industry-recognized, State-approved third party perform an information security audit. The audit results shall be shared with the State within seven (7) days of Contractor’s receipt of such results. Upon Contractor receiving the results of the audit, Contractor will provide the State with written evidence of planned remediation within thirty (30) days and promptly modify its security measures in order to meet its obligations under this Contract. 12. DISCOVERY: Contractor shall promptly notify the State upon receipt of any requests which in any way might reasonably require access to the Data of the State or the State's use of the SaaS. Contractor shall notify the State by the fastest means available and also in writing, with additional notification provided to the Chief Information Security Officer or designee of the contracting agency, unless prohibited by law from providing such notification. Contractor shall provide such notification within forty-eight (48) hours after Contractor receives the request. Contractor shall not respond to subpoenas, service of process, Public Records Act requests, and other legal requests directed at Contractor regarding this Contract without first notifying the State unless prohibited by law from providing such notification. Contractor agrees to provide its intended responses to the State with adequate time for the State to review, revise and, if necessary, seek a protective order in a court of competent jurisdiction. Contractor shall not respond to legal requests directed at the State unless authorized in writing to do so by the State.

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EXHIBIT E - CDCR SPECIAL PROVISIONS

A. AGREEMENT AMENDMENT If it is determined to be in the best interest of the State, the resulting Agreement may be amended to increase quantity and/or time consistent with the original Agreement. Upon signing the Amendment, the Contractor hereby agrees to provide services for the extended period at the rates specified in Exhibit B-1, Rate Sheet, of the original Agreement. B. ACCOUNTING PRINCIPLES The Contractor shall adhere to generally accepted accounting principles as outlined by the American Institute of Certified Public Accountants. Dual compensation is not allowed; a Contractor cannot receive simultaneous compensation from two or more funding sources for the same services performed even though both funding sources could benefit. C. SUBCONTRACTOR/CONSULTANT INFORMATION Contractor is required to identify all subcontractors and consultants who shall perform labor or render services in the performance of this Agreement. Additionally, the Contractor shall notify the Department of Corrections and Rehabilitation, Enterprise Information Services IT Acquisitions Unit, in writing and within ten (10) working days, of any changes to the subcontractor and/or consultant information. D. EMPLOYMENT OF EX-OFFENDERS (DOM 31060.5.5) 1. Contractor cannot and shall not either directly, or on a subcontract basis, employ in connection with this Agreement: a. Ex-Offenders on active parole or probation; b. Ex-Offenders at any time if they are required to register as a sex offender pursuant to Penal Code Section 290 or if such ex-offender has an offense history involving a “violent felony” as defined in subparagraph (c) of Penal Code Section 667.5; or c. Any ex-felon in a position which provides direct supervision of parolees. 2. Ex-Offenders who can provide written evidence of having satisfactorily completed parole or probation may be considered for employment by the Contractor subject to the following limitations: a. Contractor shall obtain the prior written approval to employ any such ex-offender from the Authorized Administrator; and b. Any ex-offender whose assigned duties are to involve administrative or policy decision-making; accounting, procurement, cashiering, auditing, or any other

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business-related administrative function shall be fully bonded to cover any potential loss to the State of California. E. LICENSES AND PERMITS (revised 03/04) The Contractor shall be an individual or firm licensed to do business in California and shall obtain at Contractor’s expense all license(s) and permit(s) required by law for accomplishing any work required in connection with this Agreement. In the event any license(s) and/or permit(s) expire at any time during the term of this Agreement, Contractor agrees to provide the CDCR with a copy of the renewed license(s) and/or permit(s) within thirty (30) days following the expiration date. In the event the Contractor fails to keep in effect at all times all required license(s) and permit(s), the State may, in addition to any other remedies it may have, terminate this Agreement upon occurrence of such event. F. CONFLICT OF INTEREST (revised 01/28/02) If this is a Consulting Agreement, the Contractor and its employees shall abide by the provisions of Government Code (GC) Sections 1090, 81000 et seq., 82000 et seq., 87100 et seq., and 87300 et seq., Public Contract Code (PCC) Sections 10335 et seq. and 10410 et seq., California Code of Regulations (CCR), Title 2, Section 18700 et seq. and Title 15, Section 3409, and the Department Operations Manual (DOM) Section 31100 et seq. regarding conflicts of interest. a. Contractors and Their Employees

