STATE OF NEW MEXICO Taxation and Revenue Department
REQUEST FOR PROPOSALS RFP# 40-333-13-14293 Motor Vehicle Division Data Sales
Issue Date: March 28, 2014
Page 1 of 122
THIS PAGE LEFT BLANK
Page 2 of 122
Page 3 of 122
TABLE OF CONTENTS I.
INTRODUCTION
7
A. Background Information
7
B. Purpose of this Request for Proposals
7
C. Vision
10
D. Summary Scope of Work
10
E.
Scope of Procurement
11
F.
Financial Constraints
13
G. Procurement Manager
14
H. Definition of Terminology
14
I.
19
Procurement Library
II. CONDITIONS GOVERNING THE PROCUREMENT
21
A. Sequence of Events
21
B. Explanation of Events
22
1.
Issuance of RFP
22
2.
Distribution List Response Due
22
3.
Deadline to Submit Written Questions
22
4.
Response to Written Questions/RFP Amendments
22
5.
Submission of Proposals
22
6.
Proposal Evaluation
23
7.
Selection and Notification of Finalists
23
8.
Best and Final Offers from Finalists
23
9.
Oral Presentations/Demonstrations by Finalists
23
10. Tentative Selection of Contractor
24
11. Finalize Contractual Agreements
24
12. Contract Award
24
13. Protest Deadline
24
C. General Requirements
25
1.
Acceptance of Conditions Governing the Procurement
25
2.
Incurring Cost
25
3.
Prime Contractor Responsibility
25 Page 4 of 122
4.
Subcontractors
25
5.
Amended Proposals
25
6.
Offeror’s Rights to Withdraw Proposal
25
7.
Proposal Offer Firm
26
8.
Disclosure of Proposal Contents
26
9.
No Obligation
26
10. Termination
26
11. Sufficient Appropriation
26
12. Legal Review
26
13. Governing Law
27
14. Basis for Proposal
27
15. Contract Terms and Conditions
27
16. Offeror’s Terms and Conditions
27
17. Contract Deviations
27
18. Offeror Qualifications
27
19. Right to Waive Minor Irregularities
28
20. Change in Contractor Representatives
28
21. Notice
28
22. Agency Rights
28
23. Right to Publish
28
24. Ownership of Proposals
28
25. Confidentiality
28
26. Electronic Mail Address Required
29
27. Use of Electronic Versions of this RFP
29
28. New Mexico Employees Health Coverage
29
29. Campaign Contribution Form
29
30. Pay Equity Initiative
30
31. Disclosure Regarding Responsibility
30
III. RESPONSE FORMAT AND ORGANIZATION
33
A. Number of Responses
33
B. Number of Electronic Copies
33
C. Proposal Format
33 Page 5 of 122
1.
Proposal Organization
33
2.
Letter of Transmittal
34
IV. REQUIREMENTS – GENERAL INFORMATION
37
A. Mandatory, Mandatory Scored and Desirable Requirements
37
B. Additional Information
38
V. REQUIREMENTS – MANDATORY, MANDATORY SCORED and DESIRABLE
43
A. Proposed Solution
44
B. History Providing Similar Solutions
62
C. Offeror Qualifications
63
D. Oral Presentation and System Demonstration
64
E.
Revenue Projections for New Mexico
64
F.
Additional Revenue Generating Ideas
65
G. Value Added Services to Be Provided to New Mexico
65
H. Cost Response
66
I.
66
Additional Requirements
VI. EVALUATION
69
A. Evaluation Point Summary
69
B. Evaluation Process
70
APPENDICES A. ACKNOWLEDGEMENT OF RECEIPT FORM
71
B. CONTRACT TERMS & CONDITIONS
73
C. CURRENT FEE SCHEDULE
101
D. TRANSACTION COUNTS – 2013
103
E.
DRIVER PRIVACY PROTECTION ACT
105
F.
SECTION 66-2-7.1 NMSA 1978, CONFIDENTIAL RECORDS
109
G. CAMPAIGN CONTRIBUTION DISCLOSURE FORM
111
H. NEW MEXICO EMPLOYEES HEALTH COVERAGE FORM
115
I.
LETTER OF TRANSMITTAL FORM
117
J.
RESIDENT VETERANS’ PREFERENCE CERTIFICATION
119
Page 6 of 122
THIS PAGE LEFT BLANK
Page 7 of 122
I. INTRODUCTION A. BACKGROUND The Motor Vehicle Division (MVD) of the New Mexico Taxation and Revenue Department (TRD) issued RFP #90-333-00-00009, New Mexico Portal Project Solicitation, on January 16, 2009 for the sale of Motor Vehicle Division (MVD) data via qualified third-party entities. As a result of that procurement a contract was awarded on May 29, 2009 to NICUSA, Inc. The current contract is with New Mexico Interactive, Inc. (NMI). NMI currently supports 1,127 private sector businesses and 160 government entities with MVD providing support when needed. That contract was optionally renewed in 2010, 2011 and 2012 and, pending a contract award pursuant to RFP# 30-333-12-12463, the Motor Vehicle Division Driver and Vehicle System Reengineering Project, has been extended on an emergency basis through June 30, 2014. Until the Agency knew the terms of the System Reengineering Project and Contract, it could not
know with certainty what functionality would be required of the Agency’s data sales contractor. Even now it is not clear how much of the data sales and other functionality that is required by the current contract and by the terms of this RFP will be needed once the System Reengineering Project is fully implemented. It is the Agency’s expectation that fees charged for data will, in the short term at least, stay the same as detailed in Appendix C, Current Fee Schedule.
B. PURPOSE OF THIS REQUEST FOR PROPOSALS The Motor Vehicle Division (MVD) of the New Mexico Taxation and Revenue Department (TRD) is soliciting proposals from qualified vendors with a history of successful design, development and deployment of enterprise solutions to maintain and improve the delivery of the Department’s information and services. The primary focus is on the sale of Motor Vehicle Division (MVD) data via qualified third-party entities, with the major goal of upholding required controls and safeguards to ensure compliance with state and federal privacy laws regarding motor vehicle data. A secondary focus is providing alternatives to the ways citizens, businesses and other government entities access MVD information and services. Many New Mexicans interact with MVD; and the efficiency and effectiveness with which MVD provides information and securely delivers its services has an influence on the perceptions New Mexicans have of their State government.
Page 8 of 122
Services to be operated or obtained through this procurement include: a) The establishment and maintenance of a web-based computing environment by acquiring, installing and configuring computer hardware, software, and network communications in a hosting facility with the appropriate physical and environmental requirements; b) Provide adequate staffing levels to install, configure, and support the data sales and web services computing environment through the term of the contract; c) Develop or maintain the current methodology for data exchange between the Offeror and the Agency, and develop or maintain a secured network connectivity link between the Agency’s MVD computing facility and the Offeror’s proposed computing hosting facility; d) Provide appropriate personnel required to develop or maintain applications to export MVD Driver and Vehicle databases from NM MVD computing systems to Offeror’s Driver and Vehicle databases; e) Provide appropriate personnel required to develop or maintain batch transfers of driver and vehicle data to vetted third parties while abiding by the Drivers Privacy Protection Act and Section 66-2-7.1 NMSA 1978 by means of a single a transaction or multiple transactions process. Applications currently in production include the functionality to process user requests for: 1. Bulk Driver Records (Point to Point) 2. Bulk Commercial and Non Commercial Vehicle Records (Point to Point) 3. Bulk Vessel Records f) Provide appropriate personnel required to develop or maintain any Tax and Revenue applications that are currently in production, including: 1. New Mexico In-state Preference Business/Contractor Certificate Validation g) Provide appropriate personnel required to develop or maintain web applications allowing users to purchase individual NM Driver and Vehicle records, while abiding by the Drivers Privacy Protection Act and Section 66-2-7.1 NMSA 1978 by means of a single a transaction or multiple transactions through a batch process. Web applications currently in production include the functionality to process user requests for: 1. Full Driver Records for Courts and Law Enforcement 2. Public Access Driver Records 3. Vehicle Records 4. Disability Placard Records 5. Driver Monitoring 6. Youthful Driver Monitoring
Page 9 of 122
h) Provide appropriate personnel to develop or maintain applications that support MVD’s vision of providing electronic services that increase customer satisfaction and MVD’s operational efficiencies. Web applications currently in production include the functionality to process user requests for: 1. Vehicle Registration Suite (Temporary Tags) 2. Tax Lien/NCIC check 3. Online Appointments for First Time Lic/Titles and Road Tests 4. Level 3 Vin Inspection Appointments 5. XML Providing Wait times at Field Offices i) Provide appropriate personnel to develop a single payment engine to allow users to pay for NM Driver and Vehicle information with credit cards, debit cards, and e-checks; j) Provide appropriate personnel to develop applications to reconcile daily financial transactions and produce an electronic transfer of funds from Offeror’s bank account to the Agency’s bank account; k) Provide appropriate personnel to develop a reports engine which will be utilized by the Agency to access transactions processed on the system for reconciliation and auditing purposes; l) Provide appropriate personnel to provide on-going support for web applications identified above including technical and all end user support; m) Provide appropriate personnel to develop a marketing and advertisement campaign to promote the use of the data sales and online services; n) Propose additional features for the system that will enhance customer service, that may include dissemination of information, capture of customer feedback, and/or convenience features such as virtual vehicle titling. The MVD data sales and web services system is to be a “self-funded” and “self-supporting” model that does not require state appropriated funds or tax dollars for development and or operations. Revenues generated through “Vendor Transaction Fees” will be used to compensate the Offeror for their initial capital investment, support the ongoing development and hosting of the system, and provide an avenue for the Offeror to realize a reasonable profit margin. The electronic version of this document is available for download on the New Mexico Purchasing Division website at: http://www.generalservices.state.nm.us/statepurchasing/ITBs__RFPs_and_Bid_Tabulation.aspx
Page 10 of 122
C. VISION The Agency’s vision is to outsource the development of a Motor Vehicle data sales and web services system which will provide access to Motor Vehicle information and services. The Agency expects the system to function as a user-friendly site for citizens, businesses, and other government entities to access electronically delivered Motor Vehicle services. The contract is scheduled to begin on or about the Contract Effective Date (CED) of July 1, 2014. The Agency’s expectations are that services will be available to the general public immediately with no interruption of services on the CED. The Agency’s objectives are to: Provide a seamless, user-friendly web site for citizens, businesses, and other government entities with much easier, faster, and more intuitive access to MVD services than the traditional methods; Acquire the necessary resources to support and host e-commerce applications and web sites; Develop templates and publishing standards for Agency web pages; Adopt a business model without initial capital investment by the Agency; Develop an infrastructure, tool set, and methodology allowing for other State entities to, at a later point, participate and provide services via the system environment.
D. SUMMARY SCOPE OF WORK The successful Offeror shall be responsible for planning, designing, developing, operating and maintaining the self-funded and self-supported information and delivery systems and services described in this Request for Proposal and specified in the Offeror’s response to this solicitation subject to the oversight of the Agency. Periodic audits for items such as confidentiality obligations will be subject to the oversight of the Agency The successful Offeror shall be responsible for: Providing the investment capital for hardware, software, communications, personnel, facilities, and other necessary infrastructure components. Developing and hosting the data sales system or building web services to be integrated with the MVD web site or within MVD’s core system. Developing and launching applications and providing system integration for services offered. Advertising and, otherwise, marketing its use to citizens, businesses, and other governmental entities. Providing security, support and assuring confidentiality in conformance with state and federal law. Page 11 of 122
Developing related Internet-based support services. Ensuring that the applications are robustly designed and easily expandable to handle a large volume. Providing the capability for customers to personalize their experience. Obtaining a fast adoption rate by presenting e-services as the preferred method for obtaining MVD services.
E. SCOPE OF PROCUREMENT The Scope of this Procurement includes providing facilities for the sale of MVD Driver and Vehicle Records, as defined in the Purpose of this Request for Proposals (Section I.A.), with additional functionality including some or all of the following:
Capability to process transaction requests for Full Driver Records Capability to process transaction requests for Wallet View Driver Records Capability to process transaction requests for Certified Driver Records Capability to process transaction requests for Driver Record Monitoring Capability to process transaction requests from Government, Schools, Non-Profits Capability to process transaction requests for Vehicle Records Capability to process transaction requests for Disability Placard Records Capability to provide both Vehicle and Driver Records including Vehicle Registration Data to the Department of Public Safety TRD and MVD transactions, information, and service delivery operations including but not limited to: Temporary and Demonstration Permits (Currently in Production known as Vehicle Registrations Suite) Personalized/Specialty License Plates with direct shipping Online Appointments for First time Foreign Nationals, First Time Titles, Road Tests (Currently in Production) Level 3 VIN Inspection Scheduling (Currently in Production) Tax Lien and Stolen Vehicle check (Currently in Production) Public Email application with routing and tracking (Currently in Production) New Mexico In-state Preference Business/Contractor Certificate Validation (Currently in Production)Address Change Interactive Citation Document Lookup Vehicle Registration Reinstatements Vehicle Sold Notice Organ Donor Registry. Order/print out temp license with photo Change name on license Change address Motor Voter update Refund request-refund status Page 12 of 122
Citation/reinstate Payments Placard submission and approval +tracking Placard renewal Medical application and approval +tracking CDL medical certification Placard abuse report Fraud report Practice test None for the road check Drivers Ed check Organ Donor License downgrade-CDL to reg class D Add endorsement-Commercial or Class D True and Attested Driving Record (Certified) Compliance for court or other state Can I get my license? (Eligibility) PDPS, SSOLV,SAVE, EVERS,DWI etc. Practice online transaction Prepayment for takeout (Any renewal, plate) After service payment (any central issued credential/title etc) Submit any form (Virtual mail) Change update email and/or phone number Refund request-refund statute Insurance check and compliance payment Insurance check and compliance payment for registration renewal Report insurance (update) Obtain a title View your title Track your registration Vehicle registration renewal eligibility (insurance check, emissions check) View registration history Vessel renewal Duplicate registration Replace a lost /stolen title (Duplicate title request) Fleet Registration renewal (expanded) Report Sold vehicle Order plate Replace plate Report plate Page 13 of 122
Virtual line Check vehicle for liens NCIC check NMVTIS check How much is my registration? How much is the excise tax? VIN inspection locator Personal Temp tag Additional services as may be required by the agency. Value added services as may be available to and of value to other divisions within TRD. The proposed contract shall become effective on July 1, 2014 or earlier upon approval by the New Mexico Taxation and Revenue Department, the New Mexico Department of Information Technology and the New Mexico State Purchasing Division. The contract shall be for a term of two calendar years, and may be extended on an annual basis for up to two additional years in one-year increments for a total of four (4) years. Any extensions shall be at the discretion of the Department and shall be contingent upon sufficient funding and satisfactory work performance provided by the selected contractor. The total contract period, including all extensions thereof, shall not exceed a total of four (4) years in duration. The Agency is in the process of a Driver and Vehicle Systems Modernization Project, the implementation of which is expected to be completed within the next three to four years. During that period, it is possible that the Agency will acquire the capability to, and will decide to, bring some of the functions anticipated by this RFP in-house, resulting in a reduction in scope of the contract anticipated by this RFP.
F. FINANCIAL CONSTRAINTS The Motor Vehicle Division Data Sales Project is to be a “self-funded” and “self-supporting” model that does not require appropriated funds or tax dollars for operations. The Agency may decide to limit or exempt charges to government agencies, schools, and nonprofit entities for access to information. For the purposes of this proposal, the Offeror should assume that government agencies, schools, and non-profit entities may access the MVD data at no charge. Offerors are requested to develop proposals for a “self-funded” model using “Vendor Transaction Fees” as the primary revenue sources. Such fees are only to be assessed on the actual users of the system services. The fees are to be the source of revenue and should provide the Offeror the ability to administer all aspects of providing and operating the system environment, pay a royalty to TRD, and provide an opportunity for the Offeror to realize a profit. The Offeror assumes responsibility for all financial processing costs for credit, debit cards and e-checks and takes responsibility for any “failure to pay” risks and consequences.
Page 14 of 122
Offerors may also propose other revenue-generating alternatives that have been effective in supporting similar enterprise operations in other states.
G. PROCUREMENT MANAGER 1. The agency has designated a Procurement Manager who is responsible for the conduct of this procurement. The Procurement Manager’s name, address, telephone and fax numbers, and email address are listed below: Name: Address:
Telephone: Fax: E-mail:
Mr. Mac Lewis, Procurement Manager c/o State Purchasing Division Joseph M. Montoya Building 1100 St. Francis Drive, Room 2016 Santa Fe, NM 87505 (505) 827-2244 (505) 476-2397
[email protected]
2. All deliveries of responses via express carrier must be addressed as follows: Name: Mr. Mac Lewis c/o Kathy Sanchez Reference RFP Name: Motor Vehicle Division Data Sales #40-333-13-14293 Address: State Purchasing Division 1100 St. Francis Drive, Room 2016 Santa Fe, New Mexico 87505 3. Any inquiries or requests regarding this procurement should be submitted, in writing, to the Procurement Manager. Offerors may contact ONLY the Procurement Manager regarding this procurement. Other state employees or Evaluation Committee members do not have the authority to respond on behalf of the SPD. Protests of the solicitation or award must be delivered by mail to the Protest Manager. As A Protest Manager has been named in this Request for Proposals, pursuant to NMSA 1978, § 13-1-172, ONLY protests delivered directly to the Protest Manager in writing and in a timely fashion will be considered to have been submitted properly and in accordance with statute, rule and this Request for Proposals. Emailed protests will not be considered.
H. DEFINITION OF TERMINOLOGY This section contains definitions of terms that are used throughout this procurement document, including appropriate abbreviations. “Acceptance” shall mean the approval, after Quality Assurance, of all Deliverables by an executive level representative ("Executive Level Representative") of the Procuring Agency.
Page 15 of 122
“Agency” means the Motor Vehicle Division of the New Mexico Taxation and Revenue Department. “Agency Project Manager” shall mean a qualified person from the Procuring Agency responsible for all aspects of the Project or the administration of this Agreement. “Change Request” shall mean the document utilized to request changes or revisions in the Scope of Work. “Close of Business” means 5:00 PM Mountain Standard or Mountain Daylight Saving Time (DST), whichever is in effect on the date given. “Contract” any agreement for the procurement of items of tangible personal property, services or construction derived from a RFP. “Contract Effective Date” means the day after the Protest Period Ends. “Contractor” means successful Offeror(s) who enters into a binding contract with the Agency. “Customer” means any individual or entity that does business or engages in transactions with the Agency. “Data Center” means a facility used to house computer systems and associated components, such as telecommunications and storage systems. It generally includes redundant or backup power supplies, redundant data communications connections, environmental controls (e.g., air conditioning, fire suppression) and security devices. “Deliverable” means any measurable, tangible, verifiable outcome, result, or item that must be produced to complete a project or part of a project. “Department” means the New Mexico Taxation and Revenue Department (TRD). “Determination” means the written documentation of a decision of a procurement manager including findings of fact supporting a decision. A determination becomes part of the procurement file to which it pertains. “Desirable” means discretionary as opposed to “mandatory.” The terms “may,” “can,” “should,” “preferably,” and “prefers” are used to identify an items or factors that are desirable. “DL/ID” means Driver’s License or Identification Card – cards/documents validating a person’s identity and/or authorization to drive a vehicle. “DoIT” means the New Mexico Department of Information Technology. “DPS” means the New Mexico Department of Public Safety.
Page 16 of 122
“Enhancement” means any modification or addition that, when made or added to the program, materially changes its or their utility, efficiency, functional capability, or application, but does not constitute solely an Error Correction. After conferring with Procuring Agency, an Enhancement may be identified as minor or major “Escrow” shall mean a legal document (such as the software source code) delivered by the contractor into the hands of a third party, to be held by that party until the performance of a condition is accepted; in the event contractor fails to perform, the grantee agency receives the legal document, in this case, source code. “Evaluation Committee” means a body appointed by the Agency’s management to perform the evaluation of Offeror proposals. “Evaluation Committee Report” means a report prepared by the Procurement Manager and the Evaluation Committee for submission to the State Purchasing Agent for contract award that contains all written determinations resulting from the conduct of a procurement requiring the evaluation of competitive sealed proposals. "Executive Level Representative" shall mean the individual empowered with the authority to represent and make decisions on behalf of the Procuring Agency's executives. “Finalist” means an Offeror who meets all the mandatory specifications of the Request for Proposal and whose score on evaluation factors is sufficiently high to qualify that offeror for further consideration by the Evaluation Committee. “GSD” means the New Mexico General Services Department. “Hosting” is a service that runs servers and other equipment, allowing organizations to serve content to their customers typically via the Internet. There are various levels of service and various kinds of services offered which are generally offered from a data center. “Independent Auditor” shall mean an independent firm, of the Agency’s choice, to: assess the Agency’s internal network security, application security, and compliance to appropriate security standards published by Federal and State entities: National Institute of Standards and Technology (NIST), the Federal Information Security Management Act of 2002 (FISMA), and the Social Security Administration (SSA); and to assess the security of third party applications using or disbursing the Agency’s data, security of third party networks over which the Agency’s data flows, and third party compliance with appropriate security standards published by Federal and State entities: NIST, FISMA, SSA, and the Internal Revenue Service (IRS). “Interface” means the transmission of data that will allow for efficient and logical interaction with other applicable systems.
Page 17 of 122
“ITD” or “TRD-ITD” means the Information Technology Division (ITD) of the New Mexico Taxation and Revenue Department, which is responsible for pre-installation testing and approval of software. “Know How” shall mean all technical information, data, and knowledge including, but not limited to, all documents, computer storage devices, drawings, flow charts, plans, proposals, records, notes, memoranda, manuals and other tangible items containing, relating or causing the enablement of any Intellectual Property developed under this Agreement. “Intellectual Property” shall mean any and all proprietary information developed pursuant to the terms of this Agreement. “Independent Verification and Validation (“IV&V”)” shall mean the process of evaluating a project and the project’s product to determine compliance with specified requirements and the process of determining whether the products of a given development phase fulfill the requirements established during the previous stage, both of which are performed by an entity independent of the Procuring Agency. “Mandatory” means required as opposed to “desirable.” The terms “must,” “shall,” “will,” “is required” and “are required” are used to identify a mandatory item or factor. Failure to meet a mandatory item or factor will result in the rejection of the Offeror’s proposal. “Mountain Time” means the local time in the Mountain Time Zone whether standard or daylight savings time. “MVD” or “TRD-MVD” means the Motor Vehicle Division of the New Mexico Tax and Revenue Department. “Performance Bond” shall mean a surety bond which guarantees that the contractor will fully perform the contract and guarantees against breach of contract. “Offeror” means any person, corporation, or partnership who chooses to submit a proposal. “Offeror Project Manager” shall mean a qualified person proposed by the Offeror responsible for managing all tasks and deliverables provided by the Offeror. “Procurement Manager” means the person or designee authorized by the Agency to manage or administer a procurement requiring the evaluation of competitive sealed proposals. “Procurement Process” The process of issuing an RFP, evaluating Offeror proposals submitted pursuant to the RFP, selection of an Offeror, and awarding a contract to the selected Offeror to supply the required products and services. “Project” shall mean a temporary process undertaken to solve a well-defined goal or objective with clearly defined start and end times, a set of clearly defined tasks, and a budget. The project terminates once the project scope is achieved and project approval is given by the Executive Level Representative and verified by the CIO to the DoIT. Page 18 of 122
“Project Manager” shall mean a qualified person from the Procuring Agency responsible for all aspects of the Project or the administration of this Agreement. “Proposal” means an Offeror response to an RFP and/or any of its appendices which offers to supply the State with specific products and services according to State prescribed specifications, terms and conditions. “Quality Assurance” shall mean a planned and systematic pattern of all actions necessary to provide adequate confidence that a Deliverable conforms to established requirements, customer needs, and user expectations. “Request for Proposals” or “RFP” means all documents, including those attached or incorporated by reference, used for soliciting proposals. “Responsible Offeror” means an Offeror who submits a responsive proposal and who has furnished, when required, information and data to prove that his financial resources, production, or service facilities, personnel, service reputation, and experience are adequate to make satisfactory delivery of the services or items of tangible personal property described in the proposal. “Responsive Offeror” or “Responsive Proposal” means an offer or proposal that conforms in all material respects to the requirements set forth in the request for proposals. Material respects of a request for proposals include, but are not limited to, price, quality, quantity or delivery requirements. “Scalable” A popular buzzword that refers to how well a hardware or software system can adapt to increased demands. For example, a scalable network system would be one that can start with just a few nodes but can easily expand to thousands of nodes. Scalability can be a very important feature because it means that you can invest in a system with confidence you won't outgrow it. “State” or “the State” means the State of New Mexico and any department, commission, council, board, committee, institution, legislative body, agency, government corporation, educational institution or official of the executive, legislative or judicial branch of the government of this state. “State Purchasing Agent” or “SPA” means the purchasing Agent for the State of New Mexico or a designated representative. “Supplier” An Offeror receiving a State award to supply specific products or services under an agreement with the State. “State Purchasing Division,” “SPD” or “GSD-SPD” means the State Purchasing Division of the New Mexico General Services Department.
