state of california department of transportation request for

STATE OF CALIFORNIA Department of Transportation

REQUEST FOR QUOTATION (RFQ) FORINFORMATION TECHNOLOGY (IT) SERVICES

Date:4/29/2013 Bid #: RFQ-DOT-2009-31Title: Legal Case Management System (LCMS)Quote Due Date and Time: 6/20/2013, 2:00PM, Pacific Time (PT)

April 22, 2013

Please provide pricing to purchase a Commercial-Off-The-Shelf (COTS) Legal Case Management System (LCMS) as described within the quote by the due date and time.

If you have any questions, please refer to the question submittal instructions in Section I General Information, Item I, Key Action Dates, and Item J, Written Questions.

ALL QUOTES MUST BE SIGNED AND DATED PRIOR TO SUBMISSION.

The Department of Transportation (CALTRANS) is the State’s designated representative regarding this procurement. Vendors are directed to communicate with the CALTRANS Procurement Official at the address below to submit questions, deliver bids, and submit all other formal correspondence regarding this procurement:

Department of Transportation (Caltrans)Division of Procurement and Contracts (DPAC)

IT Acquisitions OfficeAttn: Danielle Kanelos, DOT-2009-31

1727 30th Street, MS-65Sacramento, CA 95816Phone: (916) 227-6134

[email protected]

Mail or deliver one (1) original, seven (7) complete hardcopies, and one (1) softcopy on electronic media (such as CD or flash drive) to the Department Procurement Official listed above. Neither e-mail submittals, nor fax transmittals will be accepted for this RFQ.

Quotes must be submitted under sealed cover. The sealed cover must be plainly marked with the RFQ number and title, your firm name and address, and must be marked,

“CONFIDENTIAL QUOTE - DO NOT OPEN.”

Responses to this RFQ will be evaluated based on the total bid and an award, if made, will be to a single Bidder awarded the highest points as calculated, in accordance with the methodology defined in Section I General Information, Item II Evaluation Information. Failure to adhere to bid specifications may be considered a material deviation from the requirements of this bid and may cause the bid to be rejected.

Thank you,

Danielle KanelosIT Acquisitions AnalystCaltrans, DPAC, IT Acquisitions Office

Caltrans Bid # RFQ- DOT-2009-31LCMS

TABLE OF CONTENTSPage 1 of 3

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1. General Information .............................................................................................. 11.1. Purpose .................................................................................................................. 11.2. Background ........................................................................................................... 11.3. Objectives .............................................................................................................. 31.4. Current Environment and Systems Overview..................................................... 41.4.1. Current Environment............................................................................................. 41.4.2. Existing Infrastructure .......................................................................................... 71.4.3. Interfaces ............................................................................................................... 81.4.4. Proposed System .................................................................................................. 81.5. Terms and Conditions......................................................................................... 101.6. Availability ........................................................................................................... 101.7. Budget and Period of Performance ................................................................... 101.8. Key Action Dates................................................................................................. 111.9. Written Questions................................................................................................ 111.10. RFQ Response Guidelines ................................................................................. 121.11. RFQ Response Content ...................................................................................... 121.11.1. Cover Letter (See this RFQ’s Attachment 1) ..................................................... 121.11.2. Cost Sheets (See this RFQ’s Attachment 2)...................................................... 121.11.3. Bidder Qualifications (See this RFQ’s Section 4)............................................. 121.11.4. Confidentiality Statement (See this RFQ’s Attachment 5) ............................... 131.11.5. Bidders Response to Functional, Technical and Services System

Requirements (See Section 6 in this RFQ)........................................................ 131.11.6. Payee Data Record.............................................................................................. 131.11.7. Seller’s Permit...................................................................................................... 131.11.8. Secretary of State Status .................................................................................... 141.11.9. DVBE Participation.............................................................................................. 141.11.10. Performance Bond (Reference: Public Contract Code 12112) ....................... 141.11.11. Bidder Declaration Form GSPD-05-105 ............................................................. 151.11.12. Small Business Regulations .............................................................................. 151.11.13. Small Business Certification .............................................................................. 151.11.14. Non-Small Business Subcontractor Preference............................................... 161.11.15. Small Business Nonprofit Veteran Service Agencies (SB/NVSA) ................... 161.11.16. Attachment with Quote Required if Claiming the Small Business Preference ..