Consultant Contractors shall file a Statement of Economic Interests, Fair Political Practices Commission (FPPC) Form 700 prior to commencing services under the Agreement, annually during the life of the Agreement, and within thirty (30) days after the expiration of the Agreement. Other service Contractors and/or certain of their employees may be required to file a Form 700 if so requested by the CDCR or whenever it appears that a conflict of interest may be at issue. Generally, service Contractors (other than consultant Contractors required to file as above) and their employees shall be required to file an FPPC Form 700 if one of the following exists: (1) The Agreement service has been identified by the CDCR as one where there is a greater likelihood that a conflict of interest may occur; (2) The Contractor and/or Contractor’s employee(s), pursuant to the Agreement, makes or influences a governmental decision; or (3) The Contractor and/or Contractor’s employee(s) serves in a staff capacity with the CDCR and in that capacity participates in making a governmental decision or performs the same or substantially all the same duties for the CDCR that would otherwise be performed by an individual holding a position specified in the CDCR’s Conflict of Interest Code.

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b. Current State Employees

(1) No officer or employee shall engage in any employment, activity or enterprise from which the officer or employee receives compensation or has a financial interest and which is sponsored or funded by any state agency, unless the employment, activity or enterprise is required as a condition of regular state employment. (2) No officer or employee shall contract on his or her own behalf as an independent Contractor with any state agency to provide goods or services. (3) In addition to the above, CDCR officials and employees shall also avoid actions resulting in or creating an appearance of: a. Using an official position for private gain; b. Giving preferential treatment to any particular person; c. Losing independence or impartiality; d. Making a decision outside of official channels; and e. Affecting adversely the confidence of the public or local officials in the integrity of the program. f.

Officers and employees of the Department shall not solicit, accept or receive, directly or indirectly, any fee, commission, gratuity or gift from any person or business organization doing or seeking to do business with the State.

c. Former State Employees

(1) For the two (2) year period from the date he or she left state employment, no former state officer or employee may enter into an Agreement in which he or she engaged in any of the negotiations, transactions, planning, arrangements or any part of the decision-making process relevant to the Agreement while employed in any capacity by any state agency. (2) For the twelve (12) month period from the date he or she left state employment, no former state officer or employee may enter into an Agreement with any state agency if he or she was employed by that state agency in a policy-making position in the same general subject area as the proposed Agreement within the twelve (12) month period prior to his or her leaving state service. In addition to the above, the Contractor shall avoid any conflict of interest whatsoever with respect to any financial dealings, employment services, or opportunities offered to inmates or parolees. The Contractor shall not itself employ or offer to employ inmates or parolees either directly or indirectly through an affiliated company, person or business unless specifically authorized in writing by the CDCR. In addition, the Contractor shall not (either directly, or indirectly through an affiliated company, person or business) engage in financial dealings with inmates or parolees, except to the extent that such financial dealings create no

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actual or potential conflict of interest, are available on the same terms to the general public, and have been approved in advance in writing by the CDCR. For the purposes of this paragraph, “affiliated company, person or business” means any company, business, corporation, nonprofit corporation, partnership, limited partnership, sole proprietorship, or other person or business entity of any kind which has any ownership or control interest whatsoever in the Contractor, or which is wholly or partially owned (more than 5% ownership) or controlled (any percentage) by the Contractor or by the Contractor’s owners, officers, principals, directors and/or shareholders, either directly or indirectly. “Affiliated companies, persons or businesses” include, but are not limited to, subsidiary, parent, or sister companies or corporations, and any company, corporation, nonprofit corporation, partnership, limited partnership, sole proprietorship, or other person or business entity of any kind that is wholly or partially owned or controlled, either directly or indirectly, by the Contractor or by the Contractor’s owners, officers, principals, directors and/or shareholders. The Contractor shall have a continuing duty to disclose to the State, in writing, all interests and activities that create an actual or potential conflict of interest in performance of the Agreement. The Contractor shall have a continuing duty to keep the State timely and fully apprised in writing of any material changes in the Contractor’s business structure and/or status. This includes any changes in business form, such as a change from sole proprietorship or partnership into a corporation or vice-versa; any changes in company ownership; any dissolution of the business; any change of the name of the business; any filing in bankruptcy; any revocation of corporate status by the Secretary of State; and any other material changes in the Contractor’s business status or structure that could affect the performance of the Contractor’s duties under the Agreement. If the Contractor violates any provision of the above paragraphs, such action by the Contractor shall render this Agreement void. Members of boards and commissions are exempt from this section if they do not receive payment other than payment for each meeting of the board or commission, payment for preparatory time and payment for per diem. G. DISCLOSURE Neither the State nor any State employee shall be liable to the Contractor or its staff for injuries inflicted by inmates or parolees of the State. The State agrees to disclose to the Contractor any statement(s) known to State staff made by any inmate or parolee which indicates violence may result in any specific situation, and the same responsibility shall be shared by the Contractor in disclosing such statement(s) to the State.