Page 19 of 122
“TRD” or “NMTRD” means the New Mexico Taxation and Revenue Department and includes the Motor Vehicle Division (“MVD”), a Division of the Department. “VRS” or “Vehicle Registration Suite” is a secure, online application that enables, MVD Field Offices, Private Retail Agents (PRA),Title Service Companies (TSC) and Super Title Service Companies (STSC) to obtain temporary registration permits for new and used vehicles, and generate ad hoc reporting. The system also allows payment transfers via a secure online registration system, or via a dedicated fax service operated by a call center.
I. PROCUREMENT LIBRARY The State Purchasing Agent has established an Internet Procurement Library. Offerors are also encouraged to review the material contained in the Procurement Library as listed below.
State Purchasing Division (SPD) http://www.generalservices.state.nm.us/statepurchasing/
Procurement Code (New Mexico Statutes 1978, Annotated, Chapter 13) http://www.generalservices.state.nm.us/uploads/FileLinks/3807450d09e04436ad92ac4534e7 f125/NMProcurementCode_Chap13Pamphlet29.pdf
Procurement Regulations (1.4.1 NMAC)(New Mexico Administrative Code) http://www.nmcpr.state.nm.us/nmac/parts/title01/01.004.0001.htm
The New Mexico Motor Vehicle Code is Chapter 66 of the New Mexico Statutes (NMSA 1978) which can be found online at: http://www.nmonesource.com/nmpublic/gateway.dll/?f=templates&fn=default.htm
Motor Vehicle Code Regulations (Title 18 of the NMAC) http://www.nmcpr.state.nm.us/nmac/_title18/title18.htm
Information Technology Requirements for the State of New Mexico http://www.doit.state.nm.us/
New Mexico regulations regarding Management of Electronic Records (1.13.3 NMAC) http://www.nmcpr.state.nm.us/nmac/parts/title01/01.013.0003.htm
Page 20 of 122
THIS PAGE LEFT BLANK
Page 21 of 122
II. CONDITIONS GOVERNING THE PROCUREMENT This section of the RFP contains the schedule for the procurement and describes the major procurement events, as well as the conditions governing the procurement.
A. SEQUENCE OF EVENTS The Procurement Manager will make every effort to adhere to the following schedule: Action
Responsibility
Date
1.
Issuance of RFP
Agency/State Purchasing
3/28/14
2.
Distribution List Response
Potential Offerors
4/4/14
4.
Deadline to Submit Questions
Potential Offerors
4/9/14
5.
Response to Written Questions/RFP Amendments
Agency
4/11/14
6.
Submission of Proposals
Offerors
5/1/14
7.
Proposal Evaluation
Evaluation Committee
5/5 to 5/9/14
8.
Selection and Notification of Finalists
Evaluation Committee
5/13/14
9.
Best and Final Offers from Finalists
Finalist Offerors
5/20/14
10.
Oral Presentations and Demonstrations by Finalists
Finalist Offerors
5/22/14
11.
Tentative selection of Contractor
Agency
5/27/14
12.
Finalize Contract
Agency and Selected Contractor
6/10/14
13.
Contract Award
State Purchasing Agent
6/13/14 + 15 days
14.
Protest Deadline
Offerors
Pursuant to: NMSA 1978, fifteen (15) calendar days after knowledge of award
Page 22 of 122
B. EXPLANATION OF EVENTS The following paragraphs describe the activities listed in the sequence of events shown in Section II, Paragraph A. 1.
Issuance of RFP This RFP is being issued by the Agency and the State Purchasing Division (SPD) of the General Services Department. Additional copies of the RFP can be obtained from the Purchasing Division website at http://www.generalservices.state.nm.us/statepurchasing/ .
2.
Distribution List Response Due A potential Offeror should return the “Acknowledgement of Receipt of Request for Proposals Form” that accompanies this document (See Appendix A), by hand-delivery, by facsimile, or by registered or certified mail to have the potential Offeror’s organization placed on the procurement distribution list. This form should be signed by an authorized representative of the organization, dated, and returned by close of business on the date indicated for Distribution List Response in the Sequence of Events, to the Procurement Manager. The procurement distribution list will be used for the distribution of written responses to questions and any RFP amendments. Failure to return this form shall constitute a presumption of receipt and rejection of the RFP and the potential Offeror’s organization name shall not appear on the distribution list.
3.
Deadline to Submit Written Questions Potential Offerors may submit written questions as to the intent or clarity of this RFP until close of business on the date indicated in the Sequence of Events. All written questions must be addressed to the Procurement Manager (see Section I, Paragraph G) and sent by email to
[email protected].
4.
Response to Written Questions/RFP Amendments Written responses to written questions and any RFP amendments will be distributed on the date indicated in the Sequence of Events, to all potential offerors whose organization names appear on the procurement distribution list. An Acknowledgement of Receipt Form will accompany the distribution package. The form should be signed by the offeror’s representative, dated, and hand-delivered or returned by facsimile or by registered or certified mail by the date indicated thereon. Failure to return this form shall constitute a presumption of receipt and withdrawal from the procurement process, and the offeror’s organization name may be deleted from the procurement distribution list. Note: A new Acknowledgment of Receipt form may be requested each time a new Q&A or RFP amendment is posted and distributed.
5.
Submission of Proposals ALL OFFEROR PROPOSALS MUST BE RECEIVED FOR REVIEW AND EVALUATION BY THE PROCUREMENT MANAGER OR DESIGNEE NO LATER Page 23 of 122
THAN 4:00 PM MST on the date indicated in the Sequence of Events for Submission of Proposals. PROPOSALS RECEIVED AFTER THIS DEADLINE WILL NOT BE ACCEPTED. The date and time will be recorded on each proposal. Proposals must be addressed and delivered to the Procurement Manager at the address listed in Section I, Paragraph G. Proposals must be sealed and labeled on the outside of the package to clearly indicate a response to the “Motor Vehicle Division Data Sales” Request for Proposals #40-333-1314293. Proposals submitted by facsimile or other electronic media will not be accepted. A public log will be kept of the names of all Offeror organizations that submitted proposals. Pursuant to § 13-1-116 NMSA 1978, the contents of any proposal shall not be disclosed to competing Offerors prior to contract award. 6.
Proposal Evaluation The evaluation of proposals will be performed by an evaluation committee appointed by Agency management. The evaluation process will take place during the time period indicated in the Sequence of Events. During this time, the Procurement Manager may, at his option, initiate discussion with offerors who submit responsive or potentially responsive proposals for the purpose of clarifying aspects of the proposals, but proposals may be accepted and evaluated without such discussion. Discussions SHALL NOT be initiated by the Offerors.
7.
Selection and Notification of Finalists The Evaluation Committee may select one or more finalists, and the Procurement Manager will notify the finalist offerors on the date indicated in the Sequence of Events. Only finalists will be invited to participate in the subsequent steps of the procurement. The schedule for the oral presentations/demonstrations will be determined at this time.
8.
Best and Final Offers from Finalists Finalist offerors may be asked to submit revisions to their proposals for the purpose of obtaining best and final offers (BAFOs), which must be submitted NO LATER THAN 4:00 PM MST on the date indicated in the Sequence of Events. Best and final offers may be clarified and amended at the Finalist Offerors’ oral presentations/demonstrations.
9.
Oral Presentation/Demonstration by Finalists Finalist offerors will be required to present their proposals and respond to Evaluation Committee questions on the dates indicated in the Sequence of Events. The Agency reserves the right to extend the time at its sole discretion. All oral presentations will be held in Santa Fe, New Mexico. Finalist offerors will be limited to duration of presentation of not more than three (3) hours. The Evaluation Committee may choose to conduct site visits at the facilities of Finalist Offerors. If site visits are conducted, the oral presentations/demonstrations will be held at the Offerors’ facilities as part of the site visits.
Page 24 of 122
10.
Tentative Selection of Contractor The Agency will make a tentative contractor selection on the date indicated in the Sequence of Events. This selection will, however, be no more than tentative until a contract is finalized and awarded by the State Purchasing Agent.
11.
Finalize Contractual Agreements Any Contractual agreement(s) resulting from this RFP will be finalized with the most advantageous Offeror(s) as per schedule Section II. A., Sequence of Events or as soon thereafter as possible. This date is subject to change at the discretion of the State Purchasing Division or relevant Agency Procurement office. In the event mutually agreeable terms cannot be reached with the apparent most advantageous Offeror in the time specified, the State reserves the right to finalize a contractual agreement with the next most advantageous Offeror(s) without undertaking a new procurement process.
12.
Contract Award After review of the Evaluation Committee Report and the signed contractual agreement, the Agency Procurement office will award as per the schedule in Section II. A., Sequence of Events or as soon as possible thereafter. This date is subject to change at the discretion of the State Purchasing Division or relevant Agency Procurement office. The contract shall be awarded to the Offeror (or Offerors) whose proposals are most advantageous to the State of New Mexico and TRD, taking into consideration the evaluation factors set forth in this RFP. The most advantageous proposal may or may not have received the most points. The award is subject to appropriate Department and State approval.
13. Protest Deadline Any protest by an offeror shall be submitted in writing within fifteen calendar days after knowledge of the facts or occurrences giving rise to the protest in conformity with NMSA 1978, §13-1-172 and applicable procurement regulations. The fifteen (15) calendar day protest period for responsive offerors shall begin on the day following the contract award and will end as of 5:00 PM MST. Protests must be written and must include the name and address of the protestor and the request for proposals number. A protest must also contain a statement of grounds for protest including appropriate supporting exhibits, and it must specify the ruling requested from the State Purchasing Agent. The protest must be delivered to the State Purchasing Agent: Lawrence Maxwell, State Purchasing Agent Joseph M. Montoya State Building, Room 2016 1100 St. Francis Drive Santa Fe, New Mexico 87505 Mailing Address:
P.O. Drawer 26110, Santa Fe, NM 87502-0110
Protests received after the deadline will not be accepted. Page 25 of 122
C. GENERAL REQUIREMENTS This procurement will be conducted in accordance with the State Purchasing Agent’s procurement code regulations, 1.4.1 NMAC 1.
Acceptance of Conditions Governing the Procurement Offerors must indicate their acceptance of the Conditions Governing the Procurement section (Section II A, B and C of this RFP) in the letter of transmittal. Submission of a proposal constitutes acceptance of the Evaluation Factors contained in Section V.B. of this RFP.
2.
Incurring Cost Any cost incurred by the Offeror in preparation, transmittal, presentation of any proposal or material submitted in response to this RFP shall be borne solely by the Offeror. Any cost incurred by the Offeror for set up and demonstration of the proposed equipment and/or system shall be borne solely by the Offeror.
3.
Prime Contractor Responsibility Any contract that may result from the RFP shall specify that the prime contractor is solely responsible for fulfillment of the contract with the Agency. The Agency will make contract payments only to the prime contractor.
4.
Subcontractors The use of subcontractors is allowed. The prime contractor shall be wholly responsible for the entire performance of the contractual agreement whether or not subcontractors are used. Additionally, the prime contractor must receive approval, in writing, from the agency awarding any resultant contract, before any subcontractor is used during the term of this agreement.
5.
Amended Proposals An Offeror may submit an amended proposal before the deadline for receipt of proposals. Such amended proposals must be complete replacements for a previously submitted proposal and must be clearly identified as such in the transmittal letter. The Agency personnel will not merge, collate, or assemble proposal materials.
6.
Offerors’ Rights to Withdraw Proposal Offerors will be allowed to withdraw their proposals at any time prior to the deadline for receipt of proposals. The Offeror must submit a written withdrawal request signed by the Offeror’s duly authorized representative addressed to the Procurement Manager. The approval or denial of withdrawal requests received after the deadline for receipt of the proposals is governed by the applicable procurement regulations.
Page 26 of 122
7.
Proposal Offer Firm Responses to this RFP, including proposal prices, will be considered firm for one hundred twenty (120) days after the due date for receipt of proposals, or ninety (90) days after receipt of a best and final offer if one is submitted.
8.
Disclosure of Proposal Contents a. Proposals will be kept confidential until negotiations and the award are completed by the Agency. At that time, all proposals and documents pertaining to the proposals will be open to the public, except for material that is clearly marked proprietary or confidential. The Procurement Manager will not disclose or make public any pages of a proposal on which the potential Offeror has stamped or imprinted "proprietary" or "confidential" subject to the following requirements: b. Proprietary or confidential data shall be readily separable from the proposal in order to facilitate eventual public inspection of the non-confidential portion of the proposal. c. Confidential data is restricted to: i. confidential financial information concerning the Offeror’s organization; ii. and data that qualifies as a trade secret in accordance with the Uniform Trade Secrets Act, Sections 57-3A-1 to 57-3A-7 NMSA 1978. iii. PLEASE NOTE: The price of products offered or the cost of services proposed shall not be designated as proprietary or confidential information.
9.
No Obligation This procurement in no manner obligates the State of New Mexico or any of its Agencies to the eventual rental, lease, purchase, etc. of any equipment, software, or services offered until a valid written contract is awarded and approved by the State Purchasing Agent and other appropriate authorities.
10.
Termination This RFP may be canceled at any time, and any and all proposals may be rejected in whole or in part, when the Agency determines such action to be in the best interest of the State of New Mexico.
11.
Sufficient Appropriation Any contract awarded as a result of this RFP process may be terminated if sufficient appropriations or authorizations do not exist. Such termination will be effected by sending written notice to the contractor. The Agency's decision as to whether sufficient appropriations and authorizations are available will be accepted by the contractor as final.
12.
Legal Review The Agency requires that all Offerors agree to be bound by the General Requirements contained in this RFP. Any Offeror concerns must be promptly brought to the attention of the Procurement Manager.
Page 27 of 122
13.
Governing Law This procurement and any agreement with Offerors that may result shall be governed by the laws of the State of New Mexico.
14.
Basis for Proposal Only information supplied by the Agency in writing through the Procurement Manager or in this RFP should be used as the basis for the preparation of Offeror proposals.
15.
Contract Terms and Conditions The contract between an agency and a contractor will follow the format specified by the Agency and contain the terms and conditions set forth in the Sample Contract Appendix C. However, the contracting agency reserves the right to negotiate provisions in addition to those contained in this RFP (Sample Contract) with any Offeror. The contents of this RFP, as revised and/or supplemented, and the successful Offeror’s proposal will be incorporated into and become part of any resultant contract. The Agency discourages exceptions from the contract terms and conditions as set forth in the RFP Sample Contract. Such exceptions may cause a proposal to be rejected as nonresponsive when, in the sole judgment of the Agency (and its evaluation team), the proposal appears to be conditioned on the exception, or correction of what is deemed to be a deficiency, or an unacceptable exception is proposed which would require a substantial proposal rewrite to correct. Should an Offeror object to any of the terms and conditions as set forth in the RFP Sample Contract (APPENDIX C) strongly enough to propose alternate terms and conditions in spite of the above, the Offeror must propose specific alternative language. The Agency may or may not accept the alternative language. General references to the Offeror’s terms and conditions or attempts at complete substitutions of the Sample Contract are not acceptable to the Agency and will result in disqualification of the Offeror’s proposal. Offerors must provide a brief discussion of the purpose and impact, if any, of each proposed change followed by the specific proposed alternate wording.
16.
Offeror’s Terms and Conditions Offerors must submit a complete set of any additional terms and conditions, with the proposal, that they expect to have included in a contract negotiated with the agency.
17.
Contract Deviations Any additional terms and conditions that may be the subject of negotiation will be discussed only between the Agency and the selected Offeror and shall not be deemed an opportunity to amend the Offeror’s proposal.
18.
Offeror Qualifications The Evaluation committee may make such investigations as necessary to determine the ability of the Offeror to adhere to the requirements specified within this RFP. The Evaluation committee will reject the proposal of any Offeror who is not a responsible Page 28 of 122
Offeror or who fails to submit a responsive offer as defined in §13-1-83 and §13-1-85 NMSA 1978. 19. Right to Waive Minor Irregularities The Evaluation Committee reserves the right to waive minor irregularities. The Evaluation Committee also reserves the right to waive mandatory requirements provided that all of the otherwise responsive proposals fail to meet the same mandatory requirements and/or doing so does not, otherwise, materially affect the procurement. This right is at the sole discretion of the Evaluation Committee. 20.
Changes in Contractor Representatives The agency reserves the right to require a change in contractor representatives if the assigned representatives are not, in the opinion of the Agency, meeting its needs adequately.
21.
Notice The Procurement Code, §13-1-28 through §13-1-199 NMSA, imposes civil and misdemeanor criminal penalties for its violation. In addition, New Mexico criminal statutes impose felony penalties for bribes, gratuities, and kickbacks.
22.
Agency Rights The Agency reserves the right to accept all or a portion of an Offeror’s proposal including the right to purchase software or services from approved price agreements.
23.
Right to Publish Throughout the duration of this procurement process and contract term, potential Offerors, Offerors, and contractors must secure from the Agency written approval prior to the release of any information that pertains to the potential work or activities covered by this procurement or the subsequent contract. Failure to adhere to this requirement may result in disqualification of the Offeror’s proposal or termination of the contract.
24.
Ownership of Proposals All documents submitted in response to the RFP will become the property of the Agency and the State of New Mexico.
25.
Confidentiality Any confidential information provided to, or developed by, the contractor in the performance of the contract resulting from this RFP shall be kept confidential and shall not be made available to any individual or organization by the contractor without the prior written approval of the Agency. The Contractor(s) agree to protect the confidentiality of all confidential information and not to publish or disclose such information to any third party without the procuring Agency's written permission. Page 29 of 122
26.
Electronic mail address required A large part of the communication regarding this procurement will be conducted by electronic mail (email). Offeror must have a valid email address to receive this correspondence. (See also Section II.B.5., Response to Written Questions/RFP Amendments).
27.
Use of Electronic Versions of this RFP This RFP is being made available by electronic means. In the event of conflict between a version of the RFP in the Offeror’s possession and the version maintained by the agency, the Offeror acknowledges that the version maintained by the agency shall govern. Please refer to: http://www.generalservices.state.nm.us/statepurchasing/ITBs__RFPs_and_Bid_Tabulation.aspx
28. New Mexico Employees Health Coverage a. If the Offeror has, or grows to, six (6) or more employees who work, or who are expected to work, an average of at least 20 hours per week over a six (6) month period during the term of the contract, Offeror must agree to have in place, and agree to maintain for the term of the contract, health insurance for those employees if the expected annual value in the aggregate of any and all contracts between Contractor and the State exceed $250,000 dollars. b. Offeror must agree to maintain a record of the number of employees who have (a) accepted health insurance; (b) decline health insurance due to other health insurance coverage already in place; or (c) decline health insurance for other reasons. These records are subject to review and audit by a representative of the state. c. Offeror must agree to advise all employees of the availability of State publicly financed health care coverage programs by providing each employee with, as a minimum, the following web site link to additional information http://www.insurenewmexico.state.nm.us/. d. For Indefinite Quantity, Indefinite Delivery contracts (price agreements without specific limitations on quantity and providing for an indeterminate number of orders to be placed against it); these requirements shall apply the first day of the second month after the Offeror reports combined sales (from state and, if applicable, from local public bodies if from a state price agreement) of $250,000. 29.
Campaign Contribution Form Offeror must complete and sign the Campaign Contribution Disclosure Form, Appendix H, as a part of their proposal. This requirement applies regardless whether a covered contribution was made or not made for the positions of Governor and Lieutenant Governor or other identified official. Failure to complete and return the signed unaltered form will result in disqualification.
Page 30 of 122
30.
Pay Equity Initiative a. If the Offeror has ten (10) or more employees OR eight (8) or more employees in the same job classification, Offeror must complete and submit the required reporting form (PE10-249) if they are awarded a contract. Out-of-state Contractors that have no facilities and no employees working in New Mexico are exempt if the contract is directly with the out-of-state contractor and fulfilled directly by the out-of-state contractor, and not passed through a local vendor. b. For contracts that extend beyond one (1) calendar year, or are extended beyond one (1) calendar year, Offeror must also agree to complete and submit the required form annually within thirty (30) calendar days of the annual bid or proposal submittal anniversary date and, if more than 180 days has elapsed since submittal of the last report, at the completion of the contract. c. Should Offeror not meet the size requirement for reporting at contract award but subsequently grows such that they meet or exceed the size requirement for reporting, Offeror must agree to provide the required report within ninety (90) calendar days of meeting or exceeding the size requirement. Offeror must also agree to levy these reporting requirements on any subcontractor(s) performing more than 10% of the dollar value of this contract if said subcontractor(s) meets, or grows to meet, the stated employee size thresholds during the term of the contract. Offeror must further agree that, should one or more subcontractor not meet the size requirement for reporting at contract award but subsequently grows such that they meet or exceed the size requirement for reporting, offer will submit the required report, for each such subcontractor, within ninety (90) calendar days of that subcontractor meeting or exceeding the size requirement.
31.
Disclosure Regarding Responsibility A. Any prospective Contractor and any of its Principals who enter into a contract greater than sixty thousand dollars ($60,000.00) with any state agency or local public body for professional services, tangible personal property, services or construction agrees to disclose whether the Contractor, or any principal of the Contractor’s company: 1. is presently debarred, suspended, proposed for debarment, or declared ineligible for award of contract by any federal entity, state agency or local public body; 2. has within a three-year period preceding this offer, been convicted in a criminal matter or had a civil judgment rendered against them for: a. the commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) contract or subcontract; b. violation of Federal or state antitrust statutes related to the submission of offers; or c. the commission in any federal or state jurisdiction of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false Page 31 of 122
statements, tax evasion, violation of Federal criminal tax law, or receiving stolen property; 3. is presently indicted for, or otherwise criminally or civilly charged by any (federal state or local) government entity with the commission of any of the offenses enumerated in paragraph A of this disclosure; 4. has, preceding this offer, been notified of any delinquent Federal or state taxes in an amount that exceeds $3,000.00 of which the liability remains unsatisfied. Taxes are considered delinquent if the following criteria apply. a. The tax liability is finally determined. The liability is finally determined if it has been assessed. A liability is not finally determined if there is a pending administrative or judicial challenge. In the case of a judicial challenge of the liability, the liability is not finally determined until all judicial appeal rights have been exhausted. b. The taxpayer is delinquent in making payment. A taxpayer is delinquent if the taxpayer has failed to pay the tax liability when full payment was due and required. A taxpayer is not delinquent in cases where enforced collection action is precluded. c. Have within a three year period preceding this offer, had one or more contracts terminated for default by any federal or state agency or local public body.) B. Principal, for the purpose of this disclosure, means an officer, director, owner, partner, or a person having primary management or supervisory responsibilities within a business entity or related entities. C. The Contractor shall provide immediate written notice to the State Purchasing Agent or other party to this Agreement if, at any time during the term of this Agreement, the Contractor learns that the Contractor’s disclosure was at any time erroneous or became erroneous by reason of changed circumstances. D. A disclosure that any of the items in this requirement exist will not necessarily result in termination of this Agreement. However, the disclosure will be considered in the determination of the Contractor’s responsibility and ability to perform under this Agreement. Failure of the Contractor to furnish a disclosure or provide additional information as requested will be grounds for immediate termination of this Agreement pursuant to the conditions set forth in Paragraph 7 of this Agreement. E. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render, in good faith, the disclosure required by this document. The knowledge and information of a Contractor is not required to exceed that which is the normally possessed by a prudent person in the ordinary course of business dealings. F. The disclosure requirement provided is a material representation of fact upon which reliance was placed when making an award and is a continuing material representation of the facts during the term of this Agreement. If during the performance of the contract, the Contractor is indicted for or otherwise criminally or civilly charged by any government entity (federal, state or local) with commission of any offenses named Page 32 of 122
in this document the Contractor must provide immediate written notice to the State Purchasing Agent or other party to this Agreement. If it is later determined that the Contractor knowingly rendered an erroneous disclosure, in addition to other remedies available to the Government, the State Purchasing Agent or Central Purchasing Officer may terminate the involved contract for cause. Still further the State Purchasing Agent or Central Purchasing Officer may suspend or debar the Contractor from eligibility for future solicitations until such time as the matter is resolved to the satisfaction of the State Purchasing Agent or Central Purchasing Officer.
