efis rfp main addm 4

California Department of Transportation

INTEGRATED FINANCIAL MANAGEMENT SYSTEM (IFMS)

ENTERPRISE RESOURCE PLANNING (ERP) FINANCIAL INFRASTRUCTURE (E-FIS)

RFP DOT 2660-416

MARCH 5, 2007

Issued By:

STATE OF CALIFORNIA

Department of General Services707 Third Street

West Sacramento, CA 95605

In conjunction with:Department of Transportation

1820 Alhambra BlvdSacramento, CA 95816

RFP DOT 2660-416

E-FIS REQUEST FOR PROPOSAL

TABLE OF CONTENTS

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

II. RULES GOVERNING COMPETITION.......................................................................................................1II.1. IDENTIFICATION AND CLASSIFICATION OF REQUIREMENTS....................................................................................1

II.1.1. Mandatory Requirements....................................................................................................................1

II.1.2. Desirable Requirements......................................................................................................................1

II.2. PROPOSAL REQUIREMENTS AND CONDITIONS.....................................................................................................1II.2.1. General................................................................................................................................................1

II.2.2. RFP Documents...................................................................................................................................2

II.2.3. Examination of the Work.....................................................................................................................2

II.2.4. Questions Regarding the RFP.............................................................................................................2

II.2.5. Request to Change the Requirements of the RFP...............................................................................2

II.2.6. Addenda...............................................................................................................................................3

II.2.7. Bonds...................................................................................................................................................3

II.2.8. Exclusion for Conflict of Interest........................................................................................................3

II.2.9. Follow-on Contracts (PCC 10365.5, PCC 10410, and PCC 10411).................................................3

II.2.10. Disclosure of Financial Interests......................................................................................................4

II.3. BIDDING STEPS.............................................................................................................................................4II.3.1. Preparation of Proposals....................................................................................................................4

II.3.2. Bidders’ Conference............................................................................................................................4

II.3.3. Bidder’s Intention to Submit a Proposal.............................................................................................5

II.3.4. Department of Technology Services (DTS) Conferences....................................................................5

II.3.5. Draft Proposals...................................................................................................................................5

II.3.6. Confidential Discussions.....................................................................................................................6

II.3.7. Final Proposals...................................................................................................................................6

II.3.8. Sealed Cost Opening...........................................................................................................................9

II.3.9. Rejection of Proposals........................................................................................................................9

II.3.10. Contracts Award.............................................................................................................................10

II.3.11. Debriefing........................................................................................................................................10

II.4. OTHER INFORMATION...................................................................................................................................11II.4.1. Protests..............................................................................................................................................11

II.4.2. News Releases...................................................................................................................................12

II.4.3. Disposition of Proposals...................................................................................................................12

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TABLE OF CONTENTS

III. PROGRAM AND SYSTEMS OVERVIEW.................................................................................................1III.1. PROGRAM OVERVIEW...................................................................................................................................1

III.1.1. Program Description and Organization............................................................................................2

III.1.2. Financial Management Functions and Information Flow.................................................................2

III.1.3. Financial Management System Customers........................................................................................3

III.1.4. Financial Management System Users................................................................................................4

III.2. SYSTEM OVERVIEW......................................................................................................................................5III.2.1. Budgetary Control and Funds Management......................................................................................6

III.2.2. Accounts Payable...............................................................................................................................8

III.2.3. Accounts Receivable........................................................................................................................12

III.2.4. General Ledger................................................................................................................................15

III.2.5. Procurement.....................................................................................................................................18

III.2.6. Project Cost Accounting..................................................................................................................18

III.3. HARDWARE...............................................................................................................................................20III.3.1. Desktop Workstations......................................................................................................................20

III.3.2. LAN Servers.....................................................................................................................................20

III.3.3. Network Protocols...........................................................................................................................20

III.3.4. Automated Remittance Processing System (ARPS) Check Imaging and Endorsement System.......20

III.4. SOFTWARE................................................................................................................................................20III.4.1. Application Development Software..................................................................................................21

III.4.2. Operating System Software..............................................................................................................21

III.4.3. Email and Personal Productivity Software......................................................................................21

III.4.4. Database Management Systems.......................................................................................................21

III.4.5. Electronic Data Interchange (EDI) System.....................................................................................21

III.4.6. CAPS FileNet System.......................................................................................................................22

III.5. INTERNAL AND EXTERNAL INTERFACES..........................................................................................................22III.6. CURRENT VOLUMES...................................................................................................................................22III.7. BIDDERS’ LIBRARY....................................................................................................................................23

III.7.1. Bidders’ Library Location...............................................................................................................23

III.7.2. Bidders’ Library Contents...............................................................................................................23

IV. CONCEPTUAL SYSTEM..............................................................................................................................1IV.1. INTRODUCTION.............................................................................................................................................1IV.2. CONCEPTUAL MODEL...................................................................................................................................1

IV.2.1. Component 1: ERP Software.............................................................................................................3

IV.2.2. Component 2: Enterprise Application Integration (EAI) Platform.................................................11

IV.2.3. Component 3: Data Warehouse and Business Intelligence (DW/BI) Tools....................................18

IV.2.4. Component 4: Extraction, Transformation, and Loading (ETL) Tools...........................................19

IV.2.5. Component 5: Relational Database Management System (RDBMS)..............................................19

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TABLE OF CONTENTS

IV.2.6. Component 6: Hardware and Operating System.............................................................................19

IV.2.7. Information Security and Confidentiality.........................................................................................20

IV.2.8. User Access......................................................................................................................................21

V. ADMINISTRATIVE REQUIREMENTS.......................................................................................................1V.1. INTRODUCTION..............................................................................................................................................1V.2. TARGET AREA CONTRACT PREFERENCE (TACPA)...........................................................................................1V.3. EMPLOYMENT AND ECONOMIC INCENTIVE ACT PREFERENCE (EEIA)...................................................................1V.4. LOCAL AREA MILITARY BASE RECOVERY ACT (LAMBRA)............................................................................1V.5. SMALL BUSINESS PREFERENCE........................................................................................................................2V.6. RESPONSES TO ADMINISTRATIVE REQUIREMENTS...............................................................................................2

V.6.1. Disabled Veteran Business Enterprise (DVBE) Participation............................................................3

V.6.2. Bidder Responsibility...........................................................................................................................4

V.6.3. Payee Data Record..............................................................................................................................6

V.6.4. Workers’ Compensation Insurance Policy..........................................................................................6

V.6.5. Confidentiality of Information.............................................................................................................7

V.6.6. Bidders Corporate References and Capability....................................................................................7

V.6.7. Project Team Organization.................................................................................................................9

V.6.8. Commercially Useful Function (CUF) Description and Information...............................................11

V.6.9. Access to Records..............................................................................................................................11

V.6.10. Work Location................................................................................................................................11

V.6.11. Productive Use................................................................................................................................12

V.6.12. Software Use...................................................................................................................................12

V.6.13. Executive Committee......................................................................................................................13

V.6.14. Contract Terms and Conditions.....................................................................................................13

V.6.15. Source Code and Data Ownership.................................................................................................15

V.6.16. Hardware Lease.............................................................................................................................15

V.6.17. COTS Software Licensing and Version Upgrade Purchase...........................................................16

V.6.18. Post-E-FIS Modules and Licensing Costs......................................................................................16

V.6.19. Liquidated Damages.......................................................................................................................16

V.6.20. Payment Milestones / Performance Bond......................................................................................17

VI. FUNCTIONAL AND TECHNICAL REQUIREMENTS...........................................................................1VI.1. MANDATORY REQUIREMENTS........................................................................................................................1VI.2. DESIRABLE REQUIREMENTS...........................................................................................................................2

VII. COST...............................................................................................................................................................1VII.1. INTRODUCTION...........................................................................................................................................1VII.2. COST CATEGORIES......................................................................................................................................2

VII.2.1. One-Time Costs.................................................................................................................................2

VII.2.2. Ongoing Costs...................................................................................................................................2

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TABLE OF CONTENTS

VII.2.3. Labor Costs for Unanticipated Tasks...............................................................................................3

VII.2.4. Post-E-FIS Modules and Licensing Costs........................................................................................3

VII.3. COST WORKSHEETS....................................................................................................................................4VII.3.1. Total Cost Summary Worksheet (Appendix B, Form VII-1).............................................................5

VII.3.2. Detailed COTS Software Costs Worksheet (Appendix B, Form VII-2)............................................5

VII.3.3. System Integrator Implementation and Other One-Time Costs Worksheet (Appendix B, Form VII-3).....5

VII.3.4. DTS Hardware Setup Costs Worksheet (Appendix B, Form VII-4)..................................................5

VII.3.5. COTS Ongoing Licensing and Version Upgrade Costs Worksheet (Appendix B, Form VII-5).......6

VII.3.6. Ongoing DTS Hardware Costs Worksheet (Appendix B, Form VII-6).............................................6

VII.3.7. Ongoing DTS Software Support Costs Worksheet (Appendix B, Form VII-7).................................6

VII.3.8. Bidder Labor Costs Worksheet (Appendix B, Form VII-8)..............................................................7

VII.3.9. Post-E-FIS Modules and Licensing Costs Worksheet (Appendix B, Form VII-9)............................7

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

VIII.2.1. Draft Proposal Format and Content...............................................................................................2

VIII.2.2. Final Proposal Format and Content...............................................................................................2

IX. EVALUATION AND SELECTION..............................................................................................................1IX.1. INTRODUCTION.............................................................................................................................................1IX.2. RECEIPT OF PROPOSALS................................................................................................................................1IX.3. STATE EVALUATION TEAM............................................................................................................................1IX.4. REVIEW OF DRAFT PROPOSALS......................................................................................................................1IX.5. EVALUATION OF FINAL PROPOSALS................................................................................................................2

IX.5.1. Proposal Submission Requirements Review (Pass/Fail)...................................................................2

IX.5.2. Administrative Requirements Review (Pass/Fail)..............................................................................2

IX.5.3. Functional and Technical Requirements Response Review (Pass/Fail)............................................3

IX.5.4. Evaluation Factors Assessment Scoring............................................................................................3

IX.5.5. Summary of Overall Evaluation Scoring Process..............................................................................9

IX.5.6. Preference Programs.......................................................................................................................10

IX.6. SELECTION OF CONTRACTOR........................................................................................................................13

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TABLE OF CONTENTS

List of Tables

TABLE 1. KEY ACTION DATES.......................................................................................................................5

TABLE 2. SUMMARY OF CURRENT TRANSACTION VOLUMES........................................................22

TABLE 3. BIDDERS’ LIBRARY......................................................................................................................24

TABLE 4. ERP MODULE SCOPE......................................................................................................................3

TABLE 5. LIST OF CALTRANS SYSTEMS AND SPREADSHEETS TO BE INTERFACED TO E-FIS12

TABLE 6. LIST OF CALTRANS SYSTEMS AND SPREADSHEETS TO BE REPLACED BY E-FIS. .15

TABLE 7. ONE-TIME COST PAYMENT MILESTONES............................................................................18

TABLE 8. COST WORKBOOK COMPONENTS............................................................................................1

TABLE 9. SCORING SCENARIO EXAMPLE.................................................................................................4

TABLE 10. TOTAL SOLUTION COST EVALUATION AND SCORING METHODOLOGY EXAMPLE......9

TABLE 11. SUMMARY OF SCORING PROCESS..........................................................................................9

TABLE 12. CONFIRMED DVBE PARTICIPATION INCENTIVE.............................................................11

TABLE 13. EXAMPLE OF BIDDER POINTS WITH SMALL BUSINESS APPLIED.............................11

TABLE 14. EXAMPLE OF BIDDER POINTS WITH SMALL BUSINESS AND DVBE INCENTIVES APPLIED..............................................................................................................................................................12

TABLE 15. CONTRACTOR SELECTION EXAMPLE.................................................................................14

List of Figures

FIGURE 1. BUSINESS AND FINANCIAL MANAGEMENT LIFECYCLE.................................................2

FIGURE 2. MAJOR COMPONENTS WITHIN THE E-FIS CONCEPTUAL MODEL..............................2

FIGURE 3. CONCEPTUAL EAI INFRASTRUCTURE FOR E-FIS............................................................12

FIGURE 4. E-FIS DATA WAREHOUSE AND BUSINESS INTELLIGENCE INFRASTRUCTURE.....18

List of Exhibits

EXHIBIT I-A. ADA COMPLIANCE POLICYADA NOTICE........................................................................................................................................................6

EXHIBIT II-B. COMPETITIVE BIDDING AND PROPOSAL RESPONSIVENESS................................13

March 5, 2007 Addendum 4v

RFP DOT 2660-416


SECTION I – INTRODUCTION AND OVERVIEW

I.INTRODUCTION AND OVERVIEW

This Request for Proposal (RFP) is being released by the State of California Department of General Services (DGS) in conjunction with the State of California Department of Transportation (hereinafter referred to as Caltrans). In this document, the term “State” shall mean DGS and Caltrans acting on behalf of the State of California. The term “Department” shall refer to Caltrans.

I.1.Purpose of this Request for Proposal

The purpose of this RFP is to obtain proposals from responsible firms who can provide Caltrans with an Enterprise Resource Planning (ERP) and Business Intelligence (BI) solution for use by Caltrans’ headquarters and district offices. The selected Bidder will provide Caltrans with a set of Commercial-Off-The-Shelf (COTS) software packages with functionality for general ledger, accounts receivable, accounts payable, budgetary control and funds management, and financial reporting, including project cost accounting. The selected Bidder will provide installation and customization services, including development of interfaces to existing systems, development of customized standard reports, data conversion, testing, business process re-engineering, change leadership, training and ongoing licensing.

This procurement is being conducted under the provisions of Public Contract Code Section 12102. Responses to this Request for Proposal (RFP) will be evaluated based on value effectiveness to the State. Value effectiveness to the State is the proposal that best meets, and potentially exceeds, the State’s administrative and technical requirements at the most reasonable overall cost to implement and operate, with an acceptable level of risk. Bidders should carefully read Section IX, Evaluation and Selection, to ensure they understand the evaluation process.

The State intends to award two (2) contracts to a single Contractor for the Enterprise Resource Planning (ERP) Financial Infrastructure (E-FIS) project. The total base term of the contracts will be four (4) years with the option of two (2) one-year (1-year) extensions. One contract will be for the design, configuration/customization, implementation services and software purchase and upgrades for the design, development and implementation phase (which is estimated to be two (2) years). The second contract will include ongoing product licensing and version upgrades of the COTS software and tools for the last two (2) years of the base period and the optional two (2) one-year extensions. The contract terms and conditions are identified in A of this RFP. If the Contractor wishes to receive progress payments during the first contract for design, configuration/customization and implementation services, a performance bond is required. However for ongoing product licensing and version upgrades, the State will not require the Contractor to provide a performance bond. Bidders will prepare and submit to the State a single proposal based upon the Statements of Work and Functional and Technical Requirements contained in this RFP. The single bidder proposal determined by the State to be the most value effective will be awarded the two contracts, if contract awards are made. Both contracts will be entered into by the State and the Contractor simultaneously upon Contracts Award.

March 5, 2007 Addendum 41

RFP DOT 2660-416



Issuance of this RFP in no way constitutes a commitment by the State of California to award a contract. The State reserves the right to reject any or all proposals received if the State determines that it is in the State’s best interest to do so. The State may reject any proposal that is conditional or incomplete. Any assumptions made by the Bidder in responding to this RFP do not obligate the State in any way. Additionally, assumptions made by the Bidder may make the proposal conditional and be cause for the Bidder’s proposal to be rejected. Bidders should make use of the process described in Section II.2.4, Questions Regarding the RFP, to obtain any needed clarifications.

Responses to this RFP will be evaluated based on the total proposal, and the award, if made, will be to a single Bidder.

This procurement is conducted in compliance with the Americans with Disabilities Act (ADA) as further explained in Exhibit I-A, ADA Compliance Policy. If you have any questions or requests pertaining to this compliance, contact the Procurement Official identified in Section I.4, Procurement Official.

I.2.Overview

Changes in business needs over the past 20 years have placed the Caltrans organization at a crossroads in terms of its financial management processes and supporting systems. Aging technology, an increasing number and complexity of funding sources, and changes in legislation have collectively raised the demands on Caltrans and accentuated problems with the current method of executing financial management functions. More importantly, the lack of management data available to Caltrans often results in decision-making that is based on untimely, incomplete and anecdotal information.

The current automation method for financial management includes 160 systems that vary from centralized mainframe systems to distributed client-server applications to individual desktop databases and spreadsheets. This environment has resulted in systems that exhibit duplicate functionality and data, redundant data entry into unconnected systems, as well as multiple point-to-point interfaces necessary to provide accessible data to meet user needs.

The largest application in support of financial management functions is the Department’s primary accounting system, Transportation Accounting and Management System (TRAMS). TRAMS is a collection of mainframe applications implemented in 1983. It was designed to meet the Department’s accounting needs in the following areas: appropriation control, expenditure accounting, encumbrance accounting, receipt accounting, accounts payable, general ledger accounting, cost accounting, cost allocation and labor distribution. However, functional gaps, both real and perceived, and other limitations in TRAMS have led to the development and acquisition of complementary and overlapping systems that negatively impact productivity, data integrity and support costs.

The scope and scale of the business problems and impacts related to financial management functions is challenging to quantify. However, given that Caltrans is responsible for an annual $8 billion budget, $4.6 billion in capital projects and approximately 545 contracts for transportation improvement projects, the impacts of financial management problems are significant for current initiatives and future investments. In addition, the Caltrans program has


RFP DOT 2660-416



a direct impact on State commerce, tourism, and recreational travel of Californians. Due to the scope and scale of Caltrans’ responsibilities, the Department is often placed in the difficult position of responding without complete information to inquiries from the Legislature, Department of Finance, and the general public regarding the use of, and accountability for, taxpayer dollars.

In 2004, Caltrans completed an Integration Study which established an Integrated Financial Management System (IFMS) Strategic Plan. (The IFMS Integration Study, which includes the Strategic Plan, is available from the Bidders Library. Refer to Section III.7, Bidders’ Library.) The plan outlines a series of projects to consolidate and streamline financial operations and systems, including a roadmap, project priorities, sequencing and dependencies. The Enterprise Resource Planning (ERP) Financial Infrastructure (E-FIS) project is the first of these projects identified by the IFMS Strategic Plan.

The IFMS Strategic Plan also identifies future capabilities which will build upon and leverage the E-FIS capabilities including budget development, inventory management, asset management, procurement (requisitions), and additional reporting functionality. The Bidder must identify pricing for these modules which the State shall have the option to purchase at a later date, but the implementation and customization of these modules are not part of the requirements of this RFP.

The Department of Finance also is embarking on an enterprise level project to implement a statewide accounting and budgeting system (FI$Cal). The IFMS solution will be required to interface with this future system. It is anticipated that this interface will be accomplished through the E-FIS Enterprise Application Integration (EAI) tools.

For the purpose of this RFP, the term “E-FIS” shall refer to the project and requirements being procured as part of this RFP. “IFMS” shall be used to refer to the enterprise perspective described in the Strategic Plan, which includes projects and features that will be implemented after the E-FIS is in place. The projects and features which will be implemented by future IFMS projects are referred to as “Post-E-FIS” items.

The E-FIS project scope includes:

• Establishing the base infrastructure to support the ERP, data warehouse and other related applications.

• Procuring and customizing the General Ledger, Accounts Receivable, Accounts Payable, and Reporting functionality of a COTS ERP product, including workflow processes, configurable business rules and validations, and standard reports.

• Installing an Enterprise Application Integration (EAI) infrastructure to support interfaces among legacy, existing, and future systems.

• Establishing a data warehouse, including data extraction, transformation and load (ETL) tools, and creating the required data feeds for pertinent financial and related information.

• Implementing COTS business intelligence and reporting tool(s) that will provide managerial and operational reporting and data analysis functionality.


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Detailed information about the existing systems is included in Section III, Programand Systems Overview.

I.3.Availability

The selected Bidder must meet the requirements of this RFP and be ready to begin work on the Project Start Date specified in Section I.5, Key Action Dates. If personnel offered by a selected Bidder leave the Bidder’s firm or are otherwise unable to participate in these Contracts, they must be replaced with equally qualified personnel who are accepted by the State, in accordance with Section V.6.7, Project Team Organization. A condition precedent to Contracts Award is that the Bidder makes available on the proposed Project Start Date the personnel it bid, and that the State evaluated as part of the evaluation and selection process. Failure to make any such staff available at the required time will allow the State the choice of exercising one of the following two (2) options: 1) accept equally qualified personnel in accordance with Section V.6.7, Project Team Organization, or 2) award this bid to and execute the Contracts with the Bidder with the next highest combined score.

Should the selected Bidder fail in its performance of these Contracts, or any other term or condition of these Contracts, the Contractor may be excluded from participating in the State’s bid processes for a period of up to 360 calendar days.

I.4.Procurement Official

The Procurement Official and the mailing address to send proposals and questions are:

Tom Burton, Procurement ManagerDepartment of General ServicesProcurement Division707 Third Street, 2nd FloorWest Sacramento, CA 95605Phone: (916) 375-4493Email: [email protected]

I.5.Key Action Dates

Listed below are the key activities, actions, dates and times by which the activities must be taken or completed for this RFP. If the State finds it necessary to change any of these dates up to and including the date that Final Proposals are submitted, it will be accomplished via an addendum to this RFP. The Bidder will have five (5) State business days after issuance of an addendum to request clarification or protest changes to the requirements.

ALL DATES LISTED AFTER THE SUBMISSION OF FINAL PROPOSALS ARE APPROXIMATE AND MAY BE ADJUSTED AS CONDITIONS INDICATE, WITHOUT ADDENDUM TO THIS RFP.


mailto:[email protected]

RFP DOT 2660-416



Table 1. Key Action Dates

# ACTION DATE

1. Release RFP December 20, 20062. Last day to submit questions for clarification of RFP prior

to Bidders’ ConferenceJanuary 3, 2007

3. Bidders’ Conference 9:00 a.m. Pacific Standard Time (PST) at the Department of Transportation, Farmer’s Market III building, Main Conference Room, 1727 30th Street, Sacramento, CA.

January 12, 2007

4. Last Day to submit a Letter of Intent to Bid January 26, 20075. Department of Technology Services (DTS) Conferences

with BiddersJanuary 31, 2007 – February 6, 2007

6. Last day to submit final questions for clarification of the RFP prior to submittal of Draft Proposals

February 14, 2007

7. Draft Proposals Due (by 1:00 p.m. PST) March 214, 20078. Confidential Discussions April May 29, 2007 –

April May 813, 20079. Last day to submit final questions for clarification prior to

submittal of Final Proposals April May 227, 2007

10. Last day to request a change to the RFP requirements. May 294, 200711. Last day to protest RFP requirements May June 511, 200712. Final Proposals Due (by 1:00 p.m. PST) May June 183, 200713. Demonstration of Post-E-FIS Desirable Requirements

(if necessary)Julyne 511, 2007 – Julyne 115, 2007

14. Cost Opening Julyne 1620, 200715. Notification of Intent to Award July August 108, 200716. Last day to protest selection July August 1725,

200717. Contracts Award* September October

1928, 200718. Project Start Date OctoNovember 12,

2007* Pending control agency approvals. Contracts Award will be made only after all required approvals are obtained.


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Exhibit I-A. ADA Compliance Policy

ADA Notice

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

POLICY OF NONDISCRIMINATION ON THE BASIS OF DISABILITY

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

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

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

The Procurement Division TTY telephone number is:

Sacramento Office: (916) 376-1891

The California Relay Service Telephone Numbers are:

Voice: 1-800-735-2922 or 1-888-877-5379

TTY: 1-800-735-2929 or 1-888-877-5378

Speech to Speech: 1-800-854-7784


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SECTION II – RULES GOVERNING COMPETITION

II.RULES GOVERNING COMPETITION

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

II.1.Identification and Classification of Requirements

This section of the RFP describes the entire procurement process. Specific guidelines for the submission of the RFP response are found in Section VIII, Proposal Format.

II.1.1.Mandatory Requirements

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

II.1.2.Desirable Requirements

The words “should” or “may” in this RFP indicate desirable attributes or conditions, but are non-mandatory in nature.

II.2.Proposal Requirements and Conditions

II.2.1.General

This RFP, the evaluation of responses, and the award of any resulting contracts shall be made in conformance with current competitive bidding procedures as they relate to the procurement of information technology goods and services by the State of California. A Bidder’s Final Proposal is an irrevocable offer for 180 calendar days following the scheduled date for Contracts Award in the Key Action Dates specified in Section I.5, Key Action Dates. A Bidder may extend the offer in the event of a delay of Contracts Award.

1 For the purposes of the instructions of this RFP, all entities that have identified their intent to be a Bidder to the Procurement Official are called Bidders until such time that the Bidder withdraws or other facts indicate that the Bidder has become nonparticipating.

2 The word “bid” as used throughout this document is intended to mean “proposed”, “propose” or “proposal”, as appropriate.


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II.2.2.RFP Documents

This RFP includes the State’s requirements and instructions, which prescribe the format and content of proposals to be submitted. The State’s contracts have been identified in A -Contract Terms and Conditions.

If a Bidder discovers any ambiguity, conflict, discrepancy, omission, or other error in this RFP, the Bidder shall immediately notify the Procurement Official identified in Section I.4, Procurement Official, of such error in writing and request clarification or modification of the document. Modifications will be made by addenda issued pursuant to Section II.2.6, Addenda. Such clarifications shall be provided to all parties that have identified themselves as bidders to the Procurement Official for this RFP, without divulging the source of the request. Insofar as practicable, the State will give such notices to other interested parties, but the State shall not be responsible therefore.

If this RFP contains an error known to the Bidder, or an error that reasonably should have been known, the Bidder shall propose at its own risk. If the Bidder fails to notify the State of the error prior to the date fixed for submission of proposals, and is awarded the contracts, the Bidder shall not be entitled to additional compensation or time by reason of the error or its later correction.

II.2.3.Examination of the Work

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

II.2.4.Questions Regarding the RFP

Bidders requiring clarification of the intent or content of this RFP, or on procedural matters regarding the competitive proposal process may request clarification by submitting questions, in an email or envelope clearly marked “Questions Relating to RFP DOT 2660-416” to the Procurement Official listed in Section I.4, Procurement Official. To ensure a response prior to submission of the proposals, questions must be received by the Procurement Official, in writing, by the scheduled date(s) in the Key Action Dates specified in Section I.5, Key ActionDates. If a Bidder submits a question after the scheduled date(s), the State will attempt to answer the question but does not guarantee that the answer will be prior to the proposal due date. Question and answer sets will be provided to all Bidders. The State will publish the questions as they are submitted including any background information provided with the question; however, the State at its sole discretion may paraphrase the question and background for clarity.

II.2.5.Request to Change the Requirements of the RFP

If the Bidder believes that one or more of the RFP requirements is onerous, unfair, or imposes unnecessary constraints on the Bidder in proposing less costly or alternate solutions, the


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Bidder may request a change to this RFP by submitting, in writing, the recommended change(s), the facts substantiating this belief, and reasons for making the recommended change. Such request must be submitted to the Procurement Official by the date specified in the Key Action Dates specified in Section I.5, Key Action Dates, for requesting a change in the requirements.

II.2.6.Addenda

The State may modify the RFP prior to the date fixed for Contracts Award by issuance of a notification to all Bidders that are participating in the procurement process at the time the addendum is issued, that an addendum has been issued, unless the amendments are such as to offer the opportunity for nonparticipating Bidders to become participating, in which case, the addendum will be sent to all Bidders that have identified their intent to be a Bidder to the Procurement Official. Addenda will be numbered consecutively. If any Bidder determines that an addendum unnecessarily restricts its ability to propose, the Bidder is allowed five (5) State business days to submit a protest to the addendum according to the instructions contained in Section II.4.1, Protests.

II.2.7.Bonds

Caltrans requires a performance bond for the design, configuration/customization, and implementation services and software purchase contract, if progress payments are selected, as specified in Section V, Administrative Requirements.

II.2.8.Exclusion for Conflict of Interest

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

II.2.9.Follow-on Contracts (PCC 10365.5, PCC 10410, and PCC 10411)

No person, firm, or subsidiary thereof who has been awarded a consulting services contract, or a contract which includes a consulting component, may be awarded a contract for the provision of services, delivery of goods or supplies, or any other related action which is required, suggested, or otherwise deemed appropriate as an end product of the consulting services contract. Therefore, any consultant who contracts with a State agency to develop formal recommendations for the acquisition of IT products or services is precluded from contracting for any work recommended in the formal recommendations (formal recommendations include, among other things, feasibility studies). The following are the known firms that are precluded from participating in this acquisition:

• Etc Inc.

• Gartner Group, Inc.


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• Infiniti Consulting Group, Inc

• M Corp

• Madsen Rayner Consulting, LLC

• Renee Taylor Consulting, Inc.

• Shooting Star Solutions, LLC

• Visionary Integration Professionals, LLC

II.2.10.Disclosure of Financial Interests

Proposals in response to State procurements for assistance in the preparation of feasibility studies or the development of recommendations for the acquisition of IT products and services must disclose any financial interests (e.g., service contract, Original Equipment Manufacturer (OEM) agreements, re-marketing agreements) that may foreseeably allow the individual or organization submitting the proposal to materially benefit from the State’s adoption of a course of action recommended in the feasibility study or the acquisition recommendations. If, in the State’s judgment, the financial interest will jeopardize the objectivity of the recommendations, the State may reject the proposal.

II.3.Bidding Steps

II.3.1.Preparation of Proposals

Exhibit II-A, Competitive Bidding and Proposal Responsiveness, located at the end of Section II, Rules Governing Competition, emphasizes the requirements of competitive bidding and contains examples of common causes for rejection of proposals. Bidders are encouraged to review this exhibit.

Proposals are to be prepared in such as way as to provide a straightforward, concise delineation of the Bidder’s compliance with the requirements of this RFP. Expensive bindings, colored displays, promotional materials, etc., are not necessary or desired. Emphasis should be concentrated on conformance to the RFP instructions, responsiveness to the RFP requirements, and on completeness and clarity of content.

Before submitting each document, the Bidder should carefully read the Proposal for errors and adherence to the RFP requirements.

II.3.2.Bidders’ Conference

A Bidders’ Conference will be held, during which the Bidders will be afforded the opportunity to meet with State personnel and discuss the content of the RFP and the procurement process. Written questions received prior to the cutoff date for submission of such questions, as noted in the Key Action Dates specified in Section I.5, Key Action Dates, will be answered at the conference without divulging the source of the query.

Bidders are encouraged to attend the Bidders’ Conference. The State may also accept oral questions during the conference and will make a reasonable attempt to provide answers prior to the conclusion of the conference. Formal answers to questions will be posted to the procurement website approximately five (5) State business days after the Bidders’ Conference.


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If, in the State’s opinion, questions asked at the conference cannot be adequately answered during the discussion, answers will be provided with the posted data. Oral answers shall not be binding on the State. A sign-in sheet will be provided to document attendance. The information from the sign-in sheet will be provided to interested parties. The time, date and location of the Bidders’ Conference are included in the Key Action Dates specified in Section I.5, Key Action Dates.

II.3.3.Bidder’s Intention to Submit a Proposal

Bidders that want to participate in the RFP steps must submit a notification of intent to bid on this procurement in order to receive notifications. Only those Bidders acknowledging interest in this RFP will receive notifications regarding this procurement. The letter should identify the contact person for the solicitation process, in addition to their phone and fax numbers, and email address. The State is responsible for notifying one contact person. Information related to a Bidder will be given to the designated contact person. It shall be the Bidder’s responsibility to immediately notify the Procurement Official, in writing, regarding any revisions to the information. The State shall not be responsible for proposal correspondence not received by the Bidder if the Bidder fails to notify the State, in writing, of any revisions.

Bidders who wish to participate are required to return the Letter of Intent to Bid (see Appendix C, Form C11) to the Procurement Official listed in Section I.4, Procurement Official, to ensure they remain on the State of California’s official list of participating Bidders. If the form is not submitted by the date as specified in Section I.5, Key Action Dates, the State reserves the right to drop them from the participating Bidders list and they will not receive any further correspondence.

II.3.4.Department of Technology Services (DTS) Conferences

A series of DTS Conferences will be held, during which the Bidders will be afforded the opportunity to meet with DTS personnel and discuss the DTS hardware and services which may be proposed and the applicable rates for the hardware and services. The Bidder is required to propose hardware and services supported by DTS because the system will reside at the DTS data center.

Bidders are encouraged to participate in the DTS Conferences. Each Bidder will be allowed to meet confidentially with DTS personnel. Oral answers shall not be binding on the State. This is not a forum to validate proposal information or to question requirements. The purpose is strictly to provide Bidders an opportunity to clarify information on the DTS services and rates in order to more accurately develop their proposals.

II.3.5.Draft Proposals

Submission of a Draft Proposal is strongly recommended so that the Bidder may obtain the benefit of the two-step procurement process. However, Bidders are not required to submit a Draft Proposal. If Draft Proposals are submitted, Bidders must submit them by the date and time in the Key Action Dates specified in Section I.5, Key Action Dates. The Draft Proposals must be complete in all respects except the dollar cost information must be replaced by XXXs. At the sole discretion of the State, the State Evaluation Team may evaluate each Draft Proposal received by the Draft Proposal submission date in the Key Action Dates specified in


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Section I.5, Key Action Dates, unless the Draft Proposal is so defective that the State does not believe that its time to evaluate the Draft Proposal would result in the Bidder being able to correct the deficiencies prior to the Final Proposal due date, or the Bidder has placed conditions on the Draft Proposal that are unacceptable to the State. For Draft Proposals that are evaluated, the Bidder will be notified of any defects the State has noted. Draft proposals received late may be reviewed if the Procurement Official believes there is sufficient time and resources to do so. Notifying the Bidder of defects is intended to minimize the risk that the Final Proposal will be deemed non-compliant; however, the State will not provide any warranty that the Draft Proposal will be evaluated even if accepted for review, or that any or all defects in the Draft Proposal have been detected. Notification of defects in the Draft Proposal will not preclude rejection of the Final Proposal, if undiscovered defects contained in the Draft Proposal are later found in the Final Proposal.

II.3.6.Confidential Discussions

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

II.3.7.Final Proposals

II.3.7.1 Submission of Final Proposals

Proposals must be complete in all respects as required by Section VIII, Proposal Format. A Final Proposal may be rejected if it is conditional or incomplete, or if it contains any alterations of form or other irregularities of any kind. A Final Proposal shall be rejected if any such defect or irregularity constitutes a material deviation from the RFP requirements. The Final Proposal must contain all costs required by Section VII, Cost, and Section VIII, Proposal Format. Cost data including any electronic copies (as identified in Section VIII, Proposal Format) must be submitted under separate, sealed cover. If the cost data are not submitted under separate sealed cover, the proposal may be rejected.

This section describes specific guidelines applicable to the submission of the Final Proposal to the RFP and is applicable to the new Final Proposal if all original Final Proposals are declared flawed by the Evaluation Team.

II.3.7.2 Bidder’s Costs

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

II.3.7.3 Completion of Proposals

Proposals must be complete in all respects as required by RFP Section VIII, ProposalFormat.


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Exhibit II-A, Competitive Bidding and Proposal Responsiveness, emphasizes the requirements of competitive bidding and contains examples of common causes for rejection of proposals. Bidders are encouraged to review this exhibit.

II.3.7.4 False or Misleading Statements

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

II.3.7.5 Signature of Proposals

A cover letter (which shall be considered an integral part of the submission) shall be signed by an individual who is authorized to bind the bidding firm contractually. The signature block must indicate the title or position that the individual holds in the firm. An unsigned Final Proposal shall be rejected.

If a Draft Proposal is submitted, it must also contain the cover letter, similarly prepared, including the title of the person who will sign, but need not contain the signature.

II.3.7.6 Delivery of Proposals

The Draft Proposal and Final Proposal must be submitted no later than the date and time specified in the Key Action Dates in Section I.5, Key Action Dates. If mailed, proposals must be received by the Department of General Services on or before the specified date and time. Mail or deliver proposals to the Department of General Services Procurement Official listed in Section I.4, Procurement Official. If mailed, it is suggested that you use certified or registered mail with return receipt requested as delivery of proposals is done at the Bidder’s own risk of untimely delivery, lost mail, etc.

Proposals must be received in the number of copies stated in Section VIII, ProposalFormat. Proposals must be received no later than the dates and times in the Key Action Dates specified in Section I.5, Key Action Dates. One (1) copy must be clearly marked “Master Copy”. All copies of proposals must be under sealed cover, which is to be plainly marked “FINAL PROPOSAL for RFP DOT 2660-416”. Final Proposals not received by the date and time in the Key Action Dates specified in Section I.5 , Key Action Dates , shall be rejected.

As required in Section VIII, Proposal Format, all cost data must be submitted under separate, sealed cover and clearly marked “COST PROPOSAL for RFP DOT 2660-416”. If cost data is not submitted separately sealed, the proposal may be rejected. Proposals submitted under improperly marked covers may be rejected. If discrepancies are found between two or more copies of the proposal, the proposal may be rejected. However, if not rejected, the Master Copy is the basis for resolving discrepancies.


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II.3.7.7 Withdrawal and Resubmission/Modification of Proposals

A Bidder may withdraw its Final Proposal at any time prior to the proposal submission date and time in the Key Action Dates specified in Section I.5, Key Action Dates, by submitting a written notification of withdrawal signed by the Bidder authorized in accordance with Section II.3.7.5, Signature of Proposals. The Bidder may thereafter submit a new or modified proposal prior to such proposal submission date and time. Modifications offered in any other manner, oral or written, will not be considered. Clarifications of Final Proposals shall not be considered to be modifications. Final Proposals cannot be changed or withdrawn after the date and time designated for receipt, except as provided in Section II.3.9.3 Errors in the Final Proposal .

II.3.7.8 Clarification of Final Proposals

During the evaluation of the Final Proposal, the State Evaluation Team may ask the Bidder to clarify their submitted information but will not allow the Bidder to change their proposal.

II.3.7.9 Flawed Final Proposals

At the State’s sole discretion it may declare all Final Proposal to be Draft Proposals in the event that the State Evaluation Team determines that Final Proposals from all Bidders contain material deviations. Bidders may not protest the evaluation team’s determination that all proposals have material deviations. If all proposals are declared noncompliant, the State will issue an addendum to the RFP and confidential discussions will be held with Bidders who are interested in submitting a Final Proposal. Each Bidder will be notified of the due date for the submission of a new Final Proposal to the State. This submission must conform to the requirements of the original RFP and as amended by any subsequent addenda. The new Final Proposals will be evaluated as required by Section IX, Evaluationand Selection.

II.3.7.10 Confidentiality

Final Proposals are public upon opening. The contents of all Final Proposals, including correspondence, agenda, memoranda, or any other medium which discloses any aspect of a Bidder’s Final Proposal will be held in confidence by the State, but only until the Notice of Intent to Award has been issued.

Bidders should be aware that marking any portion of a Final or Draft Proposal as “confidential”, “proprietary” or “trade secret” shall exclude it from evaluation or consideration for award, unless specifically approved by the State in writing prior to submission of the Final or Draft Proposal. Even providing such Proposal is accepted for evaluation by the State, such markings in a Proposal will not keep that document, after Notice of Intent to Award, from being released as part of the public record, unless a court of competent jurisdiction has ordered the State not to release the document. The content of all working papers and discussions relating to the Bidder’s Draft Proposal, if retained, shall be held in confidence indefinitely unless the public interest is best served by an item’s disclosure because of its direct pertinence to a decision or the evaluation of the proposal.


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Any disclosure of State confidential information by the Bidder is a basis for rejecting the Bidder’s proposal and ruling the Bidder ineligible to further participate.

Maintaining the confidentiality of information that is designated as confidential by the State is paramount; it cannot be overemphasized.

II.3.8.Sealed Cost Opening

Final Proposals will not have their sealed cost envelopes opened until the State has evaluated and scored the technical and administrative submission. Cost Proposals will only be opened for responsive proposals from responsible Bidders. On the date of the cost opening, the State will post a summary of the points awarded to each Bidder. This summary will be provided to all the Bidders and the public in attendance at the cost opening as well as persons who request the summary.

II.3.9.Rejection of Proposals

The State may reject any or all proposals and may waive any immaterial deviation or defect in a proposal. The State’s waiver of any immaterial deviation or defect shall in no way modify the RFP documents or excuse the Bidder from full compliance with the RFP specifications if awarded the contracts.

II.3.9.1 General

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

II.3.9.2 Evaluation Questions

During the evaluation and selection process, the State may require a Bidder’s representative to answer specific questions and provide clarification, as long as the answers and clarification are in writing.

II.3.9.3 Errors in the Final Proposal

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

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

The State, in its sole discretion, may correct discrepancy and arithmetic errors on the basis, that, if intent is not clearly established by the complete proposal submittal, the Proposal Master Copy shall have priority over additional copies, the Proposal Master Copy narrative shall have priority over the contracts, and the contracts shall have priority over the costs sheets. If necessary, the extensions and summary will be recomputed from the lowest level of detail, even if the lowest level of detail is obviously misstated. The total price of unit-price items will be the product of the unit price and the quantity of the item. If the unit


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price is ambiguous, unintelligible, uncertain for any cause, or is omitted, it shall be the amount obtained by dividing the total price by the quantity of the item.

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

The State may at its sole option correct errors of omission and, in the following three situations, the State will take the indicated actions if the Bidder’s intent (as determined by the State) is not clearly established by the complete proposal submittal.

1. If an item is described in the narrative and omitted from the cost data provided in the proposal for evaluation purposes, it will be interpreted to mean that the item will be provided by the Bidder at no cost.

2. If an item is not mentioned at all in the proposal, the proposal will be interpreted to mean that the Bidder does not intend to supply that item.

3. If an item is omitted and the omission is not discovered until after Contracts Award, the Bidder shall be required to supply that item at no cost.

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

In the event an ambiguity or discrepancy between the general requirements described in Section III, Program and Systems Overview, and the specific functional and technical requirements referenced in Section VI, Functional and TechnicalRequirements, is detected after the opening of proposals, Section VI, Functional andTechnical Requirements, and the Bidder’s response thereto, shall have priority over Section III, Program and Systems Overview and the Bidder’s response thereto.

II.3.10.Contracts Award

Award of contracts, if made, will be in accordance with Section IX, Evaluation and Selection, to a responsible Bidder whose Final Proposal complies with the requirements of the RFP and any addenda thereto, except for such immaterial defects as may be waived by the State. Award, if made, will be made within 180 calendar days after the scheduled date for the Contracts Award as set forth in the Key Action Dates in Section I.5, Key Action Dates, unless a protest is received. If a protest is received, the Award, if made, will be made within 180 calendar days after the protest is resolved.

The State reserves the right to modify or cancel in whole or in part its RFP prior to Contracts Award.

II.3.11.Debriefing

A debriefing will be held after Contracts Award at the request of any Bidder for the purpose of receiving specific information concerning the evaluation. The discussion will be based primarily on the technical and cost evaluations of the Bidder’s Final Proposal. A debriefing is not the forum to challenge the RFP specifications or requirements.


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II.4.Other Information

II.4.1.Protests

Before a protest is submitted regarding any issue other than selection of the “successful Bidder”, the Bidder must make full and timely use of the procedures described in Section II.2.4, Questions Regarding the RFP, and Section II.2.5, Request to Change the Requirementsof the RFP, to resolve any outstanding issues between the Bidder and the State. This procurement procedure is designed to give the Bidder and the State adequate opportunity to submit questions and discuss the requirements before the Final Proposal is due. The protest procedure is made available in the event that a Bidder cannot reach a fair agreement with the State after exhausting these procedures. There are two types of protests, requirements protests and award protests. A protest shall be submitted according to the procedure below. Protests regarding any issue other than selection of the successful Bidder are requirements protests and will be heard and resolved by the Deputy Director of the Department of General Services, Procurement Division, whose decision will be final.

An award protest occurs when a Bidder has submitted a Final Proposal which it believes to be totally responsive to the requirements of this RFP and to be the proposal that should have been selected according to the evaluation procedure in Section IX, Evaluation and Selection, and the Bidder believes the State has incorrectly selected another Bidder for award. The Bidder may submit a protest of the selection as described below. Protests regarding selection of the successful Bidder will be heard and resolved by the Victims Compensation and Government Claims Board, whose decision will be final.

All protests must be made in writing, signed by an individual who has contractual authority to bind the bidding company, and must contain a detailed written statement of the reasons for protest, citing the law, rule, regulation or procedures on which the protest is based. The protester must provide facts and evidence to support the claim. Protests must be mailed or delivered to:

Street Address Mailing AddressDeputy DirectorDepartment of General ServicesProcurement Division707 Third Street, Second FloorWest Sacramento, CA 95605

Deputy DirectorDepartment of General ServicesProcurement DivisionP.O. Box 989054Sacramento, CA 95798-9054

All protests of the RFP requirements or procedures must be received by the Deputy Director of the Procurement Division as promptly as possible, but not later than the respective time and date in the Key Action Dates specified in Section I.5, Key ActionDates, for such protests. Protests concerning the evaluation, recommendation, or other aspects of the selection process (award protests) must be received by the Deputy Director of the Procurement Division as promptly as possible, but not later than the respective time and date in the Key Action Dates specified in Section I.5, Key Action Dates, for such protests or the respective date in the Notification of Intent to Award, whichever is later.


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Certified or registered mail should be used unless delivered in person, in which case the protester should obtain a receipt of delivery.

II.4.2.News Releases

News releases or any publications relating to contracts resulting from this RFP shall not be made without prior written approval of the Procurement Official listed in Section I.4, Procurement Official.

II.4.3.Disposition of Proposals

All materials submitted in response to this RFP, upon submission, are the property of the State of California and will be returned only at the State’s option and at the Bidder’s expense. At a minimum, the Master Copy of the Final Proposal shall be retained for official files and will become a public record after the Notification of Intent to Award as specified in the Key Action Dates specified in Section I.5, Key Action Dates. However, materials the State considers, in its sole opinion, to be confidential information (such as confidential financial information submitted to show bidder responsibility) will be returned upon the request of the Bidder.


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Exhibit II-B. Competitive Bidding and Proposal Responsiveness

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

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

2. The State may modify the RFP, prior to the date fixed for Contracts Award, by issuance of an addendum to all parties who are Bidders.

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

4. In order for a bid to be rejected for a deviation, the deviation must be deemed to be of a material nature.

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

6. Proposals cannot be changed after the time designated for receipt and opening thereof. No negotiation as to the scope of the work, amount to be paid, or contractual terms is permitted. However, this does not preclude the State from clarifying the Bidder’s intent by asking questions and considering the answers.

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

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

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


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Exhibit II-A, Competitive Bidding and Proposal Responsiveness (Continued)

Since competitive procurement became the required method for securing certain IT goods or services, the State has received a number of proposals which were deemed to be non-responsive to the requirements of a Request for Proposals (RFP) or which could not be considered as valid proposals within the competitive bidding procedures. Non-responsive proposals or proposals which contain qualification statements or conditions must be rejected. Many of the causes for rejection arise from either an incomplete understanding of the competitive bidding process or administrative oversight on the part of the Bidders. The following examples are illustrative of more common causes for rejection of proposals. These examples are listed solely to assist potential Bidders in submission of responsive proposals, and should not be considered an exhaustive list of all potential reasons for rejection.

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

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

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

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

5. A proposal stated, “This proposal is not intended to be of a contractual nature.”

6. A proposal contained the notation “prices are subject to change without notice.”

7. A proposal was received for the purchase of IT equipment with unacceptable modifications to the Purchase Contract.

8. A proposal for lease of IT equipment contained lease plans of a duration longer than that which had been requested in the RFP with no provision for earlier termination of the contract.

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

10. A proposal was delivered to the wrong office.

11. A proposal was delivered after the date and time specified in the RFP.

12. An RFP required the delivery of a performance bond covering 50 percent of the proposed contract amount. The proposal offered a performance bond to cover “x” dollars which was less than the required 50 percent of the proposed contract amount.

13. A proposal did not meet the contract goal for Disabled Veteran Business Enterprise (DVBE) participation and did not follow the steps required by the proposal to achieve a “good faith effort”.