.............................................................................................................................. 161.11.17. TACPA /EZA/LAMBRA ........................................................................................ 162. Evaluation Information.......................................................................................... 12.1. Evaluation Process ............................................................................................... 12.2. Evaluation Criteria................................................................................................. 12.3. Administrative Requirements:.............................................................................. 12.4. Bidder Qualifications (Maximum Score = 225 Points): ...................................... 12.5. Functional, Technical, and Service Requirements (Maximum Score = 1575

Points): ................................................................................................................... 22.6. Demonstration: Refer to Section 3 Bidder Demonstrations in this RFQ. ........ 22.7. Cost (Maximum Score = 1800 Points):................................................................. 32.8. Award of Contract ................................................................................................. 4



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2.9. Protests .................................................................................................................. 43. Bidder Demonstrations......................................................................................... 14. Bidder Qualifications Requirements.................................................................... 14.1. Purpose .................................................................................................................. 14.2. Bidder History and Background........................................................................... 14.3. Customer References ........................................................................................... 14.4. Bidder Project Experience.................................................................................... 24.5. Bidder Project Team Experience.......................................................................... 44.5.1. Key Personnel Roles............................................................................................. 44.5.2. The Project Team Resume Summary .................................................................. 44.6. Project Schedule and Work Breakdown Structure ............................................. 74.7. Training Plan and Approach................................................................................. 84.7.1. Training Plan.......................................................................................................... 84.7.2. Training Approach................................................................................................. 85. Statement of Work................................................................................................. 15.1. Purpose .................................................................................................................. 15.2. Objectives .............................................................................................................. 15.3. Scope...................................................................................................................... 15.4. State Responsibilities ........................................................................................... 25.5. Contractor Responsibilities.................................................................................. 25.6. Assumptions and Constraints.............................................................................. 45.7. Deliverables ........................................................................................................... 45.8. Warranty and Technical Support ....................................................................... 155.9. Work Location and Equipment........................................................................... 175.10. Project Management ........................................................................................... 185.11. Business Process Redesign and Limited Fit/Gap Analysis............................. 195.12. Configuration Services ....................................................................................... 205.13. Project Schedule and Work Breakdown Structure ........................................... 205.14. Staffing Changes................................................................................................. 215.15. Testing Strategy .................................................................................................. 225.16. Implementation Approach .................................................................................. 225.17. Training ................................................................................................................ 225.18. System Documentation....................................................................................... 245.19. Ten Percent (10%) Withhold ............................................................................... 245.20. Unanticipated Tasks............................................................................................ 255.21. Staff Availability and Replacement .................................................................... 255.22. Amendments........................................................................................................ 265.23. Termination.......................................................................................................... 265.24. Budget Detail and Provisions............................................................................. 265.25. Budget Contingency Clause............................................................................... 265.26. Privacy, Security and Confidentiality ................................................................ 286. Bidder’s Instructions for the Functional, Technical, and Service Requirement

Forms ..................................................................................................................... 16.1 Functional Requirements Response Form ......................................................... 26.2 Technical Requirements Response Form......................................................... 57



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6.3 Service Requirements Form............................................................................... 73ATTACHMENT 1- Cover Letter ...............................................................................................ATTACHMENT 2- Cost Sheets Instructions ..........................................................................ATTACHMENT 3- Customer Reference Form........................................................................ATTACHMENT 4- Project Team Resume Summary Form....................................................ATTACHMENT 5- Confidentiality Statment ...........................................................................ATTACHMENT 6- Sample Contract ........................................................................................