Page 33 of 122
III. RESPONSE FORMAT AND ORGANIZATION A. NUMBER OF RESPONSES Each Offeror shall submit only one (1) proposal.
B. NUMBER OF ELECTRONIC COPIES Offerors should deliver: One (1) ORIGINAL and one (1) HARD COPY of Binder 1 (Technical Proposal); ORIGINAL and COPY shall be in separate labeled binders; all confidential information in the proposal shall be clearly identified and easily segregated from the rest of the proposal. One (1) ORIGINAL and one (1) HARD COPY of Binder 2 (Cost Proposal); ORIGINAL and COPY of Cost Proposal shall be in separate labeled binders from Binder 1. One (1) electronic version/copy of the proposal containing ONLY the Technical Proposal. This copy must not contain any Cost information. One (1) electronic version/copy of the Cost Proposal. All Confidential Information shall be clearly identified and segregated on the electronic version mirroring the hard copy submitted. Any proposal that does not adhere to the requirements of Section III.B, Response Format and Organization, may be deemed non-responsive and rejected on that basis. .
C. PROPOSAL FORMAT All proposals must be capable of printing on standard 8½ x 11 paper (larger standard formats are permissible for charts, spreadsheets, etc.) and presented in the order delineating each section. 1. Proposal Organization Direct reference to pre-prepared or promotional material may be used if referenced and clearly marked. Promotional material should be minimal. The proposal must be organized and indexed in the following format and must contain, at a minimum, all listed items in the sequence indicated. Technical Proposal (Binder 1): Page 34 of 122
a. b. c. d. e. f. g. h. i. j.
Signed Letter of Transmittal Table of Contents Proposal Summary (optional) Response to Specifications (except cost information which shall be included in Cost Proposal/Binder 2 only) Response to Contract Terms and Conditions Offeror’s Additional Terms and Conditions Signed Campaign Contribution Disclosure Form Signed Employee Health Coverage Form Resident Vendor or Resident Veteran Certificate (If applicable) Resident Veterans Preference Certification (If applicable)
Cost Proposal (Binder 2): k.
Completed Cost Response Form
Binder 3 (Optional): l. Other Supporting Material Within each section of the proposal, the Offeror should address the items in the order in which they appear in this RFP, including reference to the section, paragraph number(s) and letter(s), and RFP page number for each item. All forms provided in the RFP must be thoroughly completed and included in the appropriate section of the proposal. All discussion of proposed costs, rates, or expenses must occur only in Binder 2 with the cost response form. The proposal summary may be included by Offerors to provide the Evaluation Committee with an overview of the technical and business features of the proposal. However, this material will not be used in the evaluation process unless specifically referenced from other portions of the Offeror’s proposal. Offerors may also attach other materials that they feel may improve the quality of their responses. However, such additional materials must appear only in Binder 3. 2. Letter of Transmittal Each proposal must be accompanied by a letter of transmittal. The letter of transmittal MUST: a. Identify the submitting organization. b. Identify the name, title, telephone and fax numbers, mailing address and e-mail address of the person authorized by the Offeror organization to contractually obligate the business entity providing the Offer. c. Identify the name, title, telephone and fax numbers, mailing address and e-mail address of the person authorized to negotiate the contract on behalf of the organization. Page 35 of 122
d. Identify the name, title, telephone and fax numbers, mailing address and e-mail address of persons to be contacted for clarification/questions regarding proposal content. e. Identify sub-contractors (if any) anticipated to be utilized in the performance of any resultant contract award`. f. Describe any relationship with any other entity that will be used in the performance of this awarded contract. g. Identify the following with a check mark and signature where required: i. Explicitly indicate acceptance of the Conditions Governing the Procurement stated in Section II. C.1; ii. Acceptance of Section V of this RFP; and iii. Acknowledge receipt of any and all amendments to this RFP. 1. Be signed by the person identified in b above who is authorized to contractually obligate the business entity providing the Offer.
PLEASE NOTE: If the proposal is submitted through state purchasing’s electronic submission system, the Offeror need only submit a single electronic copy of each binder of the proposal. Please separate the proposal for the technical specifications and the proposal for the cost as well as the proposal for the confidential information into separate files in your submission. Each “envelope” (file) location for each of the three sections of the RFP will be specified in the upload section of the Offeror’s electronic submission.
Page 36 of 122
THIS PAGE LEFT BLANK
Page 37 of 122
IV. REQUIREMENTS – GENERAL INFORMATION Unless otherwise specified, Offerors must respond in the form of a thorough narrative to each mandatory requirement and to each desirable item that the Offeror proposes to provide. The narratives, along with required supporting materials, will be evaluated and awarded points accordingly.
A. MANDATORY, MANDATORY SCORED, AND DESIRABLE REQUIREMENTS The maximum possible functionality, including mandatory, mandatory scored and desirable specifications, should be included by the Offeror. Mandatory and Mandatory Scored functionality must be provided as specified or the proposal will be rejected. The basic difference between “Mandatory” and “Mandatory Scored” is: Offeror shall respond to each Mandatory specification with a statement of concurrence. The items with this distinction will not be awarded points, but identified as “Pass/Fail”; whereas, Mandatory Scored specifications will be awarded points based on the overall quality and completeness of Offeror’s narrative response. For each desirable specification, the Offeror must indicate whether it can: a) fully meet the requirement; b) partially meet the requirement (with explanation of why and what Offeror is specifically prepared to do); or c) not meet the requirement. Points will be awarded based on the extent to which the Offeror is able to provide maximum functionality, combining mandatory, mandatory scored and desirable specifications Prior to award of a contract, the State must be assured the selected Offeror, and any Subcontractors, have the commitment and resources necessary to successfully perform under the contract. This includes, but is not limited to: Sufficient personnel available for this project possessing the required skills; Financial resources sufficient to complete performance under the contract; Equipment and hardware of appropriate type and in sufficient quantity; Competence in the changing state and federal mandates related to the project; Proven track record of successful experience in similar endeavors.
Page 38 of 122
This is the context for the Offeror to use in responding to the Mandatory Requirements. Failure to positively identify the Offeror’s intention to fulfill a requirement may result in a determination of material defect and rejection of the Offeror’s response.
B. ADDITIONAL INFORMATION 1. Taxation and Revenue Department Resources The following resources will be provided to the Offeror for use on this contract: a. Office space for the Offeror proposed Project Manager, as required to conduct meetings with Agency staff members; b. Access to copiers and fax machines. 2. Work Performance For the purpose of preparing proposals, Offeror will be responsible for providing adequate office space to accommodate proposed project staff members in the Santa Fe, or Albuquerque city limits. All work activities associated with this project are to be performed at said site. The Agency prefers that the Hosting Site be established and operated from the State of New Mexico Department of Information Technology Data Center (DoIT) in the Simms Building in Santa Fe but the Agency requires that the Hosting Site be established and operated from a facility within the State of New Mexico. Within twelve (12) months of Phase One being fully operational, the Hosting Site must be hosted and operated from the State of New Mexico Department of Information Technology Data Center (DoIT) in the Simms Building in Santa Fe. The Offeror will have full administrative rights and access for their hardware/equipment housed within DoIT. This would be accomplished via a separate contract and service level agreement with DoIT for facilities that include adequate floor space, conditioned power, HVAC controlled environment, UPS, and network connectivity, at rates to be established between the Offeror and DoIT. The Agency requires that the Hosting Site be established and operated from the State of New Mexico Department of Information Technology Data Center (DoIT) in the Simms Building in Santa Fe, New Mexico for Phase Two of the Data Sales and Web Services Project. The Offeror will have full administrative rights and access for their hardware/equipment housed within DoIT. This would be accomplished via a separate contract and service level agreement with DoIT for facilities that include adequate floor space, conditioned power, HVAC controlled environment, UPS, and network connectivity, at rates to be established between the Offeror and DoIT. 3. Time Frame The contract is scheduled to begin on or about the Contract Effective Date (CED) of July 1, 2014.
Page 39 of 122
Phase One of the Project addresses MVD Driver and Vehicle Records and should be fully functional with no disruption in services on the Contract Effective Date. The Department’s vision is that the following functionalities will be available immediately: 1. Bulk Driver Records (Point to Point) 2. Bulk Commercial and Non Commercial Vehicle Records (Point to Point) 3. Bulk Vessel Records 4. Full Driver Records for Courts and Law Enforcement 5. Public Access Driver Records 6. Vehicle Records 7. Disability Placard Records 8. Driver Monitoring 9. Youthful Driver Monitoring 10. Vehicle Registration Suite (Temporary Tags) 11. Tax Lien/NCIC check 12. Level 3 Vin Inspection Appointments 13. XML Providing Wait times at Field Offices 14. Capability to process transaction requests from Government, Schools, Non-Profits Phase 2 would entail expanded applications and services as referred to in Section I. E. SCOPE OF PROCUREMENT 4.
Background Information a.
Agency description: The Motor Vehicle Division (MVD) of the New Mexico Taxation and Revenue Department (TRD) is a New Mexico state government agency charged with administering the State of New Mexico’s vehicle and driver licensing laws in a manner warranting the highest degree of public confidence. The Taxation and Revenue Department was created by the Taxation and Revenue Department Act (Chapter 9, Article 11 NMSA 1978) for the purpose of establishing a single, unified department to administer all laws and exercise all functions charged to the department relating to taxation, revenue and vehicles. The constituencies of the department include other State agencies, cities and counties of New Mexico, taxpayers (both private and business), and legislators. For FY08, TRD processed approximately $8 billion in revenues from the general public. This includes revenues received from the various tax programs administered by the Department, as well as fees received from the Motor Vehicle Division. Revenues received are deposited with the State Treasurer and distributed to the State General Fund and other recipients, such as the State Road Fund and local governments, as designated by law. The Motor Vehicle Division (MVD) authority is found in the Motor Vehicle Code (Chapter 66, NMSA 1978). The purpose of MVD is to license commercial and noncommercial drivers, register, title and license commercial and non-commercial vehicles and boats, license auto dealers and title service companies and contract with Page 40 of 122
private partners who provide selected MVD services. The mission of MVD is to coordinate and administer the New Mexico Motor Vehicle Code and to provide MVD customers with quality products and services to enhance safe and efficient motor vehicle operations. Through a study funded in FY06, IBM conducted a business and technical analysis of MVD and defined the gap between industry best practices and the MVD operations. A 2006 IBM Final Recommendations Report describes a target To-Be MVD environment and addresses technical, business, and organizational aspects for such an environment. These recommendations provide a template for designing continuous improvement strategies for MVD operations and services. The Project is an important step in moving forward to an effective e-government services delivery enterprise. b.
Physical environmental information: The Motor Vehicle Division’s main office is located in the Joseph M. Montoya Building at 1100 South Saint Francis Drive in Santa Fe, NM.
c.
Location of office(s): There are 91 MVD offices located throughout New Mexico with two additional installation locations in the Montoya Building.
d.
Department and Agency mission and core values: The mission of the Taxation and Revenue Department (TRD) is to administer and enforce New Mexico’s taxation and revenue laws and the Motor Vehicle Code in a manner warranting the highest degree of fairness and public confidence through a system that delivers quality customer services, efficiency and security. The TRD vision is to enhance the quality of life for all New Mexicans by effectively collecting and distributing funds to support schools and state and local government operations and by protecting public safety through effective administration of motor vehicle laws. TRD strives to be professional, fair, consistent, responsive to citizens and respected as an excellent state agency. Our core values are of central importance to TRD achieving the TRD vision: We are customer centric in that we are accountable to the public we serve, by providing professional customer service in a consistent, positive and courteous manner in compliance with the law and TRD regulations We conduct business with honesty and integrity and provide fair and equitable treatment to everyone We make data driven decisions We safeguard confidential information We value wise use of Department resources We have clear compliance and service goals We value each other as the key to all our successes and have a talented and motivated staff
Page 41 of 122
We believe it is critical to create and maintain a productive work environment that is challenging and free of as many obstacles as possible, while providing a high measure of career and professional satisfaction We are constantly examining our operations to identify opportunities for improvement and to address issues in an appropriate priority order within available resources We interface with our customers and stakeholders to ask: “How are we doing?” We value innovation, teamwork and the most appropriate use of technology within funding constraints
MVD’s mission is to deliver outstanding service to the motoring public – every customer, every transaction, every time. MVD’s core values are: To take care of our customers by taking care of our staff. ● To provide a supportive and professional work environment with a focus on teamwork, documented policies and procedures, accountability, personal responsibility, employee development, and good communication. ● To provide quality customer services that are consistent, timely, accurate, confidential, efficient, and professional. ● To value our customers' time by minimizing field office wait times, and by providing alternative service delivery channels which eliminate the need to wait in line. ● To minimize fraud and opportunities for identity theft. ● To meet state and federal requirements within budget parameters e.
Description of current systems, equipment, practices, etc. which will affect the contract and/or this procurement: MVD is a hybrid mainframe/WEB application system that utilizes COBOL, CICS, DB2, and VSAM in the MVS mainframe environment and also employs a WEB front-end developed in ASP.Net / C# / VBScript / Visual Basic 6.0 / JavaScript and SQL Server as its data base for the client server portion of the system. Kiosks are also used for driver license testing, vehicle registration and driver license renewals in individual field offices. An Interactive Voice Response (IVR) system is used for customer service call direction and for vehicle registration and citation payments. A nightly process extracts data via FTP from all field offices. This data is processed nightly via DB2 batch applications in the mainframe environment, and DB2 activity logs are used to replicate daily data activity into the client SQL server for the next day’s processing. The network is composed of Cisco routers and 10/100/1000 switches.
Page 42 of 122
THIS PAGE LEFT BLANK
Page 43 of 122
V. REQUIREMENTS – MANDATORY, MANDATORY SCORED and DESIRABLE Unless otherwise specified, Offerors must respond in the form of a thorough narrative to each mandatory requirement and to each desirable item that the Offeror proposes to provide. Narratives must include details as to how Offeror proposes to accomplish each item. The narratives, along with required supporting materials, will be evaluated and awarded points accordingly. The maximum possible functionality, including mandatory, mandatory scored and desirable specifications, should be included by the Offeror. Mandatory and Mandatory Scored functionality must be provided as specified or the proposal will be rejected. The basic difference between “Mandatory” and “Mandatory Scored” is: Offeror shall respond to each Mandatory specification with a statement of concurrence. The items with this distinction will not be awarded points, but identified as “Pass/Fail”; whereas, Mandatory Scored specifications will be awarded points based on the overall quality and completeness of Offeror’s narrative response. For each desirable specification, the Offeror must indicate whether it can: a) fully meet the requirement; b) partially meet the requirement (with explanation of why and what Offeror is specifically prepared to do); or c) not meet the requirement. Points will be awarded based on the extent to which the Offeror is able to provide maximum functionality, combining mandatory, mandatory scored and desirable specifications Note: For all requirements on the following pages, each mandatory requirement is identified by a checkmark ( ) in the “M” column and generally includes the word “must”. Mandatory Scored requirement are identified by a checkmark ( ) in the “MS” column and generally includes the word “must”. Desirables are indicated by checkmarks in the “D” column and generally include the word “should.”
Page 44 of 122
A. PROPOSED SOLUTION 1. Proposed Transition Plan
M
MS
a) Offerors must prepare a transition plan for transferring responsibilities from the prior vendor at the beginning of the implementation period or at time of contract completion. The bid response should outline in detail the Offeror’s proposed transition plan.
b) Offeror must describe in detail: the Offeror’s approach to knowledge transfer including system and support turnover at the expiration/termination of the prior contract; and the documentation that will accompany system turnover.
c) The data sales and web services system created under this procurement must remain operational during any transition period. In the event that a different vendor is awarded the subsequent contract, the Contractor must provide continuing services as the State transitions itself to receive such services from the new vendor. Offeror must describe their proposed process to facilitate a smooth transition.
2. Proposed Business and Marketing Plan
M
MS
a) Offerors must submit a business plan for the first year of the Contract. The business plan should detail the anticipated start and end date for all initial activities, including acquisition and/or set-up of the related infrastructure, anticipated meetings with the Agency, presentations to the Agency with topics to be covered, and an initial list of deliverables to be provided as part of the proposed solution. In addition, Offeror must address why its approach is a strong value proposition for the State.
b) The Offeror’s Business Plan must include the following: Projected monthly costs and a plan to recover the costs through the use of fees acceptable to the Agency and any other revenue proposals made by the Offeror. Note: As indicated in Section I.A. Background on page 7, the Agency’s expectation is that fees charged for data will, in the short term at least, stay the same as detailed in Appendix C, Current Fee Schedule. A communications and reporting process for system development and all aspects of the ongoing operations including revenue projections, revenue collection, and distribution.
c) Offeror must describe its marketing plan for the system. The marketing plan should show how the Contractor would perform marketing of services, regardless of whether the Contractor or others developed the applications.
d) The Offeror must address their proposed work location for the project staff in their Business Plan Additionally, the Offeror should describe their ability to meet the
D
D
Page 45 of 122
following criteria: MVD considers that face-to-face interaction provides enhanced opportunities for constructive relationships with State staff. Work facilities for the Contractor’s staff are to be provided by the Contractor. The State will not reimburse the Contractor for travel expenses, or any other cost of Contractor’s business. e) Business plan must describe the Offeror's plans for periodically conducting customer satisfaction surveys and for determining the level of use, acceptance, and ease of use of the system.
f) Business plan must describe the Offeror's plans for developing advertising and promotional materials to promote the use of the system.
g) On or before 60 days prior to the anniversary date of the Contract, the Contractor must submit to the Agency an annual business plan for its approval.
h) Business plan should identify the Offeror’s methodology associated with the development and deployment of additional applications and the establishment of associated fees. i) Proposal should identify the source of investment capital for hardware, software, communications, personnel, facilities, and other necessary infrastructure components
j) Offeror must propose additional features for the system that will enhance customer service, that may include dissemination of information, capture of customer feedback, and/or convenience features such as appointment scheduling at field offices.
k) The Offeror must include its proposed fee schedule as identified in Appendix C.
3. Proposed Staffing Organization and Use of Subcontractors
M
MS
Offeror must be responsible for providing adequate qualified staffing for the project to accomplish the system implementation and provide the associated services in accordance with the contractually established schedule. Offeror must provide a staffing plan that identifies all key personnel, describes their roles and responsibilities, and defines the reporting structure of the project within the Offeror’s organization. The Department’s goal is to limit the use of Subcontractors on this project. While subcontracting is permitted, subcontracting should be held to a minimum level. Additionally, the Offeror’s response should clearly identify each proposed staff member as either an employee or a subcontractor. The justification for utilizing subcontractors must be clearly explained in the proposal, and all subcontractors must be identified by name. Note: If proposed, use of subcontractors or partners must be disclosed, and their experience in delivering data sales and web services explained along with the justification to use such subcontractors or partners. Agency approval of all subcontractors is required.
a) The Offeror must detail the required key staff by name, proposed position on
D
Page 46 of 122
project team and relevant experience for each phase of implementation, including: 1) Planning and design. 2) Infrastructure design & installation. 3) Development, testing/quality assurance, integration and deployment. 4) On-going operations, maintenance, support. 5) Transition. Such key staff may not be changed except with the written approval of the Agency. b) The Agency requires that the Contractor commit a cohesive, dedicated, highly skilled core team of key personnel to the project. This core team must include one Project Manager and may also include additional job classifications for a larger proposed core team, such as a System Design Engineer, Database Administrator, Senior Programmer/Analyst, Integration Engineer, Senior Test Engineer and System Administrator.
c) Offerors must submit a staff organization chart and the resumes of proposed staff with the proposal. The organization chart must include the title, name and experience category for each proposed individual with an accompanying narrative that describes the individual’s proposed job duties. Resumes or experience narratives must thoroughly document each proposed staff member’s knowledge and experience relative to the job duties to be performed, as well as the individual’s level of knowledge and experience in the areas listed below, as appropriate: 1) Project management. 2) System analysis and programming. 3) Database administration. 4) System Development Life Cycle (SDLC) Methodologies and Processes. 5) State or local government application systems experience. 6) Production control/production scheduling. 7) Structured testing techniques, including unit & system, integration, load testing and user acceptance testing. 8) Technical systems documentation. 9) Help desk support. 10) Marketing and Advertising.
The following qualifications apply to the described positions and should be reflected in the attached resumes or experience narratives: d) Senior Project Manager – The person assigned as the Senior Project Manager will direct all activities of this contract, beginning with day one of the contract period, and must meet the following minimum qualifications: 1) More than five years of progressive experience in project management including successful experience in a similar position in three of the past five years. 2) Extensive knowledge of SDLC processes and methodologies, especially with the operations and maintenance phase of the software development life cycle. 3) Extensive knowledge in project time reporting, tracking, and control.
Page 47 of 122
4) 5) 6) 7) 8)
Extensive knowledge of risk management. Extensive experience in contract and resource management. Experience in all phases of structured testing. General management experience. Formal education in computer science or certification in project management.
e) Database Administrator – If proposed, the person assigned as Database Administrator is expected to perform in a lead role to complete the analysis, programming, and testing for modifications to the proposed solution and must meet the following minimum qualifications: 1) Minimum of five years experience with database administration. 2) Minimum of five years experience with software performance analysis and tuning. 3) Minimum of two years experience with application architecture development. 4) Minimum of two years experience with application development DBA support. 5) Knowledge of software design using structured analysis techniques. f) Senior Programmer/Analyst – The person assigned as Senior Programmer/Analyst is expected to perform in a lead role to complete the analysis and programming for modifications to the system and must meet the following minimum qualifications: 1) Minimum of five years experience programming state-of-the-art languages. 2) Minimum of four years experience in software design using structured analysis techniques, including presentation of design specifications to users. 3) Extensive experience in production problem resolution. 4) Experience in developing and executing integration and unit test plans. 5) Knowledge of SDLC methodologies.
g) Senior Test Engineer – If proposed, the person assigned as Senior Test Engineer is expected to perform in a lead role to complete the test plans, build test cases and test scripts for the proposed solution, and should meet the following minimum qualifications: 1) Minimum of three years experience developing test plans, test cases and test scripts. 2) Minimum of two years experience in software design using structured analysis techniques. 3) Experience in developing and executing unit, system, load, integration and User Acceptance Test plans. 4) Extensive experience in production problem resolution. 5) Knowledge of SDLC methodologies. h) Senior Architect – If proposed, the person assigned as Senior Architect is expected to perform in a lead role to complete the analysis and planning for New Mexico requirements and should meet the following minimum qualifications: 1) Minimum of five years experience in database management and/or application or system development.
Page 48 of 122
2) Knowledge of advanced IT architecture and design. 3) Knowledge of SDLC methodologies. 4) Knowledge of networking topologies, equipment, protocols, transmission media, and network management practices. 5) Knowledge of project management, planning, and design techniques. 6) Knowledge of the interdependence of software operating in a multifunctioning, multi-user data processing environment. i) Senior Integration Engineer – If proposed, the person assigned as Senior Integration Engineer is expected to perform in a lead role to complete the analysis, planning, and implementation of the New Mexico system requirements and should meet the following minimum qualifications: 1) Minimum of three years experience in technical systems integration, including developing and executing integration plans. 2) Minimum of three years experience in ensuring that the solutions/strategies delivered by the team provide business benefit, meet the program requirements, and ensure adherence to any applicable technical standards. 3) Minimum of two years experience analyzing and documenting application and/or interface requirements. 4) Knowledge of the conceptualization, design, and implementation of new and existing systems, and the integration process. 5) Knowledge of system integration to ensure that all project components can coexist from a technical, physical, architectural, and functional perspective.
4. Proposed Infrastructure and Architecture Plan a) The Offeror must submit a Network Architecture plan which provides information regarding the network Architecture and components. Plan should consist of a Visio Diagram showing points of access to the Network and also identify bandwidth requirements for operating the system.
M
MS
D
FOR STATE OF NEW MEXICO LEGAL DESCRIPTION SEE: HTTP://WWW.DOIT.STATE.NM.US/DOCS/ACR/N-GUIDE-001-001.PDF
b) The Offeror must submit a System, Hardware, and Software Architecture Design plan which consists of a Visio Diagram showing the system’s architecture layers and interaction of application and hardware, network and back-up restore elements.
FOR BACKGROUND REFER TO THE “OPERATIONAL REQUIREMENTS” SECTION OF THE “SYSTEMS REQUIREMENT SPECIFICATIONS TEMPLATE” OR THE “SYSTEM DESIGN DOCUMENT” TEMPLATE ON THE DEPARTMENT OF INFORMATION TECHNOLOGY WEB SITE HTTP://WWW.DOIT.STATE.NM.US/PROJMGMT_TEMPL.HTML
c) The Offeror must submit a Business Continuity, Backup and Recovery Implementation Design.