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


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SECTION III – PROGRAM AND SYSTEMS OVERVIEW

III.PROGRAM AND SYSTEMS OVERVIEW

III.1.Program Overview

For more than 100 years, Caltrans and its predecessors have been responsible for planning, designing, building, operating and maintaining California’s state highway system. With more than 22,000 employees and an annual budget of approximately $8 billion, Caltrans builds and maintains the critical infrastructure on which the State is able to:

• Enable State commerce — transportation infrastructure and services contribute significantly to the $1.4 trillion gross state product, which represents 13 percent of the Gross Domestic Product (GDP) of the United States.

• Facilitate tourism — the tourism industry generates $78.2 billion each year in spending, employs nearly 900,000 Californians, and contributes $5 billion annually in state and local taxes.

Road travel and vehicle miles driven on California State highways demonstrate the importance of this infrastructure to the California economy. For example, in 2004 over 180,154 million Annual Vehicle Miles of Travel (AVMT) were driven on California State highways for business and recreational purposes.

By direction of Assembly Bill 69 in 1972, Caltrans is tasked with overseeing and maintaining California’s state transportation system, which includes more than 50,000 lane miles of state highways stretching from Mexico to Oregon and from the Pacific Ocean to Nevada and Arizona. The scope and scale of Caltrans’ operations include $4.6 billion worth of capital projects and transportation improvements under construction and highway maintenance for 15,146 miles of highway, over 230,000 acres of right-of-way, 12,312 state highway bridges and 12,076 local bridges. Current highway maintenance projects are estimated to total $760 million. In addition, Caltrans supports inter-city rail service and issues permits to public airports.

Through the Local Assistance program, Caltrans passes more than one billion dollars annually from Federal and State-funded programs to cities, counties, and regional agencies to improve transportation infrastructure. This involves processing requests for the multiple phases of over 2,500 local highway projects each year. Increasingly, Caltrans and local agencies have received pressure to deliver transportation projects in a timely manner and to manage funds as effectively as possible.

Caltrans is responsible for an annual $8 billion operating budget and approximately 545 contracts for transportation improvements projects. In addition, the Caltrans’ projects have a direct impact on State commerce, tourism, and recreational travel of Californians. As a result, Caltrans is often placed in the difficult position of responding without complete information to inquiries from the Legislature, DOF, and the general public regarding the use of, and accountability for, taxpayer dollars.

Changes in business needs over the past 20 years has created many challenges for Caltrans within its financial management processes and supporting systems. Aging technology, a growing number and complexity of funding streams, and changes in legislation collectively


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have increased the demands on Caltrans and accentuated problems with the current method of executing financial management functions. More importantly, the lack of management data available to Caltrans often relegates the Department to a decision-making process based on untimely, incomplete and anecdotal information. The lack of visibility into current expenditures, performance, and application of funds is a critical problem.

III.1.1.Program Description and Organization

Headquartered in Sacramento, Caltrans operates approximately 600 business facilities throughout the State of California. The locations for these facilities range from large metropolitan cities, such as Oakland and Los Angeles, to more remote sites, such as the maintenance stations in the Sierra Nevada Mountains and the deserts of southern California.

The Caltrans organization is comprised of three (3) mission-direct programs and three (3) primary support programs that collectively are composed of 28 subdivisions. The programs have functional responsibility for key business activities such as capital improvements, design, construction, local programs, traffic operations, transportation facilities maintenance, mass transportation and aeronautics, planning and administration to meet the State’s transportation needs. An additional 12 district offices (Eureka, Redding, Marysville, Oakland, San Luis Obispo, Fresno, Los Angeles, Bishop, Stockton, San Bernardino, Irvine, and San Diego) are distributed throughout the State, which perform the same key business activities as the headquarters divisions, but are confined to specific geographic locations.

Figure 1. Business and Financial Management Lifecycle

III.1.2.Financial Management Functions and Information Flow

Figure 1 shows how the Financial Management lifecycle supports the Caltrans Business Lifecycle. The Caltrans Business Lifecycle shows the functions and sequencing of the major


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components of the Department’s mandated duties: Planning, Project Delivery, Operations and Maintenance. To achieve these core elements of its mission, the operational units require support from other functions, including financial management. The financial management function feeds critical fiscal information to the operational units so they can better plan, prioritize and evaluate potential investments.

The Financial Management Lifecycle has three major functions: funding, financial management and accountability. Process and technology weaknesses within and across these major functions negatively impacts the functions’ ability to support the mission and objectives of the Department.

III.1.3.Financial Management System Customers

Customers of the Caltrans financial management functions are both internal and external to the organization:

• Caltrans Executive Management uses financial data for analysis and for reporting to provide other customers and stakeholders with meaningful information on spending and return.

• Caltrans Operational Management is responsible for the application of resources to execute day-to-day functions including project delivery, accounting, and budgeting management.

• Federal and state agencies including the Federal Highway Administration (FHWA), California’s Legislature and Department of Finance (DOF), and the California Transportation Commission (CTC) receive information from Caltrans about current or planned projects, use of funds and financial reporting.

• The State Controller’s Office (SCO) receives a claim schedule packet from Caltrans for most types of payments made by Caltrans. The claim schedule is created and submitted to SCO in order to issue warrants for the Department’s invoices. SCO produces the warrants and delivers them through the mail or triggers the Electronic Funds Transfer (EFT) payment process between various banks and other partners. Caltrans also provides financial statements to SCO for inclusion in statewide financial reports.

• Local and regional transportation partners require considerable data sharing and communication with Caltrans for funding, planning, tracking and execution of transportation infrastructure projects. Changes to fund management responsibilities created by the Transportation Equity Act for the 21st Century, passed in 1998, Senate Bill (SB) 45, State Transportation Improvement Program reform, and Assembly Bill 1012 of 1999, have increased the amount of data sharing with local and regional transportation partners.

• External contractors and vendors that conduct business with Caltrans for construction projects, goods and materials and professional services have a heavy transaction-based relationship with Caltrans that is directly linked to the core accounting functions that comprise E-FIS.


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III.1.4.Financial Management System Users

Given the breadth and depth of financial information in the current systems and planned for E-FIS, all Caltrans employees are potential users. However, certain user groups are impacted more than the average Caltrans user and are identified and described below.

• The Division of Accounting (D of A) staff members use TRAMS and many of the ancillary financial systems, and will be significantly impacted by E-FIS. D of A staff members provide various accounting services to customers (both internal and external). In addition to the standard accounts payable, accounts receivable, general ledger and reporting functions, D of A also provides services to its internal and external customers, including the following:

– A contract payments and information web site to track major construction projects.

– Electronic funds transfer (EFT) for utility customers, major construction projects, local agencies, traffic congestion relief program, lease program vendors, service contracts, and other miscellaneous payment types.

– A local agency funded project accounting web site to access financial data regarding projects within specific geographical areas, EFT due dates and other information.

– A local assistance payment system web site provides payment history and invoice information on local assistance funded projects.

• The Division of Budgets staff members use several of the financial management systems within Caltrans. In addition to the creation, validation and tracking of the Caltrans budget, the Division issues budget guidelines to districts/divisions and the program managers. The Division is also responsible for managing federal funds appropriated for state and local transportation projects. As budgeting is a core financial management process that links to all the functional areas related to E-FIS, this group of users will also be significantly impacted by the proposed solution.

• The Division of Procurement and Contracts (DPAC) provides services in the areas of procurement, publications, warehousing, service contracts, architectural and engineering contracts, minor public works contracts (under $131,000) and all emergency force account contracts for phase one emergencies that immediately restore services. The services provided by DPAC interact considerably with the core financial management and accounting functions that are within the functional scope of E-FIS.

• The Division of Local Assistance (DLA) is responsible for assisting local agencies in the timely and efficient delivery of transportation projects in accordance with federal and state law. Local Assistance is responsible for the development, implementation, monitoring and reporting of the budget which consists primarily of federal funds and requires access to the different financial management systems. Local Assistance is responsible for providing information to the California Transportation Commission (CTC), Regional Transportation Planning Agencies


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(RTPAs), Metropolitan Planning Organizations (MPOs), and local agencies at various levels, including data regarding obligation authority and apportionments usage by region.

• Divisional/district resource management staff throughout the state perform budgeting, accounting and other financial management functions related to programs, divisions and districts. Duties are subsets of those of the Division of Accounting and Budgets, although responsibilities are at the operational day-to-day level and are bound by organizational or geographic boundaries.

• Project delivery staff responsible for the budgeting, execution, tracking and completion of construction projects are another user group.

III.2.System Overview

The current automation method for financial management includes 160 systems that vary from centralized mainframe systems to distributed client server applications to individual desktop databases and spreadsheets. This environment has resulted in systems with duplicated functionality and data, redundant data entry into unconnected systems, as well as numerous point to point interfaces necessary to provide accessible data to meet user needs.

The largest application in support of financial management functions is the Department’s primary accounting system, Transportation Accounting and Management System (TRAMS). TRAMS is a collection of mainframe applications implemented in 1983. It was designed to meet the Department’s accounting needs in the following areas: appropriation control, expenditure accounting, encumbrance accounting, receipt accounting, accounts payable, general ledger accounting, cost accounting, cost allocation and labor distribution.

TRAMS is the system of record for financial information and financial statements that represent the financial position of the Department’s funds. A number of the 160 applications used today were procured or developed in response to real or perceived functional limitations of TRAMS.

Caltrans’ financial management requirements are organized into several main financial functions, four of which are within the scope of E-FIS3, namely:

1. Budgetary Control and Funds Management

2. Accounts Payable

3. Accounts Receivable

4. General Ledger

These functions span Caltrans’ financial management lifecycle from fund management through service delivery and involve considerable complexity and interconnected business requirements that are manifest in the multiple, distributed automation systems currently within the Caltrans environment.

3 The remaining functions are Budget Development, Procurement, Fund and Grant Management, Real Estate and Land Management, Asset Management and Inventory. These functions are part of the Post-E-FIS scope.


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III.2.1.Budgetary Control and Funds Management

Budgetary control and funds management functions are supported by several financial management systems across the Caltrans organization. Caltrans manages budget allocations executed by the State Budget Act within the Budget Monitoring System (BMS). BMS contains expenditure information that Divisions use to monitor their spending against their available resources. However, transaction-level expenditure details reside in other TRAMS files and subsystems. As a result, BMS does not capture allocations and expenditures at the level of detail required by Caltrans. Consequently, Districts and Divisions have developed secondary expenditure tracking systems, also known as “checkbook” systems, to monitor expenditures on a near real-time basis. Division staff expend time and resources every month reconciling data from these distributed computer systems with BMS and TRAMS, using manual or semi-automated processes. In addition, some of the checkbook systems include “pre-TRAMS” entries which are not reconciled with TRAMS and whose history resides only in the checkbook system.

Capital outlay appropriations and project allocations are managed through the Budget Capital File. Capital outlay reimbursements are a controlled budget item. The reimbursement appropriation is managed by the Division of Budgets via a manual spreadsheet process as reimbursement allocations are approved on a project by project basis.

As local agencies complete roadway infrastructure projects and request reimbursement from the Department, the Local Programs Accounting and Management System (LPAMS) processes the payment to the local agency. As the project incurs costs, the Current Billing and Reporting System (CBARS)4 creates the federal aid bill for reimbursement from the Federal Highway Administration (FHWA). Using multiple systems to process payments to local agencies and request reimbursement from the FHWA, makes it difficult to track project expenditures and requires manual effort to reconcile each system.

The budgetary control and funds management processes and activities are decomposed in further detail into the following sub-functions:

• Develop and Maintain Allocations

• Monitor Expenditures

• Manage Funds

III.2.1.1 Develop and Maintain Allocations

After the State Budget is signed into law, the Department allocates appropriations to the Divisions and Districts. Allocations are maintained in the BMS and, together with expenditure and encumbrance data maintained within TRAMS, are downloaded to the Budget Allocation System (BAS). Neither BMS nor BAS track allocations to the level of detail required by the Divisions and Districts. As a result, the Divisions maintain expenditure tracking systems and Districts maintain their own “checkbook” systems to

4 CBARS billings are not limited to local agency projects. CBARS also is used for all highway projects that receive federal funding.


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monitor their allocation balances. These systems are reconciled manually or through semi-automated processes developed by the various Divisions.

In addition to Division and District allocations, funds are allocated to projects through the State/Federal programming processes. The Caltrans District performing the work, or the local agency responsible for the project, requests an allocation of funds for support and capital investments over the multi-year duration of the project. Each approved capital project is assigned an expenditure authorization (EA), which identifies the amount of allocation per fund that can be used. EAs are also created and used to track local assistance projects and non-capital project costs. Various systems are used to monitor project allocations, including LPAMS, Capital Outlay Monitoring System/Expenditure Authorization System (COMS/EAS5) and the Capital Allocations database.

Caltrans must track the State and local split of budgeted federal obligation authority, apportionments and allocations, and the State and local split of appropriations. Division of Budgets’ staff enters the appropriations, apportionments, and allocations data into an Excel spreadsheet to determine the State and local split amounts. Both the federal funding notification and the worksheet containing the state and local split are distributed to Accounting staff using CBARS and LPAMS, who input the information into their systems. Significant research and reconciliation is required to ensure that California fully utilizes its federal obligation authority each year.

Data from various systems are used to track the obligated amount of Federal funds for specific State and local projects. Accounting provides the Division of Budgets and the Division of Local Assistance with a monthly report showing individual project information, including the amount of Federal funds obligated to the project and type of Federal fund(s) being used.

III.2.1.2 Monitor Expenditures

Divisions and Districts utilize different systems to monitor actual expenditures against their appropriations, apportionments, allocations, planned expenditures and/or encumbrances. The systems that are within the scope of E-FIS include:

1. COMS/EAS2. CAPS3. LPAMS4. CBARS5. BMS6. BAS7. TRAMS8. Capital Allocations Database

In addition, there are several “checkbook” systems used by the Divisions and Districts which are also within the scope of E-FIS. These checkbook systems were created to

5 Also referred to as EAS/COMS.


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allow the Divisions and Districts to manage their expenditures and encumbrances to a lower level of detail than is available through TRAMS.

III.2.1.3 Manage Funds

Transportation funds allocated by the CTC and funds obligated by the FHWA are managed by numerous systems throughout the Caltrans organization. The systems within the scope of E-FIS include the Capital Allocations Database, TRAMS, COMS/EAS, LPAMS, and CBARS.

III.2.2.Accounts Payable

The accounts payable processes encompass all of the activities required to maintain vendor information, record the encumbrance for the liability (if appropriate – not all payables require an encumbrance), liquidate the encumbrance (if appropriate), validate the vendor’s invoice, and process and issue payment. For most goods and services obtained through the procurement process, the Division or District submits the invoice and supporting documentation to the D of A for processing. Staff members match the invoice, receiving record and contract/purchase order against the encumbrance (if appropriate). The transactions are posted into TRAMS and a claim schedule number is assigned to the transaction, or a manual/automated check6 may be written from the Office Revolving Fund (ORF). The claim schedule documentation is subsequently forwarded to the State Controller’s Office (SCO) to produce the warrant. Finally, the warrant is mailed to the vendor by the SCO, unless special handling instructions are provided. Warrants for Revolving Fund items are produced in-house, and mailed or picked up by the payee. The accounts payable processes and activities are decomposed in further detail into the following sub-functions:

• Establish and Maintain Vendor Files/Lists

• Encumbrance Control

• Issue and Collect Advances

• Process Payment

• Process Claim Schedule

• Record Payment

• Office Revolving Fund (ORF) Management

• Reconcile A/P Accounts

III.2.2.1 Establish and Maintain Vendor Files/Lists

Vendor data is collected during the procurement process by DPAC and maintained in multiple systems that monitor the award of contracts and purchase orders. Some of the same data is re-keyed into accounts payable systems to process payments to vendors. The master list of vendors used by the department is maintained in TRAMS and is

6 There is an automated process for generating ORF checks, as well as a process for generating a single check manually.


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duplicated in Caltrans’ numerous procurement and accounts payable systems. The vendor file is also used for annual reportable payments to the Internal Revenue Service (IRS) and Franchise Tax Board (FTB). Storing the vendors’ social security numbers (SSNs), federal identification number, and FTB number in multiple systems raise security concerns and increase the risk of unauthorized disclosure.

III.2.2.2 Encumbrance Control

Based on the Departmental established threshold, encumbrances are recorded manually in TRAMS after they are certified for available funding. The encumbrance serves to reserve a portion of the applicable appropriation so that required funds will be available to meet planned expenditures. In addition to manually entering encumbrance transactions, the COMS/EAS and the LPAMS systems also post encumbrance transactions to TRAMS. The Capital Outlay Monitoring System (COMS) component of COMS/EAS is responsible for the certification of Capital Outlay Expenditure Authorizations. This process involves validating that the authorized dollars on the EA are less than or equal to the allocated dollars. If this is the case, the process culminates in the posting of the EA authorized amount to the TRAMS EA File and the generation of an encumbrance, which is posted to the TRAMS encumbrance file. Encumbrances that pertain to local assistance funded projects are manually keyed into LPAMS and then loaded into TRAMS.

III.2.2.3 Issue and Collect Advances

Numerous systems are currently in use for processing advances and overpayments. For travel advances, TRAMS and the Travel Advance Monitoring System (TAMS) record the outstanding travel advance or travel overpayment receivable. The receivable is initially keyed into TRAMS when the Office Revolving Fund check is produced and then this data is manually keyed into TAMS. Accounting staff use the data in TAMS to validate outstanding advances in TRAMS and to request payroll deductions from the SCO.

Salary advances are processed using the Salary Advance Monitoring System (SAL). SAL is used to monitor outstanding salary advances issued from the Revolving Fund. Staff download data from TRAMS into SAL on a daily basis to capture new, revised and cleared salary advance data.

Vendor advances, such as legal or postage advances are processed using TRAMS and the Misc Advances database. The advance is initially keyed into TRAMS when the Office Revolving Fund check is produced. This data is downloaded from TRAMS into the Misc Advance database.

III.2.2.4 Process Payments

Payment requests are processed either directly through TRAMS or through one of the various subsystems outside of TRAMS that have been developed to accommodate the new process requirements that could not be accommodated because of difficulties in modifying existing systems. Subsystems that process payment requests include:


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Purchase Card Accounting and Requisition System (PCARS) for the approval and processing of Cal-Card purchases.

American Express Billing System for processing travel (airline tickets) from the Department’s travel agency.

Statewide Utility Billing System (SUBS) and the Paper Utility Billing System (PUBS) for the processing of telephone and utility bill charges.

Caltrans Accounts Payable System (CAPS) for processing contract delegation/purchase orders and equipment shop purchases.

Construction Administration System (CAS) for triggering payments to vendors on capital outlay projects.

Local Programs Accounting and Management System (LPAMS) for processing local assistance funded projects.

III.2.2.5 Process Claim Schedule

For most types of payments, a claim schedule packet is created and submitted to the SCO in order to issue warrants for the Department’s invoices. The expenditure and cash are initially charged to the Transportation Revolving Account (TRA) and subsequently reimbursed by the ultimate funds through the Plan of Financial Adjustment (PFA) process. The following systems listed submit claim schedule information to the SCO. For contract delegation purchase orders, the CAPS automates the document processing and transaction recording through a document imaging system.

TRAMS creates an EFT payment transaction for select vendors that submit invoices for EFT via the File Transfer Protocol (FTP) process (only certain payment types have been approved by SCO for EFT payment). An EFT payment file is created from which the SCO processes electronic payments.

CAS creates a tape claim which is submitted to SCO to pay contractors for contract work completed. Payment is made either by EFT or warrant.

For transactions that are manually keyed into TRAMS and for some subsystem generated transactions (i.e., LPAMS), the system creates a face sheet that is combined with the payment package and delivered to the SCO.

For utility bills, one of two different payment processes is executed depending on whether the bill is submitted in hardcopy or electronically. For paper bills, bills submitted on CD-ROM and bills submitted via the FTP process, PUBS posts the payable transaction to TRAMS, which in turn, generates the claim schedule that is submitted manually to the SCO. For claims submitted electronically by vendors through Electronic Data Interchange (EDI), PUBS posts a payable transaction to TRAMS, produces an EFT face sheet that is mailed to the SCO, and generates an electronic SCO claims file containing the payment details. The receipt of the face sheet by the SCO triggers the EFT payment process between the appropriate banks and finally, the utility vendor.


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Although the SCO has a standard file format for submissions (some systems submit electronically, but most submissions occur as a hard copy submission), each of the applications listed above writes a payment file to the SCO using a unique format. This is because the applications were developed during different decades with differing SCO interface requirements.

III.2.2.6 Record Payments

Once the claim schedule has been processed by the SCO and warrants are issued, SCO sends two magnetic tapes to the Department of Technology Services (DTS) — one file with direct warrant payment data and one file with reimbursement data for payments originally made from the Revolving Fund. The purpose of the payment tapes is to notify Caltrans of payments that have been made on its behalf. Together these two files include payment information related to all of the payments requested, irrespective of which system initiated the payment. These two files are processed by the Daily Direct Claims Paid (DCP) system and the No Warrant (NOW) system which transfer Claim Schedule information from the two tapes into TRAMS.

CAPS receives confirmation directly from the SCO about the CAPS payments the Department requested. CAPS posts accounts payable liquidations to TRAMS. No systems other than TRAMS and CAPS receive updates concerning the status of the payable. The other payables subsystems only have records of the issuance of a claim schedule to the SCO. Several subsystems track and control the payments to Caltrans’ vendors. The Service Contracts Automated Tracking System (SCATS) tracks and publishes contract information, vendor payment history and contract balances of service contracts. The Progress Estimate Tracking System (PETS) tracks and publishes payments made to construction contractors, and establishes and tracks contractor escrow accounts. In addition, PETS is used as a mechanism to hold payments for vendors who are subject to liens, stop notices, labor compliance violations, or other legal actions. PETS gathers payment information for annual reportable payments to the IRS and FTB. LPAMS tracks and publishes payments on local assistance funded projects.

III.2.2.7 Office Revolving Fund (ORF) Management

The Office Revolving Fund (ORF) is an imprest account7 used for payment of compensation earned (salary advance), travel expense reimbursement, travel advance, or transactions where immediate payment is necessary (e.g., vendor advance). Payment from the ORF is intended to expedite transactions which require immediate payment that would otherwise be delayed if processed normally through SCO. The fund balance at all times equals: (1) cash, (2) amount of receivable, (3) claims in transit, and (4) outstanding advances. Additionally, proper control must be exercised to ensure that all advances are authorized and that all unclaimed reimbursements are accounted for in the

7 An imprest account is a fixed cash fund or petty cash fund. The sum of the available (cash) balance, expenditures, outstanding checks and amounts in transit equal the established account amount. Refer to Appendix D, Glossary of Terms and Acronyms for a more complete definition.


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General Ledger accounts, and a conscientious effort is made to expedite the collection of all ORF accounts receivables not scheduled for reimbursement.

III.2.2.8 Reconcile A/P Accounts

TRAMS is recognized by Caltrans as the system of record for accounts payable transactions. TRAMS, however, does not provide adequate functionality for Divisions and Districts, resulting in the creation of numerous systems that provide reconciliation functionality.

Revolving Fund System (RFS) is used to reconcile the Revolving Fund checks and advances against reimbursements made by SCO.

Duplicate Payment Reporting System (DPRS) is designed to detect the possibility of duplicated payments that may have been paid to a vendor and to provide information that assists staff in recovering any actual duplicate payments. DPRS selects transactions from TRAMS for reconciliation.

American Express Billing System allows disputed charges to be flagged in the system and a list is generated to facilitate reconciliation.

PCARS and the Cal-Card Tracker allow users to reconcile purchases with the monthly statement of account file received from the bank.

III.2.3.Accounts Receivable

The majority of accounts receivable transactions are processed by the Accounts Receivable System (ARS), with the exception of specialized receivables that are processed by other systems. ARS records most receivable transactions (i.e., billings, collections) and also records all cash deposits to the Department’s zero balance accounts. Specialized accounts receivable systems include:

• Current Billing and Reporting System (CBARS) which processes federal reimbursement billings.

• Signals and Lighting Billing System (SLB) which creates bills to local government entities for utility sharing agreements.

• Right of Way Property System (RWPS) which tracks rental payments for properties that are held for future highway projects. (RWPS functionality will be addressed in a subsequent project to follow E-FIS.)

• Payroll Accounts Receivable and Reporting System (PARR) which records receivables due from employees for salary overpayments.

From the perspective of Accounts Receivable, TRAMS operates solely as the General Ledger system. TRAMS does not record the details of Accounts Receivable invoices or payments. Details are maintained in the subsidiary systems: ARS, SLB and CBARS. TRAMS records the transaction postings to the appropriate General Ledger account.

A number of specialized reporting systems provide accounts receivable-related reports. For instance, the Reimbursement Subsystem provides reports of reimbursable expenditures over the life of a project.


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The accounts receivable processes and activities are decomposed in further detail into the following sub-functions:

• Establish and Maintain Customers/Tenants

• Generate Invoice Transactions

• Process and Apply Receivables/Revenue

• Collection Process

• Track Accounts Receivable Status

• Reconcile Accounts Receivable Status

III.2.3.1 Establish and Maintain Customers/Tenants

Maintenance of customer data in the accounts receivable subsystems is entirely manual. As Accounting receives documentation on a new customer, or receives updated or modified information regarding an existing customer, the customer’s identifying information is entered or updated in a customer or tenant profile in the subsystem.

III.2.3.2 Generate Invoice Transactions

Several differing methods exist for generating invoices for the various types of receivables:

Revenue bills – Revenue bills are entered into the ARS and Districts’ staff enter the permit sale data into a District Microsoft (MS) Access database for permits. A daily debtor permit report is generated from the Access database and submitted to Accounting. Accounting staff members then key data from the paper report into ARS to generate the invoices.

Installment Billings – Installment billings are set up in ARS after Accounts Receivable staff receives paper documentation of purchase agreements for excess land sales and application forms for the land use programs. Installment billings are also used when the Department agrees to a payment plan. Once, the installment invoice is generated and sent to the customer, the ARS posts the installment billing transaction to TRAMS. Abatement invoices that are not related to property damage are keyed directly into the ARS.

Reimbursement Invoices — Reimbursement-related transactions are stored in the Reimbursement Subsystem (RSS). Staff accountants calculate the amount to be reimbursed and enter the billing transaction information into ARS. The ARS then creates the invoice and posts the billing transaction to TRAMS. ARS creates reimbursement invoices and posts the billing transaction to TRAM and the RSS.

Abatement Invoices — For abatements related to the repair costs incurred by individuals who have damaged Caltrans property, ARS receives maintenance and repair costs from the Integrated Maintenance Management System (IMMS). The damage billing is then handled similar to other ARS receivables and is posted from ARS to TRAMS.


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Signal and Lighting Billing — The Signals and Lighting Billing System (SLB) is used to capture direct and indirect costs of operating electrical installations at intersections and to bill participating local agencies for their share of these costs. Billing transactions are posted to TRAMS and the invoices are generated monthly.

Federal Highway Administration (FHWA) Reimbursement — CBARS creates the Federal Aid Bill for billing the FHWA. CBARS captures and accumulates expenditure transactions that were identified by its fund split processing as being federally reimbursable. CBARS creates a bill file when a user-maintained threshold amount (currently set to $5 million) is reached and sends the bill file to the FHWA via file transfer protocol (FTP). The billing data is also posted to TRAMS in the form of Accounts Receivable transactions.

Payroll Accounts Receivable —Salary advances are recorded in the Salary Advance Monitoring System (SAL) based on salary advance check transactions from TRAMS. Travel advances are manually keyed into TAMS based on travel advance check transactions from TRAMS.

III.2.3.3 Process and Apply Receivables/Revenue

Accounting staff process received checks using the Automated Remittance Processing System (ARPS). The ARPS system is attached to a scanner which images the check, and if applicable, the associated invoice coupon, reads the check information, and endorses the check for deposit. The receivable information is uploaded to TRAMS.

Processing and applying receivables and revenue is performed by various systems, depending on the type of receivable or revenue.

Receipts for ARS Billings — Receipts are processed by the Cashiering Deposits and Services Section. ARS staff then posts the receivable liquidation transaction to TRAMS based on the Cash State Report (CSR) information received from Cashiering.

Receipts for Signals and Lighting Billings — Cashiers identify SLB billings by the presence of an SLB remittance advice included with the payment. SLB does not have any mechanism for recording the liquidation of the receivable. Instead, the Accounts Receivable staff enter the payment receipt data into TRAMS.

Receipts for FHWA Billings — The FHWA’s Rapid Approval and State Payment System (RASPS) edits the bill file sent from CBARS. The FHWA provides payment via EFT to the Federal Trust Fund. Accounting prepares a Plan of Financial Adjustment (PFA) to reimburse the Transportation Revolving Account (TRA). Accounting also initiates a cash release form to staff who run an automated program which liquidates the receivable.

Receipts for Payroll Accounts Receivable — Payroll receivables deducted from the employee’s paycheck are automatically loaded into PARR when the SCO’s payroll tape is loaded. The liquidated receivable information in PARR is manually keyed into TRAMS.


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III.2.3.4 Collection Process

The Collection Process function covers the receipt of cash when no receivable has previously been set up. Cash collections are deposited directly into the State Treasurer’s Office bank accounts. Cash collections can be made for a variety of transactions; however, regardless of the source of the cash, the daily cash summary is entered into ARS.

Receivables produced from ARS, SLB and PARR are all collected using the centralized cashiering function in Caltrans. All receipts are forwarded to the cashier’s office in the D of A where cashiers identify which system the receipt should be entered into: ARS, PARR, or TRAMS. Cash collected in the Districts is deposited locally and a check or money order is created and forwarded to D of A. Daily deposit summaries with the total dollar amount of each receivable type received are then manually keyed into ARS.

III.2.3.5 Track Accounts Receivable Status

Monitoring accounts receivable status is generally performed in the system in which the accounts receivable transaction was originally entered.

III.2.3.6 Reconcile Accounts Receivable Status

Daily reconciliations are performed between ARS and TRAMS. Monthly reconciliations are completed between ARS reports and TRAMS general ledger account balances to comply with State Administrative Manual (SAM) and Generally Accepted Accounting Principles (GAAP) requirements. Monthly reconciliations are also made between TRAMS, ARS and the Reimbursement Subsystem.

The Final Voucher Process is similar to a reconciliation process. A final voucher represents the final accounting of costs that is submitted to the FHWA once a federal project is completed. Completing the final voucher paperwork is facilitated by the Federal Projects Reporting System (FPRS). FPRS is a collection of mainframe reports that collects data from TRAMS, CBARS and the Contract Administration System (CAS). Final vouchers also are performed for local assistance projects using LPAMS, and for reimbursement funded projects. As the final voucher paperwork is completed, the documentation tasks are updated in the Completed Federal Project Inventory System (CFPIS).

III.2.4.General Ledger

TRAMS is the system of record for financial information. Financial statements that represent the financial position of the Department’s funds are created manually, by keying TRAMS data into Excel and Word files. TRAMS consists of an assortment of interrelated COBOL programs that run on the mainframe at the DTS. The system coding structure and rules are recorded in tables and financial data is posted to financial files. When financial transactions are entered into TRAMS (either directly or through subsystems), the transactions are deposited into the TRAMS collector, a storage location on the mainframe where all input records are stored until processed. During processing, the TRAMS subsystems and TRAMS programs are run in the order specified in the TRAMS calendar, to


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ensure that table updates and transactions are posted in the correct order. TRAMS takes each financial transaction located in the collector and processes it according to the rules specified in its coding tables. The processed financial transaction results in debit and credit postings to the proper general ledger accounts, as well as postings to subsidiary financial files, such as the Expenditure Authorization financial file.

TRAMS includes a number of programs that are important enough to its functional base that they are often referred to as their own separate programs, although they are subcomponents of TRAMS. These systems include:

• Encumbrance Refresh and Recalculation System updates encumbrance balances every month

• Overhead Assessment Reimbursement (OAR). The various cost distribution systems — that is, Overhead Assessment Reimbursement and Capital Outlay Support Overhead Assessment Rates (COSOAR) — build TRAMS project expenditure transactions based on various indirect costs

• Labor Distribution System (LDS)

• Payroll Variance Distribution System

In addition to the core TRAMS processes that maintain setup tables for data validation and financial files for the posting of transactions, several additional systems perform core financial functions. COMS/EAS provides a routing and approval mechanism for EAs prior to activation for financial use. After an EA is approved and/or certified in COMS/EAS, the EA may be released to TRAMS. The EA must pass through a series of edits to be successfully setup in TRAMS. Prior to posting to financial files, each expenditure transaction is processed by the TRAMS/CBARS fund split program.

During the fund split process, a single transaction is split into multiple transactions, with a separate accounting transaction for potentially each funding line on the EA Table. As a result of this process, accounting transactions are generated to record the splitting of encumbrances and expenditures between funding sources (such as federal, state and reimbursements), program codes, appropriations, funds, etc. However, COMS/EAS can only accommodate expenditures among different fund sources based on percentages that sum to 100 percent per Funding Fiscal Year (FFY). To split fund sources in alternate situations (e.g., for a particular period of time, a set dollar amount, or certain type of expenditure), staff must manually move expenditures based on the specific situation.

The general ledger processes and activities are decomposed in further detail into the following sub-functions:

• Establish and Maintain Chart of Accounts and Coding Structure

• Allocate and Process Costs

• Reconcile G/L Accounts


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III.2.4.1 Establish and Maintain Chart of Accounts and Coding Structure

The vast majority of table maintenance on TRAMS’ tables is performed by manually keying data changes into the TRAMS descriptor tables. Changes to some table elements are required to conform to the California Uniform Codes Manual (UCM), written by the Department of Finance, which defines the minimum accounting structure for State of California Departments. Updates to the TRAMS Expenditure Authorization table are mainly performed in COMS/EAS, because it has unique approval functionality. EAs are electronically sent for approval by staff using COMS/EAS and finally submitted to the TRAMS Collector on approval. LPAMS also initiates the creation of new EAs and supplements (updates to) EAs, which are sent to COMS/EAS for electronic approval processing. The majority of Caltrans’ coding structure was developed pre-TRAMS and limited to the number and size of data fields that would fit on a punch card8. The current coding structure suffers from redundant data, inconsistent use of data and data fields, and edits which are incomplete or inconsistently applied.

III.2.4.2 Allocate and Process Costs

Costs affect both expenditures and encumbrances. Encumbrances must be captured and recalculated/refreshed periodically so that financial commitments against the appropriation are current and accurate.

The types of cost allocations include the distribution of overhead and indirect costs and the assignment of labor and material costs to specific projects. Overhead and indirect costs are allocated by different systems, with each system specializing in a specific type of costs. The Overhead Assessment Reimbursement System (OAR) calculates the overhead allocation for reimbursable labor costs. The Capital Outlay Support Overhead Assessment Rates (COSOAR) applies Capital Outlay Support costs as overhead to projects, as required by Senate Bill 45. COSOAR is planned to be replaced by a mainframe system called SB45. OAR, COSOAR, and the proposed SB45 distribute costs using a fixed allocation rate.

The Labor Distribution System (LDS) creates TRAMS material and labor expenditure transactions based on maintenance work orders and employee timesheets provided by IMMS and Staff Central (a PeopleSoft HR system). LDS creates the labor and material cost transactions for TRAMS. LDS also receives equipment usage data from IMMS, which it passes on to the Vehicle Usage Reporting System (URS). Actual payroll cash payments are received from the SCO on a tape, which is loaded into the Payroll Accounts Receivable and Reporting (PARR) System. The SCO also sends a hard copy report of total payroll. Any variation between the labor expenditures posted through LDS and the actual payroll paid to employees is distributed by the Payroll Variance Distribution System.

8 The successful Bidder will work with Caltrans to redesign the coding structure based on the COTS solution. The coding structure will be reviewed and analyzed as part of the requirements validation and business process re-engineering sessions after Contracts Award.


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The URS calculates equipment usage charges which are submitted to TRAMS, and are used for billing purposes (e.g., local agencies, federal reimbursement for storm damage).

III.2.4.3 Reconcile G/L Accounts

TRAMS is the financial system of record and, therefore, it contains the balances of all of the general ledger accounts. Some subsystems maintain subsidiary or detailed data that is not recorded in TRAMS, but support the transactions that are posted to TRAMS. These subsidiary systems must be reconciled to the balances in the TRAMS general ledger in order to ensure that they maintain correct data. There are five main types of subsystems that must be reconciled with TRAMS:

1. Core Subsystems — Reconciliation between core sub-systems and TRAMS are described in the Accounts Payable and Accounts Receivable sections above.

2. Non-Core Subsystems — A number of non-core subsystems perform functions that are directly linked to TRAMS processing. Examples of these systems include: NOW, TAMS, SAL and PCARS.

3. Non-Expendable Equipment — Equipment data that is manually maintained in the Non-Expendable Equipment System is reconciled each month with the TRAMS SO1 Report for the Equipment General Ledger Account (2341).

4. Rail Bond Reporting System — Both the Rail Bond Reporting System (RBR) and TRAMS track expenditures and encumbrance balances on rail projects.

5. State Controller’s Office — General ledger accounts are manually reconciled with the balances maintained by the State Controller’s Office.

In addition, Caltrans is mandated to provide financial statements and reports to various governmental entities, including SCO, DOF, FHWA and others.

III.2.5.Procurement

Caltrans has implemented numerous-stand alone systems over the past 22 years to support procurement activities. In most cases, the same data that is manually prepared on a requisition form is keyed into a system as a purchase order or contract, manually received, and keyed again into an accounting system to process the payment transaction. The majority of procurement system functionality will be included in post-E-FIS projects. Only the Contract Delegation Purchase Order System (CDPOS) and Drug-Free Certifications database are relevant to the scope of E-FIS. CDPOS is used to generate purchase orders after receiving a valid request, but only the tracking of amendments and changes will be included in E-FIS. The Drug Free Certifications database is used to track vendor information and generate reports.

III.2.6.Project Cost Accounting

One of the challenges facing Caltrans is how to accurately report project costs. Because Caltrans is responsible for different types of projects with different types of funding


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managed through a variety of systems, accurately categorizing costs and maintaining the history of project costs has been difficult.

The fundamental business question being asked is: what did the project actually cost? This question is followed closely by a clarifying question: what is a project? Caltrans, FHWA, the CTC, and local agencies each have a different definition when they request project budget and expenditure data. While Caltrans is considering moving towards using a more generic term than “project” (e.g., a collection of elements or objectives), it is recognized that the term will continue to be used widely and inconsistently.

A fundamental problem within Caltrans has been identifying projects and handling project splits and combines. Tracking project splits and combines entails more than simply tracking the relationships between projects – project A splits into project B and project C. It requires tracking the associated funds and activities (or Work Breakdown Structure (WBS) elements). Caltrans can only deliver accurate, consistent, “budget vs. actual” reports by rigorously following clearly defined “split and combine” rules. Business rules determine when changes to a project budget or contract require the creation of a new project. Clearly defined rules will dictate how project budgets and expenditures are split or combined into new project budgets and expenditures.

Tracking the funding approval document, funding source, funding amount, and project information at the lowest defined unit is a financial responsibility that is within the scope of E-FIS. In addition, E-FIS needs to be able to report on both the original funding information and changes over time.

To respond to these various “project” status inquiries requires tracking the funds allocated and funds expended at the most logical granular level for each project activity and element of the project. These activities and elements can then be summarized by E-FIS to accumulate the specific type of “project” information needed. This will require integrating the project management system (PRSM), construction management system (CMS), and the E-FIS financial management system.

Another challenge to cost accounting is the current approach to project setup, costing and billing. Often there is no relationship between how expenditures are charged during the life of the project and the actual final costing at the appropriation and fund level. Under the existing process, often the only time expenditures are accurate at the fund source level is when a project is closed out. The current method of assigning funding by percentage on the EA often results in inaccurate expenditures at all levels (appropriation through project) until the time of project closeout. A project may take many years to complete and be closed out, and by that time, appropriations may have reverted so that there is no current funding available.

Central to this issue is the EA and the use of different percentages for TRAMS and CBARS. Currently, staff have the ability to change the percentage that drives the funding for one system independently of the other, but cannot stagger or phase types of funding which may apply only under certain conditions or timeframes. This is one of the largest issues surrounding accurate financial planning and reporting under the current methods.


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III.3.Hardware

TRAMS is housed at DTS on an IBM mainframe. Other department systems vary in the type of hardware and software in use, ranging from desktop workstations running various versions of the Windows operating system and local databases (e.g., many FoxPro and FileMaker Pro databases are in use across the divisions), to Sun Solaris servers running Oracle.

III.3.1.Desktop Workstations

Caltrans’ desktop workstation environment includes approximately 20,000 PCs, including Windows 2000 and XP desktops, Windows 2000 notebooks, Macintosh desktops and Unix workstations.

III.3.2.LAN Servers

Caltrans’ LAN is Ethernet-based, employing a TCP/IP data transfer protocol. LAN servers vary in terms of model and manufacturer, and include Dell, HP, Compaq, IBM and Sun servers.

III.3.3.Network Protocols

Caltrans’ WAN consists of a redundant ATM backbone using passthrough line management to the Department’s ATM concentration points, which support over 500 frame relay boundary points used as redundancy circuits (exceptions include Caltrans Headquarters, which employs DTS’ CSGNet, and District 8, which uses Genuity/Level 3 Communications services). The network provides access to a variety of business and engineering applications and databases, networked electronic mail, general file and print services, as well as data transfer using TCP/IP. In addition to this, many sites support both Ethernet and ATM switches, with Ethernet switches providing the main interface between the WAN and LAN.

III.3.4.Automated Remittance Processing System (ARPS) Check Imaging and Endorsement System

Caltrans currently uses an NCR 7731 system to read check Magnetic Ink Character Recognition (MICR) lines, perform Optical Character Recognition (OCR) on certain invoices, and endorse checks which are then deposited to three separate bank accounts. The image information is stored on a network drive. The ARPS system will not be replaced by E-FIS. E-FIS must interface to this equipment and its recognition software to send accounts receivable information to the ERP. The Bidder must propose a solution to address this functionality.

III.4.Software

Caltrans’ use of numerous systems for their financial management needs has resulted in a wide range of software applications and languages in use, ranging from mainframe-based COBOL and RAMIS applications in TRAMS, to esoteric languages such as Queo V used for COMS/EAS and ARS. Applications were largely developed in a silo manner without a common application development approach, resulting in a wide range of data naming conventions, programming approaches and validation routines.


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III.4.1.Application Development Software

Caltrans uses a number of different methodologies and software products for application development. Current application development software standards include Oracle Developer, JDeveloper and Designer, MS Visual Basic and Visual C++, Sun Java Development Kit, Intertest and Expediter.

III.4.2.Operating System Software

Caltrans currently uses a number of operating systems, depending on the machine type and purpose of the server. Operating systems currently in use include:

• Solaris 9

• HP Unix 11

• NetWare 6

• Windows NT 4.0

• IBM AIX

• Windows 2000

• Windows XP

III.4.3.Email and Personal Productivity Software

Caltrans uses Lotus Notes for their email system, and various versions of MS Office software (ranging from Office 97 to Office XP), for personal productivity.

III.4.4.Database Management Systems

Current database management system standards are comprised of the following:

• Desktop Database: Used primarily to develop local or desktop databases for small to medium data management purposes. Software packages include MS Access, Personal Oracle, MS FoxPro and Filemaker Pro.

• Enterprise Database: Used primarily for larger business unit or enterprise data management needs. Database products used include Oracle, Informix, VSAM, DB2 and MySQL, with Oracle being the Department standard.

III.4.5.Electronic Data Interchange (EDI) System

Caltrans uses EDI to receive and process utility invoices from various utility clients. Caltrans uses the services of the Xebec Value Added Network (VAN) to retrieve and distribute the appropriate files. The customized Xebec translator software accesses the VAN and converts the files from ANSI X.12 into an ASCII file, which is then sent to the PUBS for processing. PUBS creates a remittance which is converted to ANSI X.12 and returned to the utility trading partners via the VAN. The file format complies with the Utility Industry Group (UIG) format. The new E-FIS system must be capable of interfacing to the EDI software and VAN in order to process these electronic invoices.

Caltrans currently receives approximately 700 invoices daily or between 3,000 to 5,000 invoices weekly via the VAN, for a monthly total of approximately 15,000 invoices.


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III.4.6.CAPS FileNet System

Attached to CAPS is a FileNet imaging system which is used to scan images of vendor records and information, including contracts or authorizing documents, receiving records, invoices, payment authorizations, credit memos, and other supporting documents. The CAPS consists of an Informix v.9.40 database and 4GL tools v.7.32, FileNet Workflow Imaging v.3.4.2.18 and FileNet Workforce Desktop v.4.16, and Dynacom 3.2 software. There are 20 optical disks which contain 5.2 GB of data, with a total image document count of approximately 1,333, 600.

The CAPS will be replaced by E-FIS. There is no present intent to interface E-FIS to the FileNet repository.

III.5.Internal and External Interfaces

Caltrans operates 160 interconnected systems to meet their financial management needs. These systems interface with each other in numerous ways including manual keying and re-keying, physical exchanges of removable media, and custom automated processes to update and reconcile data between systems. The result is several hundred internal interfaces needed to maintain data between the multiple systems. The systems to be replaced in E-FIS have over 100 point-to-point interfaces that must be maintained. In addition to multiple interfaces between Caltrans internal systems, the Department maintains several interfaces with external information systems.

The Department has several interfaces developed to process claim schedules with the SCO. Although the SCO has a standard file format for submissions (some systems submit electronically, but most submissions occur as a hard copy submission), each application writes a payment file to the SCO using a unique format. This is because the applications were developed during different decades with differing SCO interface requirements. In addition, the Department interfaces in several ways with the FHWA. The CBARS, for example, sends an electronic bill to the FHWA for reimbursement of federally funded transportation projects via FTP.

A list of the currently identified systems with interfaces is contained in Section IV.2.2, Component 2: Enterprise Application Integration (EAI) Platform.

III.6.Current Volumes

The following table summarizes the current volumes for typical Caltrans transactions and activities.

Table 2. Summary of Current Transaction Volumes

ACTIVITY VOLUME (APPROXIMATE)

Number of Active Vendors 93,250Number of Encumbrance Transactions During a Peak Month (includes establishment of encumbrances, adjustments, liquidations, and encumbrance refresh transactions)

143,000


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ACTIVITY VOLUME (APPROXIMATE)

Number of Encumbrance Transactions per Year (includes establishment of encumbrances, adjustments, liquidations, and encumbrance refresh transactions)

519,461

Number of Funds (without respect to fund detail)* 60Number of Funds including fund detail* 157Number of General Ledger Accounts* 228Number of Invoices Issued per Year (includes abatement, reimbursement and revenue invoices)

36,000

Number of Invoices Paid During a Peak Month (paper and electronic)

95,000 - 100,000

Number of Invoices Paid Per Year (paper and electronic) 1,000,000Number of ORF Checks Written Per Year 73,000Number of Original Journal Entries entered into TRAMS by Accounting Staff Per Year

1,136,528

Number of Original Journal Entries entered into TRAMS by Accounting Staff During a Peak Month

84,000

Number of Overhead Expenditure Authorizations 21,396Number of Purchase Contracts Executed Per Year 10,663Number of Project Expenditure Authorizations 49,022Number of Service Contracts Executed Per Year 2,600Number of Transactions Entered into TRAMS for July 2006 per day 10,000 (low)

40,000 (avg)98,000 (high)

Number of Transactions Entered into TRAMS for 2005-06 transaction year*

15,897,012

Number of Transactions Posted to TRAMS for 2005-06 transaction year*

28,867,464

Number of Warehouse Purchase Transactions Per Year 150,000 *For more information on these numbers, please refer to the Bidders’ Library.

III.7.Bidders’ Library

III.7.1.Bidders’ Library Location

The Bidders’ Library is available via the Internet at http://www.dot.ca.gov/ifms.

III.7.2.Bidders’ Library Contents

Table 3 lists the documents contained in the Bidders’ Library.


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Table 3. Bidders’ Library

DOCUMENT NAME ORIGINATING ENTITY

DATE

Business Processes for Online Self-Directed Training Module

Caltrans Sep 4 2006

Security Guidelines for Caltrans DMZ Applications Caltrans Oct 3 2006Caltrans Accounting Manual – Chapter 17 – Financial Subsystems

Caltrans Aug 2006

Caltrans Confidentiality Markings Caltrans Aug 30 2006Caltrans IFMS Integration Study, including• As-Is Financial Systems

• Baseline Summary

• Conceptual Architecture and Systems with no Interfaces

• Conceptual Architecture – Interfaces, Data Flow Diagram, and Integrated Entity Model

• High Level Data Model

• Process Impacts

• Strategic Plan

• Final ReportNote: The As-Is Diagrams are best printed on 11”x17” paper.