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H. SECURITY CLEARANCE/FINGERPRINTING The State reserves the right to conduct fingerprinting and/or security clearance through the Department of Justice, Bureau of Criminal Identification and Information (BCII), prior to award and at any time during the term of the Agreement, in order to permit Contractor and/or Contractor’s employees’ access to State premises. The State further reserves the right to terminate the Agreement should a threat to security be determined. I.

NOTIFICATION OF PERSONNEL CHANGES Contractor shall notify the State, in writing, of any changes of those personnel allowed access to State premises for the purpose of providing services under this Agreement. In addition, Contractor shall recover and return any State-issued identification card provided to Contractor’s employee(s) upon their departure or termination.

J. CONTRACTOR EMPLOYEE MISCONDUCT During the performance of this Agreement, it shall be the responsibility of the Contractor whenever there is an incident of use of force or allegation(s) of employee misconduct associated with and directly impacting inmate and/or parolee rights, to immediately notify CDCR of the incident(s), to cause an investigation to be conducted, and to provide CDCR with all relevant information pertaining to the incident(s). All relevant information includes, but is not limited to: a. Investigative reports; b. Access to inmates/parolees and the associated staff; c. Access to employee personnel records; d. Information that reasonably necessary to assure CDCR that inmates and/or parolees are not or have not been deprived of any legal rights as required by law, regulation, policy and procedures; and e. Written evidence that the Contractor has taken such remedial action, in the event of unnecessary or excessive force, or employee misconduct with inmates and/or parolees, as will assure against a repetition of incident(s) or retaliation. To the extent that the information provided by the Contractor fails to so assure CDCR, CDCR may require that any implicated Contractor staff be denied access to and the supervision of CDCR inmates and/or parolees at the facility and access to inmate and/or parolee records. Notwithstanding the foregoing, and without waiving any obligation of the Contractor, CDCR retains the power to conduct an independent investigation of any incident(s). Furthermore, it is the responsibility of the Contractor to include the foregoing terms within any and all subcontracts, requiring that subcontractor(s) agree to the jurisdiction of CDCR to conduct an investigation of their facility and staff, including review of subcontractor employee personnel records, as a condition of the Agreement.

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K. NON-ELIGIBLE ALIEN CERTIFICATION (Sole Proprietor Contract only) Req’d by SCM, added 04/04 By signing this Agreement Contractor certifies, under penalty of perjury, that Contractor, if a sole proprietor, is not a nonqualified alien as that term is defined by the United States Code (U.S.C.) Title 8, Chapter 14, Section 1621 et seq. L. WORKERS’ COMPENSATION Contractor hereby represents and warrants that Contractor is currently and shall, for the duration of this agreement, carry workers’ compensation insurance, at Contractor’s expenses, or that it is self-insured through a policy acceptable to CDCR, for all of its employees who will be engaged in the performance of this agreement. Such coverage will be a condition of CDCR’s obligation to pay for services provided under this agreement. Prior to approval of this agreement and before performing any work, Contractor shall furnish to the State evidence of valid workers’ compensation coverage. Contractor agrees that the workers’ compensation insurance shall be in effect at all times during the term of this agreement. In the event said insurance coverage expires or is canceled at any time during the term of this agreement, Contractor agrees to give at least thirty (30) days prior notice to CDCR before said expiration date or immediate notice of cancellation. Evidence of coverage shall not be for less than the remainder of the term of the agreement or for a period of not less than one year. The State reserves the right to verify the Contractor’s evidence of coverage. In the event the Contractor fails to keep workers’ compensation insurance coverage in effect at all times, the State reserves the right to terminate this agreement and seek any other remedies afforded by the laws of this State. Contractor also agrees to indemnify, defend and save harmless the State, its officers, agents and employees from any and all of Contractor’s workers’ compensation claims and losses by Contractor’s officers, agents and employees related to the performance of this agreement. M. INSURANCE REQUIREMENTS (Supersedes Provision Number 20, Insurance, of GSPD-401IT) Insurance as required herein shall be a condition of the State’s obligation to pay for services provided under this Agreement. Prior to approval of this Agreement and before performing any work, Contractor and any subcontractor shall furnish to the State evidence of valid coverage. The following shall be considered evidence of coverage: A certificate of insurance, a “true and certified” copy of the policy, or any other proof of coverage issued by Contractor’s insurance carrier. Binders are not acceptable as evidence of coverage. Providing evidence of coverage to the State conveys no rights or privileges to the State, nor does it insure any State employee or insure any premises owned, leased, used by or otherwise or under the control of the State. It does, however, serve to provide the State with proof that the Contractor and any subcontractor are insured at the minimum levels required by the State of California. Contractor agrees that any liability insurance required in the performance of this Agreement shall be in effect at all times during the term of this Agreement. In the event said insurance