THE TEMPLATE FOR THIS IS ON THE DEPARTMENT OF INFORMATION TECHNOLOGY WEB SITE HTTP://WWW.DOIT.STATE.NM.US/PROJMGMT_TEMPL.HTML
Page 49 of 122
d) The Offeror must describe how the Project will be successfully designed and the services implemented within the State of New Mexico.
e) The Offeror must present a security plan for the system that includes physical security, transmission security, confidential information control and security of stored data. This plan will define: The method for the physical location of the system to provide physical security for the hardware supporting the site. As a part of this requirement the Offeror will specify details on how the site will support a 99.5% up time. The security, authentication and privacy measures to assure user confidence that privacy is preserved and transactions are conducted in a secure environment. A disaster recovery/business continuity plan for the physical site and equipment. A privacy policy for the systems, users and data. Access procedures based on security settings defining various roles. A system to provide for a secure payment processing. Privacy and/or confidentiality of data. Plans to use encryption, certificates, digital signatures and/or any other technologies to protect sensitive data and processes. Plans to ensure compliance with federal Driver’s Privacy Protection Act.
f) If the Offeror is selected as the Contractor, the Offeror must also agree to employ a security system which must include the following features at a minimum: The Contractor will execute a contract in a form acceptable to MVD for all persons and all customer system users and maintain records certifying that such users have permissible access and use of the records for a purpose permitted under the terms of the contract. The Contractor will assign individual password codes to all parties accessing personal information in vehicle, driver or citation records. All electronic transmission of passwords must be encrypted. Passwords must expire and/or be changed at least every 180 calendar days. Only persons with password codes shall be allowed access to MVD data. The Contractor must ensure that password codes are properly used and secured.
g) The Contractor must obtain telecommunication lines and equipment to gain access to the State's network and computing resources for system integration and data exchange. The Contractor is responsible for all costs (capital and operating) associated with any telecommunication connections between the Agency’s servers and the servers utilized to support the system. In order to provide for adequate network performance, the engineering of network connections between the servers, the State Data Centers, and their respective Internet Service Providers will need to be documented
h) The system architecture must include a web-based user interface, which reflects the concept of an integrated online government information and services center.
i) The design should facilitate efficient user navigation facilities to provide quick access to information and services within three to four mouse clicks.
Page 50 of 122
j) The system should allow the owners of content to have direct access to their Web pages for editing and the publishing of new content. It should also have the facility to automate an approval process for such changes. k) The Offeror’s system design must provide a common secure payment system, which is designed to distribute revenue from online transactions back to the Agency’s system and must also interface with the Agency’s financial accounting system.
l) The Offeror must provide a tool for monitoring use of the content by external users with a granularity of a single Web page. This tool will include customizable reports.
m) The Offeror must be responsible for all licenses and maintenance costs associated with performance of the Contract. The Offeror must be responsible for dealing with hardware and software vendors in solving system problems. Normal maintenance must be performed at times when it will have relatively low impact on customers of the system. n) The Offeror will be required to create, document, and test backup, site restoration, and disaster recovery procedures on at least an annual basis. o) The Offeror should design the system in such a way that it captures sufficient information to allocate revenue back to particular agency accounts and to provide a feed to the State Financial Management Information System.
5. Proposed Implementation Methodology
M
Offeror Responsibility: The selected Offeror will be responsible for all aspects of project management, including planning, staffing, performance monitoring and oversight, subcontractor management, project coordination, quality assurance and reporting. The following specific activities are to be performed in accomplishing the Implementation Project Management services.
a) Project Plan The selected Offeror must develop a comprehensive Project Plan for the project and must maintain the project plan through the active implementation phases of the project. The Project Plan must include:
1) Project Management – A description of the Offeror’s project organization structure, key personnel assignments, and roles and responsibilities.
2) Project Work Plan – A description of the tasks that will be performed to accomplish the implementation, delivery, and acceptance of the system including a detailed work plan with task schedules and milestones.
3) Project Data Item Deliverables – A detailed description and delivery schedule for deliverable reports, plans and technical documentation items that will be prepared and delivered in association with system implementation. Deliverable Data Items identified in this specification include:
i)
Project Plan (final)
MS D
Page 51 of 122
ii) Monthly Project Status Reports
iii) Site Preparation and Installation Plan
iv) Training Curricula, Courseware and Training Delivery Plan
v) System Acceptance Test Plan and Procedures
4) The Project Plan must reflect the understanding that all deliverables are subject to the Agency’s review and approval, and must allow for rework to correct deficiencies prior to final review and approval.
5) Offeror must submit a preliminary Project Plan for evaluation by the Agency to assess the Offeror’s understanding of the implementation process and associated requirements. The preliminary draft of the Implementation Project Plan must be included in the proposal response. 6) The final plan will be developed jointly by the State of New Mexico and Offeror before being made part of the contractual agreement. The selected Offeror must update the proposed project plan to incorporate modifications directed by the Agency during contract negotiations, and must publish the baseline project plan within 15 business days after contract award protest period end date.
b) Automated Project Management Tools 1) Offeror should use a project management software package for developing and maintaining the project work plans. The Agency recommends the use of Microsoft Project for the development and coordination of all of the Offeror’s project work plans.
2) Offeror should use the project management software to plan, implement, and monitor project work plans. The primary work plan and all subordinate detailed work plans (e.g., the System Implementation, Testing and Quality Control plan, Deliverable plan, etc.) should be implemented and maintained using the project management software.
3) The Offeror should maintain and present work plan data at a level and in a format which will enable the Department project team to easily assess the status of the Offeror’s activities against the approved work plan.
4) The Offeror must provide monthly updates of the project work plan and subordinate task plans to the Agency’s project team in electronic form. The monthly updates must contain relevant information on project plan variances including, but not limited to, the following: i)
Variances between actual or estimated task start and completion dates, and planned dates.
ii) Variances between actual or estimated resource consumption to task completion and planned resource requirements.
iii) Changes to planned dates or resources in the approved work plan.
iv) The detailed monthly project plan updates must be delivered to the
Page 52 of 122
Agency not less than two full working days prior to the monthly status review meeting. c) Project Status and Progress Reporting Offeror must plan, coordinate, prepare and provide informal weekly reporting, and formal monthly reporting of project status, progress, and current Issuances, as follows:
1) Offeror must prepare for and participate in informal weekly project status
meetings with the Agency’s Project Team to discuss project status and to resolve issues, and must document weekly status meetings in writing. The Weekly Status Report documenting items discussed, action item assignments, and schedules will be provided to the Project Team no later than 4:30 PM of the next business day after the meeting. 2) The Offeror must prepare for and participate in formal monthly project review
meetings with the Agency’s Project Team and other Agency representatives. At the formal monthly project review, the Offeror will present the status of all project tasks, identify problems and potential risk areas, coordinate the development of action plans to resolve issues, and discuss the detailed activities planned for the next reporting period. 3) The Offeror must prepare a formal project report, including the updates of the project work plan, and deliver it to the Agency’s Project Manager no later than 9:00 AM of the business day prior to the day of the scheduled monthly meeting. A report of the monthly meeting will be prepared to document project decisions, directives, and action item assignments from the meeting, and must be delivered to the Project Team no later than 4:30 PM the next business day after the meeting.
d) In this Section of the proposal, the Offeror should describe the methods and approach to manage the scope of work as described in the Contract Terms and Conditions, Appendix B, Exhibit A. Specifically, the Offeror should:
1) Describe the project management procedures and controls to be used by the Offeror for this project.
2) Describe the automated support tool(s) that will be used to plan, track, and report project status.
3) Describe sample project status/update reports that will be used by the Offeror for this project. The Offeror should include a monthly report to track the status of individual implementation tasks to include the number of tasks open, closed, and in progress during the reporting period, and the number of hours expended for each task in progress or closed during the reporting period.
4) Describe the methods and procedures utilized by the Offeror to track and report financial expenditures associated with the contract. The State is mainly interested in costs associated with hardware and software products to be transitioned to the State at the end of contract.
5) Describe the methods and procedures to allocate, track, and report resource time to individual implementation tasks.
6) Describe procedures to provide project update and status information in an
Page 53 of 122
electronic format and, as required, in written and/or oral format, and interfacing with the Agency. 7) Describe the procedures to be used to obtain prior approval from the Agency in the event that all Contractor staff members are scheduled to be away from the project site on a given day(s). In this event, the Contractor is encouraged to schedule such events on State holidays not observed by the Contractor. In addition, the Offeror should describe the procedures that will be implemented so that the Contractor staff may be contacted in the event of a production problem, etc.
8) Describe the approach to maintaining the resource level needed to meet workload demands and established task completion dates.
9) Describe the approach to replacing project staff members in the event of resignation, extended medical leave, etc.
10) Describe the procedures used by the Offeror to respond to inquiries from the NM TRD.
11) Describe the methods and procedures used to develop and execute a comprehensive work plan for implementation tasks.
12)
Descr ibe the approach to obtaining Agency approvals of deliverables, including individual implementation tasks.
Descr
Descr
15)
Descr ibe the approach to maintaining business continuity in the event of recovery from a disaster.
16)
Descr ibe the adherence to back-up and recovery standards, including the approach to error recovery.
Descr
Descr
19)
Descr ibe the methods and procedures to track system problems and modifications as described in the Contract Terms and Conditions, Appendix B, Exhibit A
20)
Descr ibe the methods for tracking customer complaints and the process associated with resolving complaints.
13) ibe the approach to the allocated turn-around time for Agency review, acceptance, or rejection of deliverables. 14) ibe the approach to monitoring performance standards and overall performance monitoring plans.
17) ibe the approach to managing project risk. 18) ibe the approach to managing testing.
Page 54 of 122
21)
Descr ibe the quality assurance standards to be utilized throughout this project and the proposed process by which the Agency accepts or negotiates standards.
6. Methodology for Implementation Requirements
M MS D
a) Offeror must describe its understanding of the requirements for implementing and supporting the solution as described in the Contract Terms and Conditions, Appendix B, Exhibit A.
b) Offeror must describe its understanding of and approach to the implementation schedule and implementation phases as described in the Contract Terms and Conditions, Appendix B, Exhibit A.
c) Offeror must describe and provide a high-level schedule of activities, milestones and deliverables in accordance with project phases and dates provided in the Contract Terms and Conditions, Appendix B, Exhibit A.
d) Offeror should describe its understanding and approach to ensure that all modifications performed will comply with quality assurance standards, which both parties have agreed to, demonstrating that the SDLC processes are documented, communicated to relevant personnel, validated to meet project needs, and are reviewed periodically for improvement.
e) Offeror should describe its understanding of and approach to the technical design, development, testing, and support of the interfaces with New Mexico systems as described in the Contract Terms & Conditions, Appendix B, Exhibit A.
f) Offeror should describe the processes, software, and/or other tools used for code version control and database changes.
g) Offeror should describe its understanding of and approach to obtaining migration approval from authorized Agency staff before migrating any changes into the production environment.
h) Offeror should describe its disaster recovery strategy which is to include the identified resources, coordination with the Agency, and a business contingency plan to be used in disaster recovery.
i) Offeror should describe its approach to recovering prior versions of production data or application components in the event of a production failure.
j) Offeror should describe its approach to monitoring system performance, including the tools and the techniques to be used, and advising the Agency of their recommendations.
k) Offeror should describe its understanding of and approach to providing end user training materials and support as described in the Contract Terms and Conditions, Appendix B, Exhibit A. Specifically, the Offeror must:
1) Describe the training strategy for Agency staff members.
2) Describe the training strategy for end users of the system and approach for training Agency training staff.
l) Offeror should describe its understanding of and approach to System and Integration Testing as described in the Contract Terms and Conditions, Appendix
Page 55 of 122
B, Exhibit A. Specifically, the Offeror should: 1) Describe the types of testing the Offeror will perform.
2) Describe how the Offeror will approach testing including test plans, test scheduling, test case development, test scripts and sample data.
3) Describe the method for building test data and versions of the application to support User Acceptance Testing that ensure data and application integrity.
4) Demonstrate the Offeror’s understanding of testing requirements for: a) Unit, string, regression, system and integration testing by the Offeror; b) Load (volume) testing by the Offeror; c) User Acceptance Testing of system changes by Agency.
5) Describe the proposed techniques to be used in all test phases to ensure quality control.
6) Describe the approach to working with Department staff in conducting User Acceptance Testing which would include test error recovery.
m) Offeror should describe its understanding of and approach to maintaining and tracking System Problems as described in the Contract Terms and Conditions, Appendix B. Specifically, the Offeror should:
1) Describe the sequence of events and the roles and responsibilities of the Offeror and the Agency depicting the life cycle of an Incident Report (IR) including the Offeror’s commitment to resolving timely all IRs.
2) Describe the Offeror’s approach to maintaining accurate IR information in tracking, updating the IR status as required, providing information and reports specified by Agency to conduct meetings, and report problem and enhancement status of the project management.
3) Provide a statement acknowledging the Offeror’s responsibility for conducting regular meetings with Agency staff to review new, existing, and resolved IRs.
1) Describe the understanding of warranty requirements.
2) Describe the full range of services proposed for this aspect of the project.
3) Describe the plan to conduct warranty activities and to provide system documentation.
4) Describe how services will be provided.
5) Describe response procedures.
n) Offeror should describe how the Offeror will meet the Warranty Period requirements described in the Contract Terms and Conditions, Appendix B. Specifically, the Offeror should:
Page 56 of 122
7. Operating and Hosting
M
MS
D
a) The Offeror must submit information regarding their strategy associated with hosting the system hardware and software, provide information describing the
environmental attributes of the hosting site, and the physical security to be implemented at the hosting facility. Please provide strategy in response. b) In coordination with the Governor’s vision for Economic Development in New Mexico, the Agency requires that the Hosting Site be established and operated from a location in New Mexico.
c) The Offeror must describe how they will support the site with back-up electrical services and server fail-over to support a 99.5% up time.
d) The State must retain ownership of all data at all times; the state must retain the ownership of all data, hardware and software, including source code, when the contract is terminated, for any valid reason such as contract expiration or violation of contract terms.
e) The Offeror should describe how they will provide a plan for expansion of the platform to accommodate growth in data and applications, and customer usage. f) The Offeror is responsible for all costs associated with the acquisition and maintenance of the hosting facilities to support the system.
g) The Agency priority is to have the system operational in the shortest possible time, regardless of hosting location within New Mexico during Phase One. The Agency prefers that the Hosting Site be established and operated from the State of New Mexico Department of Information Technology Data Center (DoIT) in the Simms Building in Santa Fe, New Mexico during Phase One of the Project. The Offeror will have full administrative rights and access for their hardware/equipment housed within DoIT. This would be accomplished via a separate contract and service level agreement with DoIT for facilities that include adequate floor space, conditioned power, HVAC controlled environment, UPS, and network connectivity, at rates to be established between the Offeror and DoIT. h) The Agency requires that the Hosting Site be established and operated from the State of New Mexico Department of Information Technology Data Center (DoIT) in the Simms Building in Santa Fe, New Mexico; either within one year after being fully operational in Phase One, or upon initiation of the Project, whichever is earlier. The Offeror will have full administrative rights and access for their hardware/equipment housed within DoIT. This would be accomplished via a separate contract and service level agreement with DoIT for facilities that include adequate floor space, conditioned power, HVAC controlled environment, UPS, and network connectivity, at rates to be established between the Offeror and DoIT.
i) The Offeror must be responsible for planning and all tasks associated with a successful installation of proposed system.
j) The Offeror must adhere to the State’s security polices and standards. The Offeror cannot sell public information obtained as part of this Contract except with the written approval of the Agency. The Offeror must strictly follow all applicable statutes and rules regarding handling of public information.
Page 57 of 122
k) The Offeror must develop, maintain, and use a Security Policy to protect the security and confidentiality of the State’s information and systems. Offeror must provide an outline of its proposed security policy. The security policy must be reviewed by the Offeror bi-annually and revisions must be submitted to the Agency for approval as necessary within 30 days of each review. Please submit sample security policy in response. l) The Offeror must be liable for any breaches in security or confidentiality by its employees or representatives.
m) The Offeror must develop, maintain and use a security plan which adheres to all the requirements and direction of the Security Policy to protect the security and confidentiality of the State’s information and systems. The Offeror must provide an outline of its proposed security plan in their response. Note: The Agency must have the responsibility to approve or request changes in the security plan. The Offeror must review the security plan annually and revisions must be submitted to the Management Committee for approval as necessary within 30 days of each review.
n) Offerors must fully describe in the Security Plan their approach to confidentiality including but not limited to the use of filtering and proxy firewalls, single logon capabilities (Extranet), and how these elements will be configured in their network.
o) For payment transactions made through the system, the Offeror will ensure that card numbers, name, address, and expiration dates are secured through encryption, authentication, and other standard payment card operating procedures to ensure that card information remains secure. The Contractor will maintain and ensure data integrity, customer confidentiality and privacy of all data collected during transactions p) The Offeror must clearly define the parameters of its comprehensive security audit that it proposes for the system, subject to the Agency’s review and approval. The Offeror must agree to ensure that the security audit is performed on an annual basis. The Offeror must arrange to have this audit conducted by an unbiased third party at no additional cost to the State. The Offeror must submit for approval the name and background of the third party auditor. The Offeror must provide the State their plan for correcting or remedying any audit exceptions identified as a result of the security audit within sixty (60) days of completion of the audit. Offeror must describe their plan for independent security audits and provide technical specifics relative to those audits. Offeror must describe their plan for independent security audits and provide technical specifics relative to those audits including the minimum criteria described in below in V.A.7.q.
Page 58 of 122
q) The Offeror must agree to provide access to personnel, systems, networks, and applications to the Agency-approved Independent Auditor in accordance to Federal and NM State Information Security Standards and Regulations (NIST and FISMA). At a minimum the access will include: 1) Approximately 30 minutes per Contractor personnel, with a maximum of three (3) Contractor personnel. 2) Access limited to those systems and applications that are used to support this Agreement, and any hardware or software with access to the Agency’s data; including, but not limited to, firewalls, switches, and routers, for example, to either internal Contractor personnel and networks or parties external to the Contractor. 3) External penetration testing may be performed by the Agency- approved Independent Auditor at any time, with prior notification. 4) Access to the Contractor network will be provided in the form of side-byside, on-site inspection and analysis where inspection is directed by the Independent Auditor, but network navigation is performed by the designated Contractor personnel, in two to three (2-3) day periods, Monday through Friday (M-F). 5) At the beginning of the on-site network risk assessment, Contractor will provide the Agency- approved Independent Auditor with a network diagram having enough detail to indicate which portions of the network the Independent Auditor needs to examine. 6) Adequate access during the side-by-side will be provided to the Independent Auditor, such that a full risk assessment can be performed regarding access to the remaining Contractor network nodes that have the Agency’s data, risk of external access to the Agency’s data, and segmentation controls between Motor Vehicle Division (MVD) data and the data of other clients on the Contractor network. 7) When applicable, Independent Auditor will also be provided with the necessary access to determine whether the authentication, authorization policies, and procedures are adequate to protect unauthorized access of the Contractor systems and applications containing the Agency’s data. 8) When applicable, Independent Auditor will be provided with the necessary access to determine the internal permeability of applications handling the Agency’s data due to vulnerabilities in the source code. 9) When applicable, information and access will be provided to the Independent Auditor that is adequate to determine the security of data shared between the Contractor and third parties. r) The proposed system should provide the capability to generate statistical analysis and system activity reports, including standard pre-defined management reports and special reports based on user-defined ad-hoc queries. The selected Offeror will work with Agency to define the specific management reports that will be produced by the system as required by MVD, and should prepare an automatic capability for pre-scheduled generation of the standard reports. Full reporting capabilities will be provided with the initial operational capability delivery of the system. Offeror should provide a list of reports, and a sample of the reports to be provided.
Page 59 of 122
s) The system should produce standard reports either automatically on a predefined schedule, or on-demand under operator control.
t) Reports should be able to be routed, either automatically or under operator control, to designated network workstations, network printers, and/or email accounts.
u) The proposed solution should include a graphically-oriented Report Writer that can be used by a user to generate ad-hoc reports of the operator’s design.
v) The Report Writer should be able to access all system databases and activity logs for the compilation of report information.
w) The Report Writer should include the capability to catalog frequently-used ad-hoc reports and add them as scheduled or on-demand standard reports.
x) Offeror must supply updates to the software and user documentation for the duration of the initial contract and additional year extensions at no additional cost.
y) Offeror should provide a capability to track and report system update history.
z) Offeror must provide a capability to roll back changes with no degradation or corruption of current or archived data.
1) The system design should minimize the extent and scope of system downtime for the purpose of system maintenance such as hardware maintenance, system software upgrades, and addition of system components.
2) It should be possible to limit operational downtime during a physical relocation or computer room shutdowns, to only system shutdown and startup, plus time to physically relocate, set up applicable hardware, and/or verify hardware and operating system integrity.
3) In-process transactions in system queues should be able to be restarted after power-up with no loss of transactions or data.
4) The system should permit complete shutdown of hardware and software and restart to full functionality within a 20 minute period of time.
aa) Downtime:
bb) The State's performance expectations, along with their associated measurement, monitoring and reporting, are expressed as Service Level Agreements (SLAs). These SLAs include both the development and the on-going operations. Given the magnitude and scope of the endeavor, it is important to enter into a contractual relationship that succinctly defines these SLA criteria. Offeror must provide a draft version of the expected Service level agreement describing how they will address the following areas:
1) Implementation Schedules Once an implementation plan is approved, the Offeror must provide the implementation schedule.
2) Web Site Availability The site must be available on a 24 by 7 by 365 basis 99.5% of the time (other than reasonable time for normal maintenance). Scheduled downtime should be coordinated with and approved by the Agency with at least a five (5) day advance notice prior to performing the scheduled downtime. Scheduled
Page 60 of 122
downtime should be scheduled during off-hours. Offeror must describe their approach and experience with availability and the scheduling of routine maintenance downtime. 3) Application Availability This SLA should address performance of the individual applications provided by the Offeror where the impact to the customer community is isolated to the specific application and not all applications on the system. The Offeror should make certain the system applications are available on a 24 by 7 by 365 basis 99.5% of the time (other than reasonable time for normal maintenance). Individual applications may be unavailable based on the individual entity legacy application operational schedule. Scheduled application downtime should be coordinated with and approved by the Agency with at least 8-hour advance notice prior to performing the scheduled downtime. Scheduled downtime should be scheduled during off-hours. Offeror should describe their approach and experience on availability and the scheduling of routine maintenance downtime.
4) Security Management The Offeror submitted SLA should address performance of security management. Security management includes all the components that make-up the security barriers to the system, data while being transmitted to or through the system and data available to the system. The security barriers may include firewalls, intrusion detection, virus protection, access control, authentication and other mechanism and techniques to ensure the system and data are protected.
5) Infrastructure Performance Offeror should obtain measurement tools in order to report periodically on the performance experienced by users from different locations. Performance management tools should provide an integrated and time synched mechanism with which the State and the Contractor can monitor server and network performance of all aspects of all transaction types, excluding any client-side performance monitoring. Include a description of what automated tools would be employed and how online access to performance reports will be provided to the State.
6) Monthly Reports The State will use monthly diagnostic reports in the categories outlined below to verify and analyze Contractor conformance with the defined service level agreements. The State will have access to all performance data, in raw and processed form, for the purpose of SLA verification. number of new services number and amounts of payment transactions per subscription, convenience and transaction by agency number of accesses to the system and per web site number of times Services are accessed number of new and returning visitors average number of pages per visitor
Page 61 of 122
usage patterns (i.e. peak and low times for access) number of business/services transactions and amounts by application and in total for the State number of visits to the site number of visits to the site by application number and types of forms/reports requested by customers number of subscribers by type and the number of transactions each subscriber makes per application customer feedback and on-line survey reports, including requests for future services. 7) Quarterly Reports The Contractor must report to the Agency quarterly on its performance in relation to the prior quarter's implementation schedule, on or before 30 days after the end of the relevant quarter. Each quarterly report must contain a summary of the included monthly reports and in addition should contain: Progress to Contract Goals Progress to Contract Objectives New services planned to be offered during the next reporting period Financial Performance Actual/budgeted/forecasted sales, by service Actual/budgeted/forecasted costs by service Actual/budgeted/forecasted Staffing changes Financial Projections Projected sales by service Projected costs by services Projected staffing changes Other information as may be required by the Agency.