VIP, LLC 2004

Caltrans Integrated Financial Management System (IFMS) Feasibility Study Report (FSR)

Gartner Group Sep 22 2005

Caltrans Standard Software – IT Desktops Caltrans Aug 22 2006Caltrans Transaction Counts Caltrans Sep 20 2006Caltrans Travel Guide (contains rules relating to TECs)http://www.dot.ca.gov/hq/asc/travel/index.htm

Caltrans n/a

Caltrans WAN Diagram Caltrans May 17 2006Department of Finance (DOF) Budget Analyst Guide http://www.dof.ca.gov/fisa/bag.bagtoc.htm(includes a description of state budget and accounting processes, and a glossary of finance terms)

DOF n/a

DOF Approval Letter for IFMS E-FIS RFP DOF Dec 18 2006Department of Technology Services Rates Schedulehttp://www.dts.ca.gov/Customers/rates.asp

DTS Jan 19 2007

DTS Services Description DTS Aug 2006DTS Unix Platforms Frequently Asked Questions (FAQs)

DTS Feb 2007

DTS Unix Service Tiers DTS Aug 21 2006


http://www.dot.ca.gov/hq/asc/travel/index.htm

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DOCUMENT NAME ORIGINATING ENTITY

DATE

E-FIS Bidders’ Conference Attendees Caltrans Jan 12 2007E-FIS Bidders’ Conference Presentation Caltrans Jan 12 2007E-FIS Matrix of Data Conversion and Interface Needs Caltrans Nov 8 2006E-FIS Project Deliverable Review and Acceptance Process with

• Deliverable Expectation Document (DED) Template

Caltrans Oct 31 2006

E-FIS Project Change Management Plan Caltrans Oct 31, 2006Excerpt from Caltrans Password Policy Caltrans Sep 19 2006Key TRAMS Coding Structure Comments, Issues and Recommendations

M Corp Jul 14 2006

Sample Specification – Change Proposals and Conceptual Designs(to provide an idea of the documentation that will be available to the Contractor when designing interfaces to existing Caltrans systems)

Caltrans Oct 6 2006


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SECTION IV – CONCEPTUAL SYSTEM

IV.CONCEPTUAL SYSTEM

IV.1.Introduction

Over the next few years Caltrans seeks to execute multiple procurements and projects to replace its existing financial management systems. The collective name for these projects and the resulting system is the Integrated Financial Management System (IFMS). In previous documents, including the IFMS Integration Study Strategic Plan, the IFMS Feasibility Study Report (FSR), and IFMS Information Technology Procurement Plan (ITPP) the scope of the E-FIS procurement was termed “Project Alpha”. (Refer to the Bidders’ Library for copies of these documents.)

E-FIS is the foundation and critical first step required to realize the goals defined in the IFMS Strategic Plan. The E-FIS scope includes the implementation of the infrastructure components and core financial management functionality — General Ledger (GL), Accounts Receivable (AR), and Accounts Payable (AP) — which will be accessed and utilized by each of the subsequent IFMS projects. Integral to this strategy is housing all facets of IFMS at the Department of Technology Services Data Center. Other key components of E-FIS, including budget tracking, funds management, and financial reporting, will also be highly leveraged by subsequent projects.

Caltrans knows that the new system will require a change in business processes. To the extent possible, Caltrans wishes to maximize the best practices provided by the COTS products and to limit the amount of customization performed. The successful Bidder will be responsible for leading the business process re-engineering and change leadership efforts. The Caltrans project team will provide subject matter expertise to oversee and support the Bidder in these efforts. The Caltrans subject matter experts include 14 staff from D of A, four (4) staff from DPAC, and two (2) staff from the Budgets program area. These staff will be available approximately 33 hours per week.

The following section summarizes the proposed vision for the E-FIS in the form of a conceptual system model. Detailed functional and technical requirements are referenced in Section VI, Functional and Technical Requirements.

IV.2.Conceptual Model

The Conceptual Model is intended to describe the proposed system at a higher-level than the detailed requirements referenced in Section VI, Functional and Technical Requirements. It is important to note that the Conceptual Model is not intended to be a specification of the E-FIS solution. Bidders should propose their best solution that meets the E-FIS requirements as represented in detailed requirements referenced in Section VI, Functional and TechnicalRequirements.

The E-FIS conceptual solution includes three main components:

1. Enterprise Resource Planning (ERP) Software – E-FIS will use a commercial off-the-shelf (COTS) Enterprise Resource Planning (ERP) suite to include General Ledger, Accounts Receivable, Accounts Payable and associated standard reporting features, including project cost accounting.


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2. Enterprise Application Integration Platform (EAI) - The EAI functionality of the E-FIS solution will provide a single, robust integration mechanism for interfacing with existing and future applications.

3. Data Warehouse and Business Intelligence Tools (DW/BI) - The data warehouse is a reporting-only database which supports Business Intelligence tools that will contain financial information for reporting and queries by both Caltrans staff and public partners.

The E-FIS project will include the procurement and installation of an infrastructure for the ERP, EAI and Data Warehouse; and the implementation of core financial management functionality including General Ledger (GL), Accounts Receivable (AR) and Accounts Payable (AP). The infrastructure and functionality implemented in E-FIS will provide the foundation for future financial management systems integration projects at Caltrans. It is Caltrans’ intention that the future projects will integrate additional functionality using the ERP, EAI and Data Warehouse/Business Intelligence products procured for E-FIS.

Component 1:Enterprise Resource Planning (ERP) Software

Component 2:Enterprise Application

Integration (EAI)Platform

Component 3:Data Warehouse andBusiness Intelligence

tools

Component 4: Extraction, Transformation, and Loading (ETL) Tools

Component 5: Relational Database Management System: Oracle

Component 6: Hardware/Operating System: Unix or Windows at DTS

Figure 2. Major Components within the E-FIS Conceptual Model

As shown in Figure 2, in addition to the three primary components (ERP, EAI, and Data Warehouse) there are the infrastructure components which support the primary components:

• Extraction, Transformation and Loading (ETL) tools


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• Relational Database Management System (RDBMS) tools

• Hardware (HW) and Operating System (OS) platform

Each of these components that make up the E-FIS Conceptual Model is further described in the following sections.

IV.2.1.Component 1: ERP Software

ERP software includes the functionality (modules) that automate and support the processes of administrative functions within an organization. ERP software functionality is typically divided into the categories of financial management systems and human resource management systems. E-FIS is only concerned with the financial management modules.

The traditional definition of financial management applications includes GL, AP and AR. Although the definition of financial systems has been expanded to incorporate additional fiscal responsibilities of an organization, these three traditional applications (GL, AP, and AR) still remain at the core of any financial package. General Ledger represents the functionality that provides the capturing of fiscal data from various transactional sub-systems for the purpose of analyzing and reporting on financial results. Accounts Payable represents the functionality that provides the capturing of vendor and supplier data from various sources of input and generates the appropriate payment. Accounts Receivable represents the functionality that provides the capturing of revenue data from various sources of input and generates the invoices and billings. Core Financial ERP implementations also include functionality for budget tracking, funds management, security, reporting, query and setup. In addition to the Core Financials, additional financial applications such as Purchasing, Inventory, and Budget Preparation increase an ERP system’s value for an organization and are planned to be implemented in subsequent IFMS projects after E-FIS, using the ERP package procured for E-FIS as the foundation.

Use of the new E-FIS solution and processes will provide Caltrans the flexibility and agility to respond to future changes in business and legislation. As the first IFMS project, E-FIS will resolve a significant portion of duplicate functionality and data, and will automate a number of manual processes within Caltrans. After the completion of all IFMS projects, over 120 systems will be replaced and integrated into the IFMS.

Table 4 clarifies the scope of the desired ERP functions. The first list contains the ERP functions that are within E-FIS scope and the second lists the functions within the total IFMS scope. The scope of this procurement is E-FIS; however Caltrans will be evaluating the potential of the ERP software to support the total IFMS scope.

Table 4. ERP Module Scope

E-FIS ERP SCOPE IFMS ERP SCOPE

General Ledger (GL) Asset ManagementAccounts Payable (AP) Inventory ManagementAccounts Receivable (AR) Funds and Grant Management Financial Reporting Real Estate and Land ManagementBudget/Funds/Grants Tracking Budget Development and Preparation


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E-FIS ERP SCOPE IFMS ERP SCOPE

Purchase Order Generation Procurement (Requisitions)

This conceptual model assumes that the core financial modules (GL, AR, and AP) will include the necessary budget/funds/grants tracking9 functionality to meet the requirements referenced in Section VI, Functional and Technical Requirements. If a vendor believes that additional ERP modules are required to support this functionality, they must include this in their proposal as part of the E-FIS scope (i.e. these modules will be implemented as part of E-FIS). E-FIS does not include the integration of Budget Development and Preparation functionality, or the Funds and Grants Management (application and programming) functionality.

Impacts to the overall procurement process will be realized in projects subsequent to E-FIS. E-FIS will automate the receiving process and create a receiving record in the system. This record will provide the mechanism to link the procurement and accounts payable information that is essential to keeping expenditure data correct and the budget position current in the financial system. The systems used for the requisition process, however, will not be part of E-FIS, but will be the focus of a future project. If a vendor believes that additional ERP modules are required to support this functionality (for purchase order generation), they must include this in their proposal as part of the E-FIS scope (i.e. these modules will be implemented as part of E-FIS).

The ERP functions are described as conceptual modules of the ERP component. Whether these functions exist as a distinct module is not important, it is the fact that the ERP will support the functionality that is important. Furthermore, it is important that the ERP support as much of this functionality as possible without custom code, because this will help accelerate initial integration, and will simplify upgrades to new versions and later integration of additional modules.

The needs for each ERP function/module are further described in the following paragraphs.

IV.2.1.1 General Ledger Module

The conceptual General Ledger (GL) module is the heart of the E-FIS ERP component. This module defines the accounting structure or chart of accounts, which determines the level of financial information that can be accessed and captured. GL provides a flexible, user defined accounting structure compliant with GAAP and the Governmental Accounting Standard Board (GASB) and supports multiple bases of accounting for multiple agencies/organizations10. The redesigned coding structure enables accurate

9 The Budget/Funds/Grants Tracking component is meant to address the tracking and control of funds after they have been received. The Post-E-FIS modules for Budget Development and Preparation, and the Funds and Grants Management will address the process of generating requests for budget and funding, tracking the applications, and “programming” and allocating the received funding.

10 On occasion, Caltrans has been tasked with performing the accounting functions of another organization, such as the Business Transportation and Housing (BT&H) Agency and High Speed Rail Authority. E-FIS must be capable of supporting this function, as described in the requirements in Appendix E.


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tracking and reporting of funding, expenditures and project costs. The GL data is used to generate many financial and management reports.

The GL includes functionality to manage commitments and expenditures automatically by checking them against predefined, authorized budgets. Additionally, the GL provides functionality to automate journal entries/allocations and accruals, eliminating redundant efforts associated with using silo systems and supporting spreadsheets.

The GL module is designed to address various methods for distributing labor costs when a need exists to record personnel costs at a lower level of detail than can be provided by the organization’s payroll system. A more detailed account of personnel costs may be necessary to support federal grant reporting, external billing/reimbursement, and internal management requirements. The GL module provides several methodologies for distributing costs.

Key characteristics of the GL Module include:

Flexible system setup and configuration without programming

Support for multiple fiscal years, with the ability to post to past, current and future periods

Conformance with GAAP, GASB, and Uniform Codes Manual (UCM)

Support for cash, budgetary, modified accrual, and full accrual basis of accounting - posts and isolates transactions enabling full reporting and reconciliation of different accounting bases

Tight integration with all ERP modules, eliminating duplicate data entry and re-keying

Expenditures and encumbrances are validated, recorded, and reported against annual and multiyear budgets

Single or multiple cost allocation methods can be employed, dependent upon business needs

Automatic account distribution

Implement a new coding structure which enables Caltrans to accurately track and report funding and expenditures

Standard financial reports such as Trial Balance, Balance Sheet, Income Statement, Budget vs. Actual, Fund Summaries, Journal Entry Detail, General Ledger Activity, etc., and standard State of California budgetary reports (e.g., Schedule 10s)

Tracking of expenditures, encumbrances, and available balances within an appropriation down to the lowest level of program detail

Comparison of budget to actual expenditures on a real-time basis

Tracking of budget, pre-encumbrance, encumbrance and expenditure transactions down to the lowest levels of detail


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Ability to drill down from appropriation/allocation levels to purchase orders and invoices lines and even distribution lines

Allocation of costs at multiple levels of detail across different account codes

User-defined distribution rules and codes

Automated, user defined workflow and approval processes

Distribution of labor costs based upon time sheets and/or default distribution rules

IV.2.1.2 Accounts Payable (AP) Module

The conceptual Accounts Payable module is used to manage payments to vendors and other parties, such as employees and other government agencies. This module is tightly integrated with the Procurement, General Ledger and Fixed Assets modules to reduce data entry efforts and increase efficiency. All information needed to authorize payments is typically generated on-line, eliminating the paper flow of purchase orders, invoices and receiving documents. Comprehensive and flexible vendor maintenance, coupled with powerful inquiry capabilities provides users with the ability to improve timeliness of cash disbursements.

Key characteristics of the Accounts Payable Module include:

Tight integration with GL and AR data and processes, eliminating duplicate data entry and re-keying

Support for processing multiple payable types

Automated matching (two/three/four way) of procurement, receiving, inspection and payment documents, simplifying the payment process

Real-time access to review items such as status and history of payments, as well as funds availability

Duplicate invoice checking as part of the payment approval process

Support for processing employee salary, travel expense claims (TECs), travel advances, and other types of advances

Support for Board of Equalization (BOE), IRS, and court ordered garnishments

Automated checking of funding availability


Ability for public partners to view vendor payment and contract information and update vendor contact/address information via the Internet (secure login required)11

Standard reports include account aging (unpaid invoices), vendor detailed transaction listings and summaries, as well as workflow and workload/production monitoring reports

11 Approximately 500 contractors access Caltrans’ current website to receive payables data. This number will likely increase for E-FIS.


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IV.2.1.3 Accounts Receivable (AR) Module

The conceptual Accounts Receivable Module is designed to manage a wide variety of customers and handle the associated invoicing needs. It provides users with the ability to easily design and produce customer statements/invoices, dunning letters, and custom management reports. Standard functions include the ability to track, monitor and collect receivables and delinquent accounts.

Key characteristics of the Accounts Receivable Module include:

Ability to process multiple receivable types (e.g., reimbursements, abatements, revenue) and track their status

Real-time access to review items such as receipts, customer balances

User-defined billing parameters, such as billing periods and aging periods

Produce invoices, bills, and statement forms for distribution through multiple channels (electronic and paper distribution)


Ability for public to pay bills via the Internet (e.g., credit card, EFT) and check the status of their account

Standard reports including aging, customer account transaction details and summaries, as well as workflow and workload/production monitoring reports

IV.2.1.4 Financial Reporting Module

The conceptual Reporting module includes comprehensive standard and ad-hoc reporting capabilities that allow users to query and report on both detailed and summary information on virtually any module within the ERP. The reporting module provides functionality to report on data stored within the ERP database, whereas the data warehouse contains and reports on data from the ERP and other systems outside of the ERP.

IV.2.1.5 ERP Functionality for Future IFMS Projects (Post-E-FIS)

This section describes functionality that is needed in the ERP but that will not be integrated as part of E-FIS. However, this functionality is expected to be integrated in subsequent IFMS projects.

Asset Management

Inventory Management

Procurement

Budget Development and Preparation

Fund and Grant Management

Real Estate and Land Management

Each of these functions is described as a conceptual ERP module. Whether these functions exist as a distinct module is not important, it is the fact that the ERP will support the functionality that is important. Furthermore, it is important that the ERP support as much


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of this functionality as possible without custom code, because this will help accelerate initial integration, and will simplify upgrades to new versions and later integration of additional functions/modules.

IV.2.1.5.1ASSET MANAGEMENT MODULE

The Asset Management module is designed to monitor and report on all capitalized and non-capitalized property and equipment within an organization. Specific functions include tracking of the assets and the related asset information from the time of acquisition until its retirement. In addition to monitoring the asset, the Asset Management module performs depreciation calculations using a variety of depreciation methods. The user has the ability to selectively define whether the accounting transactions associated with asset functions, such as acquisition, depreciation, sale or disposal, are automatically posted to the General Ledger.

Key characteristics of the Asset Management Module include:

• Tight integration with the Procurement, Inventory, GL, and AP data and processes, eliminating duplicate data entry and re-keying

• Allows assets that meet the criteria for capitalization to be capitalized at the time of payment

• Automated, user defined workflow and approval processes

IV.2.1.5.2INVENTORY MODULE

The conceptual Inventory Management module is designed to account for items purchased by an organization and held in inventory until needed by another unit within the organization or until the item is sold to an external entity. The inventory management module accounts for items from the time they are received until the time they are ultimately distributed. The major functions of the inventory management module include inventory control and orders processing, with timely access to critical information, such as inventory availability, quantity on hand, reorder quantities and costs. The Inventory Management module provides the ability to automatically generate purchase orders based on user defined inventory levels and reorder points, thereby eliminating data entry efforts.

Key characteristics of the Inventory Management Module include:

• Tight integration with Procurement, Asset Management, GL, and AP data and processes, eliminating duplicate data entry and re-keying, and allowing reconciliation between inventory and accounting records

• Real-time access to review items such as status of purchase orders and stock information

• Automatic generation of inventory replenishment requisitions and fulfillment using either internal or external suppliers

• Automatic update of inventory levels for returned items or items that fail inspection


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• Trend analysis capabilities to indicate items that should be purchased in bulk and/or stocked as inventory item

• Support for multiple inventory costing methods

• Generation of pick tickets and packing slips for warehouse orders


IV.2.1.5.3PROCUREMENT MODULE

The conceptual Procurement module supports the activities required to request, order and ultimately receive goods and/or services12. The Procurement module will support both centralized and decentralized purchasing operations, streamline the procurement process and improve productivity by utilizing functions such as online requisitions, purchase orders/contracts and change orders, electronic catalogs, automated workflow approvals, electronic commerce email, automatic faxing, etc. This module will be tightly integrated with the General Ledger and Accounts Payable modules to enable budget checking and encumbrance accounting at the time of procurement, therefore eliminating redundant data entry. The Procurement module includes functionality to support the invitation to bid and request for proposal processes.

Key characteristics of the Procurement Module include:

• Tight integration with Inventory, Asset Management, GL, and AP data and processes, eliminating duplicate data entry and re-keying

• Online/Web access for entry of purchase requests (for inventoried items or goods and services purchased from vendors)

• Automatic generation of purchase orders from on-line requisitions and encumbrance of the funds

• Generation of multiple purchase order types including standard purchase orders, blanket and contract purchase agreements

• Automated, user defined workflow and approval processes for purchase requests and requisitions

• Centralized vendor database for procure and pay functions

• Automated matching (two/three/four way) of procurement and payment documents, simplifying the payment process

• Real-time access to review items such as status of purchase requests, purchase orders, contracts

• Capturing of costs—such as the freight, duty, and setup charges associated with each purchase—for a complete picture of procurement costs

• Bid/Solicitation Management capability to support the tracking, tabulation and awarding of bids

12 The receiving of goods/services is considered part of E-FIS. This Post-E-FIS Procurement module would complete the integration of the procurement function by providing support for the requisition process.


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IV.2.1.5.4BUDGET DEVELOPMENT AND PREPARATION MODULE

The conceptual Budget Development and Preparation module will create current and future budgets. These budgets, which are generally monitored using data that is tracked with the General Ledger, can be established and controlled at various levels within the organizational structure. The conceptual Budget Preparation Module will include trend analysis/budget modeling functions allowing users to analyze the current or prior year budget and/or actual information, manipulate the data and create and store various “what if” scenarios.

Key characteristics of the Budget Development and Preparation Module include:

• Support for the development and maintenance of multiple versions of a budget, including budget act appropriation, allocation and other budgetary levels

• Maintain information on transfers into/out of a budget, approved budget revisions, Executive Orders, Allocation Change Requests, and approved supplemental funding for a specific project while maintaining visibility of original budget

• Perform allocations based upon percentage, pro-rata share of expenditures, fixed amount, etc.


IV.2.1.5.5FUND AND GRANT MANAGEMENT

The conceptual Fund Management module will organize and track all grants accounting and administration activities from the creation of the sponsor application and submission to award. This module will provide fund request tracking up until the sponsor funds the request. This module will also track pre-award costs or costs incurred prior to receiving the official funding. This module will provide the Divisions of Programming, Local Assistance and Budgets with the ability to “program” projects into the State Transportation Improvement Program (STIP), the State Highway Operation and Protection (SHOP) Program and categorical programs.

Key characteristics of the Fund and Grant Management Module include:

• Tracking of applications, approvals, and funding amounts


• Creation, approval and electronic transmission of requests for federal funds

• Support for executing a project agreement with Federal agencies such as FHWA and the Federal Transit Authority

• Tracking and managing federal funds, including federal advance construction funding

• Processing, tracking and reporting on local assistance funded projects, from project origination through final invoice and project closure


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• Support for “programming” of funds, i.e., defining the allocation of funds to specific project elements and phases

IV.2.1.5.6REAL ESTATE AND LAND MANAGEMENT

The conceptual Real Estate and Land Management module provides the capability to manage real estate-related functions and transactions.

Key characteristics of the Real Estate module include:

• Tight integration with GL, AP, AR, Asset Management data and processes, eliminating duplicate data entry and re-keying

• Ability to define properties (land and building within a property), parcels, sections, buildings, floors, offices, as well as space management for both internal (office space and assigning employees) and external (rental customers) uses

• Lease administration functionalities such as direct leases, third party leases, or subleases; management of lease agreements and contractual obligations; and milestone management of critical dates, insurance, and notes

• Maintenance of usage by cost centers


IV.2.2.Component 2: Enterprise Application Integration (EAI) Platform

Although E-FIS will replace many existing systems there are still many other internal Caltrans systems and external systems that E-FIS must integrate with to meet Caltrans business needs. “Integration” is defined as the act or approach of making two or more independently designed things (for example, systems, databases or processes) work together to achieve a common business goal. There are many styles of integration. The types of “things” in question determine the category or style of integration that applies. In order to link disparate applications and databases, or to ensure that these applications and databases reflect a consistent view of the organization, data must be accessed, transformed and moved. Whether it is individual transactions being propagated from a source system to one or many target applications in near real time, or bulk data moving in a batch mode from one application database to another, the Enterprise Application Integration (EAI) solution component will address getting the data to the right place, at the right time, in the right format.

E-FIS will utilize the EAI component to interface the ERP system with specialized systems, existing systems, and the data warehouse. The conceptual EAI infrastructure for E-FIS is illustrated in Figure 3. Conceptually, the EAI component provides a “data bus” between the other components avoiding the issues with point-to-point interfaces. It will also provide timely automated information sharing across multiple applications that will eliminate manual re-keying of data in unconnected systems.


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Figure 3. Conceptual EAI Infrastructure for E-FIS

The scope of the EAI solution component for E-FIS will include system interfaces between the ERP and remaining specialized systems and existing systems. In addition, the EAI will provide the infrastructure to eliminate several point-to-point interfaces existing between systems outside of the ERP, and provide a means for interfacing with existing systems that will be replaced in subsequent projects after E-FIS. As additional functionality is added to the IFMS through subsequent projects after E-FIS, the EAI will be integral to interfacing additional specialized systems with each other, the ERP, and the data warehouse.

The systems and spreadsheets that will be interfaced using the EAI component as part of the E-FIS project are listed in the following table. The successful Bidder will be responsible for implementing a specific number of these interfaces (refer to the Implementation Requirements in Appendix E). The specific interfaces will be prioritized and selected as part of the requirements validation effort after Contracts Award. Refer to the Bidders’ Library for more information on these systems. Caltrans will be responsible for providing the interface specifications for interfaces inbound to and outbound from the ERP and DW. Sample interface specifications are provided in the Bidders’ Library.

Table 5. List of Caltrans Systems and Spreadsheets to be Interfaced to E-FIS

# SYSTEM NAME POST-E-FIS SYSTEM

CONTINUING SYSTEM

1. Architecture and Engineering Database X2. Asset Management Inventory (AMI) X3. Authorizations Database X4. Automated 8 X5. Automated Governor’s Budget Galley X6. Automated Remittance Processing System

(ARPS)X

7. Basic Engineering Estimating System (BEES)

X


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CONTINUING SYSTEM

8. Bid Opening System (BID) X9. Bid Unit Database X10. Bill of Lading System X11. Bridge Bid Analysis System (BBA) X12. California Transportation Improvement

Program System (CTIPS)X

13. Cash Balance Model X14. Construction Automation System (CAS)13 X15. Construction Contract Information System

(CCIS)13X

16. Construction Contract Payments (WCCP)13

X

17. Contract Administration and Tracking System (CATS)

X

18. Contract Status Tracking System (CSTS) X19. District 32 Equipment System X20. District 4 Data Collection and Reporting

(CADb)X

21. Earned Value Reporting System (EVRS) X22. Electronic Equipment Budget Request

System (EBR)X

23. Encroachment Permits Tracking System (EPTS)

X

24. Equipment Rental Rate Export System X25. Equipment Status Database X26. Excess Land Management System (ELMS

or TPRX)X

27. Extra Work Billing (EWB)13 X28. Federal Aid Data System (FADS) X29. Fiscal Database X30. Fleet Management/Fleet Anywhere (FA) X31. GASB 34 Prospective Process – FY 02/03 X32. Integrated Maintenance Management

System (IMMS)X

33. Integrated Right of Ways System (IRWS) X

13 The CAS, CCIS, WCCP and EWB systems may be replaced by the Construction Management System (CMS) by the time E-FIS is implemented. Caltrans is currently procuring an integrated Construction Management System which should be implemented prior to the completion of E-FIS.


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CONTINUING SYSTEM

34. Land and Building System – Special Transactions

X

35. Local Programs 2000 (LP2000) X36. Nonexpendable Equipment Database

System X

37. PIN Interface X38. Position Tracking Administration System

(PTAS)X

39. Project Resource and Scheduling Management System (PRSM)14

X

40. Property Control Inventory System (SVI/PCMS)

X

41. Rental Rate Report X42. Rental Rate System (RRS) X43. Right of Way Management System

(TPRC)X

44. Right of Way Property Management System (RWPM)

X

45. Right of Way Utility Management System (RUMS)

X

46. SCOPE X47. Service and Supply Material Management

System (SVS) X

48. Staff Central (aka Transportation Operation and Project Support System (TOPSS))

X

49. Stock System/Web SVS (WSVS)14 X50. Surplus Sales X51. Tool and Computer Inventory System X52. Vehicle Usage Reporting System (URS) X

Initially, the EAI system will interface and extract data from the ERP system and provide the data to interface with existing systems in the format that is used by TRAMS. In this way, existing systems will be unaware that TRAMS has been replaced by the ERP system. These interfaces may operate in batch mode or in real-time depending on the source and type of data required. After the completion of E-FIS, additional internal interfaces will be developed using the EAI infrastructure to streamline and/or replace these systems. Where possible, a common

14 This system is currently under development.


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interface format will be developed to minimize the effort required to share common data among different systems (e.g., it is desirable to have a common interface format for vendor data that can be shared among all systems requiring such data).

Installation and configuration of the new ERP system will not affect daily operations or the use of the existing 63 financial systems until E-FIS deployment. Once the new ERP system has been put into production, the old systems will be decommissioned leaving the E-FIS as the system of record. These systems are shown with a preliminary indication of the systems disposition. The successful Bidder will work with Caltrans to confirm the approach to replacing these systems as part of the requirements validation effort after Contracts Award. For more information on each of the systems/spreadsheets and their data conversion and interface needs, refer to the Bidders’ Library. Section VI, Functional and Technical Requirements, references the requirements for the various interfaces between E-FIS and internal Caltrans systems, as well as external systems.

Table 6. List of Caltrans Systems and Spreadsheets to be Replaced by E-FIS

# SYSTEM NAME NO ANTICIPATED

DATA CONVERSION

DATA CONVERSION

NEEDED

INTERFACES EXIST

15

1. Accounts Payable Control Log System (CLS)

X

2. Accounts Receivable System (ARS) X X3. Active Vendor Listing (AVL) X4. Advance/Encumbrance Batch Log X5. American Express Billing System X X6. Batch Query System (OAP Control Log) X7. Budget Allocation System (BAS) X8. Budget Monitoring System (BMS) X9. Bulk Fuel Invoices Payment System

(BFI)X

10. CalCard Tracker Database X11. Caltrans Accounts Payable System

(CAPS)X X

12. Capital Allocations Database X13. Category 25 Reporting System X14. Centralized Conference Section (CCS) X15. Completed Federal Project Inventory X

15 Indicates the system currently interfaces to an internal Caltrans system which will not be replaced and/or to an external partner’s system (such as SCO). Thus the new system will need to replicate these interfaces. These interfaces will be reviewed by the successful Bidder for E-FIS after Contracts Award to determine the best approach to addressing these interfaces.


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DATA CONVERSION

DATA CONVERSION

NEEDED

INTERFACES EXIST

System (CFPIS)16. Contract Delegation Purchase Order

System (CDPOS)X X

17. Current Billing and Reporting System (CBARS) and Apportionment Control System (CBARS/ACS)

X X

18. Direct Transfer System (DTS) X19. Drug-Free Certifications Database X20. Duplicate Payment Reporting System

(DPRS)X

21. Electronic Fund Transfer Database X22. Encumbrance Refresh and Recalculation X23. Expenditure Authorization

System/Capital Outlay Monitoring System (EAS/COMS)

X

24. Expenditures Database System X25. Federal Projects Reporting System

(FPRS)X X

26. Financial Data to Oracle (FIDO) X X27. Independent Contractor’s Reporting

SystemX

28. Interest Penalty System X29. IT Procurement and Operating Expense

Tracking SystemX

30. Labor Distribution System (LDS) X X31. Local Programs Accounting and

Management System (LPAMS)X X

32. No Warrant System (NOW) X X33. Operating Expense Tracking (OET) X X34. Overhead Assessment Reimbursement

and Billing System (OAR)X

35. Paper Utility Billing System (PUBS) X X36. Payroll Account Receivable and

Reporting System (PARR)X X

37. Payroll Variance Distribution System X38. Personal Use of State Vehicles (PUSV) X X


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DATA CONVERSION

DATA CONVERSION

NEEDED

INTERFACES EXIST

39. PETS Special Handling (PSH) X40. Progress Estimate Tracking System

(PETS)X X

41. Purchase Card Accounting and Requisition System (PCARS)

X X

42. Rail Bonds/TCI Reporting System (RBR) X43. Reimbursement Subsystem16 X44. Reportable Payment System (RPS) X X45. Revolving Fund System (RFS) X46. Right of Way Accounting Control Log X47. Right of Way Claim Log and Excess

Lands Tracking System (CLELR)X

48. Salary Advance Monitoring System (SAL)

X

49. SB 45 Mainframe X50. Schedule 3 Reconciliation (SCH3) X51. SCO Daily Direct Claims Paid System

(DCP)X X

52. Service Contracts Automated Tracking System (SCATS)

X X

53. Signals and Lighting Billing (SLB) X X54. Single Project Expenditure Authorization

(SPEA)X

55. Statewide Utility Billing System (SUBS) X X56. TEC Reportable Payment Reporting

System (TECRPI)X

57. Telephone Billing Upload System (TBUS)

X

58. Traffic Operations Management Information System (TOMIS)

X

59. Transportation Accounting and Management System (TRAMS)

X X

60. Travel Advance Monitoring System (TAMS)

X

61. Travel Reporting System X

16 This system is scheduled to be replaced prior to E-FIS completion.


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DATA CONVERSION

DATA CONVERSION

NEEDED

INTERFACES EXIST

62. Uncleared FAE 8 Transactions (UNC) X63. VISA Download (VISA) X

IV.2.3.Component 3: Data Warehouse and Business Intelligence (DW/BI) Tools

Caltrans’ concept for the data warehouse to be deployed in E-FIS is that all financial data will eventually be consolidated into this environment through data conversion of systems to be retired as a result of IFMS deployment and through integration with systems that remain within the Caltrans environment.

Caltrans intends to use the data warehouse solution primarily to provide operational reporting, with additional functionality to conduct more sophisticated analysis of financial data. Caltrans and the successful Bidder will consider the data sources, the style of data analysis, and the fit of packaged content and capabilities of current software products to determine the optimal role of the data warehouse. Depending on the solution design of the Bidder, Caltrans expects to define three or four subject areas to optimize reporting (i.e., “Project Financial Data”, “Expenditures”, etc.). It is anticipated that there will be as many as 12,000 users accessing the data warehouse for reports, analysis and historical studies.

A conceptual illustration of the data warehouse solution is provided in Figure 4. In this representation, the core ERP system and other source systems support the data capture and operational execution of business processes, while the BI component supports information analysis. The Bidder’s proposal must indicate whether these BI components are provided as part of a single ERP suite or specialty BI tools.

Figure 4. E-FIS Data Warehouse and Business Intelligence Infrastructure


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ETL (Extract, Transform, Load) tools and processes (refer to Section IV.2.4, Component 4:Extraction, Transformation, and Loading (ETL) Tools) will be used to extract data from the transactional/operational systems, transform the data to be consistent with the enterprise data model, perform any data cleansing, and load the data into the data warehouse in an effective and efficient manner.

Caltrans currently uses the following primary reporting systems that will be replaced by the fully implemented (post-E-FIS) IFMS:

• Federal Projects Reporting System (FPRS)

• Right of Way Management System (TPRC)

• Earned Value Reporting System (EVRS)

• Financial Data to Oracle (FIDO)

E-FIS will completely replace one of these reporting systems, FPRS. The remaining reporting systems plus the remaining Caltrans existing systems will feed the data warehouse through ETL tools creating a single source for Caltrans to leverage business intelligence tools for report generation and decision support activities. Data from the ERP will be loaded to the data warehouse on a regular basis to support reporting and analysis, including drill down to transaction-level detail in/from the ERP17.

IV.2.4.Component 4: Extraction, Transformation, and Loading (ETL) Tools

Oracle ETL tools are currently in use within the Department and are preferred; however Caltrans will consider alternative solutions proposed by the Bidder.

IV.2.5.Component 5: Relational Database Management System (RDBMS)

The E-FIS solution must use Oracle for its Relational Database Management System (RDBMS) because Oracle is the Department’s established standard.

IV.2.6.Component 6: Hardware and Operating System

Caltrans will lease Department of Technology Services servers with Sun Solaris or Windows OS depending on the Bidder’s solution. Sun Solaris must be used on servers running the Oracle RDBMS. The Windows OS, as well as Sun Solaris, is supported for servers running the Web/Application server software.

It is expected that the solution will require multiple servers, including web servers, application servers, reporting servers, and database servers, with appropriate redundancy and failover capabilities, to provide the necessary reliability, availability, accessibility, and scalability for an enterprise financial management system such as E-FIS. The specific architecture of physical servers will be specified by the Bidder but must be compliant with DTS standards and Caltrans’ standards. DTS standards and rates are available at http://www.dts.ca.gov/Customers/rates.asp. Caltrans architecture and security standards are available from the Bidders’ Library.

17 The approach to the data feed from the ERP to the DW must be described in the Bidder's Proposal and will be refined during the requirements and design sessions after Contracts Award to determine the best approach to addressing transaction-level drill down.


http://www.dts.ca.gov/Customers/rates.asp

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IV.2.6.1 Production Environment

The proposed solution will include the installation, configuration and deployment of the full E-FIS production environment, including required hardware and software, and application programming necessary for E-FIS technical operations. The E-FIS production environment will be hosted at DTS.

IV.2.6.2 Development, Test and Training/Performance Environments

As part of the solution, the Bidder will specify the E-FIS development, test and training environments, including all required hardware and software necessary for design, development, testing (including unit, integration, system, regression, acceptance and performance testing) and training activities. The training environment will also be used for performance and load/stress testing.

The development, test and training environments will be located at DTS. The Bidder must propose the size of environments that they believe is necessary to support the various phases of the project execution lifecycle to allow E-FIS to be implemented on-schedule. These environments must be physically separate from the production environment.

In addition to configuring and maintaining the complete production environment, the Bidder must also configure and maintain the development, test, and training environments during project execution in order to support developing and testing application modifications and upgrades, and training outside of the production environment.

IV.2.7.Information Security and Confidentiality

The E-FIS solution will comply with the plans for security outlined in the Caltrans Agency Information Management Strategy (AIMS) 2005, dated August 2005. Classes of users (roles) will be established, and the user logon process will manage role-based access levels for both the ERP system and the BI tools. These access levels include inquiry, additions, deletions, modifications, security maintenance (e.g., creation or update of security profiles) and system maintenance (e.g., maintenance of table-driven system parameters).

Key elements of E-FIS security will include:

• Physical Security will be achieved by locating the hardware for the new system within a locked room at DTS.

• Network Access Security will be maintained at various levels by using firewalls, a VPN, and a network directory structure to facilitate a secure network environment.

• Application Security will be achieved using role and rule-based application access controls which will be configured in the solution. Administration of roles and rules will be managed by State security administrators. These security capabilities are assumed to be part of the ERP system and Business Intelligence (BI) Suite/Report tools to be acquired.

• Confidentiality of Data will be maintained using established procedures for the existing Caltrans systems solution including:

– System will be hosted in secure data locations.


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– Backup tapes and other media will be protected.

– Access to data will require systems administrators and supervisors to authorize access.

– Critical data will be encrypted in the systems, where appropriate.

– Data in flight (transmitted over the network) will require encryption, e.g., SSL.

• Auditing and Logging will be used to track and log access to system functions, transactions and sensitive data. These capabilities are also assumed to be part of the ERP system and BI Suite/Report tools to be acquired.

IV.2.8.User Access

E-FIS will have a significant impact to financial management business processes and supporting systems. The proposed system will be deployed to all Caltrans financial staff, managers and business analysts. The new system will have a different “look and feel” than current systems and will require time for end users to attend training and familiarize themselves with navigation. Although many Caltrans employees are familiar with browser applications through Internet use, shifting from menu-driven and character-based systems to Web-based ERP application can be a difficult adjustment. When users do become familiar with the system, the efficiency gains in performing daily job duties using the redesigned business processes and accessing program data will favorably affect end users.

End users will also be impacted in that they will have access to additional reports for doing their job. It is assumed that reports will be accessed over a Portal/Web solution and that necessary training will be provided.

Some reports will be available via the Internet without requiring login and password. Public partners and stakeholders will be required to obtain a user ID and password from Caltrans in order to access more detailed information in the system and information specific to their account(s). The public partners will be able to access information appropriate to their role, including requesting updates to their contact/address information, viewing and querying the status of invoices and payments, and viewing predefined reports.


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SECTION V – ADMINISTRATIVE REQUIREMENTS

V.ADMINISTRATIVE REQUIREMENTS

V.1.Introduction

In addition to meeting the technical requirements of this RFP DOT 2660-416, Bidders must adhere to all mandatory administrative requirements of this RFP to be responsive. These include the rules in Section II, Rules Governing Competition; the schedule specified in Section I.5, Key ActionDates; the format specified in Section VIII, Proposal Format; the completion of cost sheets specified in Section VII, Cost; and the administrative requirements of this section.

V.2.Target Area Contract Preference (TACPA)

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

Department of General ServicesOffice of Small Business and DVBE Services707 3rd Street, 1st Floor, Room 400West Sacramento, CA 95605Telephone: (916) 375-4940

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

V.3.Employment and Economic Incentive Act Preference (EEIA)

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

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

V.4.Local Area Military Base Recovery Act (LAMBRA)

Whenever the State prepares an RFP solicitation for goods or services containing in excess of $100,000, except a contract in which the worksite is fixed by the provisions of the contract, the State shall award a five percent (5%) enterprise zone worksite preference to certain California-based companies. The California-based company must certify under penalty of perjury that no less than 50% of the labor required to perform the contract shall be accomplished at a LAMBRA site (CCR, Title 2, Section 1896 et seq.).


http://www.pd.dgs.ca.gov/edip/eza.htm

http://www.pd.dgs.ca.gov/edip/tacpa.htm

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

V.5.Small Business Preference

Per Government Code, Section 14835, et seq., Bidders who request and qualify as a California-certified small business will be given a five percent (5%) preference for bid evaluation purposes only.

In addition, a five percent (5%) bid preference is now available to a non-small business claiming 25% California certified small business subcontractor participation. Bidders claiming this preference must be certified by California as a small business or must commit to subcontract at least 25% of the net bid price with one or more California certified small businesses. Completed small business certification applications and required support documents must be submitted to the Office of Small Business and DVBE Services (OSDS) no later than 5:00 p.m. on the Final Proposal due date, and the OSDS must be able to approve the application as submitted.

The Small Business regulations (located at 2 CCR 1896 et seq.) concerning the application and calculation of the small business preference, small business certification, responsibilities of small business, Department of General Services certification, and appeals are revised, effective 9/9/2004. The new regulations can be viewed at www.pd.dgs.ca.gov/smbus. Access the regulations by clicking on “Small Business Regulations” in the right sidebar.

Bidders desiring to claim this preference must include a request for the Small Business Preference and a copy of the Small Business approval letter from DGS showing the Bidder’s Small Business number and approved product and service classifications in their Final Proposal.

V.6.Responses to Administrative Requirements

Responses to the requirements in this section marked as “Administrative Requirement #” must be included in the Bidder’s Proposal, Volume I. Bidders must meet and adhere to all of the requirements included in this RFP. The Administrative Requirements Response Matrix, Appendix C, Form C1 must be completed.

All administrative requirements are mandatory. Failure to identify the Bidder’s intention to fulfill the requirements may result in a determination by the State Evaluation Team that it is a material defect and may result in disqualification of the Bidder’s response. If the Bidder identifies any of the submitted information as confidential and the State agrees, it shall be treated as described in Section II.4.3, Disposition of Proposals.

All of the responses to the requirements in the Final Proposal must be organized so that they can be easily found and must be cross-referenced by Administrative Requirement # to any applicable form. The Final Proposal may include any appropriate exhibits necessary to illustrate responsiveness. These exhibits must be clearly labeled and cross-referenced to the proposal narrative by Administrative Requirement #.

Unless otherwise specified in the detail of the Administrative Requirement, the Bidder need only respond once to any Administrative Requirement. The response will cover all phases of the project where the Administrative Requirement applies.


http://www.pd.dgs.ca.gov/smbus

http://www.pd.dgs.ca.gov/edip/lambra.htm

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In the sections that follow, “the matrix” refers to Form C1 contained in Appendix C.

V.6.1.Disabled Veteran Business Enterprise (DVBE) Participation

PLEASE READ THIS REQUIREMENT CAREFULLY. FAILURE TO COMPLY WITH THE DVBE REQUIREMENT MAY CAUSE YOUR SOLICITATION RESPONSE TO BE DEEMED NONRESPONSIVE AND YOUR FIRM INELIGIBLE FOR AWARD OF THE PROPOSED CONTRACTS.

ADMINISTRATIVE REQUIREMENT 1: In accordance with Section 999.5(a) of the Military and Veterans Code, an incentive will be given to bidders who provide California-certified Disabled Veteran Business Enterprise (DVBE) participation. For contracts award evaluation purposes only, the State shall apply an incentive to proposals that include California certified DVBE participation. The maximum incentive for this procurement is 10% of the highest total earned non-technical and cost points, and is based on the amount of DVBE participation obtained, as described in Section IX, Evaluation and Selection.

The Bidder must complete DVBE Form STD. 840 (last updated 1/2005) from DGS’ website, depending on the option the Bidder chooses for DVBE participation. More information about the DGS DVBE Participation Program requirements and options can be found on the DGS website:

http://www.pd.dgs.ca.gov/publications/resource.htm

The DVBE Form (STD. 840) can be found online at:

http://www.documents.dgs.ca.gov/pd/delegations/STD840.doc

For this procurement, the State has a Disabled Veteran Business Enterprise goal of three percent (3%) of the Contractor Costs evaluation amount comprised of the totals from Form VII-2, Detailed COTS Software Costs, Form VII-3, System Integrator Implementation and Other One-Time Costs, and Form VII-5, COTS Ongoing Licensing and Version Upgrade Costs worksheets contained in Appendix B18.

How to include Form STD. 840 in Bidder’s Proposal:

A copy of DVBE Form STD. 840 must be included in the Bidder’s Draft and Final Proposal, Volume I, EXCLUDING COST INFORMATION. If a copy of the Bidder’s Notice of an Approved DVBE Business Utilization Plan is submitted, the Form STD. 840 may be excluded.

At the time that a Bidder submits the Final Proposal, the Bidder shall identify the actual dollar figure and the percentage (3% or more of the total contractor costs) representing the rate of participation for each proposed DVBE subcontractor. This data shall be identified in the Bidder’s separately sealed Cost Proposal, using the DVBE Form STD. 840, in the column marked “Estimated $ and/or %”.

18 That is the total of cell I47 on Form VII-2, Detailed COTS Software Costs worksheet, plus cell C25 on Form VII-3, System Integrator Implementation and Other One-Time Costs worksheet, plus cell F20 on Form VII-5, COTS Ongoing Licensing and Version Upgrade Costs. The cell references listed refer to the current positions in the blank worksheets. When the Bidder completes the worksheets, the addition of lines may cause the cell reference to change.




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The DVBE Form STD. 840 that is completely filled in with cost figures shall only appear in the separately sealed Cost Proposal.

IF THE NON-COST PORTION OF THE FINAL BID IS SUBMITTED CONTAINING ANY DOLLAR FIGURES, THE BIDDER’S FINAL PROPOSAL SHALL BE REJECTED AND THE BIDDER SHALL BE PROHIBITED FROM FURTHER PARTICIPATION IN THIS PROCUREMENT.

Failure to comply with the DVBE participation requirement may cause your proposal to be considered non-responsive and ineligible for contracts award.

Review the DVBE instructions and complete the forms located at

http://www.documents.dgs.ca.gov/pd/dvbe/dvbereq.pdf

Please note that all participation commitments are to be captured on Form STD. 840, found at the above web site, and must be submitted with the sealed Cost Proposal.

The Bidder must check “Yes” on the matrix indicating compliance, or “No” on the matrix indicating non-compliance with Administrative Requirement 1.

V.6.2.Bidder Responsibility

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

NOTE: If any of the submitted financial information is identified by the Bidder as confidential, and the State agrees it is confidential, it shall be treated as such by the State and returned upon request after the Bidder’s financial stability has been determined.

ADMINISTRATIVE REQUIREMENT 2: If requested by the State, the Bidder must provide the State with financial responsibility information to allow the State to confirm the Bidder’s ability to perform successfully under the contracts.


V.6.2.1 Contractor Responsibility

ADMINISTRATIVE REQUIREMENT 3: The State requires the contracts resulting from RFP DOT 2660-416 be issued to one Contractor who shall be responsible for successful performance of this RFP. The selected Contractor shall be responsible for successful



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performance of all Subcontractors and will be required to assume responsibility for design, development, testing, and implementation of all systems in their proposal. Furthermore, the State will consider the Contractor to be the sole point of contact with regard to contractual matters, payment of any and all charges resulting from the outsource or purchase of the equipment, and maintenance of the equipment for the term of the contracts.

The Contractor must serve as a system integrator for RFP DOT 2660-416 and must coordinate services with other entities, if necessary, for hardware and software testing and the resolution of communication problems.

The Contractor will be responsible for compliance with requirements under the contracts, even if requirements are delegated to subcontractors. All state policies, guidelines and requirements that apply to the Contractor also apply to subcontractors. The Contractor and subcontractors shall not in any way represent themselves in the name of the Caltrans or the State of California without prior written approval.


V.6.2.2 Subcontractors

ADMINISTRATIVE REQUIREMENT 4: Work to be provided by subcontractors must be well documented in the RFP response. The Subcontractor List (Appendix C, Form C2) must be completed for both the Contractor and all Subcontractors.