Caltrans Bid # RFQ- DOT-2009-31

LCMS SECTION 1 GENERAL INFORMATION

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You are invited to review and respond to this Request for Quote (RFQ), entitled Legal Case Management System (LCMS). In submitting your quote you must comply with the instructions found herein. The services required are delineated in the Statement of Work (SOW). Please read the enclosed document carefully.

Quotes must be received no later than the date and time specified on the face of this RFQ and in Section I, General Information, Item I, Key Action Dates.

1. General Information

1.1. Purpose

The purpose of this contract is to purchase a Commercial-Off-The-Shelf (COTS) Legal Case Management System (LCMS) for the State of California Department of Transportation (hereinafter referred to as, “CALTRANS”) to replace the existing FileMaker Pro case management system. The COTS solution must also provide project management activities, technology and implementation planning, software application installation and configuration, database implementation, interfaces to internal applications, data conversion, testing, training, development of training materials, post implementation warranty and annual maintenance support. The purpose is to also request a separate proposal for a second department that operates under the California Business, Transportation and Housing Agency, for a separate license and maintenance agreement for no more than 20 users using the same solution and database structure proposed for the Caltrans LCMS. The second department shall not be required to complete the separate procurement; there should be no expectation that the separate procurement will be made; and no representation or warranty is made that such a separate procurement will be made.

1.2. Background

a. Caltrans Legal Division is a full-service litigation, transactional and in-house counsel law office with statewide responsibility for Caltrans. By statute, California Government Code, Section 14007, Caltrans is self-represented. The Legal Division is divided into four offices, each of which is responsible for a designated geographical portion of the state, handling litigation that arises in its area and providing legal services to the included Districts. Caltrans has twelve regional districts throughout the state. In addition, the Sacramento Legal Office provides a variety of legal services to Headquarters programs.

1. Sacramento Office is responsible for Districts 2, 3, 6, 9, 10 and Headquarters

2. Los Angeles Office is responsible for Districts 7 and 8 (San Bernardino)

3. San Diego Office is responsible for Districts 8 (Riverside), 11, and 12

4. San Francisco Office is responsible for Districts 1, 4 and 5

b. The Chief Counsel manages the Legal Division and reports directly to the Caltrans Director. Each of the four Legal Offices is headed by a Deputy Chief Counsel and


SECTION 1 GENERAL INFORMATIONPage 2 of 17

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includes a staff of attorneys, investigators, paralegals, legal secretaries and other support staff, for a total of nearly 300 personnel. Slightly less than one third of the legal staff is located in Sacramento, with the remainder distributed among the other three offices.

c. Major activities of the Legal Division are broken down into five practice areas:1. Public Liability Law (Tort)

2. Real Property Law

3. Transportation Law

4. Contract Law

5. Environmental Law

d. In addition to these major practice areas, the Legal Division also provides miscellaneous legal services (e.g., transaction, document review, house counsel) and litigation support. The Legal Division’s primary role is to protect Caltrans’ resources by providing expert representation in litigation and prompt, efficient and reliable legal services for management and staff. The Legal Division handles all of Caltrans' general and specialized legal needs and representation, including:

1. Furnishing litigation and related legal support services in such areas of the law as: public liability, construction claims, contracts, eminent domain, inverse condemnation, procurement, environmental law, aeronautics, mass transportation, employment law, outdoor advertising, and administrative law actions.

2. Providing legal advice to prevent lawsuits and to strengthen risk management activities

3. Preparing legal opinions and conducting research on legal questions

4. Reviewing legislative proposals

5. Handling government claims and other claims filed against Caltrans

6. Supporting regulatory activity and Administrative Procedures Act rule-making

7. Providing counsel on administrative law issues, including personnel and California Public Records Act and Political Reform Act compliance

e. The Legal Division is currently handling approximately 3,000 matters. The single largest area of litigation is tort defense actions involving dangerous conditions of public property. These cases principally involve personal injury and wrongful death and are generally concerned with the design, construction, maintenance, and/or operation of the State Highway System. The Legal Division typically resolves some 300 tort cases each year and is successful in over 90 percent of these, most of which result in defense verdicts or settlements with no payout. Over the last five years, annual payouts have ranged from $35 million to $65 million.