8) Annual Reports The Contractor must report to the Agency annually on its performance in relation to the prior year’s implementation schedule, on or before 30 days after the end of the relevant year. Each annual report shall contain a summary of the included monthly reports and in addition should contain: Progress to Contract Goals Progress to Contract Objectives New services planned to be offered during the next reporting period Financial Performance Actual/budgeted/forecasted sales, by service Actual/budgeted/forecasted costs by service Actual/budgeted/forecasted Staffing changes Financial Projections Projected sales by service Projected costs by services
Page 62 of 122
Projected staffing changes Other information as may be required by the Agency
8. Proposed Transition Plan a) All Offerors must prepare a transition plan for transferring responsibilities to another vendor, or to the Agency, at the end of the contract period or at time of contract termination. The bid response should outline in detail the Offeror’s proposed hand-off transition plan. Also, the Offeror must agree to provide up to a 12-month transition period upon official termination date of the contract.
M
MS
D
b) Offeror should describe how the Offeror will detail their approach to knowledge transfer including system and support turnover at the expiration/termination of the contract in the Transition requirements described in the Contract Terms and Conditions, Appendix B, Exhibit A. Specifically, the Offeror should: 1) Describe the documentation that will accompany system turnover;
2) Describe the approach to planning for system turnover at the expiration/termination of the contract.
c) The system created under this procurement must remain operational during any transition period. In the event that a different vendor is awarded the subsequent contract, the Contractor must provide continuing services as the State transitions itself to receive such services from the new vendor. Offeror must describe their proposed process to facilitate a smooth transition. At the end of the transition period, all State records, including working papers and operational documentation, must be delivered immediately to the State and become the properties of the State.
B. HISTORY PROVIDING SIMILAR SOLUTIONS 1. History a) The Offeror must describe in detail its experience in developing other similar state government projects including experience using a self-funded model from fee revenue for system operations. The narrative in response to this factor must thoroughly describe the Offeror’s experience with providing the investment capital for hardware, software, communications, personnel, facilities and other necessary infrastructure components required in developing and hosting a solution which operates in a similar technical and governmental environment. The information presented must include:
M
MS
D
1) A brief statement of how long the Offeror has been performing the services sought under this RFP. Offerors must include a complete list of current or former clients for whom services similar to those sought under this RFP have been performed.
2) A description of the experience level, technical and application knowledge, and government experience that the Offeror has obtained in the recent five
Page 63 of 122
years. 3) The revenue realized by other states as a direct result of implementing a similar solution. Include revenue projections vs. actual collections.
b) The Offeror must provide at least three (3) State Government Client References including the names, contact information and a description of the projects.
c) The Offeror must describe in detail its experience in working with Motor Vehicle Services and Driver and Vehicle transactions in other States. The Offeror must also describe their experience in developing and operating such MVD services using a data sales and web services solution. The Offeror must provide at least two (2) Motor Vehicle Services Client References including the names, contact information, and a description of the projects.
b) The Offeror must describe in detail the Technical solutions implemented for
other states including how a self-funded model was incorporated as part of the system operations. The Offeror must provide information detailing the technical solution and funding model for at least three (3) State Government Data Sales and Web Services Clients.
Note: Any or all corporate references may be contacted by the Evaluation Committee. c) Offerors whose proposals include the use of Subcontractors must include three external references for each Subcontractor. Each reference must include the name of the company and its current address, name of the contact person, e-mail address, telephone number, and the date and description of the services provided.
d) Offerors must submit at least three external references for each of those corporate management/officers who are proposed to be responsible for the Contractor’s performance and who are empowered by the Contractor to legally bind the Contractor. Each reference should include the name of the company and its current address, name of the contact person, e-mail address, telephone number, and the date and description of the services provided.
C. OFFEROR QUALIFICATIONS 1. Financial Stability of Offeror
M
MS
a) Offerors must submit copies of their organization’s most recent independently audited financial statements, as well as those for the preceding three years. The financial statement submitted must be solely for the Offeror, unless a parent entity is also committing to financially support the Offeror in performance of the contract, in which case the financial statements of the parent entity must also be provided. Submissions should include the audit opinion, balance sheet, statements of income, retained earnings and cash flows, and the notes to the financial statements.
b) Offerors must provide a statement of the company’s vision. The vision statement must detail the company’s corporate plans, showing the company’s road map for the next three years, based on the company’s understanding of the current market. The vision statement must also detail plans for enhancing core competencies and/or plans to expand into other markets. The vision statement must detail the
D
Page 64 of 122
company’s strategy for enhancing its ability to deliver solutions to customers and continue to provide ongoing customer support. The vision statement must outline the company’s solution delivery strategy through direct or indirect channels or a combination. c) Offerors must also submit information regarding any mergers, acquisitions or sales of the Offeror or subcontracting companies within the last ten years, and/or any that are pending or being negotiated with an explanation providing relevant details.
d) Offerors must provide a statement as to whether there is any pending litigation against the Offeror, and if such litigation exists, attach an opinion of counsel as to whether the pending litigation may impair the Offeror’s performance in a contract under this RFP.
e) Offerors must provide a statement as to whether the Offeror or any of the Offeror’s employees, agents, independent contractors or subcontractors have been convicted of, pled guilty to, or pled nolo contendere to any felony, and if so provide an explanation with relevant details.
f) Offerors must include a statement of their intention and ability to procure, submit to the Agency, and maintain throughout the duration of the contract, a Performance Bond in the amount specified in Appendix B, Article 3, Paragraph C in favor of the Agency to insure the Contractor’s performance under the contract.
g) The Offeror must fully disclose its involvement in any legal proceedings, lawsuits or governmental regulatory actions and any contractual demands for assurance regarding their provision of similar services, pending or occurring in the last five (5) years
D. ORAL PRESENTATION AND SYSTEM DEMONSTRATION 1. Oral Presentation
M
MS
D
a) The Offeror must agree, if selected as a finalist, to provide the Evaluation Committee the opportunity to interview proposed staff. Offeror must also agree to provide a presentation on the proposal material presented in their response placing emphases on the Proposed Solution, Revenue Projections for New Mexico, and Additional Revenue Generating Ideas. A statement of concurrence with this requirement must be included in the Offer’s proposal.
E. REVENUE PROJECTIONS FOR NEW MEXCIO 1. Revenue Projections a) As the Offeror develops a strategy for revenue generation, the Offeror will establish fees for services and records with the understanding that the Offeror will pay TRD a royalty based on percentage of the fees collected. The Contractor fees should include the Contractor assuming responsibility for all financial processing costs for credit or debit cards and e-checks and taking responsibility for any “failure to
M
MS
D
Page 65 of 122
pay” risks and consequences. b) The Offeror must propose a system and related methodologies and associated fees to: Establish an electronic link to transfer MVD driver and vehicle records between the Offeror and the MVD database in a manner that meets MVD specifications. Manage the sale and delivery of MVD driver and vehicle data records to appropriate customers in a manner that meets the requirements of the New Mexico Inspection of Public Records Act, the New Mexico Public Records Act, and the Federal Driver’s Privacy Protection Act. Provide technical interfaces, billing and accounting, and all necessary support to service customer accounts. Satisfactorily meet the systems, data and financial security, compliance, accounting and auditing requirements of TRD.
c) The Offeror must provide revenue projections for the first year of operation, revenue amounts should be shown by month and should identify who the revenue will be collected from, the system application responsible for generating the revenue, and any other statistic which can be utilized to support revenue projections.
d) The Offeror must provide revenue projections for the second, third and fourth years of operation, revenue amounts should be shown by year and should identify who the revenue will be collected from, the system application responsible for generating the revenue, and any other statistic which can be utilized to support revenue projections.
e) The Offeror must provide detailed information on the proposed payment method and frequency of payments for transactions processed on MVD’s behalf through the use of the system; such payments must be made based on daily transaction reports, at least monthly.
F. ADDITIONAL REVENUE GENERATING IDEAS 1. Additional Revenue
M
MS
a) The Offeror must provide other revenue generating ideas which can be implemented as part of the proposed solution. Additionally, the Offeror must provide estimated annual revenue projections, the level of effort and period of time required to implement each idea proposed. b) The Offeror should describe, at a high-level, the process of how each additional revenue generating idea will be designed, tested, and added (implemented) to the system, assuming that all services will not be implemented on initial rollout.
D
G. VALUE ADDED SERVICES TO BE PROVIDED TO NEW MEXICO 1. Value Added Services
M
MS
D
Page 66 of 122
a) The Offeror must identify any “Value-Added Services” that may be available to add value to MVD and other divisions of TRD (e.g. training of state ITD staff members in emerging web technologies; training for finance staff on credit card processing and settlement process; enhanced outreach or customer service features through the use of the solution, etc.). b) The Offeror should describe the process, at a high-level, on how each additional value added service will be provided to the State.
c) The Offeror shall propose additional features for the system that will enhance customer service, that may include dissemination of information, capture of customer feedback, and/or convenience features such as appointment scheduling at field offices.
H. COST RESPONSE 1. Offeror’s Cost Response a) The Offeror’s Cost Response may be no more than a statement of concurrence with the Agency’s expectation that fees charged for data will, in the short term at least, stay the same as detailed in Appendix C, Current Fee Schedule. However, if the Offeror proposes any variation from the current fee schedule, it must detail and justify any such variations in its Cost Response.
M
MS
D
MS
D
MS
D
MS
D
I. ADDITIONAL REQUIREMENTS 1. Resident Business or Resident Veterans Preference a) To ensure adequate consideration and application of 13-1-21 NMSA (as amended), Offerors must include a copy of their preference certificate in this section. In addition, for resident Veterans Preference, the attached certification Form (APPENDIX H) must accompany any Offer and any business wishing to receive the preference must complete and sign the form.
2. Letter of Transmittal Form a) Offeror’s proposal must be accompanied by the Letter of Transmittal Form located in APPENDIX F. The form must be completed and must be signed by the person authorized to obligate the company.
3. Campaign Contribution Disclosure Form a) The Offeror must complete an unaltered Campaign Contribution Disclosure Form and submit a signed copy with the Offeror’s proposal. This must be accomplished whether or not an applicable contribution has been made. (See APPENDIX B)
M
M
M
Page 67 of 122
4. Employee Health Coverage Form a) The Offeror must agree with the terms as indicated in APPENDIX E. The unaltered form must be completed, signed by the person authorized to obligate the Offeror’s firm and submitted with Offeror’s proposal.
5. Pay Equity Reporting a) The Offeror must agree with the requirements of reporting as defined in Section II.C.30. Report is due at the time of contract award. A statement of concurrence with this requirement must be included in Offeror’s submitted proposal. Out-of-state Contractors that have no facilities and no employees working in New Mexico are exempt if the contract is directly with the out-ofstate contractor and fulfilled directly by the out-of-state contractor, and not passed through a local vendor. However, such out-of-state Offerors must still submit a statement of concurrence which reads as follows: “Offeror concurs with the Pay Equity Reporting as defined in Section II.C.30. Offeror would come under the definition of out-of-state Contractor if Offeror should be successful.”
M
MS
D
MS
D
M
Page 68 of 122
THIS PAGE LEFT BLANK
Page 69 of 122
VI. EVALUATION A. EVALUATION POINT SUMMARY The following is a summary of the evaluation factors that will be used in the evaluation of individual proposals, with the maximum point value assigned to each. For ease of reference the evaluation factors are numbered as they appear in Sections V. Section Reference
Evaluation Factor
Available Points
V.A.
Proposed Solution Points will be awarded based on the overall quality and completeness of Offeror’s narrative responses and commitment to providing maximum functionality; business and marketing plans; proposed staff organization, qualifications and experience; infrastructure and architecture plan; implementation methodology; operating and hosting plan; and transition plan.
250
V.B. and V.C.
Offeror Qualifications Offeror Qualifications will be awarded points based on the depth and quality of corporate experience and references, including the Offeror’s history providing similar or closely related solutions, as well as financial stability.
250
V.D.
Oral Presentation and System Demonstration (Finalists only) Oral Presentation and System Demonstration (and site visit, if conducted) will be awarded points based on the overall quality, clarity, and organization of the presentation and demonstration, including the proposed Project Manager’s demonstrated leadership qualities and effective communication; contributions of proposed core team members; and responses to technical questions with emphasis on the Offeror’s demonstrated understanding of and ability to meet the requirements of the RFP.
100
V.E. and V.H.
Revenue Projections for New Mexico Offeror will be awarded points based on the overall ingenuity, quality, clarity, and organization of the funding model and proposed costs/fees.
150
V.F.
Additional Revenue Generating Ideas Offeror will be awarded points based on the overall ingenuity, quality, clarity, and presentation of other services which may be provided through the system to produce additional revenue to the State.
50
V.G.
Value Added Services Offeror will be awarded points based on the overall ingenuity, quality, clarity, and presentation of other services which may be provided as added value to MVD and other divisions of TRD.
200
Total
1,000
Preference points For a qualifying Offeror up to 100 points may be added for the resident Page 70 of 122
business or resident veteran preference, per Sec. 13-1-21 NMSA 1978.
B. EVALUATION PROCESS The Agency realizes there may be limits to functionality within the funding limits specified in Section I.F. Financial Constraints. The maximum possible functionality, including both mandatory and desirable requirements, should be included by Offeror within the stated funding limitations. Desirables that cannot be funded within the specified budget limitations must be priced separately as optional additions for consideration in the event that additional funding becomes available. 1. All Offeror proposals will be reviewed for compliance with the mandatory requirements as stated within the RFP. Proposals deemed non-responsive will be eliminated from further consideration. 2. The Procurement Manager may contact the Offeror for clarification of the response as specified in Section II.B.6. 3. Responsive proposals will be evaluated on the factors in Section V and Appendices that have been assigned a point value. One or more responsive Offerors with the highest scores will be selected as Finalist Offerors based upon the proposals submitted. Finalist Offerors who are asked or who choose to submit revised proposals for the purpose of obtaining best and final offers will have their points recalculated accordingly. 4. Only Finalist Offerors will be invited to make oral presentations and system demonstrations. The Evaluation Committee may choose to conduct site visits at the facilities of Finalist Offerors, and to include the oral presentations and system demonstrations in the site visits. Points awarded for those oral presentations/demonstrations (and site visits, if conducted) will be added to the previously assigned points to determine final scores. 5. The responsible Offeror whose proposal is most advantageous to the Agency, taking into consideration the evaluation factors in Section V, will be recommended for contract award to the State Purchasing Agent. Please note, however, that a serious deficiency in the response to any one factor may be grounds for rejection regardless of overall score.
Page 71 of 122
APPENDIX A ACKNOWLEDGEMENT OF RECEIPT FORM RFP #40-333-13-14293 MOTOR VEHICLE DIVISION DATA SALES
In acknowledgement of receipt of this Request for Proposal, the undersigned agrees that he/she has received a complete copy of the RFP, beginning with the title page and table of contents, and ending with Appendix J. The acknowledgement of receipt should be signed and returned to the Procurement Manager no later than close of business on the date indicated for Distribution List Response in Sec. II.A. Only potential offerors who return this completed form will receive notification of posting on the SPD web site of all offeror written questions and the Agency’s written responses to those questions as well as RFP amendments and information updates if any are issued. FIRM: ___________________________________________________________________________ REPRESENTED BY: ______________________________________________________________ TITLE: _____________________________________ PHONE: ___________________________ E-MAIL: ____________________________________ FAX: ______________________________ ADDRESS: _______________________________________________________________________ CITY: ______________________________________ STATE: _____ ZIP CODE: ___________ SIGNATURE: _______________________________ DATE: _____________________________ This name and address will be used for all correspondence related to the Request for Proposal. Procurement Manager: Name: Title: Agency Name: Address: Telephone: Fax Number: E-mail:
Mr. Mac Lewis Procurement Manager New Mexico Taxation & Revenue Department Motor Vehicle Division Joseph M. Montoya Building P.O. Box 1028, Santa Fe, NM 87504-2244 (505) 827-2244 (505) 827-2397
[email protected]
Page 72 of 122
THIS PAGE LEFT BLANK
Page 73 of 122
1. APPENDIX B – SAMPLE CONTRACT STATE OF NEW MEXICO Taxation and Revenue Department Information Technology Agreement Contract No.________________ THIS Information Technology Agreement (“Agreement” or “Contract”) is made by and between the State of New Mexico, [Insert Procuring Agency Name], hereinafter referred to as the “Procuring Agency” and [Insert Contractor Name], hereinafter referred to as the “Contractor” and collectively referred to as the “Parties”. WHEREAS, pursuant to the [CHOICE #1 - Procurement Code, NMSA 1978 13-1-28 et. seq; and Procurement Code Regulations, NMAC 1.4.1 et.seq; OR CHOICE #2 – New Mexico State Use Act (131C-1 NMSA 1978);] the Contractor has held itself out as expert in implementing the Scope of Work as contained herein and the Procuring Agency has selected the Contractor as the offeror most advantageous to the State of New Mexico; and [CHOICE #1 - If procurement method is a RFP or Sole Source, use the following language: WHEREAS, all terms and conditions of the [RFP Number and Name] [SOLE SOURCE] and the Contractor’s response to such document(s) are incorporated herein by reference; and] [CHOICE #2 – If procurement method is a state price agreement, use the following language: WHEREAS, this Agreement is issued against the state price agreement, SPD [Insert state price agreement number and name], established and maintained by the New Mexico State Purchasing Division of the General Services Department;] [CHOICE #3 - WHEREAS, all Parties agree that, pursuant to the [SUBCHOICE A - Procurement Code, 1.4.1.52 et. seq. OR SUBCHOICE B – New Mexico State Use Act (13-1C-1 NMSA 1978)] the total amount of this Agreement is $50,000.00 or less, excluding taxes; and NOW, THEREFORE, IT IS MUTUALLY AGREED BETWEEN THE PARTIES: ARTICLE 1 – DEFINITIONS A. B.
C. D.
“Acceptance” or “Accepted” shall mean the approval, after Quality Assurance, of all Deliverables by an Executive Level Representative of the Procuring Agency. “Application Deployment Package” shall mean the centralized delivery of business critical applications including the source code (for custom software), documentation, executable code and deployment tools required to successfully install application software fixes including additions, modifications, or deletions produced by the Contractor. “Business Days” shall mean Monday through Friday, 7:30 a.m. (MST or MDT) to 5:30 p.m. except for federal or state holidays. “Change Request” shall mean the document utilized to request changes or revisions in the Scope of Work – Exhibit A, attached hereto and incorporated herein.
Page 74 of 122
“Chief Information Officer (“CIO”)” shall mean the Cabinet Secretary/CIO of the Department of Information Technology for the State of New Mexico or Designated Representative. F. “Confidential Information” means any communication or record (whether oral, written, electronically stored or transmitted, or in any other form) that consists of: (1) confidential client information as such term is defined in State or Federal statutes and/or regulations; (2) all nonpublic State budget, expense, payment and other financial information; (3) all attorney-client privileged work product; (4) all information designated by the Procuring Agency or any other State agency as confidential, including all information designated as confidential under federal or state law or regulations; (5) unless publicly disclosed by the Procuring Agency or the State of New Mexico, the pricing, payments, and terms and conditions of this Agreement, and (6) State information that is utilized, received, or maintained by the Procuring Agency, the Contractor, or other participating State agencies for the purpose of fulfilling a duty or obligation under this Agreement and that has not been publicly disclosed. G. “Contract Manager” shall mean a Qualified person from the Procuring Agency responsible for all aspects of the administration of this Agreement. Under the terms of this Agreement, the Contract Manager shall be [Insert Name] or his/her Designated Representative. H. “Default” or “Breach” shall mean a violation of this Agreement by either failing to perform one’s own contractual obligations or by interfering with another Party’s performance of its obligations. I. “Deliverable” shall mean any verifiable outcome, result, service or product that must be delivered, developed, performed or produced by the Contractor as defined by the Scope of Work. J. “Designated Representative” shall mean a substitute(s) for a title or role, e.g. Contract Manager, when the primary is not available. K. “DoIT” shall mean the Department of Information Technology. L. "DFA" shall mean the Department of Finance and Administration; “DFA/CRB” shall mean the Department of Finance and Administration, Contracts Review Bureau. M. “Escrow” shall mean a legal document (such as the software source code) delivered by the Contractor into the hands of a third party, and to be held by that party until the performance of a condition is Accepted; in the event Contractor fails to perform, the Procuring Agency receives the legal document, in this case, Source Code. N. “Enhancement” means any modification including addition(s), modification(s), or deletion(s) that, when made or added to the program, materially changes its or their utility, efficiency, functional capability, or application, but does not constitute solely an error correction. O. "Executive Level Representative" shall mean the individual empowered with the authority to represent and make decisions on behalf of the Procuring Agency's executives or his/her Designated Representative. P. “GRT” shall mean New Mexico gross receipts tax. Q. “Intellectual Property” shall mean any and all proprietary information developed pursuant to the terms of this Agreement. R. “Independent Verification and Validation (“IV&V”)” shall mean the process of evaluating a Project and the Project’s product to determine compliance with specified requirements and the process of determining whether the products of a given development phase fulfill the requirements established during the previous stage, both of which are performed by an entity independent of the Procuring Agency. S. “Know How” shall mean all technical information and knowledge including, but not limited to, all documents, computer storage devices, drawings, flow charts, plans, proposals, records, notes, memoranda, manuals and other tangible items containing, relating or causing the enablement of any Intellectual Property developed under this Agreement. T. “Payment Invoice” shall mean a detailed, certified and written request for payment of Services by and rendered from the Contractor to the Procuring Agency. Payment Invoice(s) must contain the fixed price Deliverable cost and identify the Deliverable for which the Payment Invoice is submitted. E.
Page 75 of 122
U. V.
W.
X. Y.
Z. AA. BB. CC. DD.
EE.
FF.
“Performance Bond” shall mean a surety bond which guarantees that the Contractor will fully perform the Contract and guarantees against breach of contract. “Project” shall mean a temporary endeavor undertaken to solve a well-defined goal or objective with clearly defined start and end times, a set of clearly defined tasks, and a budget. The Project terminates once the Project scope is achieved and the Project approval is given by the Executive Level Representative and verified by the Procuring Agency CIO to the DoIT. If applicable, under the terms of this Agreement the Project is [Insert Name of Project, if applicable; otherwise delete sentence]. “Project Manager” shall mean a Qualified person from the Procuring Agency responsible for the application of knowledge, skills, tools, and techniques to the Project activities to meet the Project requirements from initiation to close. Under the terms of this Agreement, the Project Manager shall be [Insert Name] or his/her Designated Representative. “Qualified” means demonstrated experience performing activities and tasks with Projects. “Quality Assurance” shall mean a planned and systematic pattern of all actions necessary to provide adequate confidence that a Deliverable conforms to established requirements, customer needs, and user expectations. “Services” shall mean the tasks, functions, and responsibilities assigned and delegated to the Contractor under this Agreement. "State Purchasing Agent (SPA)" shall mean the State Purchasing Agent for the State of New Mexico or his/her Designated Representative. “State Purchasing Division (SPD)” shall mean the State Purchasing Division of the General Services Department for the State of New Mexico. “Software” shall mean all operating system and application software used by the Contractor to provide the Services under this Agreement. “Software Maintenance” shall mean the set of activities which result in changes to the originally Accepted (baseline) product set. These changes consist of corrections, insertions, deletions, extensions, and Enhancements to the baseline system. “Source Code” shall mean the human-readable programming instructions organized into sets of files which represent the business logic for the application which might be easily read as text and subsequently edited, requiring compilation or interpretation into binary or machine-readable form before being directly useable by a computer. “Turnover Plan” means the written plan developed by the Contractor and approved by the Procuring Agency in the event that the work described in this Agreement transfers to another vendor or the Procuring Agency. ARTICLE 2 – SCOPE OF WORK
A.
Scope of Work. The Contractor shall perform the work as outlined in Exhibit A, attached hereto and incorporated herein by reference.
B.
Performance Measures. The Contractor shall substantially perform to the satisfaction of the Procuring Agency the Performance Measures set forth in Exhibit A. In the event the Contractor fails to obtain the results described in Exhibit A, the Procuring Agency may provide written notice to the Contractor of the Default and specify a reasonable period of time in which the Contractor shall advise the Procuring Agency of specific steps it will take to achieve these results and the proposed timetable for implementation. Nothing in this Section shall be construed to prevent the Procuring Agency from exercising its rights pursuant to Article 6 or Article 16.
Page 76 of 122
C.
Schedule. The Contractor shall meet the due dates, as set forth in Exhibit A, which due dates shall not be altered or waived by the Procuring Agency without prior written approval, through the Amendment process, as defined in Article 25.
D.