The Bidder must explain in their Executive Summary of the Proposal how they will manage and control the work of the Subcontractors. This information must be included if Subcontractors are being utilized.

The Contractor must have written agreement from the State prior to replacement or substitution of any Subcontractor. For any proposed replacement or substitution before or after contracts award, the Contractor must provide the State with Subcontractor references, resumes and financial documentation, in addition to meeting all other applicable requirements, and submission of all applicable forms in this RFP. The State shall have the right to contact references and evaluate the information provided and determine if the substitution or replacement is acceptable. Any substitution or replacement shall have equal or better qualifications when compared to the subcontractor that is being replaced.

The Bidder must agree that all requirements will be adhered to and that requirements will apply to Subcontractors even if Subcontractor concurrence is not specifically defined in the Administrative Requirement. The Bidder agrees to provide, in their Proposal, the following forms for each Subcontractor who will receive at least 10% of the proposed one-time configuration/customization and implementation costs for E-FIS19:

Cover Letter

Contractor Information (Form C3)

19 That is, the cost total on Appendix B, Form VII-3, System Integrator Implementation and Other One-Time Costs worksheet shown in cell C25. The cell reference refers to the current positions in the blank worksheets. When the Bidder completes the worksheets, the addition of lines may cause the cell reference to change.


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Bid Certification Form (Form C5)

Any Subcontractor who the Contractor chooses to use in fulfilling a contract and who is expected to receive 10% or more of the compensation paid for the system configuration/customization and implementation provided under the contracts also must meet all Administrative, Functional and Technical Requirements applicable to the subcontracted work.


V.6.2.3 Notice to Subcontractors

ADMINISTRATIVE REQUIREMENT 5: Upon award to a Contractor, notice shall be given by the State to the Subcontractors listed in the Subcontractor List (Appendix C, Form C2) of their participation in the contracts. Notification to the Subcontractors by the Contractor is encouraged immediately after award of the contracts. There will be no assignment of responsibility to a third party without prior written approval from the State.


V.6.2.4 Contractor Information

ADMINISTRATIVE REQUIREMENT 6: The Bidder’s firm, inclusive of name changes and mergers, must have been in existence for a minimum of five (5) years prior to the due date of the Final Proposal to ensure corporate stability. The Bidder must complete and submit the Contractor Information form (Appendix C, Form C3). This form will provide the State information regarding firm experience, firm size, firm market focus, company background, and experience in similar or dissimilar industries with projects of the same size and scope. A separate form must be completed for the Bidder and each Subcontractor participating in this Bid.


V.6.3.Payee Data Record

ADMINISTRATIVE REQUIREMENT 7: The Bidder’s Final Proposal submission must contain a fully executed copy of the Payee Data Record, Form STD. 204 (Appendix C, Form C4).


V.6.4.Workers’ Compensation Insurance Policy

ADMINISTRATIVE REQUIREMENT 8: A valid Workers’ Compensation Insurance Policy or Certificate of Insurance for the Bidder and each Subcontractor proposed in the performance of these contracts must be included in the Final Proposal.


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The Bidder and each proposed Subcontractor must maintain in force (as required by State law) a valid Workers’ Compensation Insurance Policy for all employees engaged in the performance of the contracts. The Bidder/Contractor agrees to furnish the State with satisfactory evidence thereof in the Final Proposal and at any time the State may request.


V.6.5.Confidentiality of Information

ADMINISTRATIVE REQUIREMENT 9: To preserve the integrity of the security measures integrated into the State’s automated information systems, the Bidder agrees that all personnel (including all proposed Subcontractors) assigned to the project will submit a signed confidentiality statement prior to commencing work on this project.

The persons supplied by the Contractor engaging in services to the State pertaining to this project who require contact with State information will be required to exercise security precautions for data that is made available and must accept full legal responsibility for the protection of this confidential information. This includes financial, statistical, personal, technical, and all other types of data and information relating to operations at Caltrans, whether expressly made available to the persons supplied by the Contractor or encountered coincident to performing work on the contracts.

Under no circumstances shall the persons supplied by the Contractor use, publish, sell or otherwise disclose to any third party the contents of any records, data, or reports derived from data submitted for processing without the prior authorization and consent of the State in writing.


V.6.6.Bidders Corporate References and Capability

ADMINISTRATIVE REQUIREMENT 10: Bidders must provide corporate references that meet the following requirements using the Corporate Experience Reference form (Appendix C, Form C6). The purpose of this section is to provide the State the ability to verify the claims made in the proposal by the Bidder. The Bidder must have been the prime contractor for each of the referenced projects, or a subcontractor’s reference can be used if the subcontractor was the prime contractor for the contracts and the subcontractor will receive at least ten percent (10%) of the proposed one-time configuration/customization and implementation costs for E-FIS20.

The corporate references must meet the following requirements:

1. Two (2) references must be provided for successfully completed similar implementations of the ERP product being proposed. For the purposes of this RFP, “completed similar implementation” is defined as:



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– The referenced project must have included implementation of the ERP General Ledger, Accounts Payable, and Accounts Receivable modules;

– The ERP product’s General Ledger, Accounts Payable, and Accounts Receivable modules must be in production and being used as the system of record for the referenced project; and

– The ERP product must be being utilized by at least 750 concurrent users on the referenced project.

2. At least one (1) of these references must be for a U.S. state or Canadian province government entity.

3. At least one (1) of these references must have been completed (i.e., put into production as the system of record) within the past five (5) years.

4. At least one (1) of these references must have included the successful, completed implementation of the Enterprise Application Integration (EAI) products proposed by the Bidder. For this reference, either the Bidder or the Bidder’s proposed subcontractor(s) must have performed the EAI implementation.

Additional points may be granted for references which meet the following desirable requirements:

5. One (1) reference may be provided for a successfully completed implementation for a State of California government entity of the ERP (AP, AR and GL) product/modules being proposed. (32 points)

6. One (1) reference may be provided for a successfully completed implementation of the proposed ERP (AP, AR and GL) product for a government transportation department within the United States or Canada. (32 points)

7. One (1) reference may be provided for a successfully completed implementation of a browser-based ERP product. (48 points)

8. One (1) reference may be provided for a successfully completed implementation of the ERP, EAI, and Business Intelligence (BI) products proposed by the Bidder. For this reference to be acceptable, either the Bidder or the Bidder’s proposed subcontractor(s) who will receive at least ten percent (10%) of the proposed one-time configuration/customization and implementation costs for E-FIS21 must have performed the BI and EAI implementation. (48 points)

For the purposes of this RFP, “successfully completed implementation(s)” is defined as:

• The referenced project must have included implementation of the ERP General Ledger, Accounts Payable, and Accounts Receivable modules;



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• The ERP product’s General Ledger, Accounts Payable, and Accounts Receivable modules must be in production and being used as the system of record for the referenced project; and

• The ERP product must be being utilized by at least 750 concurrent users on the referenced project.

The Bidder acknowledges that references may be contacted to validate the claims made by the Bidder and to discuss Bidder performance at the State’s discretion.


V.6.7.Project Team Organization

ADMINISTRATIVE REQUIREMENT 11: The Bidder agrees to provide information regarding references and staff capability for Key Personnel. The Bidder agrees that the State reserves the right to contact references to validate the proposed staff’s experience and capabilities. All referenced work used to meet the requirements must have been performed within the past eight (8) years.

The percent of time spent by the proposed resource on the project will be used to calculate experience. For example, if a proposed resource worked for one (1) year on a project at 50% of the time, six (6) months of experience would be accrued for the project. No more than 100% will be accrued for any given time period (i.e., a proposed resource cannot be credited for 75% on one project and 50% on another project for the same time period).

NOTE: If only month/year or year only is provided (i.e., if day is NOT provided), the State will evaluate based on the last day of the starting month or year to the first day of the ending month or year.

In response to this section of the RFP, the Bidder shall provide a complete resume and the resume summary information requested by the Resume Summary Form (Appendix C, Form C7) for each Key Personnel.

a. Required Resumes

At a minimum, resumes shall be included for the personnel listed. All resumes supplied shall be for the specific named individuals.

Key Personnel for this project include:

Project Manager

System Architect

Business Design Lead – ERP

Technical Design Lead – ERP

Design Lead – Data Warehouse/BI/Interfaces

Database Administrator


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Data Conversion Lead

Quality Assurance Lead

Test Lead

Change Leadership Lead

Training Lead

Individuals proposed may fulfill more than one of the positions listed above, except for the Key Personnel listed below. The Key Personnel assigned to these positions may not be combined with any other key personnel role:

Project Manager

Business Design Lead – ERP

Technical Design Lead – ERP

Design Lead – Data Warehouse/BI/Interfaces


b. Bidder Project Team Changes

Before the start of the contracts, the State recognizes that an unusual circumstance may result in the change of a proposed Key Personnel staff member identified in the Bidder’s proposal. When the contracts are executed, the Bidder may substitute staff personnel who are different from those offered at the time of bid submission ONLY if such substitute personnel have equivalent skills and experience. The Bidder must submit in writing the reason for the change and provide a resume and references for the substitute personnel. The Bidder agrees that the State has the right to approve or reject replacement project team members. If the substitution is rejected and a qualified substitute is not provided, the Contractor will be in default under the terms of the contracts.

After the start of the project, the State recognizes that a resignation or other such event may cause Key Personnel not to be available to the Bidder. If this should occur, the Bidder must agree that the State has the right to approve or reject replacement project team members assigned by the Bidder to this project. The Bidder will not be allowed extra time or money to replace personnel. The replacement project team member must possess the same or a higher level of technical expertise and experience than the original staff person leaving the project. In support of the Bidder’s compliance with this provision, the Bidder must notify the Caltrans E-FIS Project Manager of personnel vacancies and provide resumes of replacement staff within fifteen (15) State business days of notice that the Key Personnel will no longer be available.



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V.6.8.Commercially Useful Function (CUF) Description and Information

ADMINISTRATIVE REQUIREMENT 12: On January 1, 2004, Chapter 623, Statutes of 2003, became effective and required all small businesses, microbusinesses, and disabled veteran business enterprises to perform a “commercially useful function” in any contract they perform for the State.

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

• Is responsible for the execution of a distinct element of work of the contract.

• Carries out its obligations by actually performing, managing or supervising the work involved.

• Performs work that is normal for its business, service and function.

• Is not further subcontracting a portion of the work that is greater than that expected to be subcontracted by normal industry practices.

The Bidder must provide a written statement detailing the role, services and/or goods the small business, microbusiness, and/or disabled veteran business enterprise will provide to meet the Commercially Useful Function requirement, using the Commercially Useful Function Statement, Appendix C, Form C8. If a small business, microbusiness, or disabled veteran business enterprise is not being proposed, this form is not required.

The Bidder must check “Yes” on the matrix indicating compliance, “No” on the matrix indicating non-compliance, or “N/A” indicating non-applicability with Administrative Requirement 12.

V.6.9.Access to Records

ADMINISTRATIVE REQUIREMENT 13: The Bidder shall cooperate with, and provide access to the system and records associated with these contracts as requested by State oversight agencies, including, but not limited to, the Department of Finance (DOF), the Independent Project Oversight Consultant (IPOC), and the Independent Verification and Validation (IV&V) Consultant.


V.6.10. Work Location

ADMINISTRATIVE REQUIREMENT 14: The State will make available work space to support up to twenty (20) Contractor staff. The work space will be equipped with telephones, network connections, and desk space. The Contractor shall be responsible for providing their own computers, monitors, office supplies and any other equipment or support they require.

The Contractor may perform their activities either onsite at Caltrans or at an offsite location. However, all system configuration activities must occur onsite at Caltrans or DTS to facilitate knowledge transfer to Caltrans staff. No remote access to the development, test or production systems will be provided. Any travel will be incidental and must be included in the Bidder’s one-time costs.


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V.6.11.Productive Use

ADMINISTRATIVE REQUIREMENT 15: The purpose of the productive use requirement is to allow time for major defects to be detected and corrected in the Bidder’s software, and to ensure that the proposed base software product has a record of proven use in customer environments prior to installation at Caltrans. The base E-FIS software products proposed in response to this RFP must be installed and in productive use, in substantially the configuration proposed, by a paying customer external to the Bidder’s organization and its corporate organization, for at least six (6) months prior to the Final Proposal due date. The base E-FIS software products consist of the ERP (including the GL, AP and AR modules), EAI, Data Warehouse and Business Intelligence tools proposed by the Bidder.

The Bidder must demonstrate that it meets the productive use requirement by providing the required information on the Productive Use Customer Reference, Appendix C, Form C9, including a customer reference.


V.6.12. Software Use

ADMINISTRATIVE REQUIREMENT 16: The Bidder shall pay all associated license, maintenance, and support fees throughout the one-time design, configuration/customization, and implementation contract term for software proposed by the Bidder as specified on Form VII-2, Detailed COTS Software Costs Worksheet. All software licenses will be held by the Contractor for Caltrans during the phased implementation period, with Caltrans as the sub-licensee or grantee of all rights necessary to allow it to conduct Caltrans’ proposed activities during the implementation period. All privileges extended to the licensee shall also be extended to Caltrans, the sub-licensee. Upon successful completion of the E-FIS Production Acceptance Period, all software licenses shall automatically pass to Caltrans, provided that the licenses have been approved by the DGS. In the event the Contractor fails to perform on the Contracts, the Contractor shall immediately grant all software licenses to Caltrans, upon Caltrans request.

Final payment for the system shall be withheld until the State receives custody of all software licenses and associated OEM warranty agreements. All proprietary software used in the design, development, programming, testing, installation, operation, administration, use, security, and maintenance of the system shall be licensed in the name of Caltrans.

Any proprietary software of the Bidder and all subcontractors and suppliers proposed for installation must be available to Caltrans for its use in perpetuity.



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V.6.13. Executive Committee

ADMINISTRATIVE REQUIREMENT 17: Should the Contractor Project Manager and the State Project Manager not be able to agree on a resolution to any particular issue, the Contractor and the State agree to raise the issue to an Executive Committee prior to the assertion of rights under the Contract’s Dispute provisions (GSPD-401T – General Provisions - Information Technology, Paragraph 41). The Executive Committee, made up of the Contractor’s Project Manager, the State’s Project Manager, a senior executive of the contractor and the Deputy Director for Caltrans or the designees or successors thereof (the “Executive Committee”), will convene in person or by telephone conference call and a resolution decided within five (5) State business days from the date that the Executive Committee is convened. Either project manager may request the Executive Committee to convene and the Committee will convene in person or by telephone within three (3) State business days of such a request. The Executive Committee will use whatever resources it deems necessary to seek a rapid and just resolution to an issue at the Executive Committee level. If resolution cannot be reached at the Executive Committee level within the time frame prescribed above, either party may assert its other rights and remedies as provided by the contracts.

The State and the Contractor agree that, the existence of a dispute notwithstanding, they will continue without delay to carry out all their responsibilities under these contracts.


V.6.14. Contract Terms and Conditions

V.6.14.1 Incorporation of Contract Language

ADMINISTRATIVE REQUIREMENT 18: The contract terms and conditions to be awarded are included in this solicitation document in its final form, and any alteration by a Bidder will result in rejection of its proposal.

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

The IT General Provisions (revised and effective 06/21/2006)[http://www.pd.dgs.ca.gov/modellang/GeneralProvisions.htm]

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

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

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

Information Technology Personal Services Special Provisions


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[http://www.pd.dgs.ca.gov/modellang/ITModules.htm]


V.6.14.2 Term of the Contracts

ADMINISTRATIVE REQUIREMENT 19: The State intends to award two (2) contracts to a single Contractor for the E-FIS. The base term of the contracts will be four (4) years with the option of two (2) one-year extensions. One contract will be for the design, configuration/customization, and implementation services, and software purchase and upgrades for the design and deployment phase (which is estimated to be two (2) years).

The second contract will include ongoing product licensing and version upgrades of the COTS software and tools for the last two (2) years of the base period. Through the second contract, the State will have the ability to exercise up to two (2) one-year (1-year) contract option(s) to provide ongoing software support for the E-FIS solution. Refer to Section V.6.17, COTS Software Licensing and Version Upgrade Purchase, for additional information on the ongoing software support. In addition, the State will have the ability to purchase any or all of the proposed Post-E-FIS software modules and associated product licensing for the term of the second contract. Refer to Section V.6.18, Post-E-FIS Modulesand Licensing Costs, for more information on the Post-E-FIS modules and licensing. The second contract will take effect upon completion of the E-FIS Production Acceptance Period and final system acceptance by the State.


V.6.14.3 Contract Extension Options

ADMINISTRATIVE REQUIREMENT 20: The Bidder agrees that the State shall have the sole option of accepting the contract extensions one year at a time or for both years at once. The extension(s) shall be exercised through a contract amendment. The Bidder agrees to accept the contract extension(s) should the State exercise its option(s).


V.6.14.4 E-FIS Production Acceptance Period and System Warranty

ADMINISTRATIVE REQUIREMENT 21: When the deployment phase is completed and the system is put into production, the E-FIS Production Acceptance Period shall commence. During the E-FIS Production Acceptance Period, the Contractor shall analyze and correct the deliverables furnished hereunder to be in substantial conformity with the requirements of this Contract for a period of four (4) months at no cost to the State. During the E-FIS Production Acceptance Period, the Contractor shall be responsible for correcting solution defects which affect system or financial data integrity, including security breaches, inaccurate and untimely financial data, incorrect financial transactions, untimely or


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inaccurate data or workflow transmissions, or defects which create an inaccurate audit trail. The Contractor must also correct solution defects which prevent the system from meeting system performance requirements. The Contractor shall not be responsible for defects caused by network or hardware failures by DTS, but must work cooperatively with DTS to resolve such defects. The Contractor must correct the solution defects even if the work to resolve the defect continues past the end of the E-FIS Production Acceptance Period. The Contractor shall perform such analysis and resolution activities onsite at the Caltrans location(s).

At the end of the E-FIS Production Acceptance Period, the Caltrans Project Manager will make a recommendation to the E-FIS Executive Committee, based on input from the system users and administrators, whether to accept the system. The E-FIS Executive Committee will make the final acceptance decision. The Caltrans Project Manager will provide written notification to the Contractor of the Executive Committee’s decision.

Upon completion of the E-FIS Production Acceptance Period and final system acceptance by the E-FIS Executive Committee, the Contractor shall warranty the E-FIS for an additional period of twelve (12) months. During this period, the Contractor shall analyze and correct solution defects which affect system or financial data integrity, as described above, at no additional cost to the State, even if the resolution of the defect continues after the end of the period. The Contractor may perform the analysis and resolution of these items offsite, however access to the system will only be available onsite (i.e., there will be no remote access to the system).


V.6.15. Source Code and Data Ownership

ADMINISTRATIVE REQUIREMENT 22: The Bidder must agree that the State shall have Government Purpose Rights to all custom developed software, and all data gathered or developed resulting from this RFP as defined in Paragraph 27 of GSPD-401IT.. All such data shall be designated as “confidential” and must be protected as specified within the contracts. The State shall have Government Purpose Rights to all database(s) and data storage design documents, schema, documentation, licensing, custom developed code, and end-user documentation developed to support the E-FIS project.


V.6.16. Hardware Lease

Hardware will be leased from the DTS by Caltrans, and will be available to the Contractor within ninety (90) calendar days of contracts execution.

ADMINISTRATIVE REQUIREMENT 23: The Bidder must clearly and completely describe all hardware required to develop, test, implement, administer, operate and maintain the E-FIS. Hardware shall be described on Form C10, E-FIS Hardware and Software Proposed, and


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included in the Bidder’s Cost Proposal (refer to Section VII, Cost) in order to evaluate total cost of ownership and operations.


V.6.17. COTS Software Licensing and Version Upgrade Purchase

ADMINISTRATIVE REQUIREMENT 24: The State shall have the option of procuring software licensing and version upgrades for the proposed COTS software, including development and test tools at the price provided in the Cost Proposal, for the term of the contract, including any extensions thereof. If the State decides to exercise one or more of the contract options for ongoing license and version upgrades, the State will notify the Contractor in writing of their intent to purchase the option. The Contractor must provide updated licenses or written proof of license renewal for all software licenses within thirty (30) calendar days of the contract amendment exercising the State’s option. Upon delivery of the renewed licenses, the Contractor may bill the State for the renewed licenses. If the State does not exercise any or all of these options, the State may purchase COTS licensing and version upgrades outside of the contracts.


V.6.18. Post-E-FIS Modules and Licensing Costs

ADMINISTRATIVE REQUIREMENT 25: As part of their proposal, the Bidder must describe the COTS software product(s)/module(s) necessary to meet the Post-E-FIS requirements referenced in Section VI, Functional and Technical Requirements. The Bidder must describe the necessary products and include the costs for these products in their Cost Proposal. In addition, the Bidder must agree that the State shall have, at its sole discretion, the option of procuring the proposed COTS software to meet the Post-E-FIS requirements from the Bidder at the price provided in the Cost Proposal. The prices proposed shall remain in effect for the duration of the contracts, including any extensions thereof. This shall not preclude the State from purchasing the COTS software and licensing outside of the contracts.


V.6.19. Liquidated Damages

ADMINISTRATIVE REQUIREMENT 26: The Bidder agrees that in addition to all other remedies available to the State, the State may collect Liquidated Damages in the amounts specified under the following circumstances:

If the Contractor does not implement the system on or within fifteen (15) calendar days of the production installation date, liquidated damages in the amount of $810,000 may be assessed. The production installation date will be the date the E-FIS is scheduled to be put into production, according to the Caltrans-approved project schedule delivered by the Contractor after Contracts Award.


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The State may deduct monies owed for the liquidated damages from invoices as necessary to offset the full amount owed.

The State will attempt to notify the Contractor, in writing, prior to liquidated damages being invoked. However, should the State fail to do so, the liquidated damages will still accrue. The State will, in any case, provide the Contractor a complete accounting for all liquidated damages.


V.6.20. Payment Milestones / Performance Bond

ADMINISTRATIVE REQUIREMENT 27: The State requires a performance bond for this project if the Contractor will receive progress payments. Therefore, the Bidder must select which option it chooses for the design, configuration/customization and implementation contract.

V.6.20.1 Option 1: Progress Payments (Requires a Performance Bond)

V.6.20.1.1PERFORMANCE BOND

The Bidder shall provide, as part of its Draft and Final Proposal, proof of bondability and the terms and conditions of the performance bond. The proof of bondability must state that the bonding company will bond the Bidder for 50% of the value of the total design, configuration/customization, and implementation contract22 and that this bond shall be held in effect until the successful completion of the E-FIS Production Acceptance Period (refer to Section V.6.14.4, E-FIS Production Acceptance Period and System Warranty). The bonding company must be a surety insurer, licensed to do business in the State of California.

The awarded Contractor shall supply a performance bond in the amount of fifty percent (50%) of the development, customization/configuration and implementation contract award amount23. This bond shall be held in effect until successful completion of the E-FIS Production Acceptance Period, to ensure contract performance and guarantee deliverables by deadlines. For example, a bond amount of US $1million shall be procured for a contract valued at US $2 million. This bond shall be delivered to the State within twenty-one (21) calendar days of Contracts Award and will be returned to the Contractor upon successful completion of the E-FIS Production Acceptance Period.

Note: Within 21 calendar days after notification of Contracts Award (unless submitted with the proposal), the successful Bidder MUST submit the instrument satisfying the Performance Bond Requirement. Failure to submit the required document within 21 calendar days may be cause for termination of the contracts.

22 No performance bond is required for the ongoing product licensing and version upgrade contract.

23 Refer to Form VII-1, Total Cost Summary worksheet, Contractor One-Time Costs Subtotal shown in cell B9. The cell reference refers to the current positions in the blank worksheets. When the Bidder completes the worksheets, the addition of lines may cause the cell reference to change.


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V.6.20.1.2PAYMENT MILESTONES

The E-FIS shall be designed, configured/customized, tested and implemented using a project-phased approach with progress payments based on completion of significant project milestones. The project milestones to be used are defined in Table 7. The dates associated with these milestones shall be included in the Bidder’s project schedule and work plan, which will be approved by the State approximately sixty (60) calendar days after Contracts Award.

The State has established maximum cost percentages for the following one-time cost components. These maximums represent fixed percentages of the Contractor One-Time Costs Subtotal amount on Form VII-1, Total Costs Summary worksheet (contained in Appendix B). In addition, the State will holdback 10% of each invoice amount until after successful completion of the E-FIS Production Acceptance Period. Table 7 lists the maximum percentages to be paid for each of the major milestones. The Contractor may invoice for payments after successful completion of the milestone and written acceptance by the State Project Manager. The Bidder shall provide a firm fixed price for each of the major milestones, not to exceed the sum of all payments, multiplied by the maximum percentage for that component.

Table 7. One-Time Cost Payment Milestones

PROJECT PHASE MILESTONE MAXIMUM PERCENTAGE

Completion of Project Initiation 5%Completion of Requirements Analysis and Validation 10%Delivery and Successful Installation of the COTS Software 15%Completion of Design and Configuration 20%Successful Completion of User Acceptance Testing 25%Successful Completion of Deployment 25%Final Acceptance of the System and Completion of E-FIS Production Acceptance Period

Release of Contract Holdback

V.6.20.1.3LABOR FOR UNANTICIPATED TASKS

In the event of unanticipated tasks, Caltrans will prepare a Work Authorization to direct the Contractor to perform the additional tasks. The Contractor may invoice for Work Authorizations following completion and written acceptance of each Work Authorization by the Caltrans Project Manager.

V.6.20.2 Option 2: Payment Upon Completion of E-FIS Production Acceptance Period

V.6.20.2.1PERFORMANCE BOND

No performance bond is required under Option 2.


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V.6.20.2.2PAYMENT MILESTONES

The E-FIS shall be designed, developed, tested and implemented using a project-phased approach. Payment #1 Milestone is the amount of the Contractor One-Time Costs Subtotal24. The Contractor may invoice for Payment #1 after successful completion of the E-FIS Production Acceptance Period and written acceptance by the State Project Manager.

V.6.20.2.3LABOR FOR UNANTICIPATED TASKS

In the event of unanticipated tasks, Caltrans will prepare a Work Authorization to direct the Contractor to perform the additional tasks. The Contractor may invoice for Work Authorizations following completion and written acceptance of each Work Authorization by the Caltrans Project Manager. Payment terms will be described in the specific work authorization.25

V.6.20.3 Payment for Ongoing Product Licensing and Version Upgrades

The State shall pay the Contractor for product licensing and version upgrades annually for the base years and any optional years of licensing and version upgrades that are exercised by the State. The Contractor must deliver the licenses for the system upon successful completion of the E-FIS Production Acceptance Period. Upon delivery of the licenses, the Contractor may bill the State for the product licenses and version upgrades26.

If the State decides to exercise one or more of the contract options for ongoing license and version upgrades, the State will notify the Contractor in writing of their intent to purchase the option. The Contractor must provide updated licenses or written proof of license renewal for all software licenses within thirty (30) calendar days of the contract amendment exercising the State’s option. Upon delivery of the renewed licenses, the Contractor may bill the State for the renewed licenses.

In addition, the State shall have the option of purchasing additional assistance for implementing version upgrades and unanticipated tasks via work authorizations, per the contract terms. The State also shall have the option to purchase the Post-E-FIS COTS software modules and licensing from the Contractor, or to purchase the additional modules and licensing from another vendor.



25 Payment for unanticipated tasks will be made only upon acceptance of the completed work.

26 Note that the product licenses and version upgrades for contract base years 1 and 2 are included in the Contractor’s one-time costs. Upon successful completion of the E-FIS Production Acceptance Period, the Contractor would deliver the licenses and bill for base year 3 of the contract. One year after successful completion of the E-FIS Production Acceptance Period, the Contractor must deliver the updated product licenses or written proof of licenses renewal for base year 4.


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SECTION VI – FUNCTIONAL AND TECHNICAL REQUIREMENTS

VI.FUNCTIONAL AND TECHNICAL REQUIREMENTS

This section of the RFP document addresses the Functional and Technical Requirements for the E-FIS system. These requirements support the business needs as defined in Section III, Program andSystems Overview. The requirements contained in this RFP detail the business needs (i.e., "what") the system will do. The Bidder must commit to meeting these requirements and propose a solution which addresses all the requirements (i.e., "how" the requirements will be met). Caltrans acknowledges that some of their business processes will need to be adapted to incorporate the best practices of the ERP.

VI.1.Mandatory Requirements

The mandatory requirements are contained in Appendix E. All requirements contained in Appendix E, Section E.1 are mandatory. To be responsive, the Bidder must agree to meet every mandatory requirement contained in Appendix E, Section E.1.

It is the Bidder’s responsibility to ensure its proposal is submitted in a manner that enables the State Evaluation Team to easily locate all response descriptions and exhibits for each requirement in this RFP.

The Bidder must not retype or edit requirements or exhibits except to enter requested information (refer to Section II.2.2, RFP Documents). Making a material change to a requirement may make the Bidder’s proposal unacceptable to the State and may cause the proposal to be excluded from further consideration.

The information to be included in the Bidder’s response for each requirement is:

• Requirement Number – This denotes the unique number for each requirement provided by the State.

• Requirement – This denotes the specific requirement provided by the State.

• Requirement Type – This denotes if the requirement is mandatory or desirable. Refer to RFP Section II.1, Identification and Classification of Requirements, for further information.

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

• Bidder’s Certification and Initials – At the bottom of each section, is a box entitled “Bidder’s Certification and Initials”. In each box, the Bidder must initial in ink, for validation purposes that they agree to meet all mandatory requirements stated in that section.

NOTE: In Appendix E, Section E.1, the phrase “provide the ability to” indicates a capability which requires some interaction by the user prior to the system initiating the designated action. The capability so designated is considered mandatory and must be provided by the E-FIS system as


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delivered, without requiring the State to purchase additional programming services, modules or licenses at a later time in order to fulfill the requirement.

VI.2.Desirable Requirements

The desirable requirements are contained in Appendix E. All requirements contained in Appendix E, Section E.2 are desirable.

For each E-FIS desirable requirement, the Bidder must provide a response as to whether they will provide (or not provide) the desirable requirement. For each desirable requirement that the Bidder agrees to provide, the Bidder must include a narrative description of how that requirement will be met. If the Bidder claims to meet the requirement and a narrative description is not included or the description does not adequately describe how the requirement will be met, in the opinion of the State Evaluation Team, the Bidder will not be awarded the points associated with that requirement, but the Bidder will be required to meet that requirement.

For each Post-E-FIS desirable requirement, the Bidder must provide a response as to whether they will provide (or not provide) the desirable requirement. For each Post-E-FIS desirable requirement that the Bidder agrees to provide, the Bidder must indicate if the requirement will be met “out of the box” or through customizations, and must include a narrative description of how that requirement will be met. If a narrative description is not included or the description does not adequately describe how the requirement will be met, in the opinion of the State Evaluation Team, the Bidder will not be awarded the points associated with that requirement, but the Bidder will be required to meet that requirement.

The State reserves the right to request the Bidder to provide a demonstration of any or all of the Post-E-FIS desirable requirements that the Bidder agrees to provide that will be met “out of the box”. If such a demonstration is requested, the Bidder must be able and available to perform the demonstration within ten (10) calendar days of the request by the State. The demonstration must be performed at Caltrans. The State believes that those functions that can be met “out of the box” present less risk to the ongoing maintenance and support of the system, as well as to future system upgrades. Thus, the Bidder will be awarded the full points associated with a Post-E-FIS desirable requirement, if the Bidder indicates the requirement will be met “out of the box” and if requested to demonstrate the requirement, in the opinion of the State Evaluation Team, the Bidder clearly demonstrates the requirement.

If the Bidder clearly describes how a Post-E-FIS desirable requirement will be met through customization (i.e., through additional programming) but the Bidder cannot successfully demonstrate how the desirable requirement will be met “out of the box”, in the opinion of the State Evaluation Team, the Bidder will be awarded half of the points associated with that desirable requirement, but the Bidder will be required to meet that requirement.

It is the Bidder’s responsibility to ensure its proposal is submitted in a manner that enables the State Evaluation Team to easily locate all response descriptions and exhibits for each requirement in this RFP.

The Bidder must not retype or edit requirements or exhibits except to enter requested information (refer to Section II.2.2, RFP Documents). Making a material change to a requirement may make the


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Bidder’s proposal unacceptable to the State and may cause the proposal to be excluded from further consideration.

The information provided by the State is:

• Requirement Number – This denotes the unique number for each requirement provided by the State.

• Requirement – This denotes the specific requirement provided by the State.

• Requirement Type – This denotes if the requirement is mandatory or desirable. Refer to RFP Section II.1, Identification and Classification of Requirements, for further information.

• Point Value – This denotes the point value of the desirable requirement. Refer to RFP Section IX.5.4, Evaluation Factors Assessment Scoring, for further information.

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

The information to be included in the Bidder’s response for each requirement is:

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

• Requirement Met Out of the Box or Custom? – For each Post-E-FIS desirable requirement that the Bidder agrees to provide, the Bidder must indicate if the requirement can be met “out of the box” without additional programming, or if the requirement can be met through customizations, including additional programming.

• Narrative Description of How Requirement Will Be Met – For each desirable requirement that the Bidder agrees to provide, the Bidder must include a narrative describing how that requirement will be met.

• Bidder’s Initials – At the bottom of each section, is a box entitled “Bidder’s Certification and Initials”. In each box, the Bidder must initial in ink, for validation purposes.

NOTE: In Appendix E, Section E.2, the phrase “provide the ability to” indicates a capability which requires some interaction by the user prior to the system initiating the designated action. The capability so designated is considered mandatory and must be provided by the E-FIS system as delivered, without requiring the State to purchase additional programming services, modules or licenses at a later time in order to fulfill the requirement.


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SECTION VII – COST

VII.COST

VII.1.Introduction

The State intends to acquire the ERP Financial Infrastructure (E-FIS) based on the selection criteria as set forth in this RFP. As part of the proposal, Bidders are responsible for including the costs necessary for meeting the requirements stipulated to implement and deliver the E-FIS. In addition, the Bidder must provide costs for software and licensing for the identified Post-EFIS mandatory requirements referenced in Section VI, Functional and Technical Requirements. This section defines the major cost components that must be included in each proposal, as well as the required format. Additional formatting instructions are provided in Section VIII, Proposal Format.

Bidders must provide responses to all requirements and proposed costs for the components of the E-FIS project. Bidders must submit cost information using the forms in B - Cost Workbook, in a separately sealed envelope that is clearly marked “Volume III, Cost Proposal”. The list of required cost forms and their respective descriptions can be found in Table 8.

Table 8. Cost Workbook Components

WORKBOOK COMPONENT

FORM FORM DESCRIPTION

Total Costs VII-1 Total Cost SummaryOne-Time Costs VII-2 Detailed COTS Software Costs

VII-3 System Integrator Implementation and Other One-Time Costs

VII-4 DTS Hardware Setup CostsOngoing Costs VII-5 COTS Ongoing Licensing and Version Upgrade Costs

VII-6 Ongoing DTS Hardware CostsVII-7 Ongoing DTS Software Support Costs

Labor Costs VII-8 Bidder Labor Costs for Unanticipated TasksAdditional Modules VII-9 Post-E-FIS Modules and Licensing Costs

Cost proposals will not be opened and evaluated until after the State Evaluation Team has determined the Bidder’s proposal is fully compliant with the format and mandatory requirements of this RFP and the Team has completed the scoring of the Final Proposal’s administrative and technical sections, to the extent that evaluation can be done without opening the Cost Proposal. To maintain objectivity, the scored evaluation of the cost component of each proposal will not be conducted until the completion of other scored components. Bidders may refer to Section IX, Evaluation and Selection, for additional information on the scoring of proposals.

All proposed system components must be included in the Bidder’s proposal and accounted for in the Bidder’s cost proposal. Any proposed system component that is not specifically priced or identified in the Bidder’s cost proposal, or that is identified after award of the contracts to meet the requirements of this RFP, will be included by the Bidder at no additional cost.


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VII.2.Cost Categories

In order to identify the project costs, various cost categories are included in the cost worksheets in B - Cost Workbook. A summary of the relevant cost categories is provided below. General instructions for completing the cost worksheets are included in Section VII.3, Cost Worksheets.

VII.2.1.One-Time Costs

The one-time costs are comprised of the following components:

1. Detailed COTS Software Costs : The Bidder shall enumerate all one-time COTS software costs required for the E-FIS production, development, test and training environments. These costs shall contain the Bidder’s price for software items and licenses proposed for the project. The Bidder must describe all proposed software, including function, quantity, manufacturer, brand name, and version number for the items being proposed.

The Bidder must include the first two (2) years (base period years 1 and 227) of software licensing and version upgrades in the one-time COTS software purchase price. The second two (2) years of the base contract period (years 3 and 4) must be included in the COTS Ongoing Licensing and Version Upgrade Costs described in Section VII.2.2, Ongoing Costs. (The software items must correspond to the items listed on Form C10, E-FIS Hardware and Software proposed.

2. System Integrator Implementation and Other One-Time Costs : The Bidder shall include the cost of ALL proposed services pertaining to a system integrator implementation, including but not limited to those services required to effect the installation, customization and deployment of the E-FIS, training, documentation, data conversion, and so forth. The Bidder shall indicate the one-time cost for these services according to the categories described in the worksheet.

3. DTS Hardware Setup Costs : The Bidder shall include the DTS setup costs based on the Bidder’s solution. The DTS rate schedule lists one-time setup fees by category of server. The setup costs must correspond to the hardware items listed on Form C10: E-FIS Hardware and Software proposed.

VII.2.2.Ongoing Costs

The ongoing costs are comprised of the following components:

1. COTS Ongoing Licensing and Version Upgrade Costs : The Bidder shall identify all recurring costs required (e.g., licensing, version upgrades) for the base years 3 and 428, and the two (2) one-year (1-year) contract options. These costs will contain the Bidder’s price for licensing all COTS software proposed for the project, including development, test, training and production tools. The State will have the right to exercise up to two (2) one-year (1-year) contract option(s) for version upgrade and

27 Base years 1 and 2 encompass the two years estimated for the design, configuration/customization and implementation effort, and the E-FIS Production Acceptance Period.

28 Base years 3 and 4 address the two years after the completion of the E-FIS Production Acceptance Period.


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support services, or may acquire these products and services separately from another provider. The State shall pay for each contract option annually, if and when the contract is amended to exercise an option.

2. Ongoing DTS Hardware Costs : The bidder shall enumerate all hardware costs required to implement the E-FIS. The Bidder shall describe all proposed hardware, including function, quantity, manufacturer, model, and brand name for the items being proposed. These items must correspond to the items listed on Form C10, E-FIS Hardware and Software Proposed. The hardware listed will be leased from DTS by Caltrans. The Bidder should calculate their costs based on DTS rate schedule. The DTS hardware standards and rates for support are available at http://www.dts.ca.gov/Customers/rates.asp.

3. Ongoing DTS Software Support Costs : The Bidder shall enumerate all ongoing software costs for WebSphere or IHS/Apache software products if the Bidder’s proposed solution includes these components. The Bidder shall describe the items being proposed and the purpose for their use. These items must correspond to the items listed on Form C10, E-FIS Hardware and Software Proposed. The DTS rates for application service support are available at http://www.dts.ca.gov/Customers/rates.asp. If the WebSphere or HIS/Apache products are not being proposed, then this worksheet’s costs will be zero.

VII.2.3.Labor Costs for Unanticipated Tasks

The State anticipates that during the contract period, including any optional years exercised by the State, legislative and/or program changes may necessitate application modifications, and/or the State may require assistance in implementing version upgrades after deployment. This support shall be structured in terms of a fixed hourly rate by staff classification for consulting services that will be used to support application change requests, version upgrade support, and unanticipated application modifications and enhancements that result from legislative and/or program changes. These costs will be used to create work authorizations for specific tasks, as needed, on a time and materials basis, using the fixed labor rate for each staff classification identified.

For evaluation purposes, the State has established an approximate number of hours for anticipated work. These hours are in no way binding and are not intended to commit the State to actual amounts of work required in the future, nor does it commit or limit the State to a specific number of hours per year.

VII.2.4.Post-E-FIS Modules and Licensing Costs

As Caltrans continues to implement the recommendations set forth in the IFMS Strategic Plan, it is likely that additional modules will be implemented. The Bidder must describe the additional modules required to implement the Post-E-FIS functionality and requirements as described in Section IV.2.1.5, ERP Functionality for Future IFMS Projects (Post-E-FIS); Appendix E, Section E.1.6, Mandatory Post-E-FIS Functional Requirements; and Appendix E, Section E.2.3, Desirable Post-E-FIS Functional Requirements.




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For evaluation purposes, the State has established an approximate number of users for use in evaluating licensing costs. The Bidder must propose a purchase price and licensing costs for the designated number of users, which will remain in effect during the contract period and any optional years exercised by the State. The State is not committing to purchase the software or licenses for additional Post-E-FIS modules, and reserves the right to purchase the modules and associated licensing separately from another provider.

VII.3.Cost Worksheets

The State has made available a cost workbook in MS Excel format. A printed copy of this workbook is included in B - Cost Workbook. This pre-formatted workbook contains eight (8) forms (one form per worksheet/tab), as follows:

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

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

• Form VII-3, System Integrator Implementation and Other One-Time Costs Worksheet – For specification of all service costs associated with implementation of the solution

• Form VII-4, DTS Hardware Setup Costs Worksheet – For specification of DTS one-time hardware setup fees

• Form VII-5, COTS Ongoing Licensing and Version Upgrade Costs Worksheet – For specification of COTS software product licensing and support costs

• Form VII-6, Ongoing DTS Hardware Costs Worksheet – For specification of DTS hardware costs

• Form VII-7, Ongoing DTS Software Support Costs Worksheet – For specification of DTS application service support costs

• Form VII-8, Bidder Labor Costs Worksheet – For specification of Bidder staff firm fixed rates for application modifications and support

• Form VII-9, Post-E-FIS Modules and Licensing Costs Worksheet– For specification of purchase and licensing costs for Post-E-FIS modules.

Bidders are responsible for entering cost data in the format prescribed by the cost workbook. Pre-set formulas must not be altered. Further instructions for entering cost data are provided via the footnotes for each worksheet.

Completion of the cost workbook is mandatory. The Bidder’s firm fixed price must include purchases of software and other applicable items, delivery costs, tax, installation, licenses, travel, training, application customization, development and testing, other services provided by the Bidder, and any and all expenses associated with the delivery and implementation of the proposed E-FIS solution.

Formulas have been inserted in the appropriate cells of the worksheets to automatically calculate summary numbers. However, it is the sole responsibility of the Bidder to ensure all cost data and mathematical calculations are correct in the proposal.


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VII.3.1.Total Cost Summary Worksheet (Appendix B, Form VII-1)

The Total Cost Summary Worksheet must contain the Bidder’s total price to provide the system and services as proposed, including hardware, software, implementation services and ongoing licensing and support costs. All overhead or other cost items (including incidental travel) must be built into and included within the total price proposed by the Bidder. These costs when entered on worksheets VII-2 through VII-8 will be calculated and displayed automatically on this worksheet.

This worksheet also contains the costs for each payment milestone, if the Bidder has selected Option 1 (progress payments with a performance bond). The costs for each milestone are based upon set percentages of the One-Time Costs Subtotal (Form VII-1, Total Cost Summary worksheet, cell B10).

VII.3.2.Detailed COTS Software Costs Worksheet (Appendix B, Form VII-2)

The Detailed COTS Software Costs Worksheet must contain the Bidder’s firm fixed price for any and all pre-existing software products, including utilities, tools, databases, and other software, and licenses proposed for the E-FIS project. Licenses must include the version upgrades costs for base years 1 and 2 of the contracts. The Bidder must describe all proposed software products by product name, manufacturer, and version/release number for the items being proposed. (Recurring costs for subsequent version upgrades will be entered on the COTS Ongoing Licensing and Version Upgrade Costs Worksheet, Appendix B, Form VII-4). The State reserves the right to instruct the Bidder prior to contract award to provide the proposed software or to obtain the proposed software from another provider.

NOTE: The software listed on this worksheet (Form VII-2) must match the information provided on Form C10, E-FIS Hardware and Software Proposed.

VII.3.3.System Integrator Implementation and Other One-Time Costs Worksheet (Appendix B, Form VII-3)

The implementation costs worksheet must contain the Bidder’s firm fixed price for providing the various services associated with implementing and delivering all the products and services required for the project. COTS software and hardware costs must not be included on this worksheet. This worksheet is designed to collect the Bidder’s costs for the implementation services, training costs, and other overhead costs that have been proposed.

VII.3.4.DTS Hardware Setup Costs Worksheet (Appendix B, Form VII-4)

The DTS hardware setup costs worksheet must contain the DTS setup fees based on the Bidder’s proposed solution. The DTS rates schedule lists the one-time setup fees by category of server. The Bidder must cost the proposed setup fees based on the rates provided by DTS available at http://www.dts.ca.gov/Customers/rates.asp.

NOTE: The costs listed on this worksheet must correspond to the hardware listed on the Ongoing DTS Hardware Costs Worksheet (Appendix B, Form VII-6, and Form C10: E-FIS Hardware and Software Proposed.



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VII.3.5.COTS Ongoing Licensing and Version Upgrade Costs Worksheet (Appendix B, Form VII-5)

The COTS licensing costs worksheet must contain the Bidder’s firm fixed price for providing ongoing version upgrades for any and all pre-existing software products, including utilities, tools, and other software and licenses proposed for the E-FIS project for base years 3 and 4, and the optional two (2) one-year extensions. The State reserves the right to exercise contract options for the Bidder to provide these products and services or to obtain these products and services from another provider. The Bidder must describe all proposed software products by product name, manufacturer, and version/release number for the items being proposed.

NOTE: This worksheet (Form VII-4) must contain recurring costs for licensing and version upgrades for all products included on the Detailed COTS Software Costs Worksheet, Appendix B, Form VII-2.

VII.3.6.Ongoing DTS Hardware Costs Worksheet (Appendix B, Form VII-6)

The Ongoing DTS Hardware Costs Worksheet must contain the Bidder’s specifications for all hardware proposed for the E-FIS project. The Bidder must describe all proposed products by product name, manufacturer, model, and any additional necessary specifications for the items being proposed (e.g., processor, RAM, OS). The State will lease the appropriate hardware from DTS based on the specifications provided by the Bidder. The Bidder must cost the proposed equipment based on the rates provided by DTS available at http://www.dts.ca.gov/Customers/rates.asp.

NOTE: These costs must NOT include hardware necessary for the Bidder’s staff. The Bidder is responsible for providing all necessary hardware and software for their staff.

NOTE: The hardware listed on this worksheet (Form VII-5) must match the information provided on Form C10, E-FIS Hardware and Software Proposed.

VII.3.7.Ongoing DTS Software Support Costs Worksheet (Appendix B, Form VII-7)

The Ongoing DTS Software Support Costs Worksheet must include support costs for WebSphere and IHS/Apache, if these products are part of the Bidder’s proposed solution. The Bidder must cost the proposed support costs based on the rates provided by DTS for application service support and available at http://www.dts.ca.gov/Customers/rates.asp. If the WebSphere or HIS/Apache products are not being proposed, then this worksheet’s costs will be zero.

NOTE: The software listed on this worksheet (Form VII-6) must match the information provided on Form C10, E-FIS Hardware and Software Proposed.

NOTE: One-time purchase costs shall be included on Form VII-2, Detailed COTS Software Costs. Ongoing software licensing costs shall be included on Form VII-4, COTS Ongoing Licensing and Version Upgrade Costs.




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VII.3.8.Bidder Labor Costs Worksheet (Appendix B, Form VII-8)

The Bidder Labor Costs Worksheet shall include the Bidder’s firm fixed hourly rate for project changes, modifications, and upgrades to the system as requested by the State. These fixed rates shall apply throughout the term of the contracts period and any extensions thereof.

These costs will be used for evaluation purposes only. This is not a commitment from the State to procure any additional work. The State may, at its discretion, procure additional services from any or all of the Bidder Staff Classifications at the rates proposed.

VII.3.9.Post-E-FIS Modules and Licensing Costs Worksheet (Appendix B, Form VII-9)

The Post-E-FIS Modules and Licensing Costs Worksheet shall include the Bidder’s firm fixed price for purchase and licensing of additional COTS ERP modules to support the Post-E-FIS objectives as stated in the IFMS Strategic Plan and the requirements contained in Appendix E, Section E.1.6, Mandatory Post-E-FIS Functional Requirements; and Appendix E, Section E.2.3, Desirable Post-E-FIS Functional Requirements. These fixed rates shall apply throughout the term of the contracts period and any extensions thereof.