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coverage expires or is canceled during the term of this Agreement, Contractor’s insurance provider must agree to give at least thirty (30) days prior notice to the State before said expiration date or notice of cancellation. Evidence of coverage required in the performance of this Agreement shall not be for less than the remainder of the term of this Agreement or for a period of not less than one year. The State and the Department of General Services (DGS) reserve the right to verify the Contractor’s evidence of coverage; evidence of coverage is subject to the approval of the DGS. In the event the Contractor fails to keep insurance coverage as required herein in effect at all times, the State reserves the right to terminate this Agreement and to seek any other remedies afforded by the laws of the State of California. For all companies and/or businesses and individual providers, the Contractor hereby represents and warrants that the Contractor is currently and shall be, for the duration of this Agreement, at Contractor’s expense insured against: a. Commercial General Liability Provider agrees to carry a minimum of $1,000,000 per occurrence for bodily injury and property damage liability combined. The certificate of insurance must include the following provisions: (1) The insurer will not cancel the insured's coverage without 30 days prior written notice to the State. The California Department of Corrections and Rehabilitation must be named as the “Certificate Holder” and list the following: State of California California Department of Corrections and Rehabilitation Enterprise Information Services – IT Acquisitions Unit 1940 Birkmont Drive, Rancho Cordova, CA 95742 (2) The State of California, its officers, agents, employees, and servants are hereby named as additional insured but only with respect to work performed for the State of California.

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b. Auto Liability By signing this Agreement, the Contractor certifies that the Contractor and any employees, subcontractors or servants possess valid automobile coverage in accordance with California Vehicle Code Sections 16450 to 16457, inclusive. The State reserves the right to request proof at any time. N. SMALL BUSINESS AND DVBE PARTICIPATION – COMMERCIALLY USEFUL FUNCTION (Required by SCM) This solicitation and any resulting Agreement shall be subject to all requirements as set forth in the following codes: Government Code Sections 14837, 14838.6, 14839, 14842, 14842.5; and Military and Veterans Code (MVC) Sections 999, 999.6, 999.9. In part, these codes involve requirements for businesses to qualify as a California certified Small Business, Micro business and/or DVBE. The aforementioned companies must perform a commercially useful function to be eligible for award and be “domiciled” in California. A suppliers bid will be considered non-responsive and rejected for failure to comply with the definition and requirements set forth in the statutes Contractors found to be in violation of certain provisions within these code sections may be subject to loss of certification, penalties and Agreement cancellation. O. JOINT MEDIA ACTIVITIES Upon successful implementation, the State may agree to conduct joint media activities, including, but not limited to, White Papers and Case Studies.

The following provisions apply to services provided on departmental and/or institution grounds: P. BLOODBORNE PATHOGENS Provider shall adhere to California Division of Occupational Safety and Health (CAL-OSHA) regulations and guidelines pertaining to bloodborne pathogens. Q. TUBERCULOSIS (TB) TESTING (revised 01/05) In the event that the services required under this Agreement shall be performed within a CDCR institution/parole office/community based program, prior to the performance of contracted duties, Contractors and their employees who are assigned to work with inmates/parolees on a regular basis shall be required to be examined or tested or medically evaluated for TB in an infectious or contagious stage, and at least once a year thereafter or more often as directed by CDCR. Regular basis is defined as having contact with inmates/parolees in confined quarters more than once a week. Contractors and their employees shall be required to furnish to CDCR, at no cost to CDCR, a form CDCR 7336, “Employee Tuberculin Skin Test (TST) and Evaluation,” prior to assuming their contracted duties and annually thereafter, showing that the Contractor and