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f. The Legal Division is limited by the capabilities of the existing software application, Legal Information Case System (LInCS). LInCS requires an extensive amount of data entry and relies on a manual import/export function to generate reports. This adversely affects the ability of the staff to conduct business. Furthermore, the LInCS FileMaker Pro platform is not a preferred environment for enterprise-level applications.

g. The reasons for a Legal Case Management System (LCMS) include the following:

1. Attorneys must know the current status of a case; what documents have been produced; who has been hired to assist in the case; which Judge is assigned to the case;

2. Management must know the financial exposure of the case; the costs associated with each case; workloads of each attorney;

3. Legal management must know how many matters are being worked, how many cases are in litigation, the case and matter types and total expenditures to respond to inquiries from Business Transportation and Housing Agency (BT&H), Department of Finance (DOF), Legislative Analyst Office (LAO), the Governor’s Office and Caltrans Divisions.

h. The COTS solution will improve the Legal Division’s data gathering, management, tracking, storage, reporting, and retention functions.

1.3. Objectives

The business objectives identified for the LCMS project are as follows:

a. Standardize the workflow process.

b. Integrate with Caltrans E-mail system, Microsoft Exchange/Outlook.

c. Provide contact and calendar management functions.

d. Interface with AMS Advantage, the Caltrans accounting system.

e. Enforce business rules during data entry.

f. Establish a single application to support legal case management statewide.

g. Provide accurate and timely management reports.

h. Provide document assembly and tracking capability.

i. Contract with an industry leader.

j. Allow for long term support and improvements.



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1.4. Current Environment and Systems Overview

1.4.1. Current Environment

The current process relies on activities performed in varying sequences by various Legal Division staff. Any situation requiring action by the Legal Division is referred to as a “legal matter.” A key process involves the management of case files, claims, and documents to be reviewed. The workflow originates from one of three sources:

1. Caltrans – receives a summons or complaint2. Victim’s Compensation and Government Claims Board – refers a claim to

Caltrans3. Caltrans Staff – refers contracts or other documents for review by attorneys

There are a variety of other ways in which a legal matter may arise. Regardless of the source, the first step in recording a new legal matter is entering the case information into the Legal Division’s case management database, the Legal Information Case System (LInCS). The primary function of LInCS is to track data about a legal matter for the life-cycle of litigation and potential litigation. Additionally, it tracks case workload and holds data necessary to produce and track various contracts such as those for expert witnesses, copying/scanning services, reporting services, deposition services and messenger services. A general context diagram for LInCS is displayed below:



April 22, 2013

Figure I General Context Diagram

LInCS has been developed on a FileMaker Pro platform internally by Legal Division staff with occasional consulting assistance since 1997. LInCS requires an extensive amount of data entry and relies on a manual import/export function to generate reports. Furthermore, the FileMaker pro platform is not a preferred environment for enterprise-level applications. Following creation of the case file, the case file is processed depending on the nature of the case.

a. Litigation

1.4.1.a.1. Each Deputy Chief Counsel refers the case to an Assistant Chief Counsel in his/her office who is responsible for the geographic area in which the case originated.

1.4.1.a.2. Assistant Chief Counsel assigns the case to an attorney. If there is a conflict of interest, the case may be assigned to a different office or an external legal firm. Certain types of cases are referred to the Attorney General Office or private law firm and must be approved by the Business Transportation and Housing (BT&H) Agency and the Governor’s office.