These costs will be used for evaluation purposes only. This is not a commitment from the State to procure additional modules or associated licensing. The State, may at its discretion, procure any or all of the identified additional modules and associated licensing at the rates proposed.


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SECTION VIII – PROPOSAL FORMAT

VIII.PROPOSAL FORMAT

VIII.1.Introduction

These instructions prescribe the mandatory proposal format and the approach for the development and presentation of proposals. Format instructions must be followed, requirements and questions in the RFP must be answered, and requested information must be supplied. Each Bidder is responsible for providing sufficient information and documentation for the proposal to be thoroughly evaluated. Failure to do so may result in rejection of the proposal.

Proposals must address the requirements in Section V, Administrative Requirements, and referenced in Section VI, Functional and Technical Requirements, in the order and format specified in this section. Each RFP requirement response in the proposal must reference the unique identifier for the requirement in this RFP.

The pages in the proposal must be standard 8.5” x 11” paper, except for charts, diagrams, etc., which may be foldouts. If foldouts are used, the folded size must fit within the 8.5” x 11” format. Each volume of the various proposal submissions must be provided separately in an appropriately sized 3-ring binder. Double-sided printing is preferred.

It is the Bidder’s responsibility to ensure its proposal is submitted in a manner that enables the State Evaluation Team to easily locate response descriptions and exhibits for each requirement of this RFP. Page numbers must be located in the same page position throughout the proposal. Figures, tables, charts, etc. must be assigned index numbers and must be referenced by these numbers in the proposal text and in the proposal Table of Contents. Figures, etc., must be placed as close to the text references as possible.

VIII.2.Proposal Format and Content

Each sealed proposal container must be labeled as follows:

• Name of Bidder

• RFP DOT 2660-416

• Final Proposal, Final Cost Proposal, Draft Proposal, or Draft Cost Proposal

The following must be shown on each page of the proposal:

• Name of Bidder

• RFP DOT 2660-416

• Final Proposal, Final Cost Proposal, Draft Proposal, or Draft Cost Proposal

• Proposal volume number

• Proposal part or exhibit number

• Page number

• The proposal container must be completely sealed. All copies must be submitted by the dates and times specified in Section I.5, Key Action Dates.


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• One (1) complete set of required volumes must be clearly marked “MASTER COPY”.

• One (1) copy of the entire Proposal (with the exception of the Cost Proposal), in either Microsoft Word or searchable PDF, must be submitted on Compact Disc (CD).

• One (1) copy of Volume III, Cost Proposal, shall be submitted on a separate CD and enclosed with the separately sealed “Cost Proposal” envelope.

Proposal submissions must be clearly labeled “RFP DOT 2660-416”. Submissions must be identified as “Proposal” or “Cost Proposal”, and include the Bidder’s name and return address. Cost proposal data must be sealed and submitted separately from the proposal.

Bidders must make sure that no costing information of any type is shown in their Proposal, except in the sealed “Cost Proposal” envelope. The inclusion of cost data in any fashion or format in any other place in the Proposal may result in immediate rejection of the bid. Any product supporting literature containing costs or rates (such as catalogs, maintenance service rates, etc.) submitted as part of the Proposal must have cost figures obliterated or replaced with “XXX”.

VIII.2.1.Draft Proposal Format and Content

The Draft Proposal should follow the format and content of the Final Proposal except the submission must not include actual dollar cost information. All dollar cost items must be filled using XXXs in the Draft Proposal. Cost Proposal sections must include any additional information or language that will be shown in the Final Proposal, without providing any cost figures. It is important that all forms and all cost worksheets be included with all entries completed except dollar figures.

Inclusion of cost figures in the Draft Proposal may result in the elimination of the Bidder from further participation in the procurement process.

VIII.2.2.Final Proposal Format and Content

The Final Proposal must be submitted by the date and time specified in Section I.5, KeyAction Dates, and in the manner specified in Section II.3.7.6, Delivery of Proposals. The Proposal must be submitted in the number of copies indicated and should be structured in the following manner:

Volume I – Response to Administrative Requirements 12 copies plus a Master Copy

• Cover Letter

• Tab 1 – Table of Contents

• Tab 2 – Executive Summary

• Tab 3 – Response to Administrative Requirements

• Tab 4 – Response to Functional and Technical Requirements

Volume II – Contract 1 Master Copy

• Contract

Volume III – Cost Proposal 12 copies plus a Master Copy

• Tab 1 – Cost Worksheets


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• Tab 2 – Summary of DVBE participation with completed cost information

• Tab 3 – Small Business Preference Notification, if applicable

• Tab 4 – Proof of Bondability with completed cost information, if applicable

Volume IV – Literature 2 copies plus a Master Copy

• Supporting Product Literature

In addition to the number of hardcopies of the Proposal state above, the Bidder is required to submit an electronic copy of the Proposal on CD. The Bidder must provide Volume I and Volume III on separate CDs.

VIII.2.2.1 Volume 1 – Response to Administrative Requirements

The Bidder’s response for Volume I must be organized by sections, in the order and format indicated in the following sections. Each page must be numbered in a manner of the Bidder’s own choosing to facilitate easy referencing and identification.

VIII.2.2.1.1 COVER LETTER

This part of the Proposal must contain a signed Cover Letter on the Bidder’s official business letterhead stationery. Cost information must not be included in the Cover Letter. The Cover Letter must contain a statement that substantiates that the person who signs the letter is authorized to bind the Bidder’s firm contractually. The Cover Letter must state that the Bidder commits to fulfilling the requirements of the RFP.

VIII.2.2.1.2 TAB 1 – TABLE OF CONTENTS

This part of the Proposal must contain a Table of Contents. Major parts of the proposal, including forms, must be identified by volume and page number.

VIII.2.2.1.3 TAB 2 – EXECUTIVE SUMMARY

This part of the Proposal must describe the salient features of the proposed solution. It must contain an overview of the Bidder’s company background and qualifications, and must condense and highlight the contents of the proposal to provide a broad understanding of the entire solution and facilitate the evaluation of the proposal. The Executive Summary must also describe how the Bidder will manage and control the work of the Subcontractor(s), if subcontractors are being used. Cost information must not be included in the Executive Summary.

VIII.2.2.1.4 TAB 3 – RESPONSE TO ADMINISTRATIVE REQUIREMENTS

This part of the Proposal must contain a response for each Administrative Requirement identified in Section V.6, Responses to Administrative Requirements, and include the documentation requested. The Bidder must provide a response to each requirement. Instructions for completion of C forms are provided in Section V, AdministrativeRequirements.

Form C1: Administrative Requirements Response Matrix


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Form C2: Subcontractor List

Form C3: Contractor Information, for the Bidder and ALL Subcontractors

Form C4: Payee Data Record – Form STD. 204

Form C5: Bid Certification Form

Form C6: Corporate Experience References

Form C7: Resume Summary Forms

Form C8: Commercially Useful Function Statement

Form C9: Productive Use Customer Reference(s)

Form C10: E-FIS Hardware and Software Proposed

DVBE Participation Form – Form STD. 840 WITH DOLLAR AMOUNTS OBLITERATED

Small Business, TACPA, EEIA, and LAMBRA Bidding Preference forms, if applicable

Proof of Workers’ Compensation Insurance, for the Bidder and ALL Subcontractors

Proof of Bondability, WITH DOLLAR AMOUNTS OBLITERATED, if applicable (refer to Section V.6.20, Payment Milestones)

VIII.2.2.1.5 TAB 4 – RESPONSE TO FUNCTIONAL AND TECHNICAL REQUIREMENTS

This part of the Proposal must contain a response for the functional and technical requirements referenced in Section VI, Functional and Technical Requirements. It may also contain other reference documentation that the Bidder chooses to include that supports statements and information provided in the Bidder’s proposal. Any reference to cost figures in the literature must be replaced with “XXX”. The following sections are mandatory.

Functional and Technical Requirements Response Matrix (refer to Section VI, Functional and Technical Requirements and Appendix E)

Draft Project Management Plan (refer to Appendix E, Section E.1.5, Mandatory Contractor Deliverable Requirements)

Draft System Architecture Design (refer to Appendix E, Section E.1.5, Mandatory Contractor Deliverable Requirements)

Draft Change Leadership Plan (refer to Appendix E, Section E.1.5, Mandatory Contractor Deliverable Requirements)

Draft Training Plan (refer to Appendix E, Section E.1.5, Mandatory Contractor Deliverable Requirements)


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VIII.2.2.2 Volume II – Contract

This volume must contain four (4) copies, each with original signatures, of the contracts contained in Appendix A. Appendix A should be reproduced on single-sided pages.

VIII.2.2.3 Volume III – Cost Proposal

This volume must be submitted in a separate, sealed, and clearly identified envelope or container/carton/box. It will not be opened for evaluation until Volumes I and II of the Proposal have been evaluated and scored as described in Section IX, Evaluation andSelection.

Volume III must contain all completed forms listed below.

Tab 1 – Cost Worksheets

• Form VII-1, Total Cost Summary Worksheet

• Form VII-2, Detailed COTS Software Costs Worksheet

• Form VII-3, System Integrator Implementation and Other One-Time Costs Worksheet

• Form VII-4, DTS Hardware Setup Costs Worksheet

• Form VII-5, COTS Ongoing Licensing and Version Upgrade Costs Worksheet

• Form VII-6, Ongoing DTS Hardware Costs Worksheet

• Form VII-7, Ongoing DTS Software Support Costs Worksheet

• Form VII-8, Bidder Labor Costs Worksheet

• Form VII-9, Post-E-FIS Modules and Licensing Costs Worksheet

Tab 2 – Summary of DVBE Participation with completed cost information

Tab 3 – Small Business Preference Notification, if applicable

Tab 4 – Proof of Bondability with completed cost information, if applicable

VIII.2.2.3.1 TAB 1 – COST WORKSHEETS

Bidders shall present their proposed project prices on the forms listed in this section. If an item has no cost, enter the numeral ‘0’, rather than leaving the item blank. If any character other than a numeral is used (e.g., a dash) or an item is left blank, the cost of the item will be zero. The Cost Worksheets are to be used in the format presented in this section (i.e., do not make any additions, deletions, or changes to the format of the Cost Worksheets).

All of the cost worksheets listed are available in the MS Excel workbook provided.

Form VII-1, Total Cost Summary Worksheet

Form VII-2, Detailed COTS Software Costs Worksheet


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Form VII-3, System Integrator Implementation and Other One-Time Costs Worksheet

Form VII-4, DTS Hardware Setup Costs Worksheet

Form VII-5, COTS Ongoing Licensing and Version Upgrade Costs Worksheet

Form VII-6, Ongoing DTS Hardware Costs Worksheet

Form VII-7, Ongoing DTS Software Support Costs Worksheet

Form VII-8, Bidder Labor Costs Worksheet

Form VII-9, Post-E-FIS Modules and Licensing Cost Worksheet

VIII.2.2.3.2 TAB 2 – SUMMARY OF DVBE PARTICIPATION WITH COMPLETED COST INFORMATION

This tab must include proof of good faith effort to use a DVBE, or a summary of DVBE participation including completed cost information. Refer to Section V.6.1, DisabledVeteran Business Enterprise (DVBE) Participation.

VIII.2.2.3.3 TAB 3 – SMALL BUSINESS PREFERENCE NOTIFICATION

This tab must contain information indicating if the small business preference is being claimed. If claimed, this section must contain a letter requesting the Small Business Preference and, if subcontracting with a small business, the letter must provide or reference proof that the small business is providing a commercially useful function in support of the work related to this procurement and the resulting contract.

The Bidder must also include a copy of the Small Business approval letter from DGS showing the Bidder’s or Subcontractor’s Small Business number, expiration date, and the approved categories of products and services for the small business which is currently in force. Refer to Section V.5, Small Business Preference.

VIII.2.2.3.4 TAB 4 – PROOF OF BONDABILITY WITH COMPLETED COST INFORMATION

This tab must contain a letter indicating proof of Bondability if Payment Option 1 is selected under Administrative Requirement #27. If Payment Option 2 is selected, this section is not applicable. Refer to Section V.6.20, Payment Milestones).

If applicable, the letter must be from an admitted California Surety Insurer and must state that the bonding company will bond the Bidder for the amount of 50% of the Bidder’s proposed total one-time project costs29, if the Bidder is awarded the contracts resulting from this procurement. The Bidder also must submit the terms and conditions associated with the performance bond.



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VIII.2.2.4 Volume IV – Literature

This volume should contain only supporting literature (e.g., manufacturer’s specifications, brochures, product or service descriptions) proposed to support the requirements of this RFP. This volume is suggested but not mandatory. This volume is considered part of the Functional and Technical Requirements review. Therefore, any reference to cost figures in the literature must be replaced with “XXX”.


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SECTION IX – EVALUATION AND SELECTION

IX.EVALUATION AND SELECTION

IX.1.Introduction

This section presents the process the State will follow in evaluating proposals submitted by Bidders in response to this RFP. The evaluation process is multi-step comprised of a thorough review of each proposal to determine the responsible and responsive proposal that is the most value effective for the State. The most value effective proposal is that proposal that meets all requirements set forth in this RFP and offers the State the best combination of value and cost as determined through the evaluation process specified in this section. The process includes reviews of the Draft Proposals, with confidential feedback to each Bidder, followed by a detailed evaluation of Final Proposals. The point structure for evaluation of the final score is 50% technical points for the proposed solution and 50% for cost, with a maximum of 12106 points, prior to applying preferences.

IX.2.Receipt of Proposals

Complete proposals must be delivered by the dates and times specified in Section I.5, Key ActionDates. Each proposal will be date and time marked as it is received and verified that all responses are submitted under an appropriate cover, sealed and properly identified. Proposals must meet all requirements specified in Section VIII, Proposal Format, and, if not, may be rejected and deemed non-responsive.

IX.3.State Evaluation Team

The State will establish a State Evaluation Team comprised of individuals selected from State management and staff that will be responsible for the review and evaluation of Bidder proposals. A representative from the Department of General Services (DGS) will provide guidance and oversight for the evaluation process. The State may engage additional qualified individuals, termed “Subject Matter Experts” (SMEs) during the evaluation process to assist the State Evaluation Team in gaining a better understanding of technical, financial, legal, contractual, project or program issues. The SMEs will not have voting privileges or responsibility for the evaluation process. The State Evaluation Team will use consensus to determine pass/fail and to arrive at evaluation scores for each proposal.

IX.4.Review of Draft Proposals

The Bidders’ Draft Proposals will be reviewed by the State Evaluation Team to identify and document areas in which a proposal appears to be non-responsive or defective, requires additional clarification, demonstrates lack of responsibility, or introduces unacceptable risk. The review will address each Bidder’s response to the following:

• Section V, Administrative Requirements

• Section VIII, Proposal Format

• Appendix E, Detailed Functional and Technical Requirements


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The State Evaluation Team, or member designees from within the team, may meet with each Bidder to discuss the Bidder’s Draft Proposal. These confidential discussions will allow the Bidder to request clarification or ask questions specific to its proposed solution without having to share those questions with the other participating Bidders, thus protecting the confidential nature of each unique solution.

Prior to each confidential discussion, the State Evaluation Team (or member designees) and the Bidder will jointly contribute to the development of a discussion agenda. The State Evaluation Team will provide the Bidder with a tentative agenda of items to be discussed and ask the Bidder to identify additional questions or discussion items to be added to the agenda. The Bidder should bring to the confidential discussion persons who can answer questions, provide clarification, and address reservations the State may have.

The State Evaluation Team will not request changes or make counter proposals during discussion of Draft Proposals. It will only identify its concerns, ask the Bidder for clarification, and express reservations if a requirement of the RFP is not, in the opinion of the State Evaluation Team, appropriately satisfied. The State admonishes Bidders that its review of Draft Proposals shall in no way imply a warranty that all potential defects in the Draft Proposals have been detected. Notification that the State did not detect any defects does not preclude rejection of the Final Proposal if defects are later found.

Oral communications are not binding on either party and only written communications are considered to be official. The State Evaluation Team may identify issues/concerns in regards to the Draft Proposal. The Bidder will be informed of the State Evaluation Team’s concerns and any non-responsive proposals items during the confidential discussions. Refer to Exhibit II-B, Competitive Bidding and Proposal Responsiveness, located at the end of Section II, for a description of responsiveness.

The State reserves the right to make a final determination with respect to the Bidder’s resolution of defects.

IX.5.Evaluation of Final Proposals

The evaluation of Final Proposals will consist of the following steps.

IX.5.1.Proposal Submission Requirements Review (Pass/Fail)

The Bidder will be given a “pass” score if the required information is included in the proposal and it meets the requirement(s) of this RFP, and a “fail” score if the required information does not meet the requirements of this RFP, is incomplete, or is missing. If a proposal fails to meet any of the submission requirements in Section VIII.2.2, Final Proposal Format and Content, the State Evaluation Team will determine if the deviation is material. If the deviation is determined to be material, the proposal will be considered non-responsive and excluded from further consideration.

IX.5.2.Administrative Requirements Review (Pass/Fail)

The Bidder will be given a “pass” score if the required information is included in the proposal and it meets the requirement(s) of this RFP, and a “fail” score if the required information does


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not meet the requirements of this RFP, is incomplete or missing. If a proposal fails to meet any of the Administrative Requirements in Section V, Administrative Requirements, the State Evaluation Team will determine if the deviation is material. If the deviation is determined to be material, the proposal will be considered non-responsive and excluded from further consideration.

IX.5.2.1 Corporate Experience Review

Failure to provide verifiable references may cause the Proposal to be rejected. The purpose of the Corporate Experience Reference requirement is to provide the State the ability to assess the Bidder’s prior record and experience in providing similar or relevant services to other organizations. All references must be specific to the services proposed for this project. References must include the information specified on Appendix C, Form C6.

The descriptions of these projects must be detailed and comprehensive enough to permit the State to assess the similarity of those projects to the work anticipated in the award of the contracts resulting from this procurement. The State’s determination of similarity of the projects included as references to the project specified in this RFP, for the purposes of this RFP, shall be final.

During the evaluation and selection process, the State may contact the specified references and may contact any other customers or references that may have become known to the State through any source. Negative feedback provide by a reference may cause a Bidder’s proposal to be rejected.

IX.5.3.Functional and Technical Requirements Response Review (Pass/Fail)

Response to all Functional and Technical Requirements referenced in Section VI is mandatory. A pass/fail evaluation will be used for written proposal responses to substantiate that the Functional and Technical Requirements Responses are responsive (refer to Exhibit II-B, Competitive Bidding and Proposal Responsiveness, located at the end of Section II, for a description of responsiveness).

If the Bidder does not agree to provide every mandatory requirement, the proposal will be given a “fail” score and considered non-responsive. No further evaluation will be performed. If the Bidder’s proposed solution for a mandatory requirement is included but, in the opinion of the State Evaluation Team, fails to adequately meet the requirement, the State Evaluation Team will determine if it is a material deviation. If the deviation is determined to be material, the proposal will be considered non-responsive and excluded from further consideration.

IX.5.4.Evaluation Factors Assessment Scoring

Proposals that comply with the mandatory “pass/fail” evaluation elements discussed above will then move to the factor assessment portion of the evaluation and be scored by the State Evaluation Team. The maximum score possible for a single proposal prior to the assessment of preferences is 12106 points (6053 points maximum for the Requirements Assessment and 6053 points for the Cost Assessment), which will be awarded based on a consensus of the State Evaluation Team. The scoring model to assess Bidder proposals was developed in adherence to the business objectives and the overall goals of the project.


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The scoring model includes a point structure for each evaluation factor. The State Evaluation Team will evaluate if the proposal fully addresses the evaluation factor, partially addresses the evaluation factor, or does not address the evaluation factor. Points will be awarded accordingly.

IX.5.4.1 Requirements Assessment

The State Evaluation Team will award to each Bidder up to the maximum number of points for each evaluation factor based on the Team’s assessment of the Bidder’s proposal. Each Bidder’s individual evaluation factor points will be combined to obtain their total Requirements Assessment score. Written proposal responses will be evaluated to determine the level of responsiveness to the business solution requirements referenced in Section VI, Functional and Technical Requirements.

Proposals that fail to earn 50% or more of the maximum points possible for any evaluation factor30 of the Requirements Assessment, excluding the Desirable Requirements, will be considered non-responsive and excluded from further consideration.

The following is an example scoring scenario depicting three bidders.

Table 9. Scoring Scenario Example

BIDDER REQUIREMENTS ASSESSMENT SCORES BY REQUIREMENT SEGMENT

TOTAL POINTS

POSSIBLE

TOTAL EVALUATION

FACTOR ASSESSMENT

SCORE

POINTS AWARDED

A Draft Project Management Plan 1440 200 0*Draft Project Management Plan score is

sub-50% threshold

Draft System Architecture Design 2880 1520 0Draft Change Leadership Plan 400 160 0Draft Training Plan 400 160 0E-FIS Desirable Requirements 848 120 0Post-E-FIS Desirable Requirements 85 16 0Total for Bidder A 6053 2176 0

B Draft Project Management Plan 1440 1280 1280Draft System Architecture Design 2880 2640 2640Draft Change Leadership Plan 400 320 320Draft Training Plan 400 320 320

30 Evaluation factors of the Requirements Assessment include the Draft Project Management Plan, Draft System Architecture Design, Draft Change Leadership Plan and the Draft Training Plan.


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BIDDER REQUIREMENTS ASSESSMENT SCORES BY REQUIREMENT SEGMENT

TOTAL POINTS

POSSIBLE

TOTAL EVALUATION

FACTOR ASSESSMENT

SCORE

POINTS AWARDED

E-FIS Desirable Requirements 848 480 480Post-E-FIS Desirable Requirements 85 48 48Total for Bidder B 6053 5088 5088

C Draft Project Management Plan 1440 1320 1320Draft System Architecture Design 2880 1560 1560Draft Change Leadership Plan 400 280 280Draft Training Plan 400 240 240E-FIS Desirable Requirements 848 240 240Post-E-FIS Desirable Requirements 85 40 40Total for Bidder C 6053 3680 3680

D Draft Project Management Plan 1440 1280 1280Draft System Architecture Design 2880 2232 2232Draft Change Leadership Plan 400 360 360Draft Training Plan 400 304 304E-FIS Desirable Requirements 848 560 56Post-E-FIS Desirable Requirements 85 48 48Total for Bidder D 6053 4784 4784

* This proposal would be excluded from further consideration because the score for the Draft Project Management Plan does not reach the 50% threshold.

The evaluation factors that will be considered are listed on the following pages. The maximum score that is allowed for each factor is shown in parentheses. The Bidder should ensure that the proposed approach to each component identified in Appendix E, Detailed Functional and Technical Requirements, meets the RFP requirements.

IX.5.4.1.1DRAFT PROJECT MANAGEMENT PLAN (MAXIMUM SCORE = 1440 POINTS)

Scoring of the Draft Project Management Plan includes an assessment of how the Bidder will manage their efforts on the E-FIS project. The Draft Project Management Plan will be assessed and scored based on the Bidder’s description of the following components. If a proposal merits less than 720 points for this evaluation factor, it will be considered non-responsive.

1. Proposed Project Management Approach and Methodology

2. Proposed Project Schedule, including detailed tasks, start/end dates, durations, milestones, resources, dependencies and critical path

3. Approach to Project Deliverables


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4. Proposed Organization, Roles and Responsibilities, and Staff Management Approach

5. Development Process Model and Methodology, including tools and techniques for configuring/customizing the COTS products

6. Issue Resolution Approach

7. Communication Plan

8. Schedule Management Plan

9. Quality Control Plan

10. Document Management Plan

11. Risk Management Plan

12. Configuration Management Plan

IX.5.4.1.2DRAFT SYSTEM ARCHITECTURE DESIGN (MAXIMUM SCORE = 2880 POINTS)

Scoring of the Draft System Architecture Design includes an assessment of the proposed technical architectural solution and the approach to integrating the various components and existing systems. The System Architecture Design will be assessed and scored based on the Bidder’s description of the following components. If a proposal merits less than 1440 points for this evaluation factor, it will be considered non-responsive.

1. Description of the Proposed Hardware

2. Description of the Proposed Software, including each module/component and what functions/requirements they address

3. Proposed Technical and Application Architecture

4. Network and Communication Interfaces

5. Topology Diagram(s)

6. Data Flow Diagram(s)

7. Security Architecture

8. Description of Capacity and Performance Modeling for E-FIS

IX.5.4.1.3DRAFT CHANGE LEADERSHIP PLAN (MAXIMUM SCORE = 400 POINTS)

Scoring of the Draft Change Leadership Plan includes an assessment of the Bidder’s approach to helping Caltrans staff prepare for the change to the new system and the changes in business processes. The Draft Change Leadership Plan will be assessed and scored based on the Bidder’s description of the following components. If a proposal merits less than 200 points for this evaluation factor, it will be considered non-responsive.

1. Strategy and Goals for Change Leadership for the E-FIS System


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2. Approach to Assessing Caltrans’ Specific Needs and Challenges

3. Approach to Training and Mentoring the Caltrans Change Representatives on Change Leadership Activities and Communications

4. Approach to Preparing Caltrans Users for the New Business Processes

5. Change Leadership Communication Plan, discussing specific communications to be performed

6. Approach to Monitoring the Effectiveness of the Change Leadership Activities

7. Proposed Change Leadership Roles and Responsibilities for both Contractor and Caltrans Staff

8. Examples from Prior Projects of Change Leadership Communication Plans, Strategies, and Communications

IX.5.4.1.4DRAFT TRAINING PLAN (MAXIMUM SCORE = 400 POINTS)

Scoring of the Draft Training Plan includes an assessment of the Bidder’s approach to training Caltrans trainers and technical staff on the operation and maintenance of the system and business processes. The Draft Training Plan will be assessed and scored based on the Bidder’s description of the following components. If a proposal merits less than 200 points for this evaluation factor, it will be considered non-responsive.

1. Approach to Training Caltrans Trainers (Train-the-Trainer Training)

2. Approach to Direct Delivery Training of Caltrans End User and Technical Staff

3. Specific Course Curriculums and Descriptions

4. Training Equipment Needs

5. Strategy for Knowledge Transfer to Technical Staff

6. Proposed Training Schedule

IX.5.4.1.5E-FIS DESIRABLE REQUIREMENTS (MAXIMUM SCORE = 848 POINTS)

The Desirable Requirements will be assessed and scored based on the Bidder’s ability to meet the requirements referenced as “desirable” in Section VI, Functional and TechnicalRequirements, and their ability to describe how the function or requirement will be met. The points available for each desirable requirement are provided in Section V.6.6, Bidder Corporate References and Capability; and Appendix E, Section E.1.4, Mandatory Contractor Key Personnel Staffing Requirements31, Section E.2.1, Desirable E-FIS Functional Requirements, and Section E.2.2, Desirable Technical Requirements.

31 Note that the desirable Contractor Key Personnel Staffing requirements are listed within each mandatory staffing requirement.


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If the Bidder agrees to meet the desirable requirement, and if the State Evaluation Team agrees the description substantiates that the requirement can be met, then the Bidder will receive the full points available for the desirable requirement.

IX.5.4.1.6POST-E-FIS DESIRABLE REQUIREMENTS (MAXIMUM SCORE = 85 POINTS)

The Post-E-FIS Desirable Requirements will be assessed and scored based on the Bidder’s ability to meet the requirements referenced as “desirable” in Section VI, Functional andTechnical Requirements, and their ability to describe and show how the function or requirement will be met, either “out of the box” or through customization. The points available for each desirable requirement are provided in Appendix E, Section E.2.3, Desirable Post-E-FIS Functional Requirements.

If the Bidder agrees to meet the Post-E-FIS desirable requirement and the requirement can be met “out of the box” (i.e., without additional programming), and if the State Evaluation Team agrees the description substantiates and the demonstration (if required) substantiates that the requirement can be met “out of the box”, then the Bidder will receive the full points available for the desirable requirement.

If the Bidder is required to demonstrate a requirement and cannot demonstrate how the desirable requirement will be met “out of the box” (i.e., without additional programming), in the opinion of the State Evaluation Team, then the Bidder will receive half of the available points for the Post-E-FIS desirable requirement.

If the Bidder agrees to meet the Post-E-FIS desirable requirement and the requirement can be met through customization (i.e., through additional programming), and if the State Evaluation Team agrees the description substantiates that the requirement can be met through customization, then the Bidder will receive half of the available points for the Post-E-FIS desirable requirement.

IX.5.4.2 Cost Assessment

Sealed Cost Proposals will not be opened until the State Evaluation Team has completed the previous steps in the evaluation process. If a Bidder’s proposal has been determined to be non-responsive during any of the earlier steps, its Cost Proposal will remain unopened.

The Cost Assessment consists of a computation of the “Total Solution Cost”. Determination of the cost of each Bidder’s proposal will be based on an assessment of the total cost of the proposed solution, including the sum of the hardware and software costs, implementation costs, version and upgrade costs, estimated labor costs and post-E-FIS modules cost for the contracts. The maximum number of points that can be awarded for the Cost Assessment score is 6053.

The Cost score of each Bidder’s Final Proposal will be determined after any adjustments have been made, any errors corrected, and consideration of the TACPA, EEIA and LAMBRA Bidding Preferences, if applicable. Preferences for TACPA, EEIA, and LAMBRA shall not exceed $100,000.


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IX.5.4.2.1TOTAL SOLUTION COST (MAXIMUM SCORE = 6053 POINTS)

The maximum number of points that can be awarded for the Total Solution Cost assessment is 6053. Each Bidder’s cost score will be based on the ratio of its total cost to the total cost associated with the lowest responsive proposal multiplied by the maximum number of cost points (6053), as shown.

Lowest Cost Assessment x 6053 = Bidder Cost ScoreBidder Cost Assessment

Table 10. Total Solution Cost Evaluation and Scoring Methodology Example

BIDDER TOTAL COST CALCULATION COST POINTS AWARDED

A Cost Proposal not opened as Requirements Assessment was not passed.

B $1,500,000 $1,000,000 x 6053 $1,000,000

6053

C $1,000,000 $1,000,000 x 6053 $1,575,000

3843

D $1,100,000 $1,000,000 x 6053 $1,103,650

5485

NOTE: The Bidder costs presented here are not meant to be suggestive or prescriptive in regard to the bids for this project. They serve only to demonstrate how the calculations will be performed.

IX.5.5.Summary of Overall Evaluation Scoring Process

Table 11 provides a summary of the evaluation process and demonstrates how the State Evaluation team will score each Bidder’s Final Proposal.

Table 11. Summary of Scoring Process

EVALUATION COMPONENTS MAXIMUM SCORE

BIDDER’S SCORE

SUBMISSION REQUIREMENTS REVIEWSection VIII, Proposal FormatAll Submission Requirements met?

If Pass, continue; Otherwise, stop at this pointN/A Pass/Fail

ADMINISTRATIVE REQUIREMENTS REVIEWSection V, Administrative RequirementsAll Administrative Requirements met?

If Pass, continue; Otherwise, stop at this pointN/A Pass/Fail

FUNCTIONAL AND TECHNICAL REQUIREMENTS RESPONSE REVIEWSection VI, Functional and Technical Requirements and Appendix E


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EVALUATION COMPONENTS MAXIMUM SCORE

BIDDER’S SCORE

Bidder agrees to provide each mandatory requirement?If Pass, continue; Otherwise, stop at this point

N/A Pass/Fail

REQUIREMENTS ASSESSMENT REVIEWTotal Points Available = 6053

Draft Project Management Plan 1440Draft System Architecture Design 2880Draft Change Leadership Plan 400Draft Training Plan 400E-FIS Desirable Requirements 848Post-E-FIS Desirable Requirements 85

COST ASSESSMENT REVIEWTotal Points Available = 6053

Total Solution Cost (Appendix B) 6053TOTAL POINTS AVAILABLE 12106

IX.5.6.Preference Programs

All pertinent preferences will be applied to the applicable evaluation criteria before selection is announced. The Small Business Preference will be applied as required by law.

For bidders that are found responsible and responsive to the proposal requirements, the cost adjustments for preference claims for TACPA, EEIA, and LAMBRA will be performed during the cost assessment.

IX.5.6.1 California Certified Small Business Preference

The Small Business participation incentives will be applied after the points for cost have been calculated.

Per Government Code, Section 14835, et seq., Bidders who qualify as a California certified small business and bidders that commit to using California certified small business subcontractors for 25% or more of the value of the contracts will be given a five percent (5%) preference for contract evaluation purposes only. The five percent preference is calculated based on the total number of points awarded to the highest scoring non-small business that is responsible and responsive to the proposal requirements. If after applying the small business preference, a small business has the highest score, no further preferences will be applied, as the small business cannot be displaced from the highest score position by application of any other preference. The rules and regulation of this law, including a definition of a California certified small business for the delivery of goods and services are contained in the California Code of Regulations, Title 2, Section 1896, et seq., and can be viewed online at www.pd.dgs.ca.gov/smbus.



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IX.5.6.2 Disabled Veteran Business Enterprise (DVBE) Preference

The DVBE participation incentives will be applied after the points for cost have been calculated.

In accordance with Section 999.5(a) of the Military and Veterans Code, an incentive will be given to bidders who provide California certified Disabled Veteran Business Enterprises (DVBE) participation. For contracts award evaluation purposes only, the State shall apply an incentive to proposals that include California certified DVBE participation. The maximum incentive for this procurement is 10% of the highest total earned non-technical and cost points, and is based on the amount of DVBE participation obtained, according to Table 12.

Table 12. Confirmed DVBE Participation Incentive

CONFIRMED DVBE PARTICIPATION OF:

DVBE INCENTIVE

PERCENTAGE

DVBE INCENTIVE POINTS

More than 3% 10% 6052% or more, but less than 3% 5% 3031% or more, but less than 2% 3% 182Less than 1% 0% 0

The DVBE Incentive percentage is applied to non-technical and cost points earned by the Bidder. For this RFP, all scored requirements are considered technical requirements as each measures the Bidder’s technical ability to deliver the desired services. Since administrative requirements are scored only as Pass/Fail, the DVBE incentive percentage is applied only to the cost score points. Table 13 and Table 14 illustrate how DVBE incentives and the Small Business Preferences would be applied.

IX.5.6.3 Small Business Preference Example

In the example, Bidder A was not responsive to the mandatory requirements of the RFP. Bidder B initially has the most technical points (5088). Bidder C is a California certified small business. Bidder D is a non-small business that is using California certified small businesses to perform work that amounts to 25% of the value of the contracts. Bidder C earns the five percent (5%) small business preference, which is applied to the total “earned” points (accumulated technical, non-technical, and cost points, prior to incentives and preferences). Bidder D earns the five percent (5%) small business preference which is applied to the total “earned” points, to yield an overall point total of 10826.

Table 13. Example of Bidder Points with Small Business Applied

# SCORING STEP BIDDER A BIDDER B BIDDER C BIDDER D1.

Meets Small Business Requirement?

No No Yes Yes

2 Technical Requirements Score 0 5088 3680 4784


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# SCORING STEP BIDDER A BIDDER B BIDDER C BIDDER D

3.

Cost Points 0 6053 3843 5485

4.

Non-Technical Points (none for this procurement)

0 0 0 0

5.

The Bid that has the Total Combined Highest Cost and Non-Technical Points (row 3 + row 4)

X

6.

Total Points Score before any Incentives(row 2 + row 3 + row 4)

0 11141 7523 10269

7.

Small Business Preference((highest points from row 6 that is not a small business) * 5%)

0 0 (11141* 0.05) =

557

(11141 * 0.05) = 557

8.

Total Points with Small Business Preference (row 6 + row 7)

0 11141 8080 10826

In this example, Bidder B would receive the award by having 11141 points.

IX.5.6.4 DVBE Preference Example

Table 14 illustrates how DVBE incentives and Small Business Preferences would be applied in a slightly difference scenario. In this example, Bidder B initially has the most points (11141 total technical and cost points). Bidder C is a California certified small business. Bidder D is a non-small business that is using California certified small businesses to perform work that amounts to 25% of the value of the contract. As a small business, Bidder C earns the five percent (5%) small business preference, which is applied to the total “earned” points (accumulated technical, non-technical and cost points, prior to incentives and preferences). As a large business using California certified small businesses to perform work that amounts to 25% of the value of the contract, Bidder D earns the 5% small business preference which is applied to the total “earned” points also. Bidder B earns 182 DVBE preference points. Bidder D earns 605 DVBE preference points and has the highest total points (11431) after applying the small business and DVBE incentives.

Table 14. Example of Bidder Points with Small Business and DVBE Incentives Applied

# SCORING STEP BIDDER A BIDDER B BIDDER C BIDDER D1.

Meets Small Business Requirement?

No No Yes Yes

2.

Technical Requirements Score 0 5088 3680 4784

3 Cost Points 0 6053 3843 5485


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# SCORING STEP BIDDER A BIDDER B BIDDER C BIDDER D

4.

Non-Technical Points (none for this procurement)

0 0 0 0

5.

The Bid that has the Total Combined Highest Cost and Non-Technical Points (row 3 + row 4)

X

6.

Total Points Score before any Incentives(row 2 + row 3 + row 4)

0 11141 7523 10269

7.

Small Business Preference((highest points from row 6 that is not a small business) * 5%)

0 0 (11141 * 0.05) =

557

(11141 * 0.05) = 557

8.

Total Points with Small Business Preference (row 6 + row 7)

0 11141 8080 10826

9.

DVBE Incentive 0 1% 0 5%

10.

DVBE Incentive Points from Table 12

0 182 0 605

11.

Total Points for Evaluation Purposes Only (row 8 + row 10)

0 11323 8080 11431

In the example, Bidder D would have the highest number of points (11431) and would receive the award.

IX.6.Selection of Contractor

The State Evaluation Team will determine which Bidder proposals are responsive and responsible. From these Bidders, the State Evaluation Team will determine which Bidder has the highest combined score for cost and evaluation factors, up to a maximum of 12106 points.

Table 15 provides an example of how the final total score is determined. In the example below, Bidder B is a large business, Bidder C is a certified California Small Business and Bidder D is a large business committing to using California certified small businesses to perform work that amounts to 25% of the value of the contract.


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Table 15. Contractor Selection Example

BIDDER REQUIREMENTS ASSESSMENT POINTS

(X)

COST POINTS

(Y)

TOTAL POINTS (X+Y)

SMALL BUSINESS PREFERENCE

(Z * 0.05)

DVBE INCENTIVE

TOTAL SCORE

A 0 0 0 0 0 0B 5088 6053 11141 0 182 11323C 3680 3843 8080 557 0 8080D 4784 5485 10269 557 605 11431

Where Z = the highest total point score among the bidders – in this case, 11141 (Bidder B).


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APPENDICES

APPENDICES


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APPENDIX A – CONTRACT TERMS AND CONDITIONS

APPENDIX A - CONTRACT TERMS AND CONDITIONS

March 5, 2007 1 Addendum 4

STATE OF CALIFORNIA

STANDARD AGREEMENT STD. 213 (NEW 06/03)

FOR I.T. GOODS/SERVICES ONLYREGISTRATION NUMBER

PURCHASING AUTHORITY NUMBER AGREEMENT NUMBER

1. This Agreement is entered into between the State Agency and the Contractor named below

STATE AGENCY’S NAME

Department of Transportation (hereafter called State)CONTRACTOR’S NAME

(hereafter called Contractor)2. The term of this

Agreement is: through 3. The maximum amount

of this Agreement is: $

4. The parties agree to comply with the terms and conditions of the following attachments which are by this reference made a part of the Agreement:

Attachment A – Statement of Work for Development and Implementation Pages

Attachment B – Response to RFP DOT 2660-416 (Volumes I and II) Pages

Attachment C* - IT General Provisions (Revised and Effective 06/21/2006)

Attachment D* - IT Purchase Special Provisions (dated 01/21/03)

Attachment E* - IT Maintenance Special Provisions (dated 01/21/03)

Attachment F* - IT Software License Special Provisions (dated 01/21/03)

Attachment G* - IT Personal Special Provisions (dated 01/21/03)

Items shown with the Asterisk (*), are hereby incorporated by reference and made part of this agreement as if attached hereto. These documents can be viewed at http://www.pd.dgs.ca.gov/modellang/ModelContracts.htm and http://www.pd.dgs.ca.gov/modellang/ITModules.htm

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

CONTRACTOR Department of General Services

Use OnlyCONTRACTOR’S NAME (If other than an individual, state whether a corporation, partnership, etc.)

BY (Authorized Signature) DATE SIGNED PRINTED NAME AND TITLE OF PERSON SIGNING ADDRESS

STATE OF CALIFORNIA

AGENCY NAME

Department of TransportationBY (Authorized Signature) DATE SIGNED

PRINTED NAME AND TITLE OF PERSON SIGNING

ADDRESSExempt per

STANDARD AGREEMENT

http://www.pd.dgs.ca.gov/modellang/ITModules.htm

http://www.pd.dgs.ca.gov/modellang/ModelContracts.htm

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Attachment A – Statement of Work for Development and Implementation

This Statement of Work describes the responsibilities and requirements for the Caltrans Integrated Financial Management System (IFMS) Enterprise Resources Planning (ERP) Financial Infrastructure (E-FIS) project Development and Implementation contract. This contract includes the purchase of the COTS software, product licensing and version upgrades during the development and implementation period, and the system integration and implementation services necessary to configure/customize and deploy the E-FIS system.

A.1 Responsibilities

The Contractor shall be responsible for:

• Designing, configuring/customizing, and implementing the COTS software packages to fulfill the E-FIS Functional and Technical Requirements.

• Working with Caltrans and DTS to configure the hardware to support the various system environments, including the development, test, training and production environments, including implementing appropriate security measures in compliance with DTS and Caltrans security policies.

• Managing and maintaining the various system environments until the successful completion of the E-FIS Production Acceptance Period.

• Obtaining and delivering the required COTS software as specified by Form C10: E-FIS Hardware and Software Proposed.

• Producing and delivering the required deliverable documents and software, as described in the E-FIS Contractor Deliverable Requirements.

• Performing the required system integrator and implementation services as described in the E-FIS System Integration and Implementation Requirements.

• Supplying and managing qualified staff and/or subcontractors to design, configure/customize and successfully implement the E-FIS system in accordance with the E-FIS Contractor Key Staffing Requirements.

• Complying with the Administrative Requirements of this RFP.

Caltrans shall be responsible for:

• Working with the Contractor and DTS to configure the hardware to support the various system environments, including the development, test, training and production environments, including implementing appropriate security measures in compliance with DTS and Caltrans security policies.

• Providing subject matter experts to provide the Contractor with information and expertise on current processes and requirements, and to assist with answering questions and gathering information.

• Working with the Contractor to facilitate knowledge transfer.

• Reviewing and approving all contractor deliverables.


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• Managing the contract and overall E-FIS project efforts.

The Department of Technology Services (DTS) shall be responsible for:

• Obtaining and maintaining the hardware specified by the Bidder.

• Working with Caltrans and the Contractor to configure the hardware to support the various system environments, including the development, test, training and production environments, including implementing appropriate security measures in compliance with DTS and Caltrans security policies.

A.2 Requirements

The following items will be attached to, and become part of, the Statement of Work when the Contracts are awarded (the State will assemble Attachment A):

A.2.1 RFP, Section V: Form C1, Administrative Requirements Response Matrix

A.2.2 RFP, Appendix E: Detailed Functional and Technical Requirements Matrix

A.3 Contract Payment Provisions


A.3.1 Payment Terms and Conditions

A.3.2 Cost Workbook

A.3.3 Form C10: E-FIS Hardware and Software Proposed

A.3.4 Form C2: Subcontractor List


STATE OF CALIFORNIA

STANDARD AGREEMENT STD. 213 (NEW 06/03)

FOR I.T. GOODS/SERVICES ONLYREGISTRATION NUMBER

PURCHASING AUTHORITY NUMBER AGREEMENT NUMBER

1. This Agreement is entered into between the State Agency and the Contractor named below

STATE AGENCY’S NAME

Department of Transportation (hereafter called State)CONTRACTOR’S NAME

(hereafter called Contractor)2. The term of this

Agreement is: through 3. The maximum amount

of this Agreement is: $

4. The parties agree to comply with the terms and conditions of the following attachments which are by this reference made a part of the Agreement:

Attachment A – Statement of Work for Product Licensing and Version Upgrades Pages

Attachment B – Response to RFP DOT 2660-416 (Volumes I and II) Pages

Attachment C* - IT General Provisions (Revised and Effective 06/21/2006)

Attachment D* - IT Purchase Special Provisions (dated 01/21/03)

Attachment E* - IT Maintenance Special Provisions (dated 01/21/03)

Attachment F* - IT Software License Special Provisions (dated 01/21/03)

Attachment G* - IT Personal Special Provisions (dated 01/21/03)

Items shown with the Asterisk (*), are hereby incorporated by reference and made part of this agreement as if attached hereto. These documents can be viewed at http://www.pd.dgs.ca.gov/modellang/ModelContracts.htm and http://www.pd.dgs.ca.gov/modellang/ITModules.htm

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

CONTRACTOR Department of General Services

Use OnlyCONTRACTOR’S NAME (If other than an individual, state whether a corporation, partnership, etc.)

BY (Authorized Signature) DATE SIGNED PRINTED NAME AND TITLE OF PERSON SIGNING ADDRESS

STATE OF CALIFORNIA

AGENCY NAME

Department of TransportationBY (Authorized Signature) DATE SIGNED

PRINTED NAME AND TITLE OF PERSON SIGNING

ADDRESSExempt per

STANDARD AGREEMENT

http://www.pd.dgs.ca.gov/modellang/ITModules.htm

http://www.pd.dgs.ca.gov/modellang/ModelContracts.htm

RFP DOT 2660-416



Attachment A – Statement of Work for Product Licensing and Support

This Statement of Work describes the responsibilities and requirements for the Caltrans Integrated Financial Management System (IFMS) Enterprise Resources Planning (ERP) Financial Infrastructure (E-FIS) project Product Licensing and Support contract. This contract includes the purchase of the ongoing COTS software product licensing and version upgrades, and if requested by the State, the purchase of Post-E-FIS COTS software products/modules and licenses.

A.1 Responsibilities

The Contractor shall be responsible for:

• Providing the required COTS software product licenses and version upgrades for the products specified by Form C10: E-FIS Hardware and Software Proposed for the base period of the contract, and for up to two (2) one-year options, if the options are exercised by the State.

• If requested by the State, providing the selected Post-E-FIS modules and licenses as specified by Form C10: E-FIS Hardware and Software Proposed.

Caltrans shall be responsible for:

• Working with DTS to support the various system environments, including the development, test, training and production environments, including implementing appropriate security measures in compliance with DTS and Caltrans security policies.

• Operating and maintaining the E-FIS system, including performing software maintenance, applying patches and installing version upgrades.

The Department of Technology Services (DTS) shall be responsible for:

• Maintaining the hardware required to implement, test and operate the E-FIS system.

• Working with Caltrans to support the various system environments, including the development, test, training and production environments, including implementing appropriate security measures in compliance with DTS and Caltrans security policies.