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their employees have been examined and found free of TB in an infectious stage. The form CDCR 7336 shall be provided by CDCR upon Contractor’s request. R. PRIMARY LAWS, RULES AND REGULATIONS REGARDING CONDUCT AND ASSOCIATION WITH STATE PRISON INMATES AND DIVISION OF JUVENILE JUSTICE WARDS Individuals who are not employees of the California Department of Corrections and Rehabilitation (CDCR), but who are working in and around inmates who are incarcerated within California’s institutions/facilities or camps, are to be apprised of the laws, rules and regulations governing conduct in associating with prison inmates. The following is a summation of pertinent information when non-departmental employees come in contact with prison inmates. By signing this Agreement, the Contractor agrees that if the provisions of the Agreement require the Contractor to enter an institution/facility or camp, the Contractor and any employee(s) and/or subcontractor(s) shall be made aware of and shall abide by the following laws, rules and regulations governing conduct in associating with prison inmates: a. Persons who are not employed by CDCR, but are engaged in work at any institution/facility or camp must observe and abide by all laws, rules and regulations governing the conduct of their behavior in associating with prison inmates or wards. Failure to comply with these guidelines may lead to expulsion from CDCR institutions/facilities or camps. SOURCE: California Penal Code (PC) Sections 5054 and 5058; California Code of Regulations (CCR), Title 15, Sections 3285 and 3415; California Welfare and Institutions Code (WIC) Section 1712 b. CDCR does not recognize hostages for bargaining purposes. CDCR has a “NO HOSTAGE” policy and all prison inmates, wards, visitors and employees shall be made aware of this. SOURCE: PC Sections 5054 and 5058; CCR, Title 15, Section 3304 and 4603; WIC Section 1712 c. All persons entering onto institution/facility or camp grounds consent to search of their person, property or vehicle at any time. Refusal by individuals to submit to a search of their person, property, or vehicle may be cause for denial of access to the premises. SOURCE: PC Sections 2601, 5054 and 5058; CCR, Title 15, Sections 3173, 3177, 3288, 4696 and 4697; WIC Section 1712 d. Persons normally permitted to enter an institution/facility or camp may be barred, for cause, by the CDCR Director, Warden, and/or Regional Parole Administrator. SOURCE: PC Sections 5054 and 5058; CCR, Title 15, Section 3176 (a) and 4696; WIC Section 1712

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e. It is illegal for an individual who has been previously convicted of a felony offense to enter into CDCR institutions/facilities or camps, or youth institutions/facilities or camps in the nighttime, without the prior approval of the Warden or Officer in charge. It is also illegal for an individual to enter onto these premises for unauthorized purposes or to refuse to leave said premises when requested to do so. Failure to comply with this provision could lead to prosecution. SOURCE: PC Sections 602, 4570.5 and 4571; CCR, Title 15, Sections 3173 and 3289; WIC Section 1001.7 f.

Encouraging and/or assisting prison inmates or wards to escape are crimes. It is illegal to bring firearms, deadly weapons, explosives, tear gas, drugs or drug paraphernalia on CDCR institutions/facilities or camp premises. It is illegal to give prison inmates or wards firearms, explosives, alcoholic beverages, narcotics, or any drug or drug paraphernalia, including cocaine or marijuana. It is illegal to give wards sex oriented objects or devices, and written materials and pictures whose sale is prohibited to minors. SOURCE: PC Sections 2772, 2790, 4533, 4535, 4550, 4573, 4573.5, 4573.6 and 4574; CRR, Title 15, Sections 4681 and 4710; WIC Sections 1001.5 and 1152

g. It is illegal to give or take letters from inmates or wards without the authorization of the Warden. It is also illegal to give or receive any type of gift and/or gratuities from prison inmates or wards. SOURCE: PC Sections 2540, 2541 and 4570; CCR, Title 15, Sections 3010, 3399, 3401, 3424, 3425 and 4045; WIC Section 1712

h. In an emergency situation the visiting program and other program activities may be suspended. SOURCE: PC Section 2601; CCR, Title 15, Section 3383 i.

For security reasons, visitors must not wear clothing that in any way resembles state issued prison inmate or ward clothing (blue denim shirts, blue denim pants). SOURCE: CCR, Title 15, Section 3171 (b) (3)

j.