License. [CHOICE #1 – If a software license is required, use the following language.] Contractor hereby grants Procuring Agency a [CHOICE #2- If a perpetual license is required, use the following language] non-exclusive, irrevocable, perpetual license to use, modify, and copy the following Software: [Insert name of software and patent number if applicable] [CHOICE #3- If the license is required for the term of the Agreement, use the following language] non-exclusive, irrevocable, license to use, modify, and copy the [Insert name of Software and patent number if applicable] Software and any and all updates, corrections and revisions as defined in Article 2 and Exhibit A, for the term of this Agreement. The right to copy the Software is limited to the following purposes: archival, backup and training. All archival and backup copies of the Software are subject to the provisions of this Agreement, and all titles, patent numbers, trademarks, copyright and other restricted rights notices shall be reproduced on any such copies. 1. Contractor agrees to maintain, at Contractor’s own expense, a copy of the Software Source Code to be kept by an escrow agent and to list the Procuring Agency as an authorized recipient of this Source Code. The Source Code shall be in magnetic form on media specified by the Procuring Agency. The escrow agent shall be responsible for storage and safekeeping of the magnetic media. Contractor shall replace the magnetic media no less frequently than every six (6) months to ensure readability and to preserve the Software at the current revision level. Included with the media shall be all associated documentation which will allow the Procuring Agency to top load, compile and maintain the software in the event of a Breach. 2.
If the Contractor ceases to do business or ceases to support this Project or Agreement and it does not make adequate provision for continued support of the Software it provided the Procuring Agency; or, if this Agreement is terminated, or if the Contractor Breaches this Agreement, the Contractor shall make available to the Procuring Agency: 1) the latest available Software program Source Code and related documentation meant for the Software provided or developed under this Agreement by the Contractor and listed as part of the Services; 2) the Source Code and compiler/utilities necessary to maintain the system; and, 3) related documentation for Software developed by third parties to the extent that the Contractor is authorized to disclose such Software. In such circumstances, Procuring Agency shall have an unlimited right to use, modify and copy the Source Code and documentation.
[CHOICE #3 – Not Applicable. The Parties agree there is no License.] E.
Source Code. [CHOICE #1 – If for a maintenance and operations contract, use the following language.] The Contractor shall deliver any and all software developed as a result of maintenance releases by the Contractor. The Application Deployment Package must be able to reproduce a fully operational application that includes all base application functionality, all cumulative release functionality and including the functionality, as documented, verified and supported by the Contractor, which comprises the new application release.
Page 77 of 122
[CHOICE #2 – If Contractor will hold software in escrow, use the following language.] For each maintenance release, the Application Deployment Package shall be updated and shall be kept by an identified escrow agent at the Contractor’s expense. The Application Deployment Package shall be in magnetic or digital form on media specified by the Procuring Agency. The escrow agent shall be responsible for storage and safekeeping of the storage media. The Procuring Agency shall be listed with said escrow agent as an authorized recipient of the storage media which shall contain the most recent application maintenance release deployment package. [CHOICE #3 – If Contractor will not hold software in escrow, use the following language.] For each maintenance release, the Application Deployment Package shall be updated and shall be delivered to the Procuring Agency’s at the Contractor’s expense. The Application Deployment Package shall be in magnetic or digital form on media specified by the Procuring Agency and shall be updated with each new application release deployment package at the Contractor’s expense. [CHOICE #4 – Not Applicable. The Parties agree there is no Source Code.] F.
The Procuring Agency’s Rights. 1. Rights to Software. [CHOICE #1 – If the Procuring Agency has right to the Software, use the following language. - The Procuring Agency will own all right, title, and interest in and to the Procuring Agency’s Confidential Information, and the Deliverables, provided by the Contractor, including without limitation the specifications, the work plan, and the Custom Software, except that the Deliverables will not include third party software and the associated documentation for purposes of this Section. The Contractor will take all actions necessary and transfer ownership of the Deliverables to the Procuring Agency, without limitation, the Custom Software and associated Documentation on Final Acceptance or as otherwise provided in this Agreement.] [CHOICE #2 – Not Applicable. The Parties agree the Procuring Agency does not have rights to the Software.] 2. Proprietary Rights. The Contractor will reproduce and include the State of New Mexico’s copyright and other proprietary notices and product identifications provided by the Contractor on such copies, in whole or in part, or on any form of the Deliverables. 3. Rights to Data. [CHOICE #1 – If the Procuring Agency has right to the data, use the following language - Any and all data stored on the Contractor’s servers or within the Contractors custody, in order to execute this Agreement, is the sole property of the Procuring Agency. The Contractor, subcontractor(s), officers, agents and assigns shall not make use of, disclose, sell, copy or reproduce the Procuring Agency’s data in any manner, or provide to any entity or person outside of the Procuring Agency without the express written authorization of the Procuring Agency. [CHOICE #2 – Not Applicable. The Parties agree the Procuring Agency does not have rights to the data.]
ARTICLE 3 - COMPENSATION A.
Compensation Schedule. The Procuring Agency shall pay to the Contractor based upon fixed prices for each Deliverable, per the schedule outlined in Exhibit A, less retainage, if any, as identified in Paragraph D.
B.
Payment. The total compensation under this Agreement shall not exceed [Insert Dollar Amount] [CHOICE #1- excluding New Mexico gross receipts tax. CHOICE #2 - including New Mexico gross receipts tax.] This amount is a maximum and not a guarantee that the work Page 78 of 122
assigned to be performed by Contractor under this Agreement shall equal the amount stated herein. The Parties do not intend for the Contractor to continue to provide Services without compensation when the total compensation amount is reached. Contractor is responsible for notifying the Procuring Agency when the Services provided under this Agreement reach the total compensation amount. In no event will the Contractor be paid for Services provided in excess of the total compensation amount without this Agreement being amended in writing prior to services, in excess of the total compensation amount being provided. [Use if a state price agreement is the procurement method] Compensation for a statewide price agreement shall not exceed $200,000.00 per year. Contractor hereby agrees to perform work at or below the published maximum rates of the statewide price agreement as follows: o [Insert professional service category(s) and define rate(s). ] Payment shall be made upon Acceptance of each Deliverable according to Article 4 and upon the receipt and Acceptance of a detailed, certified Payment Invoice. Payment will be made to the Contractor's designated mailing address. In accordance with Section 13-1-158 NMSA 1978, payment shall be tendered to the Contractor within thirty (30) days of the date of written certification of Acceptance. All Payment Invoices MUST BE received by the Procuring Agency no later than fifteen (15) days after the termination of this Agreement. Payment Invoices received after such date WILL NOT BE PAID. C.
Taxes. [CHOICE #1- Use if Agreement is between two public entities - Not Applicable contract is between two public entities.] [CHOICE #2 – The Contractor [Use either - shall OR shall not] be reimbursed by the Procuring Agency for applicable New Mexico gross receipts taxes, excluding interest or penalties assessed on the Contractor by any authority. The payment of taxes for any money received under this Agreement shall be the Contractor's sole responsibility and should be reported under the Contractor's Federal and State tax identification number(s). Contractor and any and all subcontractors shall pay all Federal, state and local taxes applicable to its operation and any persons employed by the Contractor. Contractor shall require all subcontractors to hold the Procuring Agency harmless from any responsibility for taxes, damages and interest, if applicable, contributions required under Federal and/or state and local laws and regulations and any other costs, including transaction privilege taxes, unemployment compensation insurance, Social Security and Worker’s Compensation. ]
D.
Retainage. [CHOICE #1 - The Procuring Agency shall retain [INSERT percentage which is recommended at - twenty percent (20%)] of the fixed-price Deliverable cost for each Deliverable that is the subject of this Agreement as security for full performance of this Agreement. All amounts retained shall be released to the Contractor upon Acceptance of the final Deliverable.] [CHOICE #2 – Not Applicable – The Parties agree there is no retainage.]
E.
Performance Bond. [CHOICE #1- If the amount of the Agreement exceeds $1Million OR, if the Agreement is for custom developed software/application, OR Commercial Off the Shelf (COTS) software with greater than 20% Enhancement, OR for any other critical project execution concerns, use the following language.] Contractor shall execute and deliver to Procuring Agency, contemporaneously with the execution of this Agreement, a Performance Bond in the amount of [Insert Total Amount of agreed upon Performance Bond] in the name of the Procuring Agency. The Performance Bond shall be in effect for the duration of this Agreement and any renewals thereof. The required Performance Bond shall be conditioned upon and for the full performance, Page 79 of 122
Acceptance and actual fulfillment of each and every Deliverable, term, condition, provision, and obligation of the Contractor arising under this Agreement. The Procuring Agency’s right to recover from the Performance Bond shall include all costs and damages associated with the transfer of Services provided under this Agreement to another Contractor or to the State of New Mexico as a result of Contractor’s failure to perform. [CHOICE #2 – Not Applicable. The Parties agree there is no Performance Bond.] ARTICLE 4 – ACCEPTANCE A.
Submission. Upon completion of agreed upon Deliverables as set forth in Article 2 and Exhibit A, Contractor shall submit a Payment Invoice with the Deliverable, or description of the Deliverable, to the Procuring Agency. Each Payment Invoice shall be for the fixed Deliverable price as set forth in Article 2 and Exhibit A, less retainage as set forth in Article 3(D).
B.
Acceptance. In accord with Section 13-1-158 NMSA 1978, the Executive Level Representative shall determine if the Deliverable provided meets specifications. No payment shall be made for any Deliverable until the individual Deliverable that is the subject of the Payment Invoice has been Accepted, in writing, by the Executive Level Representative. In order to Accept the Deliverable, the Executive Level Representative, in conjunction with the Project Manager, will assess the Quality Assurance level of the Deliverable and determine, at a minimum, that the Deliverable: 1. 2.
3. 4. 5.
Complies with the Deliverable requirements as defined in Article 2 and Exhibit A; Complies with the terms and conditions of the [CHOICE #1- RFP] [CHOICE #2 – state price agreement] [CHOICE #3 - Sole Source] [CHOICE #4 – other procurement method of (please specify)]; Meets the performance measures for the Deliverable(s) and this Agreement; Meets or exceeds the generally accepted industry standards and procedures for the Deliverable(s); and Complies with all the requirements of this Agreement.
If the Deliverable is deemed Acceptable under Quality Assurance by the Executive Level Representative or their Designated Representative, the Executive Level Representative will notify the Contractor of Acceptance, in writing, within [INSERT # of days - recommend at not less than fifteen (15)] Business Days from the date the Executive Level Representative receives the Deliverable(s) and accompanying Payment Invoice. C.
Rejection. Unless the Executive Level Representative gives notice of rejection within the fifteen (15) Business Day Acceptance period, the Deliverable will be deemed to have been Accepted. If the Deliverable is deemed unacceptable under Quality Assurance, fifteen (15) Business Days from the date the Executive Level Representative receives the Deliverable(s) and accompanying Payment Invoice, the Executive Level Representative will send a consolidated set of comments indicating issues, unacceptable items, and/or requested revisions accompanying the rejection. Upon rejection and receipt of comments, the Contractor will have ten (10) Business Days to resubmit the Deliverable to the Executive Level Representative with all appropriate corrections or modifications made and/or addressed. The Executive Level Representative will again determine whether the Deliverable(s) is Acceptable under Quality Assurance and provide a written determination within fifteen (15) Business Days of receipt of the revised or amended Deliverable. If the Deliverable is once again deemed unacceptable under Quality Assurance and thus rejected, the Contractor will be required to provide a remediation plan that shall include a timeline for Page 80 of 122
corrective action acceptable to the Executive Level Representative. The Contractor shall also be subject to all damages and remedies attributable to the late delivery of the Deliverable under the terms of this Agreement and available at law or equity. In the event that a Deliverable must be resubmitted more than twice for Acceptance, the Contractor shall be deemed as in breach of this Agreement. The Procuring Agency may seek any and all damages and remedies available under the terms of this Agreement and available at law or equity. Additionally, the Procuring Agency may terminate this Agreement. ARTICLE 5 – TERM [CHOICE #1- If the Agreement is based on a state price agreement and is for professional services only OR it is for a combination of professional services and tangible property/services, use the following language] THIS AGREEMENT SHALL NEITHER BE EFFECTIVE NOR BINDING UNTIL APPROVED BY THE DoIT AND DFA/CRB. [CHOICE #2- If the Agreement is based on a state price agreement and is only for tangible property and/or services, use the following language] THIS AGREEMENT SHALL NEITHER BE EFFECTIVE NOR BINDING UNTIL APPROVED BY THE DoIT. [CHOICE #3- If the Agreement is NOT based on a state price agreement and is for professional services only, use the following language] THIS AGREEMENT SHALL NEITHER BE EFFECTIVE NOR BINDING UNTIL APPROVED BY THE DoIT AND DFA/CRB. [CHOICE #4- If the Agreement is NOT based on a state price agreement and is for only tangible property and does not include professional services, use the following language] THIS AGREEMENT SHALL NEITHER BE EFFECTIVE NOR BINDING UNTIL APPROVED BY THE DoIT AND THE STATE PURCHASING AGENT. [CHOICE #5- If the Agreement is NOT based on a state price agreement and is for both professional services and tangible property/services, use the following language] THIS AGREEMENT SHALL NEITHER BE EFFECTIVE NOR BINDING UNTIL APPROVED BY THE DoIT AND THE STATE PURCHASING AGENT. This Agreement shall terminate on [Insert Termination Date], unless terminated pursuant to Article 6. No contract term, including extensions and renewals, shall not exceed four years, except as set forth in Section 13-1-150 NMSA 1978. ARTICLE 6 – TERMINATION This Agreement may be terminated as follows: A.
General. By the either Party upon written notice to be delivered to the other party not less than ten (10) Business Days prior to the intended date of termination.
B.
Appropriations. By the Procuring Agency, if required by changes in State or federal law, or because of court order, or because of insufficient appropriations made available by the United States Congress and/or the New Mexico State Legislature for the performance of this Agreement. The Procuring Agency’s decision as to whether sufficient appropriations are available shall be accepted by the Contractor and shall be final. If the Procuring Agency terminates this Agreement Page 81 of 122
pursuant to this subsection, the Procuring Agency shall provide the Contractor written notice of such termination at least fifteen (15) Business Days prior to the effective date of the termination. C.
Obligations and Waiver. By termination pursuant to this Article, neither Party may nullify obligations already incurred for performance or failure to perform prior to the date of termination. THIS ARTICLE IS NOT EXCLUSIVE AND DOES NOT CONSTITUTE A WAIVER OF ANY OTHER LEGAL RIGHTS AND REMEDIES AFFORDED THE PROCURING AGENCY AND THE STATE OF NEW MEXICO CAUSED BY THE CONTRACTOR’S DEFAULT OR BREACH OF THIS AGREEMENT. ARTICLE 7 – TERMINATION MANAGEMENT
A.
Contractor. In the event this Agreement is terminated for any reason, or upon expiration, and in addition to all other rights to property set forth in this Agreement, the Contractor shall: 1.
2. 3. 4. 5.
6. 7.
8.
9.
Transfer, deliver, and/or make readily available to the Procuring Agency property in which the Procuring Agency has a financial interest and any and all data, Know How, Intellectual Property, inventions or property of the Procuring Agency; Incur no further financial obligations for materials, Services, or facilities under the Agreement without prior written approval of the Procuring Agency; Terminate all purchase orders or procurements and any subcontractors and cease all work, except as the Procuring Agency may direct, for orderly completion and transition; Take such action as the Procuring Agency may direct, for the protection and preservation of all property and all records related to and required by this Agreement; Agree that the Procuring Agency is not liable for any costs arising out of termination and that the Procuring Agency is liable only for costs of Deliverables Accepted prior to the termination of the Agreement; Cooperate fully in the closeout or transition of any activities to permit continuity in the administration of Procuring Agency’s programs; In the event that this Agreement is terminated due to the Contractor’s course of performance, negligence or willful misconduct and that course of performance, negligence, or willful misconduct results in reductions in the Procuring Agency’s receipt of program funds from any governmental agency, the Contractor shall remit to the Procuring Agency the full amount of the reduction; Should this Agreement terminate due to the Contractor's Default, the Contractor shall reimburse the Procuring Agency for all costs arising from hiring new Contractor/subcontractors at potentially higher rates and for other costs incurred; In the event this Agreement is terminated for any reason, or upon its expiration, the Contractor shall develop and submit to the Procuring Agency for approval an Agreement Turnover Plan at least ten (10) Business Days prior to the effective date of termination. Such Turnover Plan shall describe the Contractor’s policies and procedures that will ensure: (1) the least disruption in the delivery of Services during the transition to a substitute vendor; and (2) cooperation with the Procuring Agency and the substitute vendor in transferring information and Services. The Turnover Plan shall consist of the orderly and timely transfer of files, data, computer software, documentation, system turnover plan, Know How, Intellectual Property and other materials, whether provided by the Procuring Agency or created by the Contractor under this Agreement, to the Procuring Agency, including but not limited to, user manuals with complete documentation, functional technical descriptions of each program and data flow diagrams. At the request of the Procuring Agency, the Contractor shall provide to the Page 82 of 122
Procuring Agency a copy of the most recent versions of all files, software, Know How, Intellectual Property and documentation, whether provided by the Procuring Agency or created by the Contractor under this Agreement. B.
Procuring Agency. In the event this Agreement is terminated for any reason, or upon expiration, and in addition to all other rights to property set forth in this Agreement, the Procuring Agency shall: 1. Retain ownership of all work products and documentation created pursuant to this Agreement; and 2. Pay the Contractor all amounts due for Services Accepted prior to the effective date of such termination or expiration. ARTICLE 8 – INDEMNIFICATION
A.
General. [Delete if the Agreement is between two public entities - The Contractor shall defend, indemnify and hold harmless the Procuring Agency, the State of New Mexico and its employees from all actions, proceedings, claims, demands, costs, damages, attorneys’ fees and all other liabilities and expenses of any kind from any source which may arise out of the performance of this Agreement, caused by the negligent act or failure to act of the Contractor, its officers, employees, servants, subcontractors or agents, during the time when the Contractor, its officer, agent, employee, servant or subcontractor thereof has or is performing Services pursuant to this Agreement. In the event that any action, suit or proceeding related to the Services performed by the Contractor or any officer, agent, employee, servant or subcontractor under this Agreement is brought against the Contractor, the Contractor shall, as soon as practicable, but no later than two (2) Business Days after it receives notice thereof, notify, by certified mail, the legal counsel of the Procuring Agency, the Risk Management Division of the New Mexico General Services Department, and the DoIT.] [Use if the Agreement is between two public entities - Neither party shall be responsible for liability incurred as a result of the other Party’s acts or omissions in connection with this Agreement. Any liability incurred in connection with this Agreement is subject to the immunities and limitations of the New Mexico Tort Claims Act, Sections 41-4-1, et seq.]
B.
[Delete if the Agreement is between two public entities - The indemnification obligation under this Agreement shall not be limited by the existence of any insurance policy or by any limitation on the amount or type of damages, compensation or benefits payable by or for Contractor or any subcontractor, and shall survive the termination of this Agreement. Money due or to become due to the Contractor under this Agreement may be retained by the Procuring Agency, as necessary, to satisfy any outstanding claim that the Procuring Agency may have against the Contractor.] ARTICLE 9 – INTELLECTUAL PROPERTY
[CHOICE #1 – If purchasing only IT hardware/equipment, use the following language - Not Applicable. The Parties agree there is no Intellectual Property.] A.
Ownership. [CHOICE #2 - Use this provision if Procuring Agency is to own the Intellectual Property] Any and all Intellectual Property, including but not limited to copyright, patentable inventions, patents, trademarks, trade names, service marks, and/or trade secrets created or conceived pursuant to, or as a result of, performance of this Agreement, shall be work made for Page 83 of 122
hire and the Procuring Agency shall be considered the creator and owner of such Intellectual Property. Any and all Know How created or conceived pursuant to, or as a result of, performance of this Agreement, shall be work made for hire and the Procuring Agency shall be considered the creator and owner of such Know How. The Procuring Agency shall own the entire right, title and interest to the Intellectual Property and Know How worldwide, and, other than in the performance of this Agreement, the Contractor, subcontractor(s), officers, agents and assigns shall not make use of, or disclose the Intellectual Property and Know How to any entity or person outside of the Procuring Agency without the express written authorization of the Procuring Agency. Contractor shall notify the Procuring Agency, within fifteen (15) Business Days, of the creation of any Intellectual Property by it or its subcontractor(s). Contractor, on behalf of itself and any subcontractor(s), agrees to execute any and all document(s) necessary to assure that ownership of the Intellectual Property vests in the Procuring Agency and shall take no affirmative actions that might have the effect of vesting all or part of the Intellectual Property in any entity other than the Procuring Agency. If, by judgment of a court of competent jurisdiction, Intellectual Property or Know How are not deemed to be created or owned by the Procuring Agency, Contractor hereby acknowledges and agrees to grant to the Procuring Agency and the State of New Mexico, a perpetual, non-exclusive, royalty free license to reproduce, publish, use, copy and modify the Intellectual Property and Know How. [CHOICE #3- If the Contractor will own the Intellectual Property then delete the above language and insert the following language.] Contractor hereby acknowledges and grants to the Procuring Agency and the State of New Mexico, a perpetual, non-exclusive, royalty free license to reproduce, publish, use, copy and modify the Intellectual Property and Know How created or conceived pursuant to, or as a result of, performance of this Agreement. ARTICLE 10 – INTELLECTUAL PROPERTY INDEMNIFICATION A. Intellectual Property Indemnification. The Contractor shall defend, at its own expense, the Procuring Agency, the State of New Mexico and/or any other State of New Mexico body against any claim that any product or service provided under this Agreement infringes any patent, copyright or trademark, and shall pay all costs, damages and attorney’s fees that may be awarded as a result of such claim. In addition, if any third party obtains a judgment against the Procuring Agency based upon Contractor’s trade secret infringement relating to any product or Services provided under this Agreement, the Contractor agrees to reimburse the Procuring Agency for all costs, attorneys’ fees and the amount of the judgment. To qualify for such defense and/or payment, the Procuring Agency shall: 1. Give the Contractor written notice, within forty-eight (48) hours, of its notification of any claim; 2. Work with the Contractor to control the defense and settlement of the claim; and 3. Cooperate with the Contractor, in a reasonable manner, to facilitate the defense or settlement of the claim. B.
Procuring Agency Rights. If any product or service becomes, or in the Contractor’s opinion is likely to become, the subject of a claim of infringement, the Contractor shall, at its sole expense: 1. Provide the Procuring Agency the right to continue using the product or service and fully indemnify the Procuring Agency against all claims that may arise out of the Procuring Agency’s use of the product or service; 2. Replace or modify the product or service so that it becomes non-infringing; or 3. Accept the return of the product or service and refund an amount equal to the value of the returned product or service, less the unpaid portion of the purchase price and any other Page 84 of 122
amounts, which are due to the Contractor. The Contractor’s obligation will be void as to any product or service modified by the Procuring Agency to the extent such modification is the cause of the claim.
ARTICLE 11 - WARRANTIES A.
General. The Contractor hereby expressly warrants the Deliverable(s) as being correct and compliant with the terms of this Agreement, Contractor’s official published specification and technical specifications of this Agreement and all generally accepted industry standards. This warranty encompasses correction of defective Deliverable(s) and revision of the same, as necessary, including deficiencies found during testing, implementation, or post-implementation phases.
B.
Software.[CHOICE #1- Use if only purchasing or developing software ] The Contractor warrants that any software or other products delivered under this Agreement shall comply with the terms of this Agreement, Contractor’s official published specification(s) and technical specifications of this Agreement and all generally accepted industry standards. The Contractor further warrants that the software provided under this Agreement will meet the applicable specifications for [INSERT # of years - recommend 6mo.-2yrs.] years after Acceptance by the Executive Level Representative and implementation by the Procuring Agency. If the software fails to meet the applicable specifications during the warranty period, the Contractor will correct the deficiencies, at no additional cost to the Procuring Agency, so that the software meets the applicable specifications. [CHOICE #2 – Not Applicable. The Parties agree there is no Software.] ARTICLE 12 – CONTRACTOR PERSONNEL
A.
Key Personnel. Contractor’s key personnel shall not be diverted from this Agreement without the prior written approval of the Procuring Agency. Key personnel are those individuals considered by the Procuring Agency to be mandatory to the work to be performed under this Agreement. Key personnel shall be: [Insert Contractor Staff Name(s)]
B.