A.2 Requirements


A.2.1 RFP, Section V: Form C1, Administrative Requirements Response Matrix

A.2.2 RFP, Appendix E: Detailed Functional and Technical Requirements Matrix

A.3 Contract Payment Provisions


A.3.1 Payment Terms and Conditions

A.3.2 Cost Workbook

A.3.3 Contract Extension Options


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APPENDIX B – COST WORKBOOK

APPENDIX B - COST WORKBOOK


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Form VII-1 - Total Cost Summary Worksheet

COST CATEGORY SUMMARY COSTOne-Time Costs

VII-2 - Detailed COTS Software CostsVII-3 - System Integrator Implementation and Other One-Time Costs -$

Contractor One-Time Costs Subtotal -$ VII-4 - DTS Hardware Setup Costs -$

One-Time Costs Subtotal -$ On-Going Costs

VII-5 - COTS Ongoing Licensing and Version Upgrade Costs -$ VII-6 - Ongoing DTS Hardware Costs -$ VII-7 - Ongoing DTS Software Support Costs -$

On-Going Costs Subtotal -$ Other Costs

VII-8 - Bidder Labor Costs -$ VII-9 - Post-E-FIS Modules and Licensing Costs -$

Other Costs Subtotal -$ Grand Total -$

The following table is applicable, only if Option 1 (progress payments and performance bond) was selectedPAYMENT MILESTONE COST

1 - Completion of Project Initiation -$ 2 - Completion of Requirements Analysis and Validation -$ 3 - Delivery and Successful Installation of COTS Software -$ 4 - Completion of Design and Configuration -$ 5 - Successful Completion of User Acceptance Testing -$ 6 - Successful Completion of Deployment -$ 7 - Final Acceptance of the System and Completion of the Production Acceptance Period (release of Contract Holdback) -$

Total -$


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APPENDIX B – COST WORKBOOKForm VII-2 - Detailed COTS Software Costs

Item/Module DescriptionVersion /

SpecificationsPurchase

Price Tax DeliveryInstallation

Charge Total Unit Cost Quantity NeededTotal Item Cost (Unit

Cost x Quantity)-$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$

Total -$

Item/Module DescriptionVersion /

SpecificationsLicensing

Model *

Unit Cost per License (based

on license model)

Number of Servers/ Machine

Licenses (if licensed by

server)

Estimated Number of Users (For Evaluation Purposes

Only)** Base Year 1 CostBase Year 2

CostTotal Licensing

Costs0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$ 0 0 -$

Total -$

*For example, per seat, per server, view only, developer license Grand Total -$

** For estimated number of users, use the following table

Type of User Named UsersConcurrent

UsersERP Users 7,500 500Data Warehouse Users 12,000 1,500Developers/Administrators 60 30Testers 100 50


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Form VII-3 - System Integrator Implementation and Other One-Time Costs

Item Description Estimated Staff Hours Total Item CostRequirements Analysis/ValidationBusiness Process OptimizationProcess and Solution Design/Technical Architecture DesignDatabase and Reporting DesignSystem DesignProduction Environment Deployment PlanningDevelopment/Configuration of Software FunctionalityInterface DevelopmentExtract-Transform-Load Data to DW/Batch InterfacesReport DevelopmentTestingTrain Caltrans Trainers (Train-the-Trainer Training)Train Caltrans IT Staff / Knowledge TransferConversion to ERPCovert Legacy System Data to DWTrain Remaining Caltrans StaffDeploy Solution to All OfficesChange ManagementFinal AcceptanceOther: (describe)

Total 0 -$

Form VII-4 DTS Hardware Setup Costs

Refer to the DTS Rates Schedule for supported hardware configurations and setup fees.

Item Description Model / Configuration Setup CostQuantity Needed

Total Item Cost (Unit Cost x Quantity)

-$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$

Total Cost is the Monthly Cost x ((base contract years + optional years) *months per year)


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Form VII-5 - COTS Ongoing Licensing and Version Upgrades Costs

Item/Module Description

Base Year 3

Cost1 Base Year 4

CostOptional

Year 1 CostOptional

Year 2 CostTotal Cost (Base Years +

Optional Years)-$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$

Total -$

1COTS Ongoing Licensing and Version Upgrades Costs for Base Years 1 and 2 must be included in One-Time Costs on Form VII-2, Detailed COTS Software Costs

Form VII-6 Ongoing DTS Hardware Costs

Refer to the DTS Rates Schedule for supported hardware configurations

Item Description Model / Configuration Monthly CostTotal Cost

(Monthly Cost * (6*12))Quantity Needed

Total Item Cost (Unit Cost x Quantity)

0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$

-$ Total Cost is the Monthly Cost x ((base contract years + optional years) *months per year)


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Form VII-7 - Ongoing DTS Software Support Costs

If proposing WebSphere or IHS/Apache products, complete the application service support costs based on DTS' rate schedule.

Item DescriptionMonthly

CostTotal Cost

(Monthly Cost * (6*12))Quantity Needed

Total Cost (Base Years + Optional

Years)0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$

Total -$

Total Cost is the Monthly Costs x ((base contract years + optional years) x months per year)

Form VII-8 - Bidder Labor Costs

Bidder ClassificationHourly Rate - Base Year 1

Hourly Rate - Base Year 2



Hourly Rate - Option Year 1

Hourly Rate - Option Year 2

Estimated Staff Hours Per Year (For Evaluation Purposes

Only)Total Evaluation

CostProject Manager 150 -$ System Architect 90 -$ Business Design Lead - ERP 90 -$ Technical Design Lead - ERP 90 -$ Design Lead - DW/BI/Interfaces 90 -$ Database Administrator/Developer 90 -$ Data Conversion Lead 50 -$ Quality Assurance Lead 50 -$ Test Lead 50 -$ Change Leadership Lead 40 -$ Training Lead 45 -$ Business Analyst 75 -$ Technical Specialist 75 -$

Total -$


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Form VII-9 - Post-E-FIS Modules and Licensing Costs

Item/Module Description Version/Specifications Purchase Price Tax DeliveryInstallation

Charge Total Unit Cost Quantity NeededTotal Item Cost

(Unit Cost*Quantity)-$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$

Total -$

Item/Module Description Version / SpecificationsLicensing

Model *

Unit Cost per License

(based on license model)

Number of Servers/ Machine

Licenses (if licensed by

server)

Estimated Number of Users (For Evaluation

Purposes Only)**Total Licensing Costs per Year

-$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$ -$

Total -$

*For example, per seat, per server, view only, developer license Grand Total -$

** For estimated number of users, use the following table

Type of User Named UsersConcurrent

UsersERP Users 7,500 500Data Warehouse Users 12,000 1,500Developers/Administrators 60 30Testers 100 50

For Evaluation Purposed Only. This is not a commitment from the State to procure any additional modules or licenses. The State may, at its discretion, procure one or more of the modules and associated licenses described during the term of the contract at the rates specified.


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APPENDIX C – PROPOSAL RESPONSE FORMS

APPENDIX C - PROPOSAL RESPONSE FORMS

Form C1: Administrative Requirements Response Matrix

Form C2: Subcontractor List

Form C3: Contractor Information

Form C4: Payee Data Record – Form STD. 204

Form C5: Bid Certification Form

Form C6: Corporate Experience Reference

Form C7: Resume Summary Forms

Form C8: Commercially Useful Function Statement

Form C9: Productive Use Customer Reference

Form C10: E-FIS Hardware and Software Proposed

Form C11: Letter of Intent to Bid


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FORM C1: ADMINISTRATIVE REQUIREMENTS RESPONSE MATRIX

For each Proposal Item listed in Form C1, Administrative Requirements Response Matrix, the Bidder must check “Yes” on the matrix, indicating compliance, or “No” on the matrix indicating non-compliance.

Bid Preferences

PROPOSAL ITEM CONTRACTOR IS REQUESTING THIS

PREFERENCE?

REFERENCE TO RFP SECTION

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

Department of General ServicesOffice of Small Business and DVBE Services707 3rd Street, 1st Floor, Room 400West Sacramento, CA 95605Telephone: (916) 375-4940

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

YES

_____

NO

_____

V.2

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

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

YES

_____

NO

_____

V.3

Local Area Military Base Recovery Act (LAMBRA)Whenever the State prepares an RFP solicitation for goods or services containing in excess of $100,000, except a contract in which the worksite is fixed by the provisions of the contract, the State shall award a five percent (5%) enterprise zone worksite preference to certain California-based companies. The California-

YES

_____

NO

_____

V.4


http://www.pd.dgs.ca.gov/edip/eza.htm

http://www.pd.dgs.ca.gov/edip/tacpa.htm

RFP DOT 2660-416



PROPOSAL ITEM CONTRACTOR IS REQUESTING THIS

PREFERENCE?


based company must certify under penalty of perjury that no less than 50% of the labor required to perform the contract shall be accomplished at a LAMBRA site (CCR, Title 2, Section 1896 et seq.).

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

Small Business PreferencePer Government Code, Section 14835, et seq., Bidders who request and qualify as a California-certified small business will be given a five percent (5%) preference for bid evaluation purposes only. In addition, a five percent (5%) bid preference is now available to a non-small business claiming 25% California certified small business subcontractor participation. Bidders claiming this preference must be certified by California as a small business or must commit to subcontract at least 25% of the net bid price with one or more California certified small businesses. Completed small business certification applications and required support documents must be submitted to the Office of Small Business and DVBE Services (OSDS) no later than 5:00 p.m. on the Final Proposal due date, and the OSDS must be able to approve the application as submitted. The Small Business regulations (located at 2 CCR 1896 et seq.) concerning the application and calculation of the small business preference, small business certification, responsibilities of small business, Department of General Services certification, and appeals are revised, effective 9/9/2004. The new regulations can be viewed at www.pd.dgs.ca.gov/smbus. Access the regulations by clicking on “Small Business Regulations” in the right sidebar.Bidders desiring to claim this preference must include a request for the Small Business Preference and a copy of the Small Business approval letter from DGS showing the Bidder’s Small Business number and approved product and service classifications in their Final Proposal.

YES

_____

NO

_____

V.5

Mandatory Administrative Requirements

PROPOSAL ITEM CONTRACTOR AGREES TO MEET REQUIREMENTS?


ADMINISTRATIVE REQUIREMENT 1: In accordance with Section 999.5(a) of the Military and Veterans Code, an incentive will be given to bidders who provide California-certified Disabled Veteran Business Enterprise (DVBE) participation. For contracts award evaluation purposes only, the State shall apply an incentive to proposals that include California certified DVBE participation. The maximum incentive for this procurement is 10% of the highest total earned non-technical and cost points, and is based on the amount of DVBE participation

YES

_____

NO

_____

V.6.1



http://www.pd.dgs.ca.gov/edip/lambra.htm

RFP DOT 2660-416





obtained, as described in Section IX, Evaluation and Selection.

The Bidder must complete DVBE Form STD. 840 (last updated 1/2005) from DGS’ website, depending on the option the Bidder chooses for DVBE participation. More information about the DGS DVBE Participation Program requirements and options can be found on the DGS website:


The DVBE Form (STD. 804) can be found online at:


For this procurement, the State has a Disabled Veteran Business Enterprise goal of three percent (3%) of the Contractor Costs evaluation amount comprised of the totals from Form VII-2, Detailed COTS Software Costs, Form VII-3, System Integrator Implementation and Other One-Time Costs, and Form VII-5, COTS Ongoing Licensing and Version Upgrade Costs worksheets contained in Appendix B32.

How to include Form STD. 840 in Bidder’s Proposal:

A copy of DVBE Form STD. 840 must be included in the Bidder’s Draft and Final Proposal, Volume I, EXCLUDING COST INFORMATION. If a copy of the Bidder’s Notice of an Approved DVBE Business Utilization Plan is submitted, the Form STD. 840 may be excluded.

At the time that a Bidder submits the Final Proposal, the Bidder shall identify the actual dollar figure and the percentage (3% or more of the total contractor costs) representing the rate of participation for each proposed DVBE subcontractor. This data shall be identified in the Bidder’s separately sealed Cost Proposal, using the DVBE Form STD. 840, in the column marked “Estimated $ and/or %”.

The DVBE Form STD. 840 that is completely filled in with cost figures shall only appear in the separately sealed Cost Proposal.

IF THE NON-COST PORTION OF THE FINAL BID IS SUBMITTED CONTAINING ANY DOLLAR FIGURES, THE BIDDER’S FINAL PROPOSAL SHALL BE REJECTED AND THE BIDDER SHALL BE PROHIBITED FROM FURTHER PARTICIPATION IN THIS PROCUREMENT.

Failure to comply with the DVBE participation requirement may cause your proposal to be considered non-responsive and ineligible for contracts award.

Review the DVBE instructions and complete the forms located at


Please note that all participation commitments are to be captured on Form STD. 840, found at the above web site, and must be submitted with the sealed Cost

32 That is the total of cell I47 on Form VII-2, Detailed COTS Software Costs worksheet, plus cell C25 on Form VII-3, System Integrator Implementation and Other One-Time Costs worksheet, plus cell F20 on Form VII-5, COTS Ongoing Licensing and Version Upgrade Costs. The cell references listed refer to the current positions in the blank worksheets. When the Bidder completes the worksheets, the addition of lines may cause the cell reference to change. March 5, 2007 4 Addendum 4




RFP DOT 2660-416





Proposal.

ADMINISTRATIVE REQUIREMENT 2: If requested by the State, the Bidder must provide the State with financial responsibility information to allow the State to confirm the Bidder’s ability to perform successfully under the contracts.

YES

_____

NO

_____

V.6.2

ADMINISTRATIVE REQUIREMENT 3: The State requires the contracts resulting from RFP DOT 2660-416 be issued to one Contractor who shall be responsible for successful performance of this RFP. The selected Contractor shall be responsible for successful performance of all Subcontractors and will be required to assume responsibility for design, development, testing, and implementation of all systems in their proposal. Furthermore, the State will consider the Contractor to be the sole point of contact with regard to contractual matters, payment of any and all charges resulting from the outsource or purchase of the equipment, and maintenance of the equipment for the term of the contracts. The Contractor must serve as a system integrator for RFP DOT 2660-416 and must coordinate services with other entities, if necessary, for hardware and software testing and the resolution of communication problems. The Contractor will be responsible for compliance with requirements under the contracts, even if requirements are delegated to subcontractors. All state policies, guidelines and requirements that apply to the Contractor also apply to subcontractors. The Contractor and subcontractors shall not in any way represent themselves in the name of the Caltrans or the State of California without prior written approval.

YES

_____

NO

_____

V.6.2.1

ADMINISTRATIVE REQUIREMENT 4: Work to be provided by subcontractors must be well documented in the RFP response. The Subcontractor List (Appendix C, Form C2) must be completed for both the Contractor and all Subcontractors. The Bidder must explain in their Executive Summary of the Proposal how they will manage and control the work of the Subcontractors. This information must be included if Subcontractors are being utilized. The Contractor must have written agreement from the State prior to replacement or substitution of any Subcontractor. For any proposed replacement or substitution before or after contracts award, the Contractor must provide the State with Subcontractor references, resumes and financial documentation, in addition to meeting all other applicable requirements, and submission of all applicable forms in this RFP. The State shall have the right to contact references and evaluate the information provided and determine if the substitution or replacement is acceptable. Any substitution or replacement shall have equal or better qualifications when compared to the subcontractor that is being replaced. The Bidder must agree that all requirements will be adhered to and that requirements will apply to Subcontractors even if Subcontractor concurrence is not specifically defined in the Administrative Requirement. The Bidder agrees to provide, in their Proposal, the following forms for each Subcontractor who will receive at least 10% of the proposed one-time configuration/customization and implementation costs for E-FIS33:

YES

_____

NO

_____

V.6.2.2

33 That is, the cost total on Appendix B, Form VII-3, System Integrator Implementation and Other One-Time Costs worksheet shown in cell C25. The cell reference refers to the current positions in the blank worksheets. When the Bidder completes the worksheets, the addition of lines may cause the cell reference to change.March 5, 2007 5 Addendum 4

RFP DOT 2660-416





Cover LetterContractor Information (Form C3)Bid Certification Form (Form C5)

Any Subcontractor who the Contractor chooses to use in fulfilling a contract and who is expected to receive 10% or more of the compensation paid for the system configuration/customization and implementation provided under the contracts also must meet all Administrative, Functional and Technical Requirements applicable to the subcontracted work.

ADMINISTRATIVE REQUIREMENT 5: Upon award to a Contractor, notice shall be given by the State to the Subcontractors listed in the Subcontractor List (Appendix C, Form C2) of their participation in the contracts. Notification to the Subcontractors by the Contractor is encouraged immediately after award of the contracts. There will be no assignment of responsibility to a third party without prior written approval from the State.

YES

_____

NO

_____

V.6.2.3

ADMINISTRATIVE REQUIREMENT 6: The Bidder’s firm, inclusive of name changes and mergers, must have been in existence for a minimum of five (5) years prior to the due date of the Final Proposal to ensure corporate stability. The Bidder must complete and submit the Contractor Information form (Appendix C, Form C3). This form will provide the State information regarding firm experience, firm size, firm market focus, company background, and experience in similar or dissimilar industries with projects of the same size and scope. A separate form must be completed for the Bidder and each Subcontractor participating in this Bid.

YES

_____

NO

_____

V.6.2.4

ADMINISTRATIVE REQUIREMENT 7: The Bidder’s Final Proposal submission must contain a fully executed copy of the Payee Data Record, Form STD. 204 (Appendix C, Form C4).

YES

_____

NO

_____

V.6.3

ADMINISTRATIVE REQUIREMENT 8: A valid Workers’ Compensation Insurance Policy or Certificate of Insurance for the Bidder and each Subcontractor proposed in the performance of these contracts must be included in the Final Proposal. The Bidder and each proposed Subcontractor must maintain in force (as required by State law) a valid Workers’ Compensation Insurance Policy for all employees engaged in the performance of the contracts. The Bidder/Contractor agrees to furnish the State with satisfactory evidence thereof in the Final Proposal and at any time the State may request.

YES

_____

NO

_____

V.6.4

ADMINISTRATIVE REQUIREMENT 9: To preserve the integrity of the security measures integrated into the State’s automated information systems, the Bidder agrees that all personnel (including all proposed Subcontractors) assigned to the project will submit a signed confidentiality statement prior to commencing work on this project. The persons supplied by the Contractor engaging in services to the State pertaining to this project who require contact with State information will be required to exercise security precautions for data that is made available and must accept full legal responsibility for the protection of this confidential information. This includes financial, statistical, personal, technical, and all other types of data and information relating to operations at Caltrans, whether expressly made available to the persons supplied by the Contractor or encountered coincident to

YES

_____

NO

_____

V.6.5


RFP DOT 2660-416





performing work on the contracts. Under no circumstances shall the persons supplied by the Contractor use, publish, sell or otherwise disclose to any third party the contents of any records, data, or reports derived from data submitted for processing without the prior authorization and consent of the State in writing.

ADMINISTRATIVE REQUIREMENT 10: Bidders must provide corporate references that meet the following requirements using the Corporate Experience Reference form (Appendix C, Form C6). The purpose of this section is to provide the State the ability to verify the claims made in the proposal by the Bidder. The Bidder must have been the prime contractor for each of the referenced projects, or a subcontractor’s reference can be used if the subcontractor was the prime contractor for the contracts and the subcontractor will receive at least ten percent (10%) of the proposed one-time configuration/customization and implementation costs for E-FIS34. The corporate references must meet the following requirements:

1. Two (2) references must be provided for successfully completed similar implementations of the ERP product being proposed. For the purposes of this RFP, “completed similar implementation” is defined as:

– The referenced project must have included implementation of the ERP General Ledger, Accounts Payable, and Accounts Receivable modules;

– The ERP product’s General Ledger, Accounts Payable, and Accounts Receivable modules must be in production and being used as the system of record for the referenced project; and

– The ERP product must be being utilized by at least 750 concurrent users on the referenced project.

2. At least one (1) of these references must be for a U.S. state or Canadian province government entity.

3. At least one (1) of these references must have been completed (i.e., put into production as the system of record) within the past five (5) years.

4. At least one (1) of these references must have included the successful, completed implementation of the Enterprise Application Integration (EAI) products proposed by the Bidder. For this reference, either the Bidder or the Bidder’s proposed subcontractor(s) must have performed the EAI implementation.

Additional points may be granted for references which meet the following desirable requirements:

5. One (1) reference may be provided for a successfully completed implementation for a State of California government entity of the ERP (AP, AR and GL) product/modules being proposed. (32 points)

YES

_____

NO

_____

V.6.6


RFP DOT 2660-416





6. One (1) reference may be provided for a successfully completed implementation of the proposed ERP (AP, AR and GL) product for a government transportation department within the United States or Canada. (32 points)

7. One (1) reference may be provided for a successfully completed implementation of a browser-based ERP product. (48 points)

8. One (1) reference may be provided for a successfully completed implementation of the ERP, EAI, and Business Intelligence (BI) products proposed by the Bidder. For this reference to be acceptable, either the Bidder or the Bidder’s proposed subcontractor(s) who will receive at least ten percent (10%) of the proposed one-time configuration/customization and implementation costs for E-FIS35 must have performed the BI and EAI implementation. (48 points)

For the purposes of this RFP, “successfully completed implementation(s)” is defined as:

• The referenced project must have included implementation of the ERP General Ledger, Accounts Payable, and Accounts Receivable modules;

• The ERP product’s General Ledger, Accounts Payable, and Accounts Receivable modules must be in production and being used as the system of record for the referenced project; and

• The ERP product must be being utilized by at least 750 concurrent users on the referenced project.

The Bidder acknowledges that references may be contacted to validate the claims made by the Bidder and to discuss Bidder performance at the State’s discretion.

ADMINISTRATIVE REQUIREMENT 11: The Bidder agrees to provide information regarding references and staff capability for Key Personnel. The Bidder agrees that the State reserves the right to contact references to validate the proposed staff’s experience and capabilities. All referenced work used to meet the requirements must have been performed within the past eight (8) years. The percent of time spent by the proposed resource on the project will be used to calculate experience. For example, if a proposed resource worked for one (1) year on a project at 50% of the time, six (6) months of experience would be accrued for the project. No more than 100% will be accrued for any given time period (i.e., a proposed resource cannot be credited for 75% on one project and 50% on another project for the same time period). NOTE: If only month/year or year only is provided (i.e., if day is NOT provided), the State will evaluate based on the last day of the starting month or year to the first day of the ending month or year. In response to this section of the RFP, the Bidder shall provide a complete resume and the resume summary information requested by the Resume Summary Form (Appendix C, Form C7) for each Key Personnel.

a. Required Resumes

YES

_____

NO

_____

V.6.7


RFP DOT 2660-416





At a minimum, resumes shall be included for the personnel listed. All resumes supplied shall be for the specific named individuals. Key Personnel for this project include:

Project ManagerSystem ArchitectBusiness Design Lead – ERPTechnical Design Lead – ERPDesign Lead – Data Warehouse/BI/InterfacesDatabase AdministratorData Conversion LeadQuality Assurance LeadTest LeadChange Leadership LeadTraining Lead

Individuals proposed may fulfill more than one of the positions listed above, except for the Key Personnel listed below. The Key Personnel assigned to these positions may not be combined with any other key personnel role:

Project ManagerBusiness Design Lead – ERPTechnical Design Lead – ERPDesign Lead – Data Warehouse/BI/InterfacesQuality Assurance Lead

b. Bidder Project Team Changes

Before the start of the contracts, the State recognizes that an unusual circumstance may result in the change of a proposed Key Personnel staff member identified in the Bidder’s proposal. When the contracts are executed, the Bidder may substitute staff personnel who are different from those offered at the time of bid submission ONLY if such substitute personnel have equivalent skills and experience. The Bidder must submit in writing the reason for the change and provide a resume and references for the substitute personnel. The Bidder agrees that the State has the right to approve or reject replacement project team members. If the substitution is rejected and a qualified substitute is not provided, the Contractor will be in default under the terms of the contracts.After the start of the project, the State recognizes that a resignation or other such event may cause Key Personnel not to be available to the Bidder. If this should occur, the Bidder must agree that the State has the right to approve or reject replacement project team members assigned by the Bidder to this project. The Bidder will not be allowed extra time or money to replace personnel. The replacement project team member must possess the same or a higher level of technical expertise and experience than the original staff person leaving the project. In support of the Bidder’s compliance with this provision, the Bidder must notify the Caltrans E-FIS Project Manager of personnel vacancies and provide resumes of replacement staff within fifteen (15) State business days of notice that the Key Personnel will no longer be available.

ADMINISTRATIVE REQUIREMENT 12: On January 1, 2004, Chapter 623, Statutes of 2003, became effective and required all small businesses,

YES NO V.6.8


RFP DOT 2660-416





microbusinesses, and disabled veteran business enterprises to perform a “commercially useful function” in any contract they perform for the State.A business that is performing a commercially useful function is one that does all of the following:

• Is responsible for the execution of a distinct element of work of the contract.


• Performs work that is normal for its business, service and function.


The Bidder must provide a written statement detailing the role, services and/or goods the small business, microbusiness, and/or disabled veteran business enterprise will provide to meet the Commercially Useful Function requirement, using the Commercially Useful Function Statement, Appendix C, Form C8. If a small business, microbusiness, or disabled veteran business enterprise is not being proposed, this form is not required.

_____ _____

ADMINISTRATIVE REQUIREMENT 13: The Bidder shall cooperate with, and provide access to the system and records associated with these contracts as requested by State oversight agencies, including, but not limited to, the Department of Finance (DOF), the Independent Project Oversight Consultant (IPOC), and the Independent Verification and Validation (IV&V) Consultant.

YES

_____

NO

_____

V.6.9

ADMINISTRATIVE REQUIREMENT 14: The State will make available work space to support up to twenty (20) Contractor staff. The work space will be equipped with telephones, network connections, and desk space. The Contractor shall be responsible for providing their own computers, monitors, office supplies and any other equipment or support they require. The Contractor may perform their activities either onsite at Caltrans or at an offsite location. However, all system configuration activities must occur onsite at Caltrans or DTS to facilitate knowledge transfer to Caltrans staff. No remote access to the development, test or production systems will be provided. Any travel will be incidental and must be included in the Bidder’s one-time costs.

YES

_____

NO

_____

V.6.10

ADMINISTRATIVE REQUIREMENT 15: The purpose of the productive use requirement is to allow time for major defects to be detected and corrected in the Bidder’s software, and to ensure that the proposed base software product has a record of proven use in customer environments prior to installation at Caltrans. The base E-FIS software products proposed in response to this RFP must be installed and in productive use, in substantially the configuration proposed, by a paying customer external to the Bidder’s organization and its corporate organization, for at least six (6) months prior to the Final Proposal due date. The base E-FIS software products consist of the ERP (including the GL, AP and AR modules), EAI, Data Warehouse and Business Intelligence tools proposed by the Bidder. The Bidder must demonstrate that it meets the productive use requirement by providing the required information on the Productive Use Customer Reference, Appendix C, Form C9, including a customer reference.

YES

_____

NO

_____

V.6.11

ADMINISTRATIVE REQUIREMENT 16: The Bidder shall pay all associated license, maintenance, and support fees throughout the one-time design,

YES NO V.6.12


RFP DOT 2660-416





configuration/customization, and implementation contract term for software proposed by the Bidder as specified on Form VII-2, Detailed COTS Software Costs Worksheet. All software licenses will be held by the Contractor for Caltrans during the phased implementation period, with Caltrans as the sub-licensee or grantee of all rights necessary to allow it to conduct Caltrans’ proposed activities during the implementation period. All privileges extended to the licensee shall also be extended to Caltrans, the sub-licensee. Upon successful completion of the E-FIS Production Acceptance Period, all software licenses shall automatically pass to Caltrans, provided that the licenses have been approved by the DGS. In the event the Contractor fails to perform on the Contracts, the Contractor shall immediately grant all software licenses to Caltrans, upon Caltrans request. Final payment for the system shall be withheld until the State receives custody of all software licenses and associated OEM warranty agreements. All proprietary software used in the design, development, programming, testing, installation, operation, administration, use, security, and maintenance of the system shall be licensed in the name of Caltrans. Any proprietary software of the Bidder and all subcontractors and suppliers proposed for installation must be available to Caltrans for its use in perpetuity.

_____ _____

ADMINISTRATIVE REQUIREMENT 17: Should the Contractor Project Manager and the State Project Manager not be able to agree on a resolution to any particular issue, the Contractor and the State agree to raise the issue to an Executive Committee prior to the assertion of rights under the Contract’s Dispute provisions (GSPD-401T – General Provisions - Information Technology, Paragraph 41). The Executive Committee, made up of the Contractor’s Project Manager, the State’s Project Manager, a senior executive of the contractor and the Deputy Director for Caltrans or the designees or successors thereof (the “Executive Committee”), will convene in person or by telephone conference call and a resolution decided within five (5) State business days from the date that the Executive Committee is convened. Either project manager may request the Executive Committee to convene and the Committee will convene in person or by telephone within three (3) State business days of such a request. The Executive Committee will use whatever resources it deems necessary to seek a rapid and just resolution to an issue at the Executive Committee level. If resolution cannot be reached at the Executive Committee level within the time frame prescribed above, either party may assert its other rights and remedies as provided by the contracts.The State and the Contractor agree that, the existence of a dispute notwithstanding, they will continue without delay to carry out all their responsibilities under these contracts.

YES

_____

NO

_____

V.6.13

ADMINISTRATIVE REQUIREMENT 18: The contract terms and conditions to be awarded are included in this solicitation document in its final form, and any alteration by a Bidder will result in rejection of its proposal.The following contractual terms, conditions, and provisions are incorporated into this procurement and are included, for reference purposes, on the DGS websites:The IT General Provisions (revised and effective 06/21/2006)[http://www.pd.dgs.ca.gov/modellang/GeneralProvisions.htm]

YES

_____

NO

_____

V.6.14.1


RFP DOT 2660-416





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

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

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

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

ADMINISTRATIVE REQUIREMENT 19: The State intends to award two (2) contracts to a single Contractor for the E-FIS. The base term of the contracts will be four (4) years with the option of two (2) one-year extensions. One contract will be for the design, configuration/customization, and implementation services, and software purchase and upgrades for the design and deployment phase (which is estimated to be two (2) years). The second contract will include ongoing product licensing and version upgrades of the COTS software and tools for the last two (2) years of the base period. Through the second contract, the State will have the ability to exercise up to two (2) one-year (1-year) contract option(s) to provide ongoing software support for the E-FIS solution. Refer to Section V.6.17, COTS Software Licensing andVersion Upgrade Purchase, for additional information on the ongoing software support. In addition, the State will have the ability to purchase any or all of the proposed Post-E-FIS software modules and associated product licensing for the term of the second contract. Refer to Section V.6.18, Post-E-FIS Modules andLicensing Costs, for more information on the Post-E-FIS modules and licensing. The second contract will take effect upon completion of the E-FIS Production Acceptance Period and final system acceptance by the State.

YES

_____

NO

_____

V.6.14.2

ADMINISTRATIVE REQUIREMENT 20: The Bidder agrees that the State shall have the sole option of accepting the contract extensions one year at a time or for both years at once. The extension(s) shall be exercised through a contract amendment. The Bidder agrees to accept the contract extension(s) should the State exercise its option(s).

YES

_____

NO

_____

V.6.14.3

ADMINISTRATIVE REQUIREMENT 21: When the deployment phase is completed and the system is put into production, the E-FIS Production Acceptance Period shall commence. During the E-FIS Production Acceptance Period, the Contractor shall analyze and correct the deliverables furnished hereunder to be in substantial conformity with the requirements of this Contract for a period of four (4) months at no cost to the State. During the E-FIS Production Acceptance Period, the Contractor shall be responsible for correcting solution defects which affect system or financial data integrity, including security breaches, inaccurate and untimely financial data, incorrect financial transactions, untimely or inaccurate data or workflow transmissions, or defects which create an inaccurate audit trail. The Contractor must also correct solution defects which prevent the system from meeting system performance requirements. The Contractor shall not be responsible for defects caused by network or hardware failures by DTS, but must work cooperatively with DTS to resolve such defects.

YES

_____

NO

_____

V.6.14.4


RFP DOT 2660-416





The Contractor must correct the solution defects even if the work to resolve the defect continues past the end of the E-FIS Production Acceptance Period. The Contractor shall perform such analysis and resolution activities onsite at the Caltrans location(s).At the end of the E-FIS Production Acceptance Period, the Caltrans Project Manager will make a recommendation to the E-FIS Executive Committee, based on input from the system users and administrators, whether to accept the system. The E-FIS Executive Committee will make the final acceptance decision. The Caltrans Project Manager will provide written notification to the Contractor of the Executive Committee’s decision. Upon completion of the E-FIS Production Acceptance Period and final system acceptance by the E-FIS Executive Committee, the Contractor shall warranty the E-FIS for an additional period of twelve (12) months. During this period, the Contractor shall analyze and correct solution defects which affect system or financial data integrity, as described above, at no additional cost to the State, even if the resolution of the defect/anomaly continues after the end of the period. The Contractor may perform the analysis and resolution of these items offsite, however access to the system will only be available onsite (i.e., there will be no remote access to the system).

ADMINISTRATIVE REQUIREMENT 22: The Bidder must agree that the State shall have Government Purpose Rights to all custom developed software, and all data gathered or developed resulting from this RFP as defined in Paragraph 27 of GSPD-401IT. All such data shall be designated as “confidential” and must be protected as specified within the contracts. The State shall have Government Purpose Rights to all database(s) and data storage design documents, schema, documentation, licensing, custom developed code, and end-user documentation developed to support the E-FIS project.

YES

_____

NO

_____

V.6.15

ADMINISTRATIVE REQUIREMENT 23: The Bidder must clearly and completely describe all hardware required to develop, test, implement, administer, operate and maintain the E-FIS. Hardware shall be described on Form C10, E-FIS Hardware and Software Proposed, and included in the Bidder’s Cost Proposal (refer to Section VII, Cost) in order to evaluate total cost of ownership and operations.

YES

_____

NO

_____

V.6.16

ADMINISTRATIVE REQUIREMENT 24: The State shall have the option of procuring software licensing and version upgrades for the proposed COTS software, including development and test tools at the price provided in the Cost Proposal, for the term of the contract, including any extensions thereof. If the State decides to exercise one or more of the contract options for ongoing license and version upgrades, the State will notify the Contractor in writing of their intent to purchase the option. The Contractor must provide updated licenses or written proof of license renewal for all software licenses within thirty (30) calendar days of the contract amendment exercising the State’s option. Upon delivery of the renewed licenses, the Contractor may bill the State for the renewed licenses. If the State does not exercise any or all of these options, the State may purchase COTS licensing and version upgrades outside of the contracts.

YES

_____

NO

_____

V.6.17

ADMINISTRATIVE REQUIREMENT 25: As part of their proposal, the Bidder must describe the COTS software product(s)/module(s) necessary to meet the Post-E-FIS requirements referenced in Section VI, Functional and TechnicalRequirements. The Bidder must describe the necessary products and include the

YES

_____

NO

_____

V.6.18


RFP DOT 2660-416





costs for these products in their Cost Proposal. In addition, the Bidder must agree that the State shall have, at its sole discretion, the option of procuring the proposed COTS software to meet the Post-E-FIS requirements from the Bidder at the price provided in the Cost Proposal. The prices proposed shall remain in effect for the duration of the contracts, including any extensions thereof. This shall not preclude the State from purchasing the COTS software and licensing outside of the contracts

ADMINISTRATIVE REQUIREMENT 26: The Bidder agrees that in addition to all other remedies available to the State, the State may collect Liquidated Damages in the amounts specified under the following circumstances:If the Contractor does not implement the system on or within fifteen (15) calendar days of the production installation date, liquidated damages in the amount of $810,000 may be assessed. The production installation date will be the date the E-FIS is scheduled to be put into production, according to the Caltrans-approved project schedule delivered by the Contractor after Contracts Award. The State may deduct monies owed for the liquidated damages from invoices as necessary to offset the full amount owed. The State will attempt to notify the Contractor, in writing, prior to liquidated damages being invoked. However, should the State fail to do so, the liquidated damages will still accrue. The State will, in any case, provide the Contractor a complete accounting for all liquidated damages.

YES

_____

NO

_____

V.6.19

ADMINISTRATIVE REQUIREMENT 27: The State requires a performance bond for this project if the Contractor will receive progress payments. Therefore, the Bidder must select which option it chooses for the design, configuration/customization and implementation contract.

OPTION 1: PROGRESS PAYMENTS (REQUIRES A PERFORMANCE BOND)Performance Bond

The Bidder shall provide, as part of its Draft and Final Proposal, proof of bondability and the terms and conditions of the performance bond. The proof of bondability must state that the bonding company will bond the Bidder for 50% of the value of the total design, configuration/customization, and implementation contract36 and that this bond shall be held in effect until the successful completion of the E-FIS Production Acceptance Period (refer to Section V.6.14.4, E-FISProduction Acceptance Period and System Warranty). The bonding company must be a surety insurer, licensed to do business in the State of California.

The awarded Contractor shall supply a performance bond in the amount of fifty percent (50%) of the development, customization/configuration and implementation contract award amount37. This bond shall be held in effect until successful completion of the E-FIS Production Acceptance Period, to ensure contract performance and guarantee deliverables by

YES

_____

NO

_____

V.6.20

36 No performance bond is required for the ongoing product licensing and version upgrade contract.

37 Refer to Form VII-1, Total Cost Summary worksheet, Contractor One-Time Costs Subtotal shown in cell B9. The cell reference refers to the current positions in the blank worksheets. When the Bidder completes the worksheets, the addition of lines may cause the cell reference to change.March 5, 2007 14 Addendum 4

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deadlines. For example, a bond amount of US $1million shall be procured for a contract valued at US $2 million. This bond shall be delivered to the State within twenty-one (21) calendar days of Contracts Award and will be returned to the Contractor upon successful completion of the E-FIS Production Acceptance Period.

Note: Within 21 calendar days after notification of Contracts Award (unless submitted with the proposal), the successful Bidder MUST submit the instrument satisfying the Performance Bond Requirement. Failure to submit the required document within 21 calendar days may be cause for termination of the contracts.

Payment MilestonesThe E-FIS shall be designed, configured/customized, tested and implemented using a project-phased approach with progress payments based on completion of significant project milestones. The project milestones to be used are defined in Table 7. The dates associated with these milestones shall be included in the Bidder’s project schedule and work plan, which will be approved by the State approximately sixty (60) calendar days after Contracts Award.

The State has established maximum cost percentages for the following one-time cost components. These maximums represent fixed percentages of the Contractor One-Time Costs Subtotal amount on Form VII-1, Total Costs Summary worksheet (contained in Appendix B). In addition, the State will holdback 10% of each invoice amount until after successful completion of the E-FIS Production Acceptance Period. Table 7 lists the maximum percentages to be paid for each of the major milestones. The Contractor may invoice for payments after successful completion of the milestone and written acceptance by the State Project Manager. The Bidder shall provide a firm fixed price for each of the major milestones, not to exceed the sum of all payments, multiplied by the maximum percentage for that component.

One-Time Cost Payment Milestones

PROJECT PHASE MILESTONE MAXIMUM PERCENTAGE

Completion of Project Initiation 5%

Completion of Requirements Analysis and Validation 10%

Delivery and Successful Installation of the COTS Software

15%

Completion of Design and Configuration 20%

Successful Completion of User Acceptance Testing 25%

Successful Completion of Deployment 25%

Final Acceptance of the System and Completion of E-FIS Production Acceptance Period

Release of Contract Holdback

Labor for Unanticipated Tasks In the event of unanticipated tasks, Caltrans will prepare a Work Authorization to direct the Contractor to perform the additional tasks. The Contractor may invoice for Work Authorizations following


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completion and written acceptance of each Work Authorization by the Caltrans Project Manager.

OPTION 2: PAYMENT UPON COMPLETION OF E-FIS PRODUCTION ACCEPTANCE PERIODPerformance Bond

No performance bond is required under Option 2.

Payment MilestonesThe E-FIS shall be designed, developed, tested and implemented using a project-phased approach. Payment #1 Milestone is the amount of the Contractor One-Time Costs Subtotal38. The Contractor may invoice for Payment #1 after successful completion of the E-FIS Production Acceptance Period and written acceptance by the State Project Manager.

Labor for Unanticipated Tasks In the event of unanticipated tasks, Caltrans will prepare a Work Authorization to direct the Contractor to perform the additional tasks. The Contractor may invoice for Work Authorizations following completion and written acceptance of each Work Authorization by the Caltrans Project Manager. Payment terms will be described in the specific work authorization.39

PAYMENT FOR ONGOING PRODUCT LICENSING AND VERSION UPGRADES

The State shall pay the Contractor for product licensing and version upgrades annually for the base years and any optional years of licensing and version upgrades that are exercised by the State. The Contractor must deliver the licenses for the system upon successful completion of the E-FIS Production Acceptance Period. Upon delivery of the licenses, the Contractor may bill the State for the product licenses and version upgrades40.

If the State decides to exercise one or more of the contract options for ongoing license and version upgrades, the State will notify the Contractor in writing of their intent to purchase the option. The Contractor must provide updated licenses or written proof of license renewal for all software licenses within thirty (30) calendar days of the contract amendment exercising the State’s option. Upon delivery of the renewed licenses, the Contractor may bill the State for the renewed


39 Payment for unanticipated tasks will be made only upon acceptance of the completed work.

40 Note that the product licenses and version upgrades for contract base years 1 and 2 are included in the Contractor’s one-time costs. Upon successful completion of the E-FIS Production Acceptance Period, the Contractor would deliver the licenses and bill for base year 3 of the contract. One year after successful completion of the E-FIS Production Acceptance Period, the Contractor must deliver the updated product licenses or written proof of licenses renewal for base year 4.March 5, 2007 16 Addendum 4

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licenses.

In addition, the State shall have the option of purchasing additional assistance for implementing version upgrades and unanticipated tasks via work authorizations, per the contract terms. The State also shall have the option to purchase the Post-E-FIS COTS software modules and licensing from the Contractor, or to purchase the additional modules and licensing from another vendor.

Bidder’s Certification and Initials: We agree to meet the administrative requirements as indicated in the matrix above.


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FORM C2: SUBCONTRACTOR LIST

All subcontractors must be listed below:

Company Name Company Name

Primary Contact/Title Primary Contact/Title

Address Address

City, State City, State

Phone/Email Address Phone/Email Address

Company Name Company Name

Primary Contact/Title Primary Contact/Title

Address Address

City, State City, State

Phone/Email Address Phone/Email Address

Do any of these subcontractors represent 10% or more of the one-time configuration/ customization and implementation bid amount? ____ Yes ____ No

If yes, list by company(s) name: _____________________________________________

If yes, have you submitted all required forms for the work the subcontractors are providing? Refer to Section V.6.2.2, Subcontractors) ____ Yes _____ No


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FORM C3 – CONTRACTOR INFORMATION

FORM C3: CONTRACTOR INFORMATION

[Use this form to provide information about the Contractor and ALL Subcontractors being proposed as part of this bid. A separate form must be provided for each firm. Use your word processor’s copy and paste functionality to create copies of this form.

THE TEXT WITHIN THESE BRACKETS IS TO BE DELETED IN YOUR RESPONSE. ]

1. Please complete the following table:

Name of Company:

Name of Parent Company (if applicable):

Length of Time in Business:

Length of Time in Business Installing, Implementing, Licensing and Servicing the Proposed Software:

Gross Revenue for the Prior Fiscal Year (in US Dollars):

Percentage of Gross Revenue Generated by Implementation and Licensing of Proposed Software:

Total Number of Installed Clients with the Proposed Software or Service:

Total Number of Clients in Production with the Same Software Version Being Proposed:

Number of Public Sector Clients:

Number of Full-Time Personnel at Your Company:

2. Where is your headquarters located? Where are your California field offices located?

3. Which office(s) would service this account? What are the hours of operation for the office(s) that will service this account?


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[Form C3 continued….]

4. In the following table, please list credit references that can verify the financial standing of your company.

Institution Address Phone Number

5. If the Contractor/Subcontractor has had a contract terminated for default during the past five years, all such incidents must be described. Termination for default is defined as notice to stop performance due to Contractor’s/Subcontractor’s nonperformance or poor performance, and the issue was either (a) not litigated; or (b) litigated and such litigation determined the Contractor/ Subcontractor to be at fault.

In the space provided, submit full details of all terminations for default experienced by the Contractor/Subcontractor during the past five (5) years, including the other party’s name, address, and telephone number. Present the Contractor’s/Subcontractor’s position on the matter. The State will evaluate the facts and may, at its sole discretion, reject the Contractor’s/Subcontractor’s proposal if the facts discovered indicate that completion of a contract resulting from this RFP may be jeopardized by selection of the Contractor/Subcontractor. In the case of multiple Contractor/Subcontractors submitting a proposal together, at its discretion, the State will evaluate the Contractor/Subcontractors in this regard individually or as a whole.

If no such terminations for default have been experienced by the Contractor/Subcontractor within the past five (5) years, so declare in the space provided.

A Contractor/Subcontractor response that indicates that the requested information will only be provided if and when the Contractor/Subcontractor is selected as the apparently successful Contractor/Subcontractor is not acceptable and will result in the Bidder being rejected. Restricting the Contractor/Subcontractor response to include only legal action resulting from terminations for default is not acceptable and will result in the Bidder being rejected.


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[Form C3 continued….]

TERMINATIONS FOR DEFAULT:

If Yes, Provide Details Below:

Signature of Representative Date

Typed Name of Representative

Typed Title of Representative

Typed Name of Company

If No,

I swear, under penalty of perjury, that [Insert Name of Company] has not had a contract terminated for default during the past five (5) years.

Signature of Representative Date

Typed Name of Representative

Typed Title of Representative

Typed Name of Company


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FORM C4: PAYEE DATA RECORD – FORM STD. 204

Bidders must refer to the following State of California DGS website link for standard State forms. When linked to the website, Bidders can search for the Form by name or form number. Bidders have the option of ordering paper or automated eForms, or completing the Fill and Print Forms offered in .pdf format.

http://www.dgs.ca.gov

http://www.documents.dgs.ca.gov/osp/pdf/std204.pdf


http://www.documents.dgs.ca.gov/osp/pdf/std204.pdf

http://www.dgs.ca.gov/

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FORM C5: BID CERTIFICATION FORM

Date:

Name of Bidder:

Address of Bidder:

Phone Number of Bidder:

Reference: RFP DOT 2660-416

1. This is to notify you that (business’ name) _______________________ agrees to all the terms and conditions of this RFP and by signing below certifies that all requirements are met.

OR

2. This is to notify you that (business’ name) _______________________ is a subcontractor contributing 10% or more to fulfilling the contracts. The business identified agrees to all the terms and conditions identified for subcontractors. The business identified certifies by signing below that all applicable requirements are met.

Sincerely,

Signature Date

Title Company

( ) ( )

Phone Fax


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FORM C6: CORPORATE EXPERIENCE REFERENCE


Instructions: Complete one of these forms for each reference. Duplicate these pages, as needed.

Bidder Name: Contact Name:

Date: Phone #:

Client Name: Contact Name:

Address: Phone #:

Fax #:

Contact Email Address:

Project Name:

Project Objectives:

Bidder Firms’ Involvement:

Project Benefits:

System Description:

Name of ERP Product:

ERP Modules Implemented:

Name of EAI Product:

Name of BI Tool:

Date System Went into Production as System of Record

Number of Concurrent Users:


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Project Measurements:

Contract Value (for all phases):

Total Est. Cost: Total Actual Cost:

Original Estimated Start Date:

Original Estimated Completion Date*:

Actual Start Date: Actual Completion Date*:

*Completion Date is date system went into production

Project Reference Criteria: Yes No

Was the Bidder/Subcontractor the Prime Contractor for this project?

Is this a U.S. State or Canadian province reference?

Was the project completed within the past five (5) years? (i.e., put into production as the system of record)

Did this project successfully implement the BI and EAI products being proposed for E-FIS?

Did this project implement the ERP (AP, AR and GL) being proposed for E-FIS for a State of California government entity?

Did this project implement the ERP (AP, AR and GL) being proposed for E-FIS for a government transportation department within the US or Canada?

Did this project implement a browser-based ERP product?

Other comments about the project or client environment:

Yes NoWe authorize you to contact the reference above to further discuss our performance.

Submitter Name: (print or type)

Signature:


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FORM C7: RESUME SUMMARY FORM

The Bidder must provide a completed Resume Summary Form for each Key Personnel member of the project team, for the position proposed, and attach a resume that reflects the proposed resource’s experience.

All referenced work used to meet the requirements must have been performed within the past eight (8) years. The percent of time spent by the proposed resource on the project will be used to calculate experience. For example, if a proposed resource worked for one (1) year on a project at 50% of the time, six (6) months of experience would be accrued for the project. No more than 100% will be accrued for any given time period (i.e., a proposed resource cannot be credited for 75% on one project and 50% on another project for the same time period).

NOTE: If only month/year or year only is provided (i.e., if day is NOT provided), the State will evaluate based on the last day of the month or year to the first day of the ending month or year.


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FORM C7: RESUME SUMMARY FORM – CONTRACTOR PROJECT MANAGER

PAGE 1 OF 4

Proposed Resource Name:

Proposed Position Classification:

Contractor Project Manager

Organization associated with (check one):

Prime Bidder Subcontractor DVBE

The Bidder shall list the project information required below that qualifies the team member for the duties and responsibilities on this project for the proposed position classification. Note: This section must clearly specify how the proposed personnel meets each of the minimum requirements, and desirable requirements, if applicable, for the proposed position classification detailed in Section VI. [Use additional space/project reference boxes, as necessary.]