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1.4.1.a.3. Attorney utilizes LInCS to review and record case information throughout the life of the case. Events during the case lifecycle include:

• Attorney assigns participants to assist with the case. Participants may include: Legal Secretary, Paralegal, Investigator, Support Staff

• Legal staff utilizes LInCS to record events in support of the attorney.• Attorney obtains external services in support of litigation. These

may include: expert witnesses, outside counsel, copy and scan services, messenger services, telephonic court appearance services, services to purchase exhibits

• Attorney closes the legal matter.

b. Claims

1.4.1.b.1. Claims are received; analyzed and relevant data is entered into the claims portion of the database.

1.4.1.b.2. A claim record is generated in LInCS for use by the Claims Officer and Investigators.

1.4.1.b.3. The claim is tracked for the purpose of payment and resolution history.

1.4.1.b.4. When the department receives a Summons and Complaint, LInCS is used to find the original claim for this incident.

1.4.1.b.5. The claim information will reveal if a claim was filed in a timely manner and indicates the location of the supporting documentation.

c. Document Review

1.4.1.c.1. A legal document that is received and requires review by an attorney is entered into LInCS.

1.4.1.c.2. LInCS tracks the number of documents reviewed by the attorney, the length of time for the review and the status of the review process. This data is then used for reports on performance measures and to assist management in resource allocation decisions.

1.4.1.c.3. The staff needs for LInCS include:1. Attorneys must know the current status of a case; what

documents have been produced; who has been hired to assist in the case; which Judge is assigned to the case;

2. Management must know the financial exposure of the case; the costs associated with each case; caseloads of each attorney.

3. Legal management must know how many cases are being filed, the case-type and total expenditures to respond to inquiries from BT&H, Department of Finance (DOF), Legislative Analyst Office (LAO), the Governor’s Office, and Caltrans Divisions.

.



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1.4.2. Existing Infrastructure

The current system is a FileMaker Server Advanced v11.0 application running on a Windows Server 2008 Standard Edition platform at the Tenant Managed Services (TMS) at the Office of Technology Services (OTech) data center in Rancho Cordova. This is a dedicated (virtual) server that provides access for all four legal offices via Caltrans’ LAN and WAN network infrastructure. Backups are performed nightly; a Uninterruptable Power Supply (UPS) system is in place. TMS - Basic provides Caltrans with secure space in a Tier III data center while still maintaining full control over the computing environment.

Data sharing is accomplished by providing users with FileMaker Pro/Pro Advanced client software that communicates with the server. Authentication is required, but periodic password updates are not required. Application support is provided by Caltrans IT staff.



April 22, 2013

Figure II LInCS Architecture

1.4.3. Interfaces

AMS Advantage, the Caltrans accounting system. AMS Advantage is an Oracle database. Data needed includes legal staff names, classifications, salaries, and expended hours on a given case/matter.

Caltrans E-mail system Microsoft Exchange/Outlook. Integrate with the Caltrans calendaring system

1.4.4. Proposed System

The new Legal Case Management System (LCMS) will be a configurable commercial off-the-shelf (COTS) product accessible through the Caltrans intranet with no direct public access.

a. Technical DescriptionThe proposed production system is expected to reside in the Tenant Managed Services (TMS) at the Office of Technology Services (OTech) data center in Rancho Cordova, CA, in a VMware virtualized environment as illustrated in Figure III. The proposed solution must utilize application and database software that is supported in this environment. The proposed technical platform will be using a n-tier architecture:

1. Presentation Tier – communicates with other tiers by outputting results to

browser/client tier and all other tiers in the network.



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2. Application Tier – business logic – controls and application’s functionality by

performing detailed processing.

3. Data Tier – consist of document storage and the database.

a. All 4 legal offices must have access to the server via Caltrans Intranet. In addition, there should be testing and training environments. LCMS is expected to reside on four (virtual) servers running the Windows Server 2008 Operating System (OS) (see Figure III). All servers will be housed in the TMS at OTech data center in Rancho Cordova. Backup and operational recovery procedures will be the primary responsibility of Caltrans. The OTech backup and operational recovery standards can be accessed via the Internet at:

http://sam.dgs.ca.gov/TOC/5300/5355.htm

b. The database(s) must adhere to open database connectivity (ODBC) standards. Data communication protocols must make use of industry standards such as TCP/IP.