Personnel Changes. Replacement of any personnel shall be made with personnel of equal ability, experience, and qualification and shall be approved by the Procuring Agency. For all personnel, the Procuring Agency reserves the right to require submission of their resumes prior to approval. If the number of Contractor’s personnel assigned to the Project is reduced for any reason, Contractor shall, within ten (10) Business Days of the reduction, replace with the same or greater number of personnel with equal ability, experience, and qualifications, subject to Procuring Agency approval. The Procuring Agency, in its sole discretion, may approve additional time beyond the ten (10) Business Days for replacement of personnel. The Contractor shall include status reports of its efforts and progress in finding replacements and the effect of the absence of the personnel on the progress of the Project. The Contractor shall also make interim arrangements to assure that the Project progress is not affected by the loss of personnel. The Procuring Agency reserves the right to require a change in Contractor’s personnel if the assigned personnel are not, in the sole opinion of the Procuring Agency, meeting the Procuring Agency’s expectations.
Page 85 of 122
ARTICLE 13 – STATUS OF CONTRACTOR [CHOICE #1- Use if only purchasing IT hardware/equipment - Not Applicable.] A.
Independent Contractor. The Contractor and its agents and employees are independent contractors performing professional Services for the Procuring Agency and are not employees of the State of New Mexico. The Contractor and its agents and employees shall not accrue leave, retirement, insurance, bonding, use of state vehicles, or any other benefits afforded to employees of the State of New Mexico as a result of this Agreement. The Contractor acknowledges that all sums received hereunder are personally reportable by it for income tax purposes as selfemployment or business income and are reportable for self-employment tax.
B.
Subject of Proceedings. Contractor warrants that neither the Contractor nor any officer, stockholder, director or employee of the Contractor, is presently subject to any litigation or administrative proceeding before any court or administrative body which would have an adverse effect on the Contractor’s ability to perform under this Agreement; nor, to the best knowledge of the Contractor, is any such litigation or proceeding presently threatened against it or any of its officers, stockholders, directors or employees. If any such proceeding is initiated or threatened during the term of this Agreement, the Contractor shall immediately disclose such fact to the Procuring Agency.
ARTICLE 14 - CHANGE MANAGEMENT A.
Changes. Contractor may only make changes or revisions within the Scope of Work as defined by Article 2 and Exhibit A after receipt of written approval by the Executive Level Representative. Such change may only be made to Tasks or Sub-Task as defined in the Exhibit A. Under no circumstance shall such change affect the: 1. 2. 3. 4. 5.
B.
Deliverable requirements, as outlined in Exhibit A; Due date of any Deliverable, as outlined in Exhibit A; Compensation of any Deliverable, as outlined in Exhibit A; Agreement compensation, as outlined in Article 3; or Agreement termination, as outlined in Article 5.
Change Request Process. In the event that circumstances warrant a change to accomplish the Scope of Work as described above, a Change Request shall be submitted that meets the following criteria: 1.
The Project Manager shall draft a written Change Request for review and approval by the Executive Level Representative to include: (a) the name of the person requesting the change; (b) a summary of the required change; (c) the start date for the change; (d) the reason and necessity for change; (e) the elements to be altered; and (f) the impact of the change.
2.
The Executive Level Representative shall provide a written decision on the Change Request to the Contractor within a maximum of ten (10) Business Days of receipt of the Change Request. All decisions made by the Executive Level Representative are final. Page 86 of 122
Change Requests, once approved, become a part of the Agreement and become binding as a part of the original Agreement.
Page 87 of 122
ARTICLE 15 – INDEPENDENT VERIFICATION AND VALIDATION A.
If IV&V professional Services are used or required to be used for the Project associated with this Agreement, the Contractor hereby agrees to cooperate with the IV&V vendor. Such cooperation shall include, but is not limited to: 1. Providing the Project documentation; 2. Allowing the IV&V vendor to sit in on the Project meetings; and 3. Supplying the IV&V vendor with any other material as directed by the Project Manager.
B. If this Agreement is for IV&V professional Services then the Contractor agrees to: 1. Submit all reports directly to the Department of Information Technology, Project Oversight and Compliance Division (
[email protected]) according to the DoIT IV&V Reporting Template and Guidelines found on the DoIT website, http://www.doit.state.nm.us/project_templates.html, and copy the Procuring Agency. 2. Use a report format consistent with the current DoIT IV&V Reporting Template and Guidelines found on the DoIT website, http://www.doit.state.nm.us/project_templates.html. ARTICLE 16 – DEFAULT/BREACH In case of Default and/or Breach by the Contractor, for any reason whatsoever, the Procuring Agency and the State of New Mexico may procure the goods or Services from another source and hold the Contractor responsible for any resulting excess costs and/or damages, including but not limited to, direct damages, indirect damages, consequential damages, special damages and the Procuring Agency and the State of New Mexico may also seek all other remedies under the terms of this Agreement and under law or equity. ARTICLE 17 – EQUITABLE REMEDIES Contractor acknowledges that its failure to comply with any provision of this Agreement will cause the Procuring Agency irrevocable harm and that a remedy at law for such a failure would be an inadequate remedy for the Procuring Agency, and the Contractor consents to the Procuring Agency’s obtaining from a court of competent jurisdiction, specific performance, or injunction, or any other equitable relief in order to enforce such compliance. Procuring Agency’s rights to obtain equitable relief pursuant to this Agreement shall be in addition to, and not in lieu of, any other remedy that Procuring Agency may have under applicable law, including, but not limited to, monetary damages.
ARTICLE 18 - LIABILITY Contractor shall be liable for damages arising out of injury to persons and/or damage to real or tangible personal property at any time, in any way, if and to the extent that the injury or damage was caused by or due to the fault or negligence of the Contractor or a defect of any equipment provided or installed, provided in whole or in part by the Contractor pursuant to the Agreement. Contractor shall not be liable for damages arising out of, or caused by, alterations made by the Procuring Agency to any equipment or its installation or for losses caused by the Procuring Agency’s fault or negligence. Nothing in this Agreement shall limit the Contractor’s liability, if any, to third parties and/or employees of the Procuring Agency or the State of New Mexico, or any remedy that may exist under law or equity in the event a defect in the manufacture or installation of the equipment, or the negligent act or omission of the Contractor, its officers, employees, or agents, is the cause of injury to such person. Page 88 of 122
ARTICLE 19 – ASSIGNMENT The Contractor shall not assign or transfer any interest in this Agreement or assign any claims for money due or to become due under this Agreement without the prior written approval of this Agreement's approval authorities. ARTICLE 20 – SUBCONTRACTING A.
General Provision. The Contractor shall not subcontract any portion of this Agreement without the prior written approval of the Procuring Agency. No such subcontracting shall relieve the Contractor from its obligations and liabilities under this Agreement, nor shall any subcontracting obligate payment from the Procuring Agency.
B.
Responsibility for subcontractors. The Contractor must not disclose Confidential Information of the Procuring Agency or of the State of New Mexico to a subcontractor unless and until such subcontractor has agreed in writing to protect the confidentiality of such Confidential Information in the manner required of the Contractor under this Agreement. ARTICLE 21 – RELEASE
The Contractor’s Acceptance of final payment of the amount due under this Agreement shall operate as a release of the Procuring Agency, its officers and employees, and the State of New Mexico from all liabilities, claims and obligations whatsoever arising from or under this Agreement. ARTICLE 22 – CONFIDENTIALITY Any Confidential Information provided to the Contractor by the Procuring Agency or, developed by the Contractor based on information provided by the Procuring Agency in the performance of this Agreement shall be kept confidential and shall not be made available to any individual or organization by the Contractor without the prior written approval of the Procuring Agency. Upon termination of this Agreement, Contractor shall deliver all Confidential Information in its possession to the Procuring Agency within thirty (30) Business Days of such termination. Contractor acknowledges that failure to deliver such Confidential Information to the Procuring Agency will result in direct, special and incidental damages. ARTICLE 23 –CONFLICT OF INTEREST The Contractor warrants that it presently has no interest and shall not acquire any interest, direct or indirect, which would conflict in any manner or degree with the performance or Services required under the Agreement. The Contractor certifies that the requirements of the Governmental Conduct Act, Sections 10-16-1 through 10-16-18, NMSA 1978, regarding contracting with a public officer, state employee or former state employee have been followed.
ARTICLE 24 - RECORDS AND AUDIT Page 89 of 122
A.
The Contractor shall maintain detailed time and expenditure records that indicate the date, time, nature and cost of Services rendered during this Agreement’s term and effect and retain them for a period of [Insert # of years, minimum is - three (3) years] from the date of final payment under this Agreement. The records shall be subject to inspection by the Procuring Agency, CIO, SPA, and DFA and the New Mexico State Auditor’s Office. The Procuring Agency shall have the right to audit billings both before and after payment. Payment for Services under this Agreement shall not foreclose the right of the Procuring Agency to recover excessive or illegal payments.
ARTICLE 25 - AMENDMENT This Agreement shall not be altered, changed, or amended except by an instrument in writing executed by the Parties hereto. No amendment shall be effective or binding unless approved by all of the approval authorities. Amendments are required for the following: 1. Deliverable requirements, as outlined in Exhibit A; 2. Due Date of any Deliverable, as outlined in Exhibit A; 3. Compensation of any Deliverable, as outlined in Exhibit A; 4. Agreement Compensation, as outlined in Article 3; or 5. Agreement termination, as outlined in Article 5. ARTICLE 26 – NEW MEXICO EMPLOYEES HEALTH COVERAGE A.
If Contractor has, or grows to, six (6) or more employees who work, or who are expected to work, an average of at least 20 hours per week over a six (6) month period during the term of the contract, Contractor certifies, by signing this agreement, to have in place, and agree to maintain for the term of the contract, health insurance for those employees and offer that health insurance to those employees if the expected annual value in the aggregate of any and all contracts between Contractor and the State exceed $250,000 dollars.
B.
Contractor agrees to maintain a record of the number of employees who have (a) accepted health insurance; (b) declined health insurance due to other health insurance coverage already in place; or (c) declined health insurance for other reasons. These records are subject to review and audit by a representative of the state.
C.
Contractor agrees to advise all employees of the availability of State publicly financed health care coverage programs by providing each employee with, as a minimum, the following web site link to additional information: http://insurenewmexico.state.nm.us/.
D.
For Indefinite Quantity, Indefinite Delivery contracts (state price agreements without specific limitations on quantity and providing for an indeterminate number of orders to be placed against it); Contractor agrees these requirements shall apply the first day of the second month after the Contractor reports combined sales (from state and, if applicable, from local public bodies if from a state price agreement) of $250,000. ARTICLE 27 – NEW MEXICO EMPLOYEES PAY EQUITY REPORTING
A.
The Contractor agrees if it has ten (10) or more New Mexico employees OR eight (8) or more employees in the same job classification, at any time during the term of this Agreement, to Page 90 of 122
complete and submit the PE10-249 form on the annual anniversary of the initial report submittal for Agreements up to one (1) year in duration. If Contractor has (250) or more employees Contractor must complete and submit the PE250 form on the annual anniversary of the initial report submittal for Agreements up to one (1) year in duration. For Agreements that extend beyond one (1) calendar year, or are extended beyond one (1) calendar year, Contractor also agrees to complete and submit the PE10-249 or PE250 form, whichever is applicable, within thirty (30) days of the annual Agreements anniversary date of the initial submittal date or, if more than 180 days has elapsed since submittal of the last report, at the completion of the Agreements, whichever comes first. Should Contractor not meet the size requirement for reporting as of the effective date of this Agreement but subsequently grows such that they meet or exceed the size requirement for reporting, Contractor agrees to provide the required report within ninety (90 days) of meeting or exceeding the size requirement. That submittal date shall serve as the basis for submittals required thereafter. B.
Contractor also agrees to levy this requirement on any subcontractor(s) performing more than ten percent (10%) of the dollar value of this Agreement if said subcontractor(s) meets, or grows to meet, the stated employee size thresholds during the term of this Agreement. Contractor further agrees that, should one or more subcontractor not meet the size requirement for reporting as of the effective date of this Agreement but subsequently grows such that they meet or exceed the size requirement for reporting, Contractor will submit the required report, for each such subcontractor, within ninety (90) calendar days of that subcontractor meeting or exceeding the size requirement. Subsequent report submittals, on behalf of each such subcontractor, shall be due on the annual anniversary of the initial report submittal. Contractor shall submit the required form(s) to the State Purchasing Division of the General Services Department, and other departments as may be determined, on behalf of the applicable subcontractor(s) in accordance with the schedule contained in this paragraph. Contractor acknowledges that this subcontractor requirement applies even though Contractor itself may not meet the size requirement for reporting and be required to report itself.
C.
Notwithstanding the foregoing, if this Agreement was procured pursuant to a solicitation, and if Contractor has already submitted the required report accompanying their response to such solicitation, the report does not need to be re-submitted with this Agreement.
Page 91 of 122
ARTICLE 28 – MERGER, SCOPE, ORDER OF PRECEDENCE A.
Severable. The provisions of this Agreement are severable, and if for any reason, a clause, sentence or paragraph of this Agreement is determined to be invalid by a court or agency or commission having jurisdiction over the subject matter hereof, such invalidity shall not affect other provisions of this Agreement, which can be given effect without the invalid provision.
B.
Merger/Scope/Order. This Agreement incorporates any and all agreements, covenants and understandings between the Parties concerning the subject matter hereof, and all such agreements, covenants and understanding have been merged into this Agreement. No prior agreement or understanding, verbal or otherwise, of the Parties or their agents or assignees shall be valid or enforceable unless embodied in this Agreement. ARTICLE 29 – NOTICES
All deliveries, notices, requests, demands or other communications provided for or required by this Agreement shall be in writing and shall be deemed to have been given when sent by registered or certified mail (return receipt requested), when sent by overnight carrier, or upon telephone confirmation by Contractor to the sender of receipt of a facsimile communication that is followed by a mailed hard copy from the sender. Notices shall be addressed as follows: For PROCURING AGENCY [Insert: Name of Individual, Position Procuring Agency Name E-mail Address Telephone Number Mailing Address.]
For CONTRACTOR [Insert Name of Individual, Position, Company Name, E-mail Address, Telephone Number, Mailing Address.] Any change to the Notice individual or the address, shall be effective only in writing. ARTICLE 30 – GENERAL PROVISIONS
Page 92 of 122
A.
B.
C.
D.
The Contractor agrees to abide by all federal and state laws and rules and regulations, and executive orders of the Governor of the State of New Mexico, including but not limited to: 1. Civil and Criminal Penalties. The Procurement Code, Sections 13-1-28 through 13-1-199 NMSA 1978, imposes civil and criminal penalties for its violation. In addition, the New Mexico criminal statutes impose felony penalties for illegal bribes, gratuities and kickbacks. 2. Equal Opportunity Compliance. The Contractor agrees to abide by all federal and state laws and rules and regulations, and executive orders of the Governor of the State of New Mexico, pertaining to equal employment opportunity. In accordance with all such laws of the State of New Mexico, the Contractor agrees to assure that no person in the United States shall, on the grounds of race, religion, color, national origin, ancestry, sex, age, physical or mental handicap, serious medical condition, spousal affiliation, sexual orientation or gender identity, be excluded from employment with or participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity performed under this Agreement. If Contractor is found not to be in compliance with these requirements during the life of this Agreement, Contractor agrees to take appropriate steps to correct these deficiencies. 3. Workers Compensation. The Contractor agrees to comply with state laws and rules applicable to workers compensation benefits for its employees. If the Contractor fails to comply with the Workers Compensation Act and applicable rules when required to do so, this Agreement may be terminated by the Procuring Agency. Applicable Law. The laws of the State of New Mexico shall govern this Agreement. Venue shall be proper only in a New Mexico court of competent jurisdiction in accordance with Section 38-31 (G) NMSA 1978. By execution of this Agreement, Contractor acknowledges and agrees to the jurisdiction of the courts of the State of New Mexico over any and all such lawsuits arising under or out of any term of this Agreement. Waiver. A party's failure to require strict performance of any provision of this Agreement shall not waive or diminish that party's right thereafter to demand strict compliance with that or any other provision. No waiver by a party of any of its rights under this Agreement shall be effective unless expressed and in writing, and no effective waiver by a party of any of its rights shall be effective to waive any other rights. Headings. Any and all headings herein are inserted only for convenience and ease of reference and are not to be considered in the construction or interpretation of any provision of this Agreement. Numbered or lettered provisions, sections and subsections contained herein, refer only to provisions, sections and subsections of this Agreement unless otherwise expressly stated.
ARTICLE 31 - SURVIVAL The Articles entitled Intellectual Property, Intellectual Property Ownership, Confidentiality, and Warranties shall survive the expiration or termination of this Agreement. Software License and Software Escrow agreements entered into in conjunction with this Agreement shall survive the expiration or termination of this Agreement. [Choice #1 – Other unexpired agreements, promises, or warranties that will survive the termination of this Agreement are: (list here)]
ARTICLE 32 - TIME Calculation of Time. Any time period herein calculated by reference to "days" means calendar days, unless Business Days are used; provided, however, that if the last day for a given act falls on a Saturday,
Page 93 of 122
Sunday, or a holiday as observed by the State of New Mexico, the day for such act shall be the first day following that is not a Saturday, Sunday, or such observed holiday. ARTICLE 33 – FORCE MAJEURE Neither party shall be liable in damages or have any right to terminate this Agreement for any delay or Default in performing hereunder if such delay or Default is caused by conditions beyond its control including, but not limited to Acts of God, Government restrictions (including the denial or cancellation of any export or other necessary license), wars, insurrections and/or any other cause beyond the reasonable control of the party whose performance is affected.
[IF APPLICABLE, ADD ANY PROCURING AGENCY SPECIFIC, GRANT SPECIFIC, OR CONTRACT SPECIFIC ARTICLES STARTING AT THIS POINT.]
Page 94 of 122
IN WITNESS WHEREOF, the Parties have executed this Agreement as of the date of the signature by the required approval authorities below.
By: ___________________________ Date: ___________________ [Insert Procuring Agency Cabinet Secretary Name] Secretary of [Insert Agency Name]
By: ___________________________ Date: ___________________________ [Insert Contractor Name] [Insert Title and Company Name]
By: ___________________________ Date: ___________________ [Insert Procuring Agency CIO Name] Chief Information Officer for [Insert Procuring Agency Name]
Approved for legal sufficiency:
By: ____________________________ Date: _____________________________ [Insert Procuring Agency General Counsel Name] [Insert Procuring Agency Name] General Counsel
Page 95 of 122
The records of the Taxation and Revenue Department reflect that the Contractor is registered with the Taxation and Revenue Department of the State of New Mexico to pay gross receipts and compensating taxes: CRS ID Number: ___________________________
By:
_______________________ Taxation & Revenue Department
Date: ____________
Approved as to information technology contractual specifications and compliance with the Department of Information Technology Act, Chapter 9, Article 27 NMSA 1978 and Executive Orders relating to Information Technology issued by the Governor of the State of New Mexico.
By:
Date:_________________________ Darryl Ackley, State CIO and Cabinet Secretary Department of Information Technology
This Agreement has been approved by the State Purchasing Agent:
By:____________________________ Date:________________________ Purchasing Agent for the State of New Mexico OR This Agreement has been approved by the Department of Finance and Administration, Contracts Review Bureau:
By: ____________________________ Date: ________________________ Department of Finance and Administration, Contracts Review Bureau
Page 96 of 122
EXHIBIT A – SCOPE OF WORK I. Purpose of the Agreement including goals and objectives: [If applicable – Certified Project Name: name] II. Performance Measures:
III. Activities.
IV. Deliverables The following sections describe the required tasks and subtasks to be performed by the Contractor for each Deliverable under the terms of this Agreement. The Contractor must perform each task and/or subtask, but is not limited to performing only the identified task or sub tasks in a given project area. The Parties hereby agree that the Deliverable(s) are the controlling items and that the Contractor’s obligation is to perform and deliver the Deliverable as described in the following sections. [Deliverable samples are provided, but are only samples; the Procuring Agency is to add Deliverables that represent the work that needs to be performed and are traceable by the Procuring Agency. The Procuring Agencies may identify as many Deliverables, with associated tasks and subtasks, as are needed to accomplish the Project goals, objectives, and activities.]
A.
Sample Deliverable Number 1 [Insert Name of Deliverable] Deliverable Name
[Insert Name of Deliverable]
Task Item
Due Date [Insert Date this Deliverable is due]
Compensation [Insert Total $ Amount] [Insert Amount less GRT, if applicable] [Insert $ Amount less retainage, if applicable]
Sub Tasks Description
Page 97 of 122
[Insert Name of Sub 1 Task or tasks to (through be performed however for each many Deliverable. subtasks are needed to accomplish Task 1 which leads to the number of Tasks needed to accomplish Deliverable 1.
[Insert Description] Please use active verbs to identify tasks and subtasks to be performed by the vendor. The due dates for the tasks and/or subtasks should be included as a means of assisting the Procuring Agency and Contractor to monitor contract progress. Compensation amounts for tasks and/or subtasks can be identified here. The total amount paid for all tasks and/or subtasks performed under this Deliverable should be consistent with the Compensation due for total delivery of the Deliverable. The Contractor will bill the Procuring Agency per Deliverable; clear and well defined language will assist the Procuring Agency and Contractor in determining if the Deliverable is met for payment purposes.
Deliverable Number n – [Insert name of support Services.]
A.
Deliverable Name
[Insert Name of Deliverable]
Due Date
[Choice #1 – Payment due [Insert Total $ Amount] at the start of the maintenance period [Insert Amount less GRT, if applicable] Choice #2 - Arrears [Insert $ Amount less retainage, if payment due at the end of applicable] the month or quarter]
Task Item
Sub Tasks Description
Problem Support
Sub 1
Sub 2
Sub 3
Sub 4
Monthly Report Activities Tracking
Sub 1 Sub 1
Compensation
The Contractor shall make technical support personnel available by phone and email on the following schedule: [Such as - Monday through Friday, 8:00A.M. To 5:00P.M., excluding state holidays.] The Contractor will log requests and provide to the Procuring Agency technical support services for the Software based on the priority levels and problem resolution processes described in the Performance Measures, above. The Contractor will update documentation (Systems Administration Guide, User Guide, and Product Manual) to reflect changes made to the system as a result of problem resolution. The Contractor will respond to technical and functional questions about the [Insert Application Name]. Such requests will be assigned a default Priority of [Insert appropriate priority level] unless the Procuring Agency requests a higher priority be assigned to the request. The Contractor shall provide or make available online a monthly report on the activity and status of all logged requests received from the Procuring Agency. Contractor shall maintain a log of requests in a Procuring Agency approved tracking system with a unique number assigned to each Procuring Agency Page 98 of 122
Sub 2
request. The unique number shall be provided by the contractor to Procuring Agency for reference and communication. The Procuring Agency will assign one of four levels of priority to each request: Priority 1 is the most severe program error and represents a situation where mission critical features and functions of the [name of application] are unavailable and no practical alternate mode of operation is available. Priority 1 problems will be corrected or a solution will be provided by Contractor for corrective action within [modify as appropriate - two (2) hours]. Priority 2 indicates a problem in which certain features and functionality are not available and no practical alternate mode of operation is available. Priority 2 problems will be corrected or a plan will be provided by the Contractor for corrective action within [modify as appropriate - one (1) Business Day(s)]. Priority 3 is the normal “next-in-line” problem priority assignment. At this level, requests are worked on in the order in which they are received. Priority 3 problems will be corrected or a plan will be provided by Contractor for corrective action within [modify as appropriate - ten (10) Business Days]. Priority 4 is the Release assignment. At this level, requests are worked on as deemed appropriate by Procuring Agency. Priority 4 issues will be incorporated into specific releases, documented in an Application Deployment Package, which will be scheduled for delivery at the discretion of the Procuring Agency after time and cost estimates are provided by the Contractor and approved by the Agency, if applicable. As such, priority 4 issues will be due at the time the specific Release is delivered.
Page 99 of 122
EXHIBIT A – SCOPE OF WORK I. Performance Measures. To plan, design, develop, operate and maintain a self-funded and selfsupporting information and delivery systems and services to provide alternatives to the ways citizens, businesses and other government entities access MVD information and services. A. Goals.The goal of the Portal is to demonstrate an effective design and operation that can serve as a model for other State agencies for future e-government service delivery. This Project contributes to the FY08 TRD Strategic Plan that addresses the following key areas of focus as shown in the attached excerpts: Maintain TRD as an Excellent Investment for the State Assure Fairness and Good Customer Service for all Taxpayers Protect and Enhance Key Accomplishments Address Key Opportunities for Improvement B. Objectives. One of the key objectives in the Motor Vehicle Division Strategic Plan and in the Governor’s Services for New Mexicans Initiative is to increase the efficiency and convenience of Motor Vehicle Services. A major goal of this Portal is to ensure compliance with state and federal privacy laws regarding motor vehicle data. The MVD Portal is to be a “self-funded” and “self-supporting” model that does not require appropriated funds or tax dollars for operations. The objectives are to: Develop, deploy and support the Portal hardware, software, and telecommunication facilities necessary for all information and operations to be managed with the highest standards and requirements for security, privacy and confidentiality. Improve existing applications and develop and integrate new applications to electronically-deliver information and services. Promote citizen, business and government convenience and efficiency through the availability of electronic transactions and services. Market the Portal’s availability to citizens, businesses and government entities to encourage the use of the available services. C. Activities. To support this Scope of Work, the Contractor’s Response to RFP #90-333-00-00009 are summarized below. These are the services the Contractor is to perform with the associated deliverables and scheduled completion dates. II. Scope of Work – The following is an Example. The actual Scope and Deliverables will be completed when the Contract is prepared. The following sections describe the required tasks and subtasks to be performed by the Contractor for each Deliverable under the terms of this Agreement. The Contractor must perform each task and/or subtask, but is not limited to performing only the identified task or sub tasks in a given project area. The Parties hereby agree the Deliverables are the controlling items and the Contractor’s obligation is to perform and deliver the Deliverables as described in the following Sections.