Note: all project references must be within the past eight (8) years. The “% of Time on Project” will be used to calculate experience (not elapsed time). If only month/year or year only is provided (i.e., if day is NOT provided), the State will evaluate based on the last day of the month or year to the first day of the ending month or year.

Minimum Requirement #1: Five (5) years working as a Project Manager on IT projects involving design, development/configuration, and implementation/installation. The five years experience must have been obtained within the past eight (8) years.

Project Name: Client Name:

Project Start Date (mm/dd/yyyy):

Project End Date (mm/dd/yyyy):

Contact Name/Title Staff Start Date on Project (mm/dd/yyyy)

Contact Phone #/Email Address

Staff End Date on Project (mm/dd/yyyy)

% of Time on the Project:

Project Description:

Proposed Resource’s Role and Responsibilities:








Project


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Description:


Minimum Requirement #2: Six (6) months working as a Project Manager on an IT project for a U.S. state or Canadian province.










Minimum Requirement #3: Experience on at least one (1) IT project working as the Project Manager where the total project duration was at least eighteen (18) months.







Total Project Duration:




Minimum Requirement #4: Experience on at least one (1) project working as the Project Manager for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP, products. For this requirement, the project must be complete (i.e., the system is in production and is being used as the system of record).

NOTE: In this requirement, the terms ERP-GL, ERP-AR, and ERP-AP have been used to emphasize the proposed staff must have experience managing these portions of the ERP. When describing staff experience, the Bidder should ensure the description clearly demonstrates experience with the particular module(s).


RFP DOT 2660-416










ERP Product and Modules used on the referenced project


Date System went into Production as System of Record (mm/yyyy):



Minimum Requirement #5: Certification as a Project Management Professional (PMP) from the Project Management Institute (PMI) or other formal project management professional organization certification.

Certification Type: Certification Date:

Desirable Requirement #1 : Experience on at least one (1) project for a successfully completed implementation of the proposed ERP-GL, ERP-AR, and ERP-AP products performed for a transportation organization within the United States or Canada.







ERP Product and Modules used on the referenced project:




Desirable Requirement #2 : Experience on at least one (1) project working as the Project Manager for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP, EAI, and DW/BI products. For this requirement, all of the products (ERP, EAI, and DW/BI) must have been implemented on the same project, and the project must be completed (i.e., the system is in production and is being


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used as the system of record).

NOTE: In this requirement, the terms ERP-GL, ERP-AR, and ERP-AP have been used to emphasize the proposed staff must have experience managing/implementing these portions of the ERP. When describing staff experience, the Bidder should ensure the description clearly demonstrates experience with the particular module(s).






EAI Product(s) used on the referenced project:

DW/BI Product(s) used on the referenced project:





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FORM C7: RESUME SUMMARY FORM – SYSTEM ARCHITECT

PAGE 1 OF 3



System Architect





Minimum Requirement #1: Five (5) years working as a System Architect on IT projects involving design, development/configuration, and implementation/installation. The five years experience must have been obtained within the past eight (8) years.


















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Minimum Requirement #2: Experience on at least one (1) project working as the System Architect for a project which implemented an intranet/Internet system.







Internet or Intranet (specify):




Minimum Requirement # 3 : Experience on at least one (1) project working as the System Architect for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP, EAI, and DW/BI products. For this requirement, all of the products (ERP, EAI, and DW/BI) must have been implemented on the same project, and the project must be completed (i.e., the system is in production and is being used as the system of record).

NOTE: In this requirement, the terms ERP-GL, ERP-AR, and ERP-AP have been used to emphasize the proposed staff must have experience designing/implementing these portions of the ERP. When describing staff experience, the Bidder should ensure the description clearly demonstrates experience with the particular module(s).












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FORM C7: RESUME SUMMARY FORM – BUSINESS DESIGN LEAD – ERP

PAGE 1 OF 3



Business Design Lead - ERP





Minimum Requirement #1: Five (5) years working on IT projects involving design, development/configuration, and implementation/installation. The five year experience must have been obtained within the past eight (8) years.




















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Minimum Requirement # 2 : Six (6) months working as a Business Analyst/Design Lead on an IT project for a U.S. state or Canadian province.










M inimum Requirement #3 : One (1) year working as a Business Analyst/Design Lead for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR and ERP-AP products/modules. For this requirement, the project(s) must be complete (i.e., the system is in production and is being used as the system of record).













Minimum Requirement #4 : Six (6) months using the design/business process tools proposed for use with the ERP product.



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ERP Design Tool(s): % of Time on the Project:



Desirable Requirement #1 : Experience working as a Business Analyst/Design Lead on at least one (1) project performed for a California state agency.











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FORM C7: RESUME SUMMARY FORM – TECHNICAL DESIGN LEAD – ERP

PAGE 1 OF 3



Technical Design Lead - ERP





Minimum Requirement #1: Five (5) years working on IT projects involving design, development/configuration and implementation/installation. The five years experience must have been obtained within the past eight (8) years.




















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Minimum Requirement # 2 : One (1) year working as the Technical Design Lead for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP products. For this requirement, the project(s) must be complete (i.e., the system is in production and is being used as the system of record).















Minimum Requirement # 3 : Six (6) months using the design, development/customization and implementation tools proposed for use with the ERP product.







ERP Tool(s): % of Time on the Project:



Desirable Requirement #1 : Experience on at least one (1) project working as the Technical Design Lead for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, March 5, 2007 38 Addendum 4

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ERP-AP, EAI, and DW/BI products. For this requirement, all of the products (ERP, EAI, and DW/BI) must have been implemented on the same project, and the project must be completed (i.e., the system is in production and is being used as the system of record).













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FORM C7: RESUME SUMMARY FORM – TECHNICAL DESIGN LEAD – DATA WAREHOUSE/BUSINESS INTELLIGENCE/INTERFACES

PAGE 1 OF 3



Technical Design Lead – Data Warehouse (DW)/Business Intelligence (BI)/Interfaces
























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Minimum Requirement #2: One (1) year working as the Design Lead for a project involving the design, configuration, and implementation/installation of the proposed EAI and DW/BI products. For this requirement, the EAI and DW/BI products must have been implemented on the same project(s), and the project(s) must be complete (i.e., the system is in production and is being used as the system of record).








EAI Product(s): DW/BI Product(s):




Minimum Requirement #3: Six (6) months using the design, development/customization and implementation tools proposed for use with the EAI and DW/BI products.







EAI Tool(s) used on the referenced project:


DW/BI Tool(s) used on the referenced project:



Desirable Requirement #1 : Experience on at least one (1) project working as the Design Lead for a project


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involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP, EAI, and DW/BI products. For this requirement, all of the products (ERP, EAI, and DW/BI) must have been implemented on the same project, and the project must be completed (i.e., the system is in production and is being used as the system of record).













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FORM C7: RESUME SUMMARY FORM – DATABASE ADMINISTRATOR

PAGE 1 OF 4



Database Administrator (DBA)

























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Minimum Requirement #2: One (1) year working as the DBA for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP, and DW/BI products. For this requirement, all the products (ERP and DW/BI) must have been implemented on the same project(s), and the project(s) must be complete (i.e., the system is in production and is being used as the system of record).















Minimum Requirement #3: Experience on at least one (1) project which implemented the proposed ERP product with an Oracle database.







ERP Product/ Modules:


Oracle Version:




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Minimum Requirement #4: Three (3) years experience working as a DBA with Oracle 9 or later.



















Minimum Requirement # 5 : Certification as an Oracle Certified Professional (OCP).

Certification Date:

Desirable Requirement #1 : Certification as an Oracle Certified Master (OCM) DBA.

Certification Date:

Desirable Requirement #2 : Experience on at least one (1) project working as the DBA for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP, EAI, and DW/BI products. For this requirement, all of the products (ERP, EAI, and DW/BI) must have been implemented on the same project, and the project must be completed (i.e., the system is in production and is being used as the system of record).




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FORM C7: RESUME SUMMARY FORM – DATA CONVERSION LEAD

PAGE 1 OF 3



Data Conversion Lead

























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Minimum Requirement #2: One (1) year working as the Data Conversion Lead for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP products. For this requirement, the project(s) must be complete (i.e., the system is in production and is being used as the system of record).












Desirable Requirement #1 : Experience on at least one (1) project working as the Data Conversion Lead for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP, EAI, and DW/BI products. For this requirement, all of the products (ERP, EAI, and DW/BI) must have been implemented on the same project, and the project must be completed (i.e., the system is in production and is being used as the system of record).












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FORM C7: RESUME SUMMARY FORM – QUALITY ASSURANCE LEAD

PAGE 1 OF 3




























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Minimum Req uirement #2 : Experience on at least two (2) IT projects working as the QA Lead.



















Minimum Requirement #3: Six (6) months working as the Quality Assurance Lead for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP, EAI and DW/BI products. For this requirement, all the products (ERP, EAI, and DW/BI) must have been implemented on the same project(s), and the project(s) must be complete (i.e., the system is in production and is being used as the system of record).







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Desirable Requirement #1 : Experience on at least one (1) project working as the QA Lead for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP, EAI, and DW/BI products. For this requirement, all of the products (ERP, EAI, and DW/BI) must have been implemented on the same project, and the project must be completed (i.e., the system is in production and is being used as the system of record).













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FORM C7: RESUME SUMMARY FORM – TEST LEAD

PAGE 1 OF 3



Test Lead

























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Minimum Requirement # 2 : Experience on at least two (2) projects working as the Test Lead for a project which implemented an intranet/Internet system.







Internet/ Intranet (specify):










Internet/ Intranet (specify):




Minimum Requirem ent #3 : One (1) year working as the Test Lead for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP products. For this requirement, the project(s) must be complete (i.e., the system is in production and is being used as the system of record).

NOTE: In this requirement, the terms ERP-GL, ERP-AR, and ERP-AP have been used to emphasize the proposed staff must have experience testing these portions of the ERP. When describing staff experience, the Bidder should ensure the description clearly demonstrates experience with the particular module(s).






RFP DOT 2660-416













Desirable Requirement #1 : Experience on at least one (1) project working as the Test Lead for a project involving the design, configuration, and implementation/installation of the proposed ERP-GL, ERP-AR, ERP-AP, EAI, and DW/BI products. For this requirement, all of the products (ERP, EAI, and DW/BI) must have been implemented on the same project, and the project must be completed (i.e., the system is in production and is being used as the system of record).













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FORM C7: RESUME SUMMARY FORM – CHANGE LEADERSHIP LEAD

PAGE 1 OF 2



Change Leadership Lead





Minimum Requirement #1: Six (6) months working as a Change Leader on an IT project for a U.S. state or Canadian province.










Minimum Requirement # 2 : Experience on at least one (1) IT project working as a Change Leader where the total project duration was at least eighteen (18) months.








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FORM C7: RESUME SUMMARY FORM – CHANGE LEADERSHIP LEAD

Total Project Duration:




Minimum Requirement #3: Six (6) months working as a Change Leader for a project involving the configuration and implementation of the proposed ERP-GL, ERP-AR, and ERP-AP products. For this requirement, all the ERP product/modules must have been implemented on the same project(s), and the project(s) must be complete (i.e., the system is in production and is being used as the system of record).

NOTE: In this requirement, the terms ERP-GL, ERP-AR, and ERP-AP have been used to emphasize the proposed staff must have experience with these portions of the ERP. When describing staff experience, the Bidder should ensure the description clearly demonstrates experience with the particular module(s).













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FORM C7: RESUME SUMMARY FORM – TRAINING LEAD

PAGE 1 OF 2



Training Lead





Minimum Requirement #1: Experience on at least two (2) IT projects involving training design and delivery including both online and face-to-face training methods.







Training Methods Used:













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FORM C7: RESUME SUMMARY FORM – TRAINING LEAD


Minimum Requirement #2: Experience on at least one (1) project training end users on the proposed ERP-GL, ERP-AR, and ERP-AP product/modules. For this requirement, all the ERP product/modules must have been implemented on the same project, and the project must be complete (i.e., the system is in production and is being used as the system of record).

NOTE: In this requirement, the terms ERP-GL, ERP-AR, and ERP-AP have been used to emphasize the proposed staff must have experience training users on these portions of the ERP. These functions may be a single module or multiple modules. When describing staff experience, the Bidder should ensure the description clearly demonstrates experience with the particular module(s).












Desirable Requirement #1 : Advanced degree (masters or doctorate) or graduate study with emphasis in adult learning methodologies.

Degree: Emphasis:

Institution: Graduation Date:


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FORM C8: COMMERCIALLY USEFUL FUNCTION STATEMENT

Date:

Name of Bidder:

On January 1, 2004, Chapter 623, Statutes of 2003, became effective and required all small businesses, microbusinesses, and disabled veteran business enterprises to perform a “commercially useful function” in any contract they perform for the State.

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

• Is responsible for the execution of a distinct element of the work of the contract.


• Performs work that is normal for its business, services and functions.


THE BIDDER MUST PROVIDE A WRITTEN STATEMENT BELOW DETAILING THE ROLE, SERVICES AND/OR GOODS THE SUBCONTRACTOR(S) WILL PROVIDE TO MEET THE COMMERCIALLY USEFUL FUNCTION REQUIREMENT.

Type of Business:

(check one)

Small Business Microbusiness DVBE

Name of Subcontractor:

Specific Role(s) of Business for this Project:

(e.g., data conversion, training, BPR, etc.)

Goods/Services to be Provided:

(describe Bidder vs. subcontractor responsibilities for each role)


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FORM C9: PRODUCTIVE USE CUSTOMER REFERENCE

A productive use reference, which meets the requirements of this RFP, is required for the ERP, EAI and DW/BI software product(s) proposed by the Bidder. If multiple products are being proposed, a productive use reference must be provided for each product proposed.

Bidder Name: Contact Name:

Date: Phone #:

Client Name: Contact Name:

Address: Phone #:

Fax #:

Email Address:

Project Name:

Project Objectives:

Bidder Firm’s Involvement:

System Description:

Proposed Product/Modules

for E-FIS

Product/Modules Used on Referenced Project

Date Put into Production

ERP

EAI

DW/BI


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FORM C10: E-FIS HARDWARE AND SOFTWARE PROPOSED

Table A: Hardware Required

(to be leased from DTS)

ITEM DESCRIPTION/ PURPOSE

MAKE/MODEL/SPECIFICATION

(PROCESSOR, RAM, ETC.)OPERATING

SYSTEM/ VERSION

ADDITIONAL SOFTWARE* QUANTITY

a.

b.

c.

d.

*Indicate what software will run on this machine. The specifications for the software should be described in Table B.

Table B: COTS Software Required

(including development, test, training and other support tools)

ITEM DESCRIPTION/ PURPOSE

MANUFACTURER/ PRODUCT NAME

VERSION LICENSING MODEL (E.G., PER SEAT, PER SERVER,

VIEW ONLY, DEVELOPER)

NUMBER OF LICENSES PROVIDED

i.ii.iii.iv.


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FORM C11: LETTER OF INTENT TO BID

This is to notify you that it is our present intent to submit a bid response on RFP DOT 2660-416 for the E-FIS project. The individual to whom information regarding this RFP should be transmitted is:

Name: Title:

Company:

Street Address:

City:State, Zip:

Phone: ( ) Fax: ( )

Email Address:

If declining to bid, please state reason(s) why:

Sincerely,

__________________________________________


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APPENDIX D – GLOSSARY OF TERMS AND ACRONYMS

APPENDIX D - GLOSSARY OF TERMS AND ACRONYMS

531 Report State Highway Income Report

532 Report State Highway Expenditures Report

534 Report Highway Capital Outlay and Maintenance Expenditures Report

539 Report Toll Facilities Receipts and Disbursements Report

A&E Architecture and Engineering

A4a/A4b Report

Prepared for each open appropriate by program element to display cumulative commitments/obligations for SCO reporting

AB Assembly Bill

ACR Allocation Change Request

ADA Americans with Disabilities Act of 1990

AEL Allotment Expenditure Ledger

AIMS Agency Information Management Strategy

ANSI American National Standards Institute

AP or A/P Accounts Payable

API Application Programming Interfaces

APL Approved Projects Listing

AR or A/R Accounts Receivable

ARPS Automated Remittance Processing System

ARR Accounts Receivable Reconciliation System

ARS Accounts Receivable System

ASCII American Standard Code for Information Interchange

ATM Asynchronous Transfer Mode

AVMT Annual Vehicle Miles of Travel

BAS Budget Allocation Tracking System

BCP Budget Change Proposal

Betterment An increase in the capitalized cost of real property, e.g., installation of an air conditioner to a building that did not have one. (Compare to “improvement”)


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BI Business Intelligence

Bid As used throughout this document, intended to mean “proposed”, “propose” or “proposal”, as appropriate.

BID/iBID Bid Opening System

Biweekly For the purposes of this RFP, occurring every two weeks,

BMS Budget Monitoring System

B-Notice A Caltrans-generated notice sent to CVEEs when the CVEE’s federal tax information and/or social security information does not match federal records. The IRS charges Caltrans a penalty fee for each invalid CVEE.

BOE Board of Equalization

BPR Business Process Re-engineering

BT&H (California) Business, Transportation and Housing Agency

BTR Pseudo-Code for Regional TEA funding

CAPS Caltrans Accounts Payable System

CAS Construction Administration System

CBARS Current Billing and Reporting System

CCIS Construction Contract Information System

CCR California Code of Regulations

CDPOS Contract Delegation Purchase Order System

CEV Cash Expenditure Voucher

CFPIS Completed Federal Project Inventory System

CFR Code of Federal Regulations

CLMS Caltrans Land Management System

CMAQ Congestion Mitigation and Air Quality Improvement

CMIA Cash Management Improvement Act

CMS Construction Management System

Completed Implementation

The system is in production and being used as the system of record.

Completed Similar Implementation

The referenced project must have included implementation of the ERP General Ledger, Accounts Payable, and Accounts Receivable modules; the ERP product’s GL, AP and AR modules must be in


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production and being used as the system of record for the referenced project; and the ERP product must be being utilized by at least 750 concurrent users on the referenced project. The successful customization, installation and implementation of the proposed ERP product where the product is currently being used as the system of record by at least 750 users. The implementation of the ERP product modules which were implemented must have included the GL, AP and AR modules.

COMS/EAS Capital Outlay Monitoring System/Expenditure Authorization System

Concurrent User

For the purposes of this RFP, concurrent users are defined as being logged on.

Confidential Data

According to SAM, Section 4819.2 and 4841.3: “Information maintained by state agencies that is exempt from disclosure under the provisions of the California Public Records Act (PRA) or other applicable state or federal laws.”

Configuration Management

The management of the functional and physical characteristics of all system components, including hardware, software, databases, environments, and documentation. Involves the identification of the settings and characteristics of each system component, inventory and asset management of the system, change control of system components, version and release management, audits of the system components, and verification of the system components against the defined characteristics and documentation.

For the purposes of this document, does not refer to the activities performed to customize and install an application/database. The results of such activities would be documented as part of CM, but are not CM activities per se.

COSOAR Capital Outlay Support Overhead Assessment Rates

COTS Commercial Off the Shelf. According to the Federal Acquisition Regulations (FAR), Subpart 2.101, a commercial item is:

“(1) Any item other than real property, that is of a type customarily used by the general public or by non-governmental entities for purposes other than governmental purposes, and—

(i) Has been sold, leased, or licensed to the general public; or

(ii) Has been offered for sale, lease, or license to the general public;

(2) Any item that evolved from an item described in paragraph (1)


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of this definition through advances in technology or performance and that is not yet available in the commercial marketplace, but will be available in the commercial marketplace in time to satisfy the delivery requirements under a Government solicitation;

(3) Any item that would satisfy a criterion expressed in paragraphs (1) or (2) of this definition, but for—

(i) Modifications of a type customarily available in the commercial marketplace; or

(ii) Minor modifications of a type not customarily available in the commercial marketplace made to meet Federal Government requirements. Minor modifications means modifications that do not significantly alter the nongovernmental function or essential physical characteristics of an item or component, or change the purpose of a process. Factors to be considered in determining whether a modification is minor include the value and size of the modification and the comparative value and size of the final product. Dollar values and percentages may be used as guideposts, but are not conclusive evidence that a modification is minor;

(4) Any combination of items meeting the requirements of paragraphs (1), (2), (3), or (5) of this definition that are of a type customarily combined and sold in combination to the general public;

(5) Installation services, maintenance services, repair services, training services, and other services if—

(i) Such services are procured for support of an item referred to in paragraph (1), (2), (3), or (4) of this definition, regardless of whether such services are provided by the same source or at the same time as the item; and

(ii) The source of such services provides similar services contemporaneously to the general public under terms and conditions similar to those offered to the Federal Government;

(6) Services of a type offered and sold competitively in substantial quantities in the commercial marketplace based on established catalog or market prices for specific tasks performed or specific outcomes to be achieved and under standard commercial terms and conditions. This does not include services that are sold based on hourly rates without an established catalog or market price for a specific service performed or a specific outcome to be achieved.


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For purposes of these services–

(i) “Catalog price” means a price included in a catalog, price list, schedule, or other form that is regularly maintained by the manufacturer or vendor, is either published or otherwise available for inspection by customers, and states prices at which sales are currently, or were last, made to a significant number of buyers constituting the general public; and

(ii) “Market prices” means current prices that are established in the course of ordinary trade between buyers and sellers free to bargain and that can be substantiated through competition or from sources independent of the offerors.

(7) Any item, combination of items, or service referred to in paragraphs (1) through (6) of this definition, notwithstanding the fact that the item, combination of items, or service is transferred between or among separate divisions, subsidiaries, or affiliates of a contractor; or

(8) A nondevelopmental item, if the procuring agency determines the item was developed exclusively at private expense and sold in substantial quantities, on a competitive basis, to multiple State and local governments.”

CPA Certified Public Accountant

CPU Central Processing Unit

CRP Combined Road Plan

CSTS Contract Status Tracking System

CSU California State University

CTC California Transportation Commission

CTIFS California Transportation Infrastructure Funding System

CTTS Centralized Treasury Trust System

CUF Commercially Useful Function

CVEE Customer, Vendor, Employee, or other Entity

CWA Cooperative Work Agreements

D of A Division of Accounting

DAF Damage Assessment Form


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Data Cleanup Data Cleanup is one step in the data conversion process. Data Cleanup involves reviewing and validating the contents of legacy/existing systems to ensure the data is consistent, correct and accurate. Data cleanup addresses such things as a single field being used for different purposes by different areas/users, conflicting data in different systems and rules for survivorship (which data to keep under what circumstances), missing or incomplete data (e.g., no city for an address field), and duplicate data records (e.g., two identical address entries for a contractor). Once the data is “cleansed” it passes to the next step in the conversion process: converting the cleansed data into the new data structures.

Database Level The database level means to the level of a specific database instance.

DBA Database Administrator

DCP SCO Daily Direct Claims Paid

DGS Department of General Services

DLA Division of Local Assistance

DOF Department of Finance

DPAC Division of Procurement and Contracts

DPRS Duplication Payment Reporting System

DTS Department of Technology Services

DUNS Dun and Bradstreet Data Universal Numbering System. The number is used to track entities receiving federal awards to improve statistical reporting. In 2003, the Federal Government began requiring grant applicants to provide a DUNS number when applying for Federal grants or cooperative agreements. According to the Federal Register, dated 27 June 2003, grantees are required to provide a DUNS number on any application for federal aid funds.

DVBE Disabled Veteran Business Enterprise

DW Data Warehouse

E-76 Federal Authorization to Proceed

EA Expenditure Authorization

EAI Enterprise Application Integration

EBCDIC Extended Binary Coded Decimal Interchange Code


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EDD Employment Development Department

EDI Electronic Data Interchange

EEIA Employment and Economic Incentive Act

E-FIS ERP Financial Infrastructure

E-FIS Production Acceptance Period

Upon completion of deployment to Caltrans staff, the project enters the E-FIS Production Acceptance Period. This is a period of four months (4-months) during which the system is in production and being monitored for stability, reliability and correctness. The Contractor shall respond to and correct any identified bugs or anomalies found during this period.

EFT Electronic Funds Transfer

ELM Excess Lands Management

EPA Environmental Protection Agency

ER Emergency Relief

ERP Enterprise Resource Planning

ETL Extract, Transform and Load

EVRS Earned Value Reporting System

EWB Extra Work Billing

Existing System

A system or spreadsheet which will continue to exist after E-FIS is implemented. Existing systems include systems which will be replaced post-E-FIS and systems which will not be replaced.

FA Fleet Anywhere

FADS Federal Aid Data System

FCC Financial Conversion Codes

FFY Federal Fiscal Year or Funding Fiscal Year

FHWA Federal Highway Administration

FIDO Financial Data to Oracle

Field Level The field level means to the level of a specific field or element on a screen, view or report.

FMIS Fiscal Management Information System (federal system)

FPRS Federal Projects Reporting System

FRO Federal Resources Office


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FSR Feasibility Study Report

FSTIP Federal Statewide Transportation Improvement Program

FTA Federal Transit Authority

FTB Franchise Tax Board

FTIP Federal Transportation Improvement Program

FTP File Transfer Protocol

Function Level The functional level means to the level of a functional capability within a module, such as processing a travel advance, generating an invoice, generating a report.

FY Fiscal Year

GAAP Generally Accepted Accounting Principles

GASB Governmental Accounting Standards Board

GB GigaByte

GDP Gross Domestic Product

GIS Geographic Information System

GL or G/L General Ledger

GUI Graphical User Interface

HQ Headquarters

HR Human Resources

HTML Hyper Text Markup Language

HW Hardware

IDA Improvement Disposal Authorization

IDE Integrated Development Environment

IDoc Intermediate Document format

IDR Inventory Disposal Record

IFMS Integrated Financial Management System

IMMS Integrated Maintenance Management System, a Hansen system

Imprest Account or Fund

A fixed cash fund or petty cash fund in currency, a bank checking account, or both, maintained for expenditures that must be made in cash from time to time. The amount is restored to its original amount by transfer from general cash periodically. The sum of the


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available (cash) balance, expenditures, outstanding checks and amounts in transit equals the established account amount.

Improvement An increase in the capitalized cost of a piece of non-expendable equipment, e.g., a truck has a snow plow blade attached to it or a copier is upgraded by the addition of a collator. (Compare to “betterment”.)

IPOC Independent Project Oversight Consultant

IRS Internal Revenue Service

IRWS Integrated Right of Way System

IT Information Technology

ITIP Interregional Transportation Improvement Program

ITPP Information Technology Procurement Plan

IV&V Independent Verification and Validation

LAMBRA Local Area Military Base Recovery Act

LAN Local Area Network

Land Bank Exchange Transactions

Caltrans has established a Land Bank Account (Fund 943) to account for land exchange transactions with the Department of Parks and Recreations (DPR) and other state agencies. By using the Land Bank Account, property rights can be transferred between state agencies without exchanging cash.

Caltrans and the respective other state agency must enter into an exchange transaction contract that lays out the general agreements for the land exchange and the use of the Land Bank Account. For each individual land exchange, an "Agreement for the Transfer of Control and Possession" must be prepared. This document describes the parcel being exchanged and states the purchase price of the land involved and is used to support the entries in the Land Bank Account. The transfer of land between the departments cannot be completed until the Director of General Services approves the transaction (signs) on the "Agreement for the Transfer of Control and Possession" document.

Upon application by the DPR or other state agency for a specific parcel of excess land, Caltrans will hold the property for a period of two years during which the DPR or other state agency must consummate the transaction. If the land is not purchased within the two-year period, Caltrans then has the option of selling the land on the open market.


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LAO Legislative Analysts Office

LAP Local Assistance Program

LDAP Lightweight Directory Access Protocol

LDS Labor Distribution System

Legacy System A Caltrans system or spreadsheet to be replaced by the E-FIS project

LPAMS Local Programs Accounting and Management System

Material Deviation

A deviation from a requirement is material if the response is not in substantial accord with the RFP requirements, provides an advantage to one Bidder over other Bidders, or has a potentially significant affect on the delivery, quantity or quality of items bid41, amount paid to the Bidder or on the cost to the State. Material deviations cannot be waived.

MICR Magnetic Ink Character Recognition

Module Level The module level means to the level of the a system module, such as GL, AP, AR.

MPO Metropolitan Planning Organizations

MS Microsoft

NIA Notice of Invoice Adjustment. A report submitted to the bank by Caltrans that lists disputed items or offsets for Caltrans credit card holders. A separate report is generated for each area/district. The report shows what was supposed to be paid for the billing cycle, cardholders’ disputed items, offsets to previous charges, payments for prior period items and fraud item charges.

NOW No Warrant system

NSF Non Sufficient Funds

NZ Net Zero System

OAP Obligation Authority

OAR Overhead Assessment Reimbursement and Billing System

OCM Oracle Certified Master (DBA)

OCP Oracle Certified Professional

OCR Optical Character Recognition

41 The word “bid” as used throughout this document is intended to mean “proposed”, “propose” or “proposal”, as appropriate.


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OE Operating Expense

OEM Original Equipment Manufacturer

OET Operating Expense Tracking

ORF Office Revolving Fund

OS Operating System

OSDS Office of Small Business and DVBE Services

PARR Payroll Accounts Receivable and Reporting System

PCARS Purchase Card Accounting and Requisition System

PCC Public Contract Code

PDF Adobe’s Portable Document Format

Personal Data According to SAM, Section 4841.3: “Information maintained by state agencies that identifies or describes an individual.” Personal data includes name, Social Security Number, account information, and driver’s license number. Refer to the Bidders’ Library for more on personal information and appropriate confidential markings.

PETS Progress Estimate Tracking System

PFA Plan of Financial Adjustment

PIA Prison Industry Authority

PID Project Initiation Document

PMBOK Project Management Body of Knowledge

PMCS Project Management Control System

PMDW Project Management Data Warehouse

PMI Project Management Institute

PMIB Pooled Money Investment Board

PMP PMI’s Project Management Professional

POP Program of Projects

PPNO Planning and Programming Number

Program Codes, Federal

A federal identifier for federal categories of funds. It is the primary source for all federal funding transactions affecting obligations under established highway-related programs, and carries information on the source of federal funds available for obligation.


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The federal program code provides the yardstick for measuring and monitoring the progress of legislated highway programs and is a basic information source for FHWA’s FMIS.

Program Codes, State

(According to the TRAMS Coding Manual) The numeric designation used to identify a program’s elements, components or tasks in the Department’s budgeting and accounting process.

Programming (in relation to funding) The process of setting transportation priorities and matching funds to the priorities in accordance with the funding rules established by CTC and federal regulations. Programming priorities are guided in a general sense by the short-range transportation plans which in turn are driven by the long-range state and regional plans.

PRSM Project Resource and Scheduling Management system

PSD Personal Service Dollars

PSR Project Study Report

PST Pacific Standard Time

PUBS Paper Utility Billing System

PUC Public Utilities Commission

PY Person Year

QA Quality Assurance

R/W or RW Right of Way

RAM Random Access Memory

RAP Relocation Assistance Program

RASPS Federal Rapid Approval and State Payment System

RBR Rail Bond Reporting System

RDBMS Relational Database Management System

RFID Radio Frequency Identification

RFP Request for Proposal

RFS Revolving Fund System

RIP Regional Improvement Plan

RSS Reimbursement Subsystem

RSTP Regional Surface Transportation Program

RTIP Regional Transportation Improvement Program


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RTPA Regional Transportation Planning Agency

RWPM Right of Way Property Management System

RWR Right of Way Rental

RUMS Right of Way Utility Management System

SAL Salary Advance Monitoring System

SAM State Administrative Manual

SB Senate Bill

SBE Small Business Enterprise

SCATS Service Contracts Automated Tracking System

SCO State Controller’s Office

SCPRS DGS’ State Contract and Procurement Registration System

SDLC System or Software Development Life Cycle

Sensitive Data According to SAM, Section 4819.2 and 4841.3: “Information maintained by state agencies that requires special precautions to protect it from unauthorized modification or deletion. Sensitive information may be public; typically, sensitive information includes agency records of financial transactions and regulatory actions.”

SHA State Highway Account

SHA Quick Check Report

Capital Outlay Monitoring Report

SHAAP Report Support Monitoring Report

SHOPP State Highway Operation and Protection Program

Simultaneous User

For the purposes of this RFP, simultaneous users are defined as users pressing the “Enter” key or clicking on the mouse to submit a system action at the same time.

SLB Signals and Lighting Billing System

SME Subject Matter Expert

SMTP Simple Mail Transfer Protocol

SOA Statement of Accounts

SOS Secretary of State

SQL Structured Query Language


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SSL Secure Socket Layer

SSN Social Security Number

STD Standard

STD 204 Payee Data Record

STD 208 Penalty Calculation

STD 213 State of California Standard Agreement

STD 26 Budget Revision

STD 65 Purchasing Authority Purchase Order

STD 675 Supplemental Wage Deduction

STD 676P Non-USPS Adjustment Request - Payments (Fringe Benefit/Employee Business Expense)

STIP State Transportation Improvement Program

STO State Treasurer’s Office

Stop Notice An avenue for subcontractors on certain types of contracts (such as PISA and service contracts) to place a claim against one of Caltrans’ contractors if the subcontractor is not being paid. In these cases, Caltrans will withhold money from the contractor until the subcontractor files a Release of Stop Notice.

Stop Payment A stop payment is used when an ORF or SCO warrant has been lost, misplaced or damaged, and a replacement check or warrant is being issued. The stop payment is issued against the original check or warrant to avoid paying the recipient twice for the same work/product.

SUBS Statewide Utility Billing System

SVS Service and Supply System

SWCAP Statewide Cost Allocation Plan

System The E-FIS system consists of all applications needed meet the functional and technical requirements, including the ERP, EAI tools, Data Warehouse/Business Intelligence tools, ETL tools, RDBMS, OS and any customizations or custom code.

TACPA Target Area Contract Preference

TAMS Travel Advance Monitoring System

TCI Transit Capital Improvement program


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TCP/IP Transmission Control Protocol/Internet Protocol

TCRP Transportation Congestion Relief Program

TEC Travel Expense Claim

TECRPI TEC Reportable Payment Reporting System

Third Level Help Desk Support

3rd level support is product support from the vendor/product manufacturer regarding product problems, defects or warranty issues.

TOPSS Transportation and Operation Project Support System; now known as Staff Central, a PeopleSoft HR system

TPRC Right of Way Management System

TRA Transportation Revolving Account

TRAMS Transportation Accounting and Management System

TTY/TDD TeleType/Telecommunication Devices for the Deaf

UCM California Uniform Codes Manual

UIG Utility Industry Group

URS Vehicle Usage Reporting System

VAN Value Added Network (for EDI)

VPN Virtual Private Network

VTA Value at Time of Acquisition

W3C World Wide Web Consortium

WAN Wide Area Network

WBS Work Breakdown Structure

WCCP Construction Contract Payments

WSVS Web Service and Supply System

XML Extensible Markup Language


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APPENDIX E – DETAILED FUNCTIONAL AND TECHNICAL REQUIREMENTS MATRIX

APPENDIX E - DETAILED FUNCTIONAL AND TECHNICAL REQUIREMENTS MATRIX


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APPENDIX F – QUESTIONS AND ANSWERS


Question and Answer Set #1:

# DATE RECEIVED

RFP REFERENCE

QUESTION TO THE STATE RESPONSE FROM THE STATE

1. 01/03/2007 Section V.6.14.2

What is the rationale for segregating the bid into two contracts? What problem is the segregation of the contracts intended to solve?

The first contract for the design, configuration/customization, implementation services, and software purchase and upgrades for the Design, Development and Implementation phase requires a performance bond. The second contract, which includes ongoing product licensing and version upgrades of the COTS software and tools, does not require a performance bond. This approach is designed to reduce the overall cost of the bid, as a performance bond will only be required for part of the work.

2. 01/03/2007 Section VI Is there an expectation to have a section in the proposal provided by the bidder that will contain narrative descriptions of how to meet each of the mandatory requirements?

No. There is no requirement to provide a narrative description to each mandatory requirement individually.

3. 01/03/2007 Section VI Can the minimum response requirements be met for the mandatory requirements section (Appendix E, Section E.1) by simply providing initials in the space provided to acknowledge our acceptance to meet the mandatory requirements?

Yes.

4. 01/03/2007 Page 1-1 of the RFPSection V.6.12,

We request that the State modify the RFP so that, at the bidders option, Caltrans would purchase the ERP software directly from the software vendor and that

The State will not change this requirement. The time and effort to manage contracts with two separate contractors for this effort is


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# DATE RECEIVED

RFP REFERENCE


Administrative Requirement 16, page V-12

SOW, page A-6

the hardware and other software (e.g., testing tools) are acquired through DTS.If the State modifies the RFP as suggested above, we believe this will increase the number of bidders; making the procurement more competitive and potentially more cost effective. We believe that it is in the State’s best interest to acquire the hardware and software components itself (as it is planning to do for some other Commercial-Off-the-Shelf (COTS) projects). We believe that there are numerous benefits that accrue to the State as a result of this approachUnder this approach, Caltrans would continue with a single procurement for both software and integration services. By purchasing these products directly from the hardware or software vendor, the State would pay the license and maintenance fees directly to the vendor and would be more in control of the benefits associated with making those payments. Additionally, the warranties associated with these products would be those established through this process.

undesirable. A single contract with a single point of accountability will be used for the Design, Development, and Implementation phases and software purchase and licensing.

5. 01/03/2007 Section V.6.12 Software Use Administrative Requirement 16, page V-12

We request that the State revise the language regarding payment for the software license. Typical industry practice is to pay upon acceptance of the Commercial-off-the-Shelf software; acceptance is defined as delivery of the software. By deferring payment of the license to successful completion of

An additional payment milestone will be added for Delivery and Successful Installation of the COTS Software. The 10% withhold still applies to this payment. The RFP will be amended to reflect this answer.


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# DATE RECEIVED

RFP REFERENCE


Section V.6.20 Payment Milestones Administrative Requirement 27, V.6.20.3 Payment for Ongoing Product Licensing and Version Upgrades (page V-19

the E-FIS production Acceptance Period delays payment by two years from the date when the software vendor will be paid. The State will likely pay interest costs under this approach. If the vendor fails to perform to the terms of the contract, then there are other remedies that the State can take.

In accordance with Administrative Requirement 16, the software licenses will not transfer to the State until acceptance of the system after successful completion of the E-FIS Production Acceptance Period.

6. 01/03/2007 Section V.6.14.4 E-FIS Production Acceptance Period and System WarrantyAdministrative Requirement 21, page V-14 and V-15

The RFP requires a 15-month warranty period upon system acceptance. Is the State receptive to a modified warranty period that would provide a more cost-effective solution?

a. Three-six months is a more typical warranty period for system integrator services for projects of this type. As an example, the Division of Recycling procurement for the implementation of the Oracle E-Business implementation has a warranty period of six months. We request that Caltrans reduce the warranty for system integrator services from 15 months to 3 or 6 months.

b. Would the State please clarify what is meant by

1a. The 15-month warranty period will be changed to a 12-month period. The RFP will be amended to reflect this answer.

The 12-month warranty period is necessary to address a full one-year cycle of processing and year-end closing functionality which are only executed once per year.

b. The 4-month period is to ensure all areas of the system have been exercised and in productive use under normal volumes prior to accepting the system. During the ‘E-FIS Production Acceptance Period’, any defects and anomalies detected must be corrected.


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# DATE RECEIVED

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the four-month E-FIS Production Acceptance Period? Currently, the RFP indicates “the Contractor shall analyze and correct any system defects and anomalies detected for a period of four (4) months at no cost to the State.” This appears to more reflective of warranty work rather than Acceptance. Acceptance occurs during the system testing phase. How does this Acceptance Period relate to the payment milestones?

c. We request that Caltrans change the requirement that the Contractor shall perform the analysis and resolution activities onsite. The work could be performed by consultants working offsite and we do not believe the requirement to perform the work onsite is required in order to complete the tasks.

Warranty services are governed by the contract language. Refer to Section 18 of the Information Technology General Provisions (GSPD-401IT).

c. This is not acceptable to the State. On-site activities are required to ensure knowledge transfer to Caltrans IT staff.

7. 01/03/2007 Section II.2.7. Bonds, page II-3

The RFP contains a performance bond requirement equal to 50% of total contract value if the contract elects the option to receive progress payments.a. We request that the State change the RFP so that the performance bond value is based on the personal services fees rather than including the software purchase contract and hardware as well. ”. As background, the RFP (on page II-3) “requires a performance bond for the design, configuration/customization, and implementation services and software purchase contract, if progress payments are selected, as specified in Section V,

a. The amount of the performance bond must be 50% of the total contract amount for the Design, Development and Implementation phase, which includes both products and services. Hardware costs will not be included in the total contract amount, since hardware will be provided by the Department of Technology Services, and therefore is not included in the performance bond amount.

b. No, the amount of the bond and the term are required by Public Contract Code 12112.


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Administrative Requirements.” Section V.6.20.1.1, page V-17, the RFP indicates that the performance bond is “50% of the value of the total design, configuration / customization, and implementation contract” (the software purchase amount is not included in this description). Finally, page I-1 of the RFP indicates “…for ongoing product licensing and version upgrades, the State will not require the Contractor to provide a performance bond.” b. Would the State be willing to modify the required amount of the performance bond to an amount that is commensurate with a percentage of the funded value of the contract for the fiscal year in question?

8. 01/03/2007 Section V.6.19 Liquidated Damages, Administrative Requirement 26 , Page V-16 of RFP

We request that the State remove the Administrative Requirement 26 regarding liquidated damages. According to the RFP, liquidated damages are assessed to the vendor if the schedule provided after contract execution is not met. The reason for not meeting the schedule could be due to a variety of reasons including Caltrans, or other State organizations (Department of Finance or State Comptroller’s Office). We do not believe the liquidated damages should be assessed solely because the schedule agreed upon at the beginning of the project is not followed; there may be valid reason for later changing the schedule that was proposed at the beginning of the project. (See Administrative Requirement 26). Additionally, the

Section 1 of the State Model Contract, IT Special Purchase Provisions, indicates that Liquidated Damages will be exercised “in the event the Contractor fails to deliver in accordance with the Contract requirements…” Delays caused by other organizations are not cause for exercising damages.


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State is provided other protections for performance.9. 01/03/2007 Contract

documentsIt appears that the Statement of Work will take precedence over the bidder’s proposal response in the contract document structure. Will there be an opportunity for the State and the selected Bidder to review and clarify the performance requirements as set forth in the RFP during contract negotiations? Will the State confirm that only those sections of the Bidder’s proposal that is attached to the Statement of Work are referenced in Section A.2 and A.3 of the Statement of Work? If Bidders request changes to the Statement of Work language, should these recommended changes be included in the Draft Proposal?

As with any requirement of the RFP, the Bidder may request a change to the requirement. However, the State does not wish to represent that changes to contract language will be made.

The Statement of Work will include the sections of the Bidder’s Proposal as referenced.

Proposed changes to the Statement of Work must be submitted as written questions or as a requirement change request in accordance with the dates identified in RFP, Section I.5, Key Action Dates. Changes proposed in the Bidder’s Final Proposal may make the proposal non-responsive and ineligible for contract award.

10.

01/03/2007 Section V.6.20.1.2 Payment Milestones, Table 7 One-Time Cost Payment Milestones, page V-17-18

Will the State allow the vendor to propose a payment schedule so that it is more reflective of the work effort that is performed? Currently, only 40% of the total contract (calculated as 10% for project initiation + 10% for requirements analysis and validation + 20% for design and configuration = 40%) is paid prior to completion of user acceptance testing; however, the vast majority, over 85%, of the work effort has already been performed by the time user acceptance testing is completed. The Payment Schedule is structured so that relatively little value is provided to the early phases of the project which has

The State will not allow the Bidders to propose the progress payment percentages based on the work effort. However, the State agrees to change the payment schedule as described in Answer 5, above.

The State will not remove the 10% holdback for Payment Option 1. The first contract for the design, configuration/customization, implementation services, and software purchase and upgrades for the Design, Development and Implementation phase will include progress


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a greater work effort than is being paid. The budgeted amounts, contained in page 173-174 of the FSR also indicate that 85% of the amount of services is incurred prior to rollout. We request that the vendor be allowed to propose the percentages based on the proposed work effort. Will the State agree to remove the 10% holdback? If progress payments are made, the vendor will have already provided a performance bond. Requiring a holdback will result in a higher cost due to the interest cost of the withheld payments.

payments and the holdback is required if progress payments are made, per Public Contract Code 12112. If a Bidder does not wish to receive progress payments (Payment Option 2), then no holdback is necessary.

11.

01/03/2007 Section V.6.20.3.3 Payment Milestones Administrative Requirement 27, Section V.6.20.2.3 Labor for Unanticipated Tasks , page V-19

We request that Caltrans change the section for payment related to labor for unanticipated tasks so that periodic progress payments can be made rather than only billing after completion of the E-FIS Production Acceptance Period. (See Section V.6.20.2.3).

The requirement will be updated to indicate payment for unanticipated tasks will be described in the specific work authorization. Payment for unanticipated tasks can only be made upon acceptance of the completed work. In cases where the task involves changes to the software, it is unlikely that payment will be made until the entire system is tested and accepted. The RFP will be amended to reflect this answer.

12.

01/03/2007 Section V.6.5. Confidentiality of InformationAdministrative Requirement 9

The RFP states that all staff assigned to the project shall be required to sign individual confidentiality statements. Would the State permit the bidder organization to sign an umbrella agreement on behalf of all bidder staff, thus assuming

No. It is Caltrans policy to require each individual working on the project to sign a confidentiality statement.


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responsibility at the organizational level for any and all bidder staff breaches of such confidentiality requirements?

13.

01/03/2007 Appendix B, Cost Worksheets, Form VII-8, Bidder Labor Costs

Can labor rates be provided for each of the 6 years (4 base years + 2) rather than a single labor rate for all years?

The cost workbook in Appendix B will be modified to allow labor rates for each year. The RFP will be amended to reflect this answer.

14.

01/03/2007 Appendix B, Cost Worksheets, Form VII-1, Total Cost Summary and Form VII-9, Post EFIS Modules

Would Caltrans confirm that the system integrator costs of the additional E-FIS applications are not included (Purchasing, Inventory, and Budget Preparation) in this bid?

The system integrator costs for implementing Post-E-FIS functionality are not included in this bid. The Bidder must provide costs for Post-E-FIS products only. The State will have the option of purchasing any or all of the proposed Post-E-FIS software modules and associated product licensing for the term of the second contract, as stated in Administrative Requirement #19.

15.

01/03/2007 Section III.7.1. Bidders’ Library Location

When will all of the documents identified in Table 3. Bidders Library be posted to the website identified in this section? Several of the documents are not posted to the website, including, for example:- E-FIS Project Deliverable Review and Acceptance Process- E-FIS Project Change Control Process- Sample Specification – Change Proposals and Conceptual Designs (to provide an idea of the documentation that will be available to the

The items are now available in the Bidders’ Library.


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Contractor when designing interfaces to existing Caltrans systems)

16.

01/03/2007 Section IV.2.2 Will all time accounting functions be performed in Staff Central after E-FIS is implemented?

What system will provide the functions that TRAMS Labor Distribution system performs when TRANS is retired?

Will the Overhead Assessment Reimbursement System (OAR) be replaced by E-FIS? The OAR calculates the overhead allocation for reimbursable labor costs.

All Caltrans employees use Staff Central to record productive and leave hours and the related TRAMS coding information. Staff Central does not calculate the dollar cost of personnel services; it only tracks hours.

The Labor Distribution System (LDS) provides salary information labor rates including special assignment pay rates and a benefit factor (vacation, sick, etc.) called the Payroll Reserve Assessment Rate. LDS receives coding and hour information from Staff Central. Hours are multiplied by the salary information and payroll reserve assessment rate to arrive at the full cost labor which is posted to TRAMS based on the coding information provided by the employees.

LDS and OAR will be replaced by the E-FIS system.

17.