Figure III Conceptual Diagram



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1.5. Terms and Conditions

The following terms and conditions shall apply to this RFQ and resulting Agreement, if awarded:

Department of General Services, Bidder's Instructions, Revised 07/07/10http://www.documents.dgs.ca.gov/pd/modellang/BidderInstructions070110.pdf

Department of General Services, GSPD-401IT, Revised 06/08/10http://www.documents.dgs.ca.gov/pd/modellang/GPIT060810.pdf

Department of General Services, Personal Services Special Provisions, revised 2/8/07http://www.documents.dgs.ca.gov/pd/modellang/PersonalServiceSpecial020807.pdf

Department of General Services, Maintenance Special Provisions, effective 01/21/03http://www.documents.dgs.ca.gov/pd/modellang/maintenancespecial12103.pdf

Department of General Services, Software Special Provisions effective 01/21/03http://www.documents.dgs.ca.gov/pd/modellang/softwarespecial012103.pdf

Department of General Services, Purchase Special Provisions, effective 02/08/07http://www.documents.dgs.ca.gov/pd/modellang/Purchsespecial020807.pdf

Note: The State does not accept alternate language to the GSPD -401IT, General Terms and Conditions.

1.6. Availability

The selected contractor must be able to meet the requirements of this RFQ and be ready to begin work within thirty (30) State business days of the contract award date specified in the Key Action Dates below. If personnel offered by the selected contractor leave the contractor’s firm or are otherwise unable to participate in this contract, they must be replaced with comparably qualified personnel who meet the minimum qualifications as stated within this RFQ. All replacement personnel are subject to approval by the State.

1.7. Budget and Period of Performance

a. Quotes may not exceed the total amount budgeted for this project: $975,000 (ninehundred and seventy five thousand dollars and zero cents). Quotes shall include pricing based upon a Caltrans enterprise license and a per user license (for up to 300 users). In both cases, the license shall permit the users to utilize the LCMS from multiple computers and other electronic devices.

b. The term of this Agreement begins on the date as indicated on the Standard Agreement for IT Goods/Services (STD213) through two (2) years, inclusive of one (1) year of system configuration, installation, implementation, acceptance, and one (1) year of software licensing and technical support services.

c. The Contractor shall not be authorized to deliver or commence performance of services as described in this Statement of Work (SOW) until written approval has been obtained from all entities. No delivery or performance of service may



April 22, 2013

commence prior to the execution of the Agreement. Any delivery or performance of service that is commenced prior to the signing of the agreement shall be considered voluntary on the part of the contractor and non-compensable.

d. AMENDMENTS: Consistent with the terms and conditions of the original solicitation, and upon mutual consent, Caltrans and the contractor may execute written amendments to this agreement as permitted by law.

1.8. Key Action Dates

Listed below are the key action dates and times by which the actions must be taken or completed. All dates after the Submission of Quotes (date and time) are approximate and may be changed if needed to allow Caltrans additional time for evaluation and contract execution. If Caltrans finds it necessary to change any of these dates, it will be accomplished via an addendum to this RFQ.