Page 100 of 122
b. A. Deliverable Number One: Final Project Management Plan DELIVERABLE ONE
DUE DATE
COMPENSATION
FINAL PROJECT MANAGEMENT PLAN
NO LATER THAN 30 DAYS AFTER THE EFFECTIVE DATE OF THE CONTRACT
SELF-FUNDED
TASK ITEM Prepare the Final Project Management Plan
SUB DESCRIPTION TASKS Sub 1 Develop the Final Project Management Plan that addresses the following at a minimum: Deliverables and Schedule – Tasks and milestones with dates. Risk Management – Identify and mitigate risks associated with scope, schedule, cost and performance. Change Control – Methodology for addressing requested or necessary changes to any part of the system during the contract. Quality Assurance and Control – Development standards and a methodology for performing quality assurance and quality control throughout the duration of the contract. Roles and Responsibilities of the State –As approved by MVD prior to Contract Award. Sub 2 Contractor will review the Project Management Plan with State Staff, revise as necessary and submit for acceptance by the Procuring Agency.
c. B. Deliverable Number Two: DELIVERABLE TWO
DUE DATE
COMPENSATION SELF-FUNDED
TASK ITEM
SUB DESCRIPTION TASKS
Page 101 of 122
THIS PAGE LEFT BLANK
Page 102 of 122
APPENDIX C – Current Fee Schedule Transaction Fees
Transaction Type
Transaction Fee
Royalty to MVD Offeror Amount from Transaction from Transaction Fee Fee
Payment Frequency to MVD
Full Driver Record
$6.50
$5.00
$1.50
Monthly
Batch Driver Record Monitoring
$0.12
$0.06
$0.06
Monthly
Youthful Driver Record Monitoring
$0.03
$0.015
$0.015
Monthly
Vehicle Record
$4.95
$3.95
$1.00
Monthly
VRS Temp Tag fees Fee value Temp Tag Transport
Temp Tag
SKU description
Temp Tag Normal
VENDOR_FEE
NMI Fee
$1.50
$1.50
$0.50
TRD_FEE
TRD Fee
$1.50
$1.50
$0.50
TRD_FEE2
TRD Fee 2
$2.00
$2.00
$5.00
$5.00
$1.00
Vendor Fee
$1.50
$1.50
$0.50
Vendor Fax Fee
$4.00
$4.00
$4.00
TRD_FEE
TRD Fee
$1.50
$1.50
$0.50
TRD_FEE2
TRD Fee 2
$2.00
$2.00
SKU
Total
Demo
Additional fee for fax users VENDOR_FEE VENDOR_FAX_FEE
Page 103 of 122
Total additional fee for fax users
$9.00
$9.00
$5.00
THIS PAGE LEFT BLANK
Page 104 of 122
APPENDIX D – 2013 TRANSACTIONS 2013 TRANSACTION COUNTS-DRIVERS Month Driver History Records Driver Records Monitored Driver Records Sold by Monitoring Youthful Driver Records Monitored Individual Driver History Records Dec-13 75,010 457,409 3,166 283,337 813 Nov-13 82,307 425,914 4,724 212,225 892 Oct-13 87,763 441,893 5,976 212,941 1,144 Sep-13 82,307 425,914 4,724 212,225 1,236 Aug-13 91,761 438,024 4,970 200,202 1,223 Jul-13 89,564 432,146 3,620 202,288 1,218 Jun-13 83,640 456,336 2,013 201,884 1,068 May-13 89,457 463,913 1,930 201,715 1,095 Apr-13 87,860 489,698 1,128 200,958 1,084 Mar-13 88,014 399,892 2,787 265,181 1,212 Feb-13 88,337 411,239 2,534 196,357 1,104 Jan-13 89,413 418,996 1,098 324,256 1,128 Total: 1,035,433 5,261,374 38,670 2,713,569 13,217
2013 TRANSACTION COUNTS-VEHICLES Month Motor Vehicle Records Bulk Motor Vehicle Records Vehicle Registration Suite (VRS) Dec-13 5,157 351,340 37,426 Nov-13 5,357 421,432 37,203 Oct-13 5,715 459,008 41,285 Sep-13 5,357 421,432 40,510 Aug-13 5,715 440,132 44,717 Jul-13 5,899 469,166 42,601 Jun-13 5,275 431,824 41,134 May-13 5,831 434,522 43,835 Apr-13 5,756 421,324 41,319 Mar-13 5,008 431,346 43,686 Feb-13 2,294 386,756 40,031 Jan-13 2,612 385,344 37,292 Total: 59,976 5,053,626 491,039
Page 105 of 122
THIS PAGE LEFT BLANK
Page 106 of 122
APPENDIX E – DRIVER PRIVACY PROTECTION ACT Drivers Privacy Protection Act 18 U.S.C. § 2721 et. seq. (Public Law 103-322) Section 2721. Prohibition on release and use of certain personal information from State motor vehicle records (a) In General -- Except as provided in subsection (b), a State department of motor vehicles, and any officer, employee, or contractor, thereof, shall not knowingly disclose or otherwise make available to any person or entity personal information about any individual obtained by the department in connection with a motor vehicle record. (b) Permissible Uses -- Personal information referred to in subsection (a) shall be disclosed for use in connection with matters of motor vehicle or driver safety and theft, motor vehicle emissions, motor vehicle product alterations, recalls, or advisories, performance monitoring of motor vehicles and dealers by motor vehicle manufacturers, and removal of non-owner records from the original owner records of motor vehicle manufacturers to carry out the purposes of the Automobile Information Disclosure Act, the Motor Vehicle Information and Cost Saving Act, the National Traffic and Motor Vehicle Safety Act of 1966, the Anti-Car Theft Act of1992, and the Clean Air Act, and may be disclosed as follows: (1) For use by any government agency, including any court or law enforcement agency, in carrying out its functions, or any private person or entity acting on behalf of a Federal, State, or local agency in carrying out its functions. (2) For use in connection with matters of motor vehicle or driver safety and theft; motor vehicle emissions; motor vehicle product alterations, recalls, or advisories; performance monitoring of motor vehicles, motor vehicle parts and dealers; motor vehicle market research activities, including survey research; and removal of non-owner records from the original owner records of motor vehicle manufacturers. (3) For use in the normal course of business by a legitimate business or its agents, employees, or contractors, but only -(A) to verify the accuracy of personal information submitted by the individual to the business or its agents, employees, or contractors; and (B) if such information as so submitted is not correct or is no longer correct, to obtain the correct information, but only for the purposes of preventing fraud by, pursuing legal remedies against, or recovering on a debt or security interest against, the individual. (4) For use in connection with any civil, criminal, administrative, or arbitral proceeding in any Federal, State, or local court or agency or before any self-regulatory body, including the service of process, investigation in anticipation of litigation, and the execution or enforcement of judgments and orders, or pursuant to an order of a Federal, State, or local court. (5) For use in research activities, and for use in producing statistical reports, so long as the personal information is not published, redisclosed, or used to contact individuals. (6) For use by any insurer or insurance support organization, or by a self-insured entity, or its agents, employees, or contractors, in connection with claims investigation activities, anti-fraud activities, rating or underwriting. (7) For use in providing notice to the owners of towed or impounded vehicles. (8) For use by any licensed private investigative agency or licensed security service for any purpose permitted under this subsection. (9) For use by an employer or its agents or insurer to obtain or verify information relating to a holder of a commercial driver's license that is required under the Commercial Motor Vehicle Safety Act of 1986 (49 U.S.C. App. 2710 et seq.). Page 107 of 122
(10) For use in connection with the operation of private toll transportation facilities. (11) For any other use in response to requests for individual motor vehicle records if the motor vehicle department has provided in a clear and conspicuous manner on forms for issuance or renewal of operator's permits, titles, registrations, or identification cards, notice that personal information collected by the department may be disclosed to any business or person, and has provided in a clear and conspicuous manner on such forms an opportunity to prohibit such disclosures. (12) For bulk distribution for surveys, marketing or solicitations if the motor vehicle department has implemented methods and procedures to ensure that -(A) individuals are provided an opportunity, in a clear and conspicuous manner, to prohibit such uses; and (B) the information will be used, rented, or sold solely for bulk distribution for surveys, marketing, and solicitations, and that surveys, marketing, and solicitations will not be directed at those individuals who have requested in a timely fashion that they not be directed at them. (13) For use by any requester, if the requester demonstrates it has obtained the written consent of the individual to whom the information pertains. (14) For any other use specifically authorized under the law of the State that holds the record, if such use is related to the operation of a motor vehicle or public safety. (c) Resale or Redisclosure -- An authorized recipient of personal information (except a recipient under subsection (b)(11) or (12)) may resell or redisclose the information only for a use permitted under subsection (b) (but not for uses under subsection (b)(11) or (12)). An authorized recipient under subsection (b)(11) may resell or redisclose personal information for any purpose. An authorized recipient under subsection (b)(12) may resell or redisclose personal information pursuant to subsection (b)(12). Any authorized recipient (except a recipient under subsection(b)(11)) that resells or rediscloses personal information covered by this title must keep for a period of 5 years records identifying each person or entity that receives information and the permitted purpose for which the information will be used and must make such records available to the motor vehicle department upon request. (d) Waiver Procedures -- A State motor vehicle department may establish and carry out procedures under which the department or its agents, upon receiving a request for personal information that does not fall within one of the exceptions in subsection (b), may mail a copy of the request to the individual about whom the information was requested, informing such individual of the request, together with a statement to the effect that the information will not be released unless the individual waives such individual's right to privacy under this section. Section 2722. Additional unlawful acts (a) Procurement for Unlawful Purpose -- It shall be unlawful for any person knowingly to obtain or disclose personal information, from a motor vehicle record, for any use not permitted under section 2721(b) of this title. (b) False Representation -- It shall be unlawful for any person to make false representation to obtain any personal information from an individual's motor vehicle record. Section 2723. Penalties (a) Criminal Fine -- A person who knowingly violates this chapter shall be fined under this title. (b) Violations by State Department of Motor Vehicles -- Any State department of motor vehicles that has a policy or practice of substantial noncompliance with this chapter shall be subject to a civil penalty imposed by the Attorney General of not more than $5,000 a day for each day of substantial noncompliance. Section 2724. Civil action (a) Cause of Action -- A person who knowingly obtains, discloses or uses personal information, from a motor vehicle record, for a purpose not permitted under this chapter shall be liable to the individual to whom the information pertains, who may bring a civil action in a United States district court. (b) Remedies -- The court may award -(1) actual damages, but not less than liquidated damages in the amount of$2,500; (2) punitive damages upon proof of willful or reckless disregard of the law; (3) reasonable attorneys' fees and other litigation costs reasonably incurred; and Page 108 of 122
(4) such other preliminary and equitable relief as the court determines to be appropriate.
Section 2725. Definitions In this chapter -(1) "motor vehicle record" means any record that pertains to a motor vehicle operator's permit, motor vehicle title, motor vehicle registration, or identification card issued by a department of motor vehicles; (2) "person" means an individual, organization or entity, but does not include a State or agency thereof; and (3) "personal information" means information that identifies an individual, including an individual's photograph, social security number, driver identification number, name, address (but not the 5-digit zip code), telephone number, and medical or disability information, but does not include information on vehicular accidents, driving violations, and driver's status.
Page 109 of 122
THIS PAGE LEFT BLANK
Page 110 of 122
APPENDIX F – NMSA 1978 Section 66-2-7.1 Section 66-2-7.1 Motor Vehicle-Related Records: Confidential 66-2-7.1. Motor vehicle-related records; confidential. A. It is unlawful for any department employee or contractor or for any former department employee or contractor to disclose to any person other than another employee of the department any personal information about an individual obtained by the department in connection with a driver's license or permit, the titling or registration of a vehicle or an identification card issued by the department pursuant to the Motor Vehicle Code [ 66-1-1 NMSA 1978] except: (1) to the individual or the individual's authorized representative; (2) for use by any governmental agency, including any court, in carrying out its functions or by any private person acting on behalf of the government; (3) for use in connection with matters of motor vehicle and driver safety or theft; motor vehicle emissions; performance monitoring of motor vehicles, motor vehicle parts and dealers; motor vehicle market research activities, including survey research; motor vehicle production alterations, recalls or advisories; and removal of non-owner records from original owner records of motor vehicle manufacturers; (4) for use in research activities and for use in producing statistical reports, so long as the personal information is not published, redisclosed or used to contact individuals; (5) for use by any insurer or insurance support organization or by a self-insured entity or its agents, employees or contractors in connection with claims investigation activities, antifraud activities, rating or underwriting; (6) for providing notice to owners of towed or impounded vehicles; (7) for use by an employer or its agent or insurer in obtaining or verifying information relating to a holder of a commercial driver's license; (8) for use by any requester if the requester demonstrates that it has obtained the written consent of the individual to whom the information pertains; (9) for use by an insured state-chartered or federally chartered credit union; an insured state or national bank; an insured state or federal savings and loan association; or an insured savings bank, but only: (a) to verify the accuracy of personal information submitted by an individual to the credit union, bank, savings and loan association or savings bank; and (b) if the information as submitted is not correct or is no longer correct, to obtain the correct information, but only for the purpose of preventing fraud by pursuing legal remedies against or recovering on a debt or security interest from the individual; (10) for providing organ donor information as provided in the Uniform Anatomical Gift Act [ 24-6A-1 to 24-6A-15 NMSA 1978] or Section 66-5-10 NMSA 1978; or (11) for providing the names and addresses of all lienholders and owners of record of abandoned vehicles to storage facilities or wrecker yards for the purpose of providing notice as required in Section 66-3-121 NMSA 1978. B. Any person who violates the provisions of this section is guilty of a misdemeanor and upon conviction shall be sentenced in accordance with the provisions of Section 31-19-1 NMSA 1978.
Page 111 of 122
THIS PAGE LEFT BLANK
Page 112 of 122
APPENDIX G CAMPAIGN CONTRIBUTION DISCLOSURE FORM Pursuant to NMSA 1978, § 13-1-191.1 (2006), any person seeking to enter into a contract with any state agency or local public body for professional services, a design and build project delivery system, or the design and installation of measures the primary purpose of which is to conserve natural resources must file this form with that state agency or local public body. This form must be filed even if the contract qualifies as a small purchase or a sole source contract. The prospective contractor must disclose whether they, a family member or a representative of the prospective contractor has made a campaign contribution to an applicable public official of the state or a local public body during the two years prior to the date on which the contractor submits a proposal or, in the case of a sole source or small purchase contract, the two years prior to the date the contractor signs the contract, if the aggregate total of contributions given by the prospective contractor, a family member or a representative of the prospective contractor to the public official exceeds two hundred and fifty dollars ($250) over the two year period. Furthermore, the state agency or local public body shall void an executed contract or cancel a solicitation or proposed award for a proposed contract if: 1) a prospective contractor, a family member of the prospective contractor, or a representative of the prospective contractor gives a campaign contribution or other thing of value to an applicable public official or the applicable public official’s employees during the pendency of the procurement process or 2) a prospective contractor fails to submit a fully completed disclosure statement pursuant to the law. THIS FORM MUST BE FILED BY ANY PROSPECTIVE CONTRACTOR WHETHER OR NOT THEY, THEIR FAMILY MEMBER, OR THEIR REPRESENTATIVE HAS MADE ANY CONTRIBUTIONS SUBJECT TO DISCLOSURE. The following definitions apply: “Applicable public official” means a person elected to an office or a person appointed to complete a term of an elected office, who has the authority to award or influence the award of the contract for which the prospective contractor is submitting a competitive sealed proposal or who has the authority to negotiate a sole source or small purchase contract that may be awarded without submission of a sealed competitive proposal. “Campaign Contribution” means a gift, subscription, loan, advance or deposit of money or other thing of value, including the estimated value of an in-kind contribution, that is made to or received by an applicable public official or any person authorized to raise, collect or expend contributions on that official’s behalf for the purpose of electing the official to federal, statewide or local office. “Campaign Contribution” includes the payment of a debt incurred in an election campaign, but does not include the value of services provided without compensation or unreimbursed travel or other personal expenses of individuals who volunteer a portion or all of their time on behalf of a candidate or political committee, nor does it include the administrative or solicitation expenses of a political committee that are paid by an organization that sponsors the committee. “Family member” means spouse, father, mother, child, father-in-law, mother-in-law, daughter-in-law or son-in-law.
Page 113 of 122
“Pendency of the procurement process” means the time period commencing with the public notice of the request for proposals and ending with the award of the contract or the cancellation of the request for proposals. “Person” means any corporation, partnership, individual, joint venture, association or any other private legal entity. “Prospective contractor” means a person who is subject to the competitive sealed proposal process set forth in the Procurement Code or is not required to submit a competitive sealed proposal because that person qualifies for a sole source or a small purchase contract. “Representative of a prospective contractor” means an officer or director of a corporation, a member or manager of a limited liability corporation, a partner of a partnership or a trustee of a trust of the prospective contractor. DISCLOSURE OF CONTRIBUTIONS: Contribution Made By: Relation to Prospective Contractor:
_____________________________________________ _____________________________________________
Name of Applicable Public Official: _____________________________________________ Date Contribution(s) Made:
_____________________________________________ _____________________________________________
Amount(s) of Contribution(s)
_____________________________________________ _____________________________________________
Nature of Contribution(s)
_____________________________________________ _____________________________________________
Purpose of Contribution(s)
_____________________________________________ _____________________________________________
(Attach extra pages if necessary)
____________________________________________ Signature
_______________________ Date
____________________________________________ Title (position)
Page 114 of 122
--OR—
NO CONTRIBUTIONS IN THE AGGREGATE TOTAL OVER TWO HUNDRED FIFTY DOLLARS ($250) WERE MADE to an applicable public official by me, a family member or representative.
____________________________________________ Signature
_______________________ Date
____________________________________________ Title (position)
Page 115 of 122
THIS PAGE LEFT BLANK
Page 116 of 122
APPENDIX H NEW MEXICO EMPLOYEES HEALTH COVERAGE FORM 1.
For all contracts solicited and awarded on or after January 1, 2008: If the offeror has, or grows to, six (6) or more employees who work, or who are expected to work, an average of at least 20 hours per week over a six (6) month period during the term of the contract, offeror must agree to: (a) have in place, and agree to maintain for the term of the contract, health insurance for those employees and offer that health insurance to those employees no later than July 1, 2008 if the expected annual value in the aggregate of any and all contracts between Contractor and the State exceed one million dollars or; (b) have in place, and agree to maintain for the term of the contract, health insurance for those employees and offer that health insurance to those employees no later than July 1, 2009 if the expected annual value in the aggregate of any and all contracts between Contractor and the State exceed $500,000 dollars or (c) have in place, and agree to maintain for the term of the contract, health insurance for those employees and offer that health insurance to those employees no later than July 1, 2010 if the expected annual value in the aggregate of any and all contracts between Contractor and the State exceed $250,000 dollars.
2.
Offeror must agree to maintain a record of the number of employees who have (a) accepted health insurance; (b) decline health insurance due to other health insurance coverage already in place; or (c) decline health insurance for other reasons. These records are subject to review and audit by a representative of the state.
3.
Offeror must agree to advise all employees of the availability of State publicly financed health care coverage programs by providing each employee with, as a minimum, the following web site link to additional information http://insurenewmexico.state.nm.us/.
4.
For Indefinite Quantity, Indefinite Delivery contracts (price agreements without specific limitations on quantity and providing for an indeterminate number of orders to be placed against it); these requirements shall apply the first day of the second month after the offeror reports combined sales (from state and, if applicable, from local public bodies if from a state price agreement) of $250,000, $500,000 or $1,000,000.
Signature of Offeror: _________________________________
Date ___________________
Page 117 of 122
THIS PAGE LEFT BLANK
Page 118 of 122
APPENDIX I LETTER OF TRANSMITTAL FORM RFP#:_____________________________ Offeror Name: ___________________________________ Items #1 to #7 EACH MUST BE COMPLETED IN FULL Failure to respond to all seven items WILL RESULT IN THE DISQUALIFICATION OF THE PROPOSAL! 1. Identity (Name) and Mailing Address of the submitting organization: ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ 2. For the person authorized by the organization to contractually obligate on behalf of this Offer: Name _______________________________________________________________________ Title ________________________________________________________________________ E-Mail Address _______________________________________________________________ Telephone Number _________________________________________________________ 3. For the person authorized by the organization to negotiate on behalf of this Offer: Name _______________________________________________________________________ Title ________________________________________________________________________ E-Mail Address _______________________________________________________________ Telephone Number _________________________________________________________ 4. For the person authorized by the organization to clarify/respond to queries regarding this Offer: Name _______________________________________________________________________ Title ________________________________________________________________________ E-Mail Address _______________________________________________________________ Telephone Number _________________________________________________________ 5. Use of Sub-Contractors (Select one) ____ No sub-contractors will be used in the performance of any resultant contract OR ____ The following sub-contractors will be used in the performance of any resultant contract: _________________________________________________________________________________ (Attach extra sheets, as needed) 6. Please describe any relationship with any entity (other than Subcontractors listed in (5) above) which will be used in the performance of any resultant contract. ______________________________________________________________________________ (Attach extra sheets, as needed) 7. ___ On behalf of the submitting organization named in item #1, above, I accept the Conditions Governing the Procurement as required in Section II. C.1. ___ I concur that submission of our proposal constitutes acceptance of the Evaluation Factors contained in Section V of this RFP. ___ I acknowledge receipt of any and all amendments to this RFP. ________________________________________________ _____________________, 2014 Page 119 of 122
Authorized Signature and Date (Must be signed by the person identified in item #2, above.)
THIS PAGE LEFT BLANK
Page 120 of 122
APPENDIX J RESIDENT VETERANS’ PREFERENCE CERTIFICATION
_____________________________________________ (NAME OF CONTRACTOR) hereby certifies the following in regard to application of the resident veterans’ preference to this procurement: Please check one box only
I declare under penalty of perjury that my business prior year revenue starting January 1ending December 31 is less than $1M allowing me the 10% preference discount on this solicitation. I understand that knowingly giving false or misleading information about this fact constitutes a crime.
I declare under penalty of perjury that my business prior year revenue starting January 1 ending December 31 is more than $1M but less than $5M allowing me the 8% preference discount on this bid or proposal. I understand that knowingly giving false or misleading information about this fact constitutes a crime.
I declare under penalty of perjury that my business prior year revenue starting January 1ending December 31 is more than $5M allowing me the 7% preference discount on this bid or proposal. I understand that knowingly giving false or misleading information about this fact constitutes a crime. “I agree to submit a report, or reports, to the State Purchasing Division of the General Services Department declaring under penalty of perjury that during the last calendar year starting January 1 and ending on December 31, the following to be true and accurate: “In conjunction with this procurement and the requirements of this business’ application for a Resident Veteran Business Preference/Resident Veteran Contractor Preference under Sections 13-1-21 or 13-1-22 NMSA 1978, when awarded a contract which was on the basis of having such veterans preference, I agree to report to the State Purchasing Division of the General Services Department the awarded amount involved. I will indicate in the report the award amount as a purchase from a public body or as a public works contract from a public body as the case may be. “I understand that knowingly giving false or misleading information on this report constitutes a crime.” I declare under penalty of perjury that this statement is true to the best of my knowledge. I understand that giving false or misleading statements about material fact regarding this matter constitutes a crime.
_________________________________________ (Signature of Business Representative)* *Must be an authorized signatory for the Business.
________________________________ (Date)
The representations made in checking the boxes constitutes a material representation by the business that is subject to protest and may result in denial of an award or unaward of the procurement involved if the statements are proven to be incorrect. Page 121 of 122
THIS PAGE LEFT BLANK
Page 122 of 122