01/03/2007 Section III.2.5 Procurement

As indicated in the RFP, “the majority of procurement system functionality will be included in post-E-FIS projects. Only the Contract Delegation Purchase Order System (CDPOS) and Drug-Free Certifications database are relevant to the scope of E-FIS.” Would Caltrans clarify the scope of functionality of the procurement system that will be

Approximate Contract Delegation Purchase Orders to be produced/printed annually – 12,000

The data in the Drug Free Certifications database does not need to be converted. The Drug Free Certification now is a mandatory


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included in E-FIS in terms of volumes, etc, for example:- Approximate number of Contract Delegation Purchase Orders to be produced/printed on an annual basis - Approximate number of Drug-Free Certifications - Approximate number of purchase orders to be produced/printed by E-FIS on an annual basis

The RFP references the Number of Purchase Contracts Executed Per Year as 10,663 in Table 2 – Summary of Current Transaction Volumes, page III-23. Is this the number of Contract Delegation Purchase Orders referenced above?

requirement for each contract. Thus the volume would be the same as the volume of contracts/purchase orders.

Purchase Orders and Contract Delegation Purchase Orders refer to the same thing.

Yes, Number of Purchase Contracts listed in RFP Table 2 refers to the current volume of Contract Delegation Purchase Orders.

18.

01/03/2007 Section V.6.16 Hardware Lease, Administrative Requirement 23

Will DTS make available the hardware 60 days after contract execution rather than 90 days after contract execution?

No, DTS requires 90 days in order to complete its procurement cycle.

19.

01/03/2007 Section III.2.6. Project Cost Accounting, Page III-19

We understand that both CMS and PRSM are new systems that will be implemented by Caltrans. What is the expected implementation schedule for CMS and PRSM? In planning interfaces, should the Bidder’s Cost be based on interfacing to the new systems or are interim interfaces required to the existing system as well as the new system?

At this time, it is anticipated that both CMS and PRSM will be in place prior to E-FIS implementation. The Bidder should anticipate interfacing to the new systems.

20 01/03/2007 Section VI.2. Will the State change the timeframe of the No. Caltrans wishes to maintain the current


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Desirable Requirements, page VI-2

demonstration to from ten (10) calendar days to fifteen (15) calendar days of the request?

schedule and avoid further delays.

21.

01/03/2007 Section V.6.14.2

We wish to confirm our understanding that prior to final proposal submission bidders may request changes to the Contract Terms and Conditions, and the agency’s response to such requests will be reflected in addendums to the RFP.

As with any requirement of the RFP, the Bidder may request a change to the requirement. However, the State does not wish to represent that changes to contract language will be made.

22.

01/03/2007 Section V.6.14.2

We wish to confirm our understanding that the Contract Terms and Conditions that exist as of the date of final proposal submission are the contract terms to which bidders must agree as part of their final proposals.

Correct.

23.

01/03/2007 Section V.6.14.2

We understand that Caltrans has scheduled 3/21/07-3/28/07 for Confidential Discussions. Does Caltrans anticipate that such Confidential Discussions would be an opportunity for the parties to discuss potential changes to the contract?

No, the purpose of the Confidential Discussions is to discuss deficiencies found in the Bidder’s proposal.

Refer to the response to Question 21.24.

01/03/2007 Section V.6.14.2

We would like to understand the process/format for submitting requests for changes to the Contract Terms and Conditions.

Refer to the response to Question 21.

25.

01/03/2007 Section IV.2.2 Will the State provide additional details on the systems that need to be interfaced to such as -Data volumes -Frequency of data updates -Is the interface bi-directional -The technology foundation of the system to be interfaced to

Refer to the Bidders’ Library, E-FIS Matrix of Data Conversion and Interface Needs.


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26.

01/03/2007 Section VII.2.2 For what length of time does the hardware on-going costs need to priced?

For evaluation purposes, the length of time must be for the entire contract period of 6 years.

27.

01/03/2007 Section V.6.20.2.3

Will the State consider progress payments on option 2 for delivered and accepted work product?

No. A performance bond must be submitted in order to receive progress payments.

28.

01/03/2007 Section III.2.6 “Caltrans can only deliver accurate, consistent, “budget vs. actual” reports by rigorously following clearly defined “split and combine” rules. Business rules determine when changes to a project budget or contract require the creation of a new project. Clearly defined rules will dictate how project budgets and expenditures are split or combined into new project budgets and expenditures.” Have these rules been defined? Are there ‘draft’ rules or rules used by individual Divisions that could serve as models?

A list of the current coding structure elements and issues has been added to the Bidders’ Library. However, the redesign of the coding structure will be addressed during the Business Process Redesign, Design, and Data Conversion phases.

29.

01/03/2007 Section III.2.6 “The current method of assigning funding by percentage on the EA often results in inaccurate expenditures at all levels (appropriation through project) until the time of project closeout. A project may take many years to complete and be closed out, and by that time, appropriations may have reverted so that there is no current funding available. Central to this issue is the EA and the use of different percentages for TRAMS and CBARS. Currently, staff has the ability to change the percentage that drives the funding for one system independently of the other, but cannot stagger or phase types of funding which may apply only under certain

Yes, the Bidder will be responsible for analyzing and redesigning the coding structure as part of the BPR and Design effort.


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conditions or timeframes. This is one of the largest issues surrounding accurate financial planning and reporting under the current methods.” Is it correct to assume that the Contractor needs to provide a recommended approach for modifying the EA structure?

30.

01/03/2007 Section IV.1 Regarding Caltrans participation in addition to the project staff described, we have several questions:

a. Will Caltrans provide an organization chart, roles/responsibilities and reporting relationships for all project stakeholders, including applicable Caltrans divisions, districts, DTS, the selected E-FIS vendor, IV&V and IPOC vendors?b. Is there a Project Steering Committee and if so, how many staff are in it (and how many from each division)? Is that a different group than the Executive Committee described later in the RFP?c. Is there a separate Caltrans Project staffing model for the maintenance and operations phase/contract? If so, will Caltrans provide this?d. What are the Caltrans resources available and/or allocated to the E-FIS Project from all existing systems with which E-FIS will either interface or replace?e. What are the roles, responsibilities and level of involvement of Caltrans IT and othersubject matter experts (SMEs)?

a. Refer to the information contained in the FSR, located in the Bidders’ Library.

b. The committee is the same.

c. Not available at this time.

d. Refer to the information contained in the FSR, located in the Bidders’ Library.

e. Refer to the information contained in the FSR, located in the Bidders’ Library.


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31.

01/03/2007 Section IV.2.1 Regarding the definition of “COTS”, some states make a distinction between COTS and “GOTS” (software packages available to governments only). In most cases, GOTS packages contain proprietary source code that can only be modified and maintained by the GOTS company, and not third-party service providers. Will GOTS packages be considered an acceptable “COTS” solution for the purpose of this procurement?

And as it relates to the Department’s long-term maintenance and operations (M&O) strategy, what is the Department’s M&O resourcing strategy after the initial vendor M&O contracts end?

a. Caltrans does not understand this question.

For the purposes of this RFP, COTS is defined as: “hardware or software products that are ready-made and available for sale to the general public.” For an expanded definition, refer to the Federal Acquisition Regulations (FAR), Subpart 2.101 (Definitions) for “commercial item”, available at http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/02.htmThe RFP will be amended to reflect this answer.

b. Caltrans IT staff will have primary responsibility for maintaining the system, with assistance from DTS. Licensing and upgrade costs periodically will be let for bid to qualified vendors.

32.

01/03/2007 Section IV.2.2 RFP Section IV.2.2 states that “The specific interfaces will be prioritized and selected as part of the requirements validation effort after Contracts Award. Refer to the Bidders’ Library for more information on these systems. Caltrans will be responsible for providing the interface specifications for interfaces inbound to and outbound from the ERP and DW.”

Appendix E, Detailed Functional and Technical

a. Refer to requirement IM-28: “The Contractor shall be responsible for developing sixty (60) interfaces to existing systems, external systems, and, where appropriate, replacing/replicating interfaces to/from legacy systems (i.e., systems to be replaced).” Caltrans anticipates that some interfaces to the E-FIS system will be identified as lower priority and will not be the responsibility of the Contractor. The Contractor will be responsible for designing the data


http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/02.htm

http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/02.htm

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Matrix, Requirement DW-22 states that “the Contractor shall be responsible for designing, developing, and implementing the data extracts from the DW to the existing systems identified on the interface list found in Table 5 and Table 6 of the RFP.” Interface and conversion efforts are often the source of budget overruns on IT projects. To mitigate that risk and allow Contractors to better estimate effort, we have several questions:

a. Please confirm that all systems will be “selected as part of the requirements validation effort” cited above (vs. some systems may not be selected which would affect scope/cost).b. Please indicate when the detailed system documents will be posted to the Bidders’ Library website.c. Please confirm that Caltrans staff will define the inbound and outbound data elements between E-FIS and remaining Department systems, in a standardized format for all such systems.d. Will Caltrans provide a “level of complexity” (i.e. low, medium, high) for each of the systems listed in Tables 5 and 6, either defined by volume of data or more ideally, by the number of current tables and records?

extracts to support existing systems (DW-22).

b. The items are now available in the Bidders’ Library.

c. Correct.

d. Refer to the Bidders’ Library, E-FIS Matrix of Data Conversion and Interface Needs.

33.

01/03/2007 Section V.6.5 Regarding preference programs, we are concerned that the evaluation procedure deters prime vendors

No. The application of the small business preference is governed by state law.


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from subcontracting with SBEs vs. DVBEs, because the only way to receive the 5% SBE preference is to subcontract a significant portion (25%) of the contract value. It has been our experience that this is difficult to achieve when product costs are included in the contract value (products are rarely subcontracted to SBEs as it often adds unnecessary cost to the State). As a small business, we have been involved in many large procurements in support of the State’s overall goal of 25% SBE participation. But Caltrans’ good intentions by applying this percentage at the project level will likely result in the opposite effect of being cost and risk prohibitive for prime bidders to subcontract 25% of the contract value. The DVBE evaluation procedure includes a “sliding scale” of preference points based upon level of participation, which seems like a reasonable approach for the SBE participation as well. Would the State would be willing to modify the SBE evaluation process to be similar to that of the DVBE “sliding scale” evaluation?

34.

01/03/2007 Section V.6.6, Administrative Requirement 6

Regarding additional points for implementation at a DOT and/or member of AASHTO, is Caltrans referring to a DOT-specific implementation or a statewide implementation that included a DOT? If DOT-only, this requirement may be impossible to meet given the overarching requirement for 750 concurrent users. In other words, even the largest

In the corporate experience requirements, the concurrent user requirement (#1c) does not apply to desirable requirement #6. These are separate requirements.

Desirable corporate requirement #6 addresses experience implementing an ERP for a


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DOT clients do not have that many concurrent users. Would Caltrans consider revising the DOT/AASHTO requirement to be exempt from the concurrent users requirement so that bidders can receive the desirable points for highly relevant experience with any DOT?

government transportation organization. The RFP will be amended to reflect this answer.

35.

01/03/2007 Section V.6.16 Regarding hardware leasing costs, please confirm that all vendors should utilize DTS’ standardized cost list referenced in RFP cost Section VII.2.2, item 2, entitled “Ongoing DTS Hardware Costs.”

Yes.

36.

01/03/2007 Appendix C, Form C-6, Corporate Experience Reference

Regarding “Number of Users”, please clarify if this means named number of users or concurrent number of users (in order to be consistent with the evaluation points outlined in RFP Section V.6.6). Also, given that RFP section V.6.6 states that all successful implementations must meet the requirement of minimum 750 concurrent users, should this be included as a yes/no question under “Project Reference Criteria” on page 2 of the reference form?

a. Concurrent users as described in Section V.6.6, Administrative Requirement 10. The RFP will be amended to reflect this answer.

b. The information at the bottom of Form C6 page 1 (Number of Users) will be sufficient.

37.

01/03/2007 Appendix E, Detailed Functional and Technical Matrix, Requirement IM-1

“All of the E-FIS modules and functions shall be put into production together at the start of a new State fiscal year.” Given that financial penalties are associated with missing the production date, please confirm that Caltrans’ desired E-FIS production date is, at the earliest, the start of FY09/10, or July 1, 2009. This would mean that bidders’ work plans should consistently reflect an implementation

Yes.


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timeframe of approximately 21months (assuming project start in late September 2007).

38.

01/03/2007 Appendix E, Detailed Functional and Technical Matrix, Requirement IM-34,

“The Contractor shall perform business process re-engineering (BPR) to create new business processes to accommodate the E-FIS system…. This includes analysis and streamlining of the coding structure.” The Integration Study BPR (page 68) in the Bidders’ Library recommended convening the Coding Structure and Project Identification Team (CSPIT) to “arrive at a new coding structure and a new method of accounting for project costs.” Concurrently with the implementation of E-FIS, the DOF FI$Cal project is modifying the State of California Uniform Codes Manual (UCM) coding structure. To better understand the scope of what might be a significant BPR effort, we have the following questions:a. Has Caltrans completed the development of its new chart of accounts, which the Contractor will then be responsible for implementing in the E-FIS system? If not, what efforts have been conducted thus far?b. Is the Contractor responsible for managing the development of Caltrans’ new coding structure, or is there a separate Caltrans team that will provide output to the Contractor?c. Does Caltrans expect the FI$Cal project to have

a. The development of the chart of accounts and coding structure is considered part of the BPR effort.

b. The Contractor is responsible for leading the effort to develop the new structure.

c. The Contractor is responsible for developing the new coding structure. The schedule for FI$Cal is unknown at this time. For the purposes of this RFP, the Bidder should anticipate developing the structure in concurrence with FI$Cal efforts.


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defined the new UCM coding structure by the time of E-FIS contract award, so that its changes can beincorporated into the E-FIS requirements validation activities?

39.

01/03/2007 Appendix E, Detailed Functional and Technical Matrix, Requirement IM-50

“Caltrans is responsible for developing the user acceptance test scripts and data, and for executing the tests.” Based upon lessons learned from other large implementations, this represents significant risk to final system acceptance. Even with training and knowledge transfer, Caltrans may find it challenging to develop effective scripts for complex products with which they are newly familiar. We would like to request that this task be a joint effort between Caltrans & the Contractor (with a final Caltrans sign-off of scripts and data), to better facilitate system acceptance and adherence to the overall project schedule and budget.

Refer to the first part of requirement IM-50: “The Contractor shall assist Caltrans with user acceptance testing, as requested...”

40.

01/03/2007 IFMS Feasibility Study Report, Section 2.5

IFMS Feasibility Study Report, Section 2.5 states that the Integration Vendor budget is approximately $10.6 million. Please confirm that the approved FSR budget amount is still valid (provided that the figures are over 16 months old), or whether Caltrans would consider an SPR for additional unforeseen costs. Also, in later FSR section 8.2.1, detailed cost estimates are provided for software vs. contract services. Please confirm that bidders are not required to comply with the FSR cost estimates, but should seek to be most competitive on its total bid amount.

The Bidder must propose the amount they believe is reasonable to implement the E-FIS system.


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41.

01/12/2007 Section III.7 Will you make the presentation available to the Bidders?

Yes, the presentation and the list of attendees have been added to the Bidders’ Library.

42.

01/12/2007 Section IV.2.1.5.4

It appears that the Grants portion of accounting is not included in E-FIS. Is this true?

The functions of creating funds/grants proposals, budget development, creating vote-lists and obtaining approvals for funding are considered Post-E-FIS requirements.

43.

01/12/2007 Section VII.2 The RFP and Bidders’ Conference presentation indicate the costs for software purchase is separate from product licensing. What do you see as the difference between these items?

Depending on the product, there may be no difference in these terms. For the purposes of this RFP, software purchase costs include the one-time costs for obtaining the software and initial licenses to operate/use the system. Licensing and version upgrade costs are considered an on-going cost for continued use of the software.

44.

01/12/2007 Section IV.2.1.5.4

You’ve said the Grants portion is not part of E-FIS. Is the cost tracking and billing (such as to FHWA) is included in E-FIS?

Yes, cost tracking, management of encumbrances, billing and reimbursements for funds are included in the E-FIS requirements.

45.

01/12/2007 Appendix E It looks like there are a lot of Statewide Transportation Improvement Program (STIP) and State Highway Operation and Protection Program (SHOPP) requirements, but you’ve said this funding portion is not part of E-FIS. Please clarify.

Creation of STIP/SHOPP, obtaining approvals for the STIP/SHOPP, and tracking of the STIP/SHOPP plans are considered post-E-FIS requirements. If there are specific requirements which appear to be in the wrong category based on this response, please submit them as a written question.

46.

01/12/2007 Section I.2 Has DOF indicated if E-FIS is exempted from FI$Cal or if it will be required to participate at a later date?

Caltrans will be required to participate in FI$Cal. The DOF letter approving the RFP has been placed in the Bidders’ Library. The letter contains the conditions related to IFMS E-FIS


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and FI$Cal projects.47.

01/12/2007 Section IV.2.1.5.3

What portion of the procurement function is E-FIS vs. Post-E-FIS?

E-FIS requirements include the processes of creating the purchase order/contract (once a vendor has been selected) and tracking the associated encumbrances, expenditures and changes until the contract is completed. The requisition and solicitation processes are considered Post-E-FIS requirements.

48.

01/12/2007 Sections VI, VII.2, IX.5.4.1.2

Since this is a COTS-based solution, some functions that you consider Post-E-FIS may be inherently part of the modules used for E-FIS. How should we handle the costs for these functions?

The Bidder must describe the purpose of each software component module in their proposal. The cost tables in the RFP, Appendix B split the costs for E-FIS vs. Post-E-FIS into separate tables. Because the solution costs will be evaluated as a whole (E-FIS and Post-E-FIS), there is not a significant impact to the cost evaluation process.

49.

01/12/2007 Section IV.2.3 What Data Warehouse functions are in scope for E-FIS?

All Data Warehouse functions are included as E-FIS requirements. This includes the interfaces/data feeds to the warehouse. The Data Warehouse will need to provide reporting functions, as well as supporting business intelligence tools. Post-E-FIS projects will leverage and continue to build on the Data Warehouse functionality, as needed.

50.

01/12/2007 Appendix E You have one section of requirements that relate to reporting and a separate section that relates to the Data Warehouse. How do you see the reporting function working and the relationship to the Data

The ERP system will be the primary accounting system. Some data from the ERP will be loaded to the Data Warehouse on a periodic basis to facilitate expanded reporting, particularly of


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Warehouse? project costs and data over extended time periods (e.g., reporting of project expenditures over a 10- or 20-year period). Some day-to-day business reports will be needed from the ERP system and other reports reflecting long timeframes or consolidated data from other sources will need to be performed in the Data Warehouse. The Bidder must provide recommendations about how best to address the varied reporting needs.

51.

01/12/2007 Section IV.2.2, Figure 4 and Section IV.2.3

Will the Data Warehouse contain data from the ERP as well as from external systems?

Yes, the Data Warehouse will include data extracted from the ERP as well as data from other systems.


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1. 01/30/2007 Section III.4.6 CAPS FileNet System

a. Please provide more clarification on the requirements around CAPS FileNet.

b. Will the existing vendor records and information contained in the CAPS FileNet System be converted into the new E-FIS?

c. Does the new E-FIS requirements include new document imaging and management functionality?

d. Where is the CAPS functionality that is being replaced by E-FIS documented?

a. Requirements for CAPS functionality are addressed in RFP, Appendix E, Accounts Payable requirements (AP-nn requirements series). b. The vendor and payment information from CAPS will be converted to E-FIS. The FileNet images and document metadata will not be converted to E-FIS. c. No. E-FIS does not include document imaging and management functionality. d. Refer to RFP Sections III.2.2.6 and III.4.6.

2. 01/30/2007 Section IV.2.2 Component 2: Enterprise Application Integration (EAI)

Section reads that Bidder will be responsible for implementing a specific number of interfaces (60 according to Appendix E). The specific interfaces will be determined after the requirements validation effort. Does Caltrans expect to allow to re-negotiate the level of effort / price estimated for the development of the final 60 interfaces or will the price be fixed regardless of the level of complexity or simplicity of the 60 interfaces selected?

The Bidder must propose a fixed price which includes development of 60 interfaces. The interfaces will be of varying complexity. After requirements validation, Caltrans will prioritize and select the interfaces to meet schedule and business needs.

3. 01/30/2007 Section V.6.6 Bidders Corporate References and Capability

a. Please clarify/define your expectation of “concurrent user” (“at least 750 concurrent users on the referenced project”).b. Most definitions regard concurrent users as simultaneous users versus named users. With concurrent user access, the publisher's server limits the number of actual users that can be using a

a. The glossary in RFP, Appendix D contains the definitions of “Concurrent User” and “Simultaneous User” for the purposes of this RFP. Concurrent users indicate users who are logged onto the system. Simultaneous users indicate users submitting a transaction at the same instant in time.


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program simultaneously. Unfortunately, most of our public sector customers do not track concurrent users but rather named users

b. Requirements TR-55 and TR-56 have been updated to reflect both concurrent and named users. The RFP will be amended to reflect this change.

Note that there will be a large number of named ERP users who will use the system infrequently (e.g., once or twice a month) to perform such tasks as entering travel expense claims (TECs), approving an invoice, or confirming receipt of goods. Refer also to question #F.

4. 01/30/2007 Section V.6.15 Source Code and Data Ownership

Project may result in the development of interfaces and reports that are common to other State Departments of Transportations or may benefit from certain custom development already completed for other State Departments of Transportation. Will Caltrans consider rewording or removing this requirement?

With regard to Administrative Requirement 15, ownership of custom developed software, database(s), data storage design documents, schema, documentation, custom developed code, and end-user documentation shall mean Government Purpose Rights in accordance with Paragraph 37 of GSPD-401IT. The RFP will be amended to reflect this change.

5. 01/30/2007 Section V.6.16 Hardware Lease

Statement includes sentence “Hardware will be leased from DTS by Caltrans, and will be available to the Contractor within ninety (90) calendar days of contracts execution.” We assume this is an informational statement and not part of the Administrative Requirement we must comply with. Since Bidder cannot ensure the ninety (90) calendar days, will Caltrans remove this wording from the

The statement cited is an informational statement. The RFP will be amended to reflect this answer.


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Administrative Requirement? 6. 01/30/2007 Section VI.1

Mandatory Requirements, Note regarding “provide the ability to”

Please clarify that the “configuration or implementation services” to fulfill the requirements at a later time do not have to be included in this proposal. If the capability is available but must be configured, integrated, etc is that considered different than requiring “programming services”?

No, configuration and integration of the capability is included in the definition of programming services.

For the purposes of this RFP, requirements which include the phrase “provide the ability to” indicate requirements which are user initiated (as opposed to system initiated). The E-FIS system must be configured, customized and developed to allow users to initiate these required functions based on the products proposed, priced and implemented by the Contractor. This phrase does not mean the function will be implemented at a later date, except when used in the context of Post-E-FIS requirements. Post-E-FIS implementation services are not part of this procurement.

Caltrans will not purchase additional products or services (separate from what is proposed and priced by the Bidder) in order to meet the E-FIS requirements.

7. 01/30/2007 Section VI.2 Desirable Requirements

Please clarify. Are narratives required for both “out of the box” and “customization” responses or only for “customization” responses?

Narrative descriptions must be provided for both “out of the box” and “customization” responses.

8. 02/02/07 Section III.2.1Budgetary

Will Caltrans specify the duration of a typical reconciliation cycle for each "checkbook" system

We anticipate the need for “checkbook” systems outside of TRAMS will cease to exist


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Control and Funds Management

outside of TRAMS? because this functionality will be provided in the E-FIS system.

9. 02/02/07 Section II.2.9, Follow-on Contracts

Please validate / confirm that the successful E-FIS bidder, in providing estimated pricing for the purchase of future software modules, will not be precluded from follow-on IFMS implementations.

Correct. The successful E-FIS Bidder will not be precluded from participating in future IFMS procurements unless the Bidder participates in developing requirements for the future IFMS procurement.

10.

02/02/07 Section IV.1, Conceptual System Introduction

Please clarify whether the 14 Caltrans project team members (SMEs) available for business process re-engineering (BPR) and organizational change management (OCM) will also be available for other project activities such as training, data validation, data cleansing, programming, configuration, documentation, and/or testing.

Yes, the Caltrans project team members will also be available for assisting with the other activities mentioned. There are fourteen (14) staff from the Division of Accounting, four (4) from DPAC and two (2) from Budgets. In addition, there are eight (8) staff from Caltrans IT assigned to the project team.

11.


Please clarify whether the 33 hrs/wk of Caltrans staff availability is calculated as a full-time equivalent that averages overhead time over the course of the implementation (training, vacation, sick days, etc.), or whether the SMEs assigned to E-FIS will have contemporaneous, ancillary duties that prevent them from dedicating themselves full time to the project.

The 33 hours of work represent the amount of time allocated to E-FIS per project team member. Team members will also be supporting their normal functions on an as-needed basis, as well as requiring some overhead time.

12.

02/02/07 Section V.6.9, Access to

Please clarify that the IV&V consultant will have signed appropriate non-disclosure agreements to

Yes, the IV&V consultant will have to sign appropriate confidentiality and non-disclosure


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Records protect the intellectual property and work products of the successful bidder.

agreements.

13.

02/02/07 Section V.6.1, Disabled Veteran Business Enterprise (DVBE) Participation

The RFP states that the Bidder must complete DVBE Form STD. 840 (last updated 9/15/2003) from DGS’ website. There is a more current version of STD. 840 available (updated 1/2005). Which version should be used?

The most recent version of the form must be used. The RFP will be amended to reflect this answer.

14.

02/02/07 Section VI, and Appendix E, Functional and Technical Requirements

As we respond to Appendix E, Sections E.1.3 and E.1.4, we plan to format our response as follows: A copy of Appendix E will be placed at the front of our Volume I, Tab Four. We will fill in the Proposal Reference Section of the table with the Volume, Tab and Page Number. At the end of each Section we will initial the Bidder’s Certification statement. We will place our response to each item pages following Appendix E that contains the reference numbers. For each requirement we will include the Requirement Number, Requirement and Requirement Type followed by our response. At the end of each Section we will again initial the Bidder’s Certification statement. Is this format acceptable to the State?

The described approach appears to be acceptable. If there are any problems, it will be discussed during the Draft Proposal Confidential Discussions.

15.

02/02/07 Appendix E, Reqmt IM-47

reads: "The contractor shall provide training facilities and equipment for the training they are providing. The training location for the Train-the-Trainer sessions must be within the greater Sacramento area. System administrator training must

Yes, it is the Contractor’s responsibility to arrange for appropriate training facilities. Caltrans does not have access to appropriate training facilities.


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be conducted within the Northern California area.” Is it the responsibility of the Contractor to determine the locations of training facilities, to schedule the facilities, supply the hardware for facilities, and pay for the facilities? If so, Does CalTrans already have training facilities that Contractor can use? Will we have access to these facilities and to the discounted pricing model? Is Contractor responsible to build these cost estimates into section V.6.16 Hardware Lease, page V-15?

The costs for these facilities must be included in the System Integrator Implementation and Other One-Time Costs (RFP Appendix B, Form VII-3).

16.

02/02/07 Appendix E, Reqmt CD-45

reads, "The self-directed training system shall provide training on a maximum of thirty (30) business functions. This training system is intended to be used for training future end-users.” Where should these costs be represented in the Cost Model?

The costs for the self-directed training system must be included in the System Integrator Implementation and Other One-Time Costs (RFP Appendix B, Form VII-3).

17.

02/02/07 Section III.1.4Financial Management System Users

Could Caltrans please provide information regarding the number of users (user population or "named users") that will use the E-FIS system for each of the user groups specifically identified in RFP section III.1.4 Financial Management System Users as well as for other Caltrans users outside of the identified divisions. In addition to a total for each Division, a breakdown by usage (low (occasional access), medium (daily access) and high (core user - on the system all day every day)) would be very helpful. Lastly, if possible, a breakdown by Division versus primary functional usage (AP, AR, GL, Budgetary Control and Funds Mgmt, report

On an average daily basis, for the ERP:AP – 160 concurrent users/5820 named usersAR – 100 concurrent users/1200 named usersGL – 100 concurrent users/ 200 named usersBudgets – 40 concurrent users/80 named usersProcurement (AP) – 35 concurrent users/70 named usersReport Generation (ERP) – 65 concurrent users/130 named users

The number of users viewing reports and other users in the ERP will vary depending on the time of month/year. Refer also to question #F.


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generation, report viewing only) will greatly assist in sizing and configuring the required servers.

18.

02/06/2007 Appendix E, Reqmt G-9

“G-9: The system must provide clear, comprehensive error messages at the field and screen level which fully describe the situation that caused the error and the action necessary to correct the error.”In my opinion, there is no such a system that provides clear messages. Some messages are clear, but some require further research and need a functional/technical system analyst involved. Again the definition of clear messages depends on the level of users’ in-depth knowledge of an ERP system. Is it acceptable that there may be some further research involved in some of the error messages?

The error message must provide sufficient information for a user to understand what error occurred and how to correct the error. Additional research may be warranted depending on the type of error message. For instance, range of value, validation and business rule error messages are expected to provide sufficient information to allow users to correct the problem without requiring additional research. Errors related to hardware or network problems would likely require additional research to diagnose. The RFP will be amended to reflect this answer

19.


“G-18: The system shall provide the ability for authorized users to define the number of years of history available for various business functions.”If the system does not provide the number of years of history data for business functions, but there are other means to achieve this requirement, is it acceptable. The alternative is that authorized users select document(s) by selection criteria such as fiscal year(s) to be archived.

Each business function (AP, AR, GL) has different needs for how much historical data is available for business functions. The amount of data maintained in the ERP will be different from the amount of historical data kept in the data warehouse. Refer to requirements TR-93 through TR-96.

If the Bidder has another approach to meeting the business need, the Bidder may request a requirement change.

20.


“G-20: The system shall provide the ability for CVEEs to access their profile and transactional

Refer to RFP Section IV.2.8 and the following requirements:


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information online via the internet with secured access.”Yes, some of the information can be accessible online. To answer this question correctly, we need more requirements from you. What kind of transactions that customers, vendors, and employees would like to access via internet? Be more specific.

CV-25, AP-3, AP-5, AP-6, AP-29, AP-188, AR-54, AR-55.

21.


“G-21: The system shall provide the ability for users to enter and store dollar fields with unlimited characters.”Is there a way to accept a high dollar amount rather than unlimited amount? Is 18-digit amount acceptable?

Eighteen (18) numeric digits are acceptable, not including symbols such as decimal points, dollar sign and commas. The RFP will be amended to reflect this answer.

22.


“G-23: The system shall accommodate unlimited journal lines per journal entry.”

Normally, when you have many lines of JE, do you directly enter them online or prepare journal entries in a spreadsheet?

If you prepare a really huge number of JE line items in a Spreadsheet, do you accept for one JE load, but more than one financial document will be posted for the prepared spreadsheet?

We generally do not prepare JE in a spreadsheet. Spreadsheets are used occasionally because of limitations in TRAMS. The preferred approach is to enter the transactions directly online. With the expanded capabilities of the new system, as well as the automation of interfaces with the remaining systems outside of E-FIS, the need for spreadsheets should be eliminated. Requirements G-23 and G-25 will be deleted. The RFP will be amended to reflect this answer.

23.


“G-29: The system shall provide the ability for authorized users to make real-time error corrections and updates prior to and/or after posting.”

Yes. The system must allow adjustments prior to posting for error correction. After posting, it is expected that corrections would be made via a reversal entry. The RFP will be amended to


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Real-time error correction and update prior to posting should not be an issue.

Can after posting adjustment limit to some fields such as line item text and header text? Changing information in main characteristics and key figures such as amount, GL account, and cost object is too late in the game after the postings take place. In addition, it is not a good business practice to change important elements of the posted transactions. The business process for modifying major information of the posted JEs is to reverse that posted transaction and post a new transaction or make a re-class JE.

reflect this answer.

24.


“G-35: The system shall verify expenditures do not exceed appropriations, encumbrance, budget authority, contract amount, and allocation including, but not limited to, by categorical program, federal program, and fund.”

This is hard to answer or commit to your request unless we know details of your business requirements. Given short requirement like this, it is not easy to be answer right away.

Can this requirement be integrated with Purchasing approval process?

The system must enforce business rules which check whether a transaction will exceed appropriations, etc. The specific business rules will be defined as part of the requirements validation effort after Contract Award.

Some of these business rules can be enforced at the time of approving a purchase. Other rules and validations will need to be enforced when an invoice or other payable is received. Refer also to questions #25 and #31.

25.


“G-36: The system shall allow authorized users to exceed appropriations, encumbrance, budget

Certain authorized users, such as managers, must have the ability to exceed appropriations,


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authority, contract amount, and allocation including, but not limited to, by categorical program, federal program and fund.”

Can every user follow the business rule of not exceeding the fund/budget? However, some authorized users should be able to grant more fund to a project in order to increase an available amount in the fund. In my opinion, this is more like a business process issue rather than a transaction issue. Different users have different jobs. I do not expect one user to perform everything such as approving budget, creating purchase orders against an approved budget, performing goods receipts, entering invoices, and paying invoices. If there is a need to book goods receipt or invoice receipt against a fund that is already exhausted, there should be a process to approve an additional amount to a project prior to posting more transactions against an exhausted fund. We should not let certain users go above and beyond the budget while others are limited to spend within the budget.

etc. for business purposes. For example, expenditures related to emergency response after an earthquake or flood would be automatically approved in advance of the formal written approval. These exceptions may be subject to additional business rules and/or approvals. The specific business rules will be defined as part of the requirements validation effort after Contract Award.

26.


“G-47: The system shall provide electronic access to the web version of forms maintained on the Caltrans Forms Management (intranet) website, and allow the user to complete the form, send it for required review and approvals, and distribute it to appropriate recipients through the appropriate

The system must allow users to enter, print, and submit for approval certain forms which initiate accounting and procurement transactions. The Bidder shall be responsible for implementing thirty (30) of these forms. The specific forms will be defined as part of the requirements


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workflow process(s).”

Is this part of the ERP requirements or part of your intranet management? If it is an ERP issue, could you please elaborate further by giving me a scenario example?

validation effort after Contract Award. The RFP will be amended to reflect this answer.

27.

02/07/2007 Section III.1.4Financial Management System Users

Among 1,000 ERP user licenses, could you break down further into the following areas:

• Display report users

• GL transactional users

• AP transactional users

• AR transactional users

• Procurement transactional users

• Project system (WBS) transactional users

• Budget transactional users

• Others

Refer to question #F.

28.

02/07/2007 Appendix E, TR-56

Among 12,000 data warehouse users, approximately how many reports are going to be available for those users via data warehouse?

Refer to requirement DW-30: “The Contractor shall create and provide at a minimum 100 standard reports from the data warehouse...” The specific reports to be created will be determined as part of the requirements


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validation effort after Contract Award, and are partially dependent on the types of reports available directly from the ERP. Caltrans will create additional reports from the data warehouse, as needed, to support business needs.

29.

02/07/2007 Section V.6.13, Executive Committee

What is your committed turnaround time for decision making during the implementation? A lot of business decisions need to come from Caltrans. Thus, the turnaround time will importantly determine the length and the success of the project.

The decision turnaround time is dependent on the complexity of the issue and the number of affected stakeholders. Requirement IM-8 requires the Contractor’s issue tracking process to include escalation procedures to ensure critical issues are brought to Caltrans’ attention as soon as possible to reduce delays.

For the purposes of developing the project plan for the Bidder’s proposal, a period of ten (10) State business days may be used for state decision making. However, this time period is not binding and each decision must be evaluated individually.

30.


How many CalTrans users/SMEs are going to be in the implementation?

How many dedicated hours per user/SME are assigned to this ERP implementation in phase 1 and 2?

If possible, could you please let me know the session

Refer to questions #F and F.

Refer to the IFMS FSR (in the Bidders’ Library), Section 5.1.13 and Section 8.2.1 for information on the level of staffing approved for this project.


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of your documents that explains CalTrans level of participation in this project?

31.

02/07/2007 Appendix E, Reqmts G-53 through G-74

G-53 – G-74: The document explained requirements for workflow, but little details on what kind of business process required for workflow.

G-63 mentions workflow for purchase orders and invoices for review and approval. Normally when PO is approved and invoices are posted against an approved PO, why do we need a redundant approval? I will agree when the invoices do not match PO. Do you mean non-PO invoices and blocked invoices?

Requirements G-53 through G-74 define the functional workflow requirements required to meet Caltrans’ business needs. The specific workflows will be designed by the Contractor as part of the business process design after Contract Award.

Separate approvals are required for purchases and invoices. Caltrans may approve the purchase of an item, but upon inspection may reject the received item due to damage, mistaken product, incomplete delivery, or inability of the item to meet stated requirements. Invoices for services must be approved by the staff member responsible for supervising the provided services, who is not usually part of the Accounting staff.

32.

02/07/2007 Appendix E, Reqmts G-68 and G-25

G-68 mentioned workflow to approve JEs prior to posting. When users prepare a huge JE, it is typically entered in MS Excel per your requirement in G-25. What is your desired process? I feel that there is a conflict between G-68 and G-25. Could you please be more specific?

Do you expect an approved user to take MS Excel to

Refer to question #22.


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review offline and load it to the ERP?

Do you expect a clerk to be authorized to upload MS Excel to load to the ERP as a park document? Then, a supervisor reviews the park document within the ERP to post as a real transaction after his/her approval. It is easier to read within MS Excel rather than in MS I do not see the benefit of parking document first until the supervisor review within the ERP to post the document.

33.


G-70: Are those rejected journal entries supposed to be posted documents rather than parked documents? If users decide to go for a JV upload tool by preparing a spreadsheet to load, why do users need to post document in the ERP first? What kind of journal entries that you need for an approval process? Is it strictly within GL or AP documents as well?

Refer to question #22 regarding loading from spreadsheets.

Not all journal entries would require approval. Journal entries might need manager approval, for instance, when supervising a new employee’s work as part of the training process. The specific instances when approval is needed will be defined as part of the requirements validation effort after Contract Award.

An example of a rejected journal entry is when an entry was coded to the wrong account. For these rejected entries, we would expect the entry to be routed by a manager to a staff member for follow-up and correction. The rejected entry would either be corrected and sent for approval again prior to posting, or


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rejected/deleted entirely (and thus not posted).

The RFP will be amended to reflect this answer. 34.

02/13/2007Section

IX.5.4.1.2,

Draft System

Architecture

Design, and

Appendix E,

Reqmt CD-25

Please clarify your definition of what are Network and Communication Interfaces. Is this referring to application interfaces or is this referring to network infrastructure level requirements?

Refer to requirement CD-25. The network and communication interfaces refer to:

-Communication with systems internal to Caltrans-Communication with systems and users external to Caltrans-Relationships between all system components in pictorial and narrative form

Another part of requirement CD-25 addresses system/application interfaces.

35.

02/13/2007Section

IX.5.4.1.2,

Draft System

Architecture

Design, and

Appendix E,

Reqmt CD-25

Please clarify your definition of what is a Topology Diagram and information required.

A diagram depicting the physical architecture of the system including firewalls, local vs. remote machines and internal vs. external networks.

36.

02/13/2007Section Please clarify your definition of what is a Data Flow

Diagram and information required.

For the purposes of the System Architecture Design Document, a diagram depicting the flow of major data components among the functional


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IX.5.4.1.2,

Draft System

Architecture

Design, and

Appendix E,

Reqmt CD-25

system components, particularly the flow of critical information to other systems and external users.

37.

02/13/2007 Section IV.2.1.5.5, Fund and Grant Management, and IV.2.1.5.6, Real Estate and Land Management

Two post-E-FIS functions (Fund and Grant Management, Real Estate and Land Management) do not have associated sections in the requirements matrix. Does the State have specific requirements that these functions must perform outside of the conceptual outlines in VI.2.1.5.4 and VI.2.5.5?

The requirements for the Funds and Grant Management function are addressed by the Post-E-FIS Budget Development and CTIFS requirements (requirement series BD-xx and CT-xx).

The requirements for the Real Estate and Land Management function are addressed by the Post-E-FIS Right of Way requirements which are considered Post-E-FIS desirable requirements for this procurement (requirement series DPE-xx).

38.

02/13/2007 Section IX.5.4.1.1 and Appendix E, Reqmt CD-19

One of the elements of the Quality Control Plan is the requirement to address our “overall testing approach, including a description of the approach to each testing phase and its objectives”. Since a separate testing plan is required, would the State be amenable to us cross-referencing the training plan

Yes. The Quality Control Plan must describe the approach to overall quality, including the approach to testing. The Quality Control Plan may reference appropriate sections of the Testing Plan, but must contain sufficient information to understand the high-level


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sections where detailed information is provided to avoid being redundant?

approach. The Testing Plan must provide the details of the testing approach.

39.

02/13/2007 Section IX.5.4.1.5, E-FIS Desirable Requirements

X.5.4.1.5 outlines the maximum score for E-FIS Desirable Requirements is 848 points and references checklist sections E.2.1 and E.2.2 for the breakdown of available points between the requirements. According to our calculations, the total value of the requirements in E.2.1 is 256, and the total for the requirements in E.2.2 is 112. Since these amounts total to 368 points, what is missing from our calculation to arrive at the 848 point total?

Sections V.6.6 and E.1.4 were omitted from the statement. The RFP will be amended to reflect this answer.

Desirable Corporate Requirements = 160Desirable Key Staffing Requirements = 320Desirable Functional Requirements = 256Desirable Technical Requirements = 112TOTAL E-FIS Desirable Requirements = 848

40.

02/13/2007 Section VI.2, Desirable Requirements

According to Section VI.2, the State reserves the right to request the Bidder to provide a demonstration of any or all Post-E-FIS desirable requirements that the Bidder agrees will be met “out of the box.” Does the State intend to have Bidders provide demonstrations of any mandatory requirements?

No, only desirable requirements will be demonstrated to prove that the system can meet the requirements.

41.


Requirement G-21 states: “The system shall provide the ability for users to enter and store dollar fields with unlimited characters.” Does Caltrans expect to enter transaction amounts exceeding 999,999,999,999.99?


42.


Requirement G-47 states: “The system shall provide electronic access to the web version of forms



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maintained on the Caltrans Forms Management (intranet) website, and allow the user to complete the form, send it for required review and approvals, and distribute it to appropriate recipients through the appropriate workflow process(es).” Is it the State’s expectation that we provide a link within the ERP to access the intranet site, and that within this intranet the forms can be submitted for the required approvals? Alternately, is the expectation that these forms are replaced with financial system transactions?

43.

02/13/2007 Appendix E, Reqmt GL-33

Requirement GL-33 states: “The system shall allocate costs based on user defined ceiling and floor values for example, SWCAP.” Does this mean that if the amount being allocated is greater than or less than a certain threshold the funds should not be allocated?

No, the funds still will be allocated. The ceiling/floor values define how the allocation will be distributed. For example, the first million may be allocated at a certain percentage or fixed dollar amount, and the next million at a different percentage, fixed dollar amount or other methodology.

44.

02/13/2007 Appendix E, Reqmt GL-53

Requirement GL-53 state: “The system shall calculate regular time, leave time, reserve, and variance amounts by applying proper labor rates.” This type of calculation is typically done via Time and Attendance processing. Employee labor rates are typically stored in a payroll system. Is employee personnel data, along with time and attendance, labor rates, and pay codes, expected to be stored in the Financial system to support GL processing?

The data must be available to the ERP, but the decision of how to access/interface or store the necessary data is dependent on the Bidder’s solution.


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45.

02/13/2007 Section III.1, Bidders Library, DTS Rates Schedule

In reference to Requirement GL-53, if the vendor proposes a solution that requires Sun or Windows clustering, what is the DTS cost for the service? The current DTS Rate Schedule does not include the cost.

There is no additional cost for clustering for Windows. If Windows Enterprise Server is required, there is a $47/month additional charge as indicated in the rate schedule.

For Sun clusters, the cost is a one-time $5,000 in addition to the cost of each server in the cluster.

46.

02/13/2007 Section VII.2.2, Ongoing Costs

In reference to Requirement GL-53, if the vendor’s solution requires other IBM WebSphere components beyond WebSphere Application Server, are these components covered by DTS or does the vendor provide administration and support?

Additional clarification is needed to fully answer this question. At this time, DTS supports the WebSphere Application Server/Network Deployment, WebSphere MQ, and TAMe. Any other WebSphere products would require discussion if they reside on the same server as the Application Server. The customer does not have root access to install other IBM products and root is required.

47.

02/13/2007 Appendix E, Reqmt TR-60

In reference to Requirement GL-53, DTS currently provides 98.5% Best Effort up-time; in comparison, the Caltrans requirement is for 99.5% up-time for the infrastructure and system. From an infrastructural perspective, network and servers, can the requirement be further refined to describe the vendor responsibility versus DTS?

The requirement refers to the total solution. The RFP will be modified to reflect this answer.

48.


Requirement TR-68 states: “The system must have the capacity to store the data from the systems that are being replaced by E-FIS as well as storing the

System must be sized to support both converted data as well as the data required to support day-to-day operations and reporting. Most converted and historical data will be stored in the DW.


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data to support Caltrans ongoing financial management functions.” Can Caltrans provide further clarification as to what must be stored and the volume? Does the data which must be stored imply the copies of the data sources or the capacity for historical converted data?

Refer to the E-FIS Matrix of Data Conversion and Interface Needs (available in the Bidders’ Library) for more information on volumes.

49.

02/13/2007 Section IV.2.2, Component 2: Enterprise Application Integration (EAI) Platform

Please clarify if proposal scope includes decommissioning the existing 63 financial systems or if the scope is only to provide input to Caltrans approach to decommissioning these systems.

The Bidder is not responsible for decommissioning the legacy systems.

50.

02/13/2007 Section III.3, Current Hardware

Please describe the network connectivity between DTS and Caltrans, specifically connection speed

There is a DS3 connection from Caltrans to CSGnet. The speed is 45Mb/s.

51.


Please describe the network connectivity between DTS and Caltrans, specifically average and maximum utilization

According to DTS’ monitoring tools, the maximum utilization of the circuit was recorded at 20 Megabits per second. The average utilization shows to be fairly constant between 3 to 4 Megabits per second. Traffic primarily appears to be during the periods of 7:00 a.m. and 7:00 p.m.

52.

02/13/2007 Section III.1, Bidders Library, DTS Rates Schedule

What is the published rate for Cisco Load Balancer? Content Manager One-Time Costs:First Two Servers - $600Each Additional Server - $75.00

Ongoing CostCost per Server - $230/month


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53.


Requirement is for 99.5 % uptime yet DTS only commits to 98%. How can vendor be held responsible for a greater uptime than what DTS will provide?


54.

02/13/2007 Section III.4.4, Database Management Systems

Does Caltrans own an enterprise license for Oracle? No. The Bidder must provide pricing for the software including the licenses and software maintenance.

DTS Database Support for Oracle is $1,230.60/month for Tier II Database Support

55.


Please expand on the firewall configuration between DTS and Caltrans. If the proposed integration components will be hosted at DTS, do the specified firewall limitations have an impact on integration to applications/services executing within the Caltrans private network?

The firewall is installed at the edge between the DTS and Caltrans networks. It uses statefull inspection to deny TCP traffic that is initiated outside Caltrans, and uses address translation to translate private IP addresses to publicly routable addresses in the 149.136.x.x range.

Access to any services inside the Caltrans network by computers in the DTS network would require a firewall policy change. It is generally not encouraged, and application developers are encouraged to deploy into one of the DMZs established for this type of data exchange.

Please see the document “How NAT Works” for more information. http://www.cisco.com/warp/public/556/nat-cisco.shtml


http://www.cisco.com/warp/public/556/nat-cisco.shtml

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56.

02/13/2007 Appendix E, Reqmt DTR-1

Caltrans describes a desirable requirement as participating as a client to an LDAP server. What LDAP server is currently/planned for use? Is it a Caltrans managed directory server, or DTS-hosted?

Caltrans is currently using a Novell LDAP product. Caltrans is willing to consider a different product.

57.


Requirement TR – 65, states fail-over events take place in less than 60 minutes. DTS is unable to support this requirement for Database server failures and Disaster Recovery failures. How can the vendor be held responsible for a requirement not available by DTS?

This requirement will be deleted. The RFP will be amended to reflect this answer.

58.

02/13/2007 Section I.5, Key Action Dates

We would like to request an extension for the Draft Due Date. Two weeks at least if possible to accommodate information learned at the discussions with DTS and to incorporate information to be provided through the Q & A.

The Key Action Dates were amended in Addendum 2.