Key Action Dates Date1. Release of RFQ 4/29/132. Submission of written questions 5/15/2013 by 12:00, PT*3. State’s response to written questions 6/3/13 by 2:00, PT4. Release of Addendum 6/4/13 by 2:00, PT5. Submission of Quotes 6/20/13 by 2:00, PT *6. Vendor Demonstrations 7/8/13-7/16/137. Public Cost Opening 7/17/13 at 3:00PM, PT*8. Notice of Intent to Award 7/18/139. Last Day to Protest Intent to Award 7/23/1310. Contract Award 7/24/13

*Pacific Time

1.9. Written Questions

a. All questions regarding the content of this RFQ must be submitted in writing via the eProcurement website at www.bidsync.com by the Key Action Date identified above. Questions not submitted in writing by the Key Action Date for submission of written questions shall be answered at the State’s option. Caltrans reserves the right not to accept or respond to verbal or written inquiries or complaints from suppliers/vendors. Please note that no verbal information given will be binding upon Caltrans, unless such information is issued in writing.

b. To ensure fair and impartial consideration of Contractor’s quote, Contractor shall contact Bidsync directly at 1-800-990-9339 with any issues experienced with Bidsync. Contractors will be directed to contact Bidsync to resolve their Bidsync



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issues. Contractors may also email Bidsync at [email protected] and note in the subject heading: “Vendor/Supplier unable to access

Bid # RFQ- DOT-2009-31 in Bidsync.” Please also contact DGS at http://www.dgs.ca.gov/pd/Programs/eprocure.aspx by clicking on “eProcurement Resources” for contact information.

c. When Caltrans has completed its review of the questions, Caltrans shall respond with a Question and Answer and/or Addendum via www.bidsync.com.

1.10.RFQ Response Guidelines

This RFQ and the bidder’s quote in response to this document will be made a part of the contract. Responses to this RFQ must contain all data/information requested and must conform to the format described in this RFQ. It is the bidder’s responsibility to provide all required data and any other information deemed necessary for Caltrans’ evaluation team to determine and verify the bidder’s ability to perform the tasks and activities defined in the Statement of Work.

1.11. RFQ Response Content

The following documents must be submitted in the RFQ response.

1.11.1. Cover Letter (See this RFQ’s Attachment 1)

The Bidder must complete and attach the cover letter included in this RFQ Attachment 1

1.11.2. Cost Sheets (See this RFQ’s Attachment 2)

Costs Sheets must be submitted in a separate sealed envelope, clearly labeled as confidential, cost information enclosed. Bidder must complete all of the cost sheets as outlined in the Cost Information Instructions included in Attachment 2.

1.11.3. Bidder Qualifications (See this RFQ’s Section 4)

a. The bidder must submit a Bidder History and Background providing information on the Bidder’s internal organization.

b. The bidder must complete a total of three (3) Customer Reference forms, Attachment 3 in this RFQ, one (1) for each reference. 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 contract resulting from this procurement.

c. The bidder must submit a description of the bidder’s project experience fulfilling all four (4) of the Project Experience requirement areas as described in Section 4.4.



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d. The bidder must submit a Project Organization chart for the proposed team and a Project Team Resume Summary form (see this RFQ’s Attachment 4) for each of the identified key roles for the project.

e. The bidder must submit a detailed draft Project Schedule.

f. The bidder must provide a draft training plan

g. At Caltrans’ sole option it may contact customer references during the week following submission of Quotes to validate the information provided by the bidder and to determine the customer’s overall satisfaction with the services provided. Bidders are advised to contact referenced customers in advance of bid submission to ensure their contact information provided is up-to-date and that the reference will be available during the period of time that the State will be validating references.

1.11.4. Confidentiality Statement (See this RFQ’s Attachment 5)

The Confidentiality Statement must be signed and dated by the bidder, its employees and subcontractor employees working on this project, and submitted with the bidder’s proposal.

1.11.5. Bidders Response to Functional, Technical and Services System Requirements (See Section 6 in this RFQ)

The bidder must provide additional information to describe how the bidder will satisfy each of the system requirements. The bidder should include all information necessary including external documentation or literature. The bidder must include a reference number for each applicable exhibit or attachment included in the bid response. Reference numbers should follow a logical sequence and be easy to reference back to a specific numbered requirement. The bidder MUST include a reference number to a document that identifies how the bidder will satisfy all system requirements.

1.11.6. Payee Data Record

The successful bidder will be required to submit