Interviews with specific inmates are not permitted. Conspiring with an inmate to circumvent policy and/or regulations constitutes a rule violation that may result in appropriate legal action. Interviews with individual wards are permitted with written consent of each ward, if he is 18 years of age or older, or with written consent of a parent, legal guardian, or committing court, if 17 years of age or younger. SOURCE: CCR, Title 15, Sections 3261.5, 3315 (3) (W), 3177 and 4700(a)(1)

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S. CLOTHING RESTRICTIONS While on institution grounds, Contractor and all its agents, employees, and/or representatives shall be professionally and appropriately dressed in clothing distinct from that worn by inmates at the institution. Specifically, blue denim pants and blue chambray shirts, orange/red/yellow/white/chartreuse jumpsuits and/or yellow rainwear shall not be worn onto institution grounds, as this is inmate attire. The Contractor should contact the institution regarding clothing restrictions prior to requiring access to the institution to assure the Contractor and their employees are in compliance. T. TOBACCO-FREE ENVIRONMENT (Authority: AB 384, effective 07/01/05) Pursuant to Penal Code Section 5030.1, the use of tobacco products by any person on the grounds of any institution or facility under the jurisdiction of the Department of Corrections and Rehabilitation is prohibited. U. PRISON RAPE ELIMINATION POLICY CDCR is committed to providing a safe, humane, secure environment, free from sexual misconduct. This will be accomplished by maintaining a program to ensure education/prevention, detection, response, investigation and tracking of sexual misconduct and to address successful community re-entry of the victim. CDCR shall maintain a zero tolerance for sexual misconduct in its institutions, community correctional facilities, conservation camps and for all offenders under its jurisdiction. All sexual misconduct is strictly prohibited. As a Contractor with CDCR, you and your staff are expected to ensure compliance with this policy as described in Department Operations Manual, Chapter 5, Article 44. V. GATE CLEARANCE Contractor and Contractor’s employee(s) and/or subcontractors(s) shall be cleared prior to providing services. The Contractor shall be required to complete a Request for Gate Clearance for all persons entering the facility a minimum of ten (10) working days prior to commencement of service. The Request for Gate Clearance shall include the person’s name, social security number, valid state driver’s license number or state identification card number and date of birth. Information shall be submitted to the Contract Liaison or his/her designee. CDCR uses the Request for Gate Clearance to run a California Law Enforcement Telecommunications System (CLETS) check. The check shall include Department of Motor Vehicles check, Wants and Warrants check, and Criminal History check. Gate clearance may be denied for the following reasons: Individual’s presence in the institution presents a serious threat to security, individual has been charged with a serious crime committed on institution property, inadequate information is available to establish positive identity of prospective individual, and/or individual has deliberately falsified his/her identity. All persons entering the facilities shall have a valid state driver’s license or photo identification card on their person.

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State of California

Bid CDCR 14-002

W. SECURITY REGULATIONS a. Unless otherwise directed by the entrance gate officer and/or Contract Manager, the Contractor, Contractor’s employees and subcontractors shall enter the institution through the main entrance gate and park private and nonessential vehicles in the designated visitor’s parking lot. Contractor, Contractor’s employees and subcontractors shall remove the keys from the ignition when outside the vehicle and all unattended vehicles shall be locked and secured while on institution grounds. b. Any State- and Contractor-owned equipment used by the Contractor for the provision of contract services, shall be rendered temporarily inoperative by the Contractor when not in use, by locking or other means unless specified otherwise. c. In order to maintain institution safety and security, periodic fire prevention inspections and site searches may become necessary and Contractor shall furnish keys to institutional authorities to access all locked areas on the worksite. The State shall in no way be responsible for Contractor’s loss due to fire. d. Due to security procedures, the Contractor, Contractor’s employees and subcontractors may be delayed at the institution vehicle/pedestrian gates and sally ports. Any loss of time checking in and out of the institution gates and sally ports shall be borne by the Contractor. e. Contractor, Contractor’s employees and subcontractors shall observe all security rules and regulations and comply with all instructions given by institutional authorities. f.

Electronic and communicative devices such as pagers, cameras/microcameras are not permitted on institution grounds.

cell

phones

and

g. Contractor, Contractor’s employees and subcontractors shall not cause undue interference with the operations of the institution. h. No picketing is allowed on State property.

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State of California

Bid CDCR 14-002

Question and Answers for Bid #CDCR 14-002 - Managed Electronic Data Interchange (EDI) Services (MES),

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OVERALL BID QUESTIONS There are no questions associated with this bid.   If you would like to submit a question,  please click on the "Create New Question" button below.

Question Deadline: Oct 27, 2014 11:00:00 AM PDT

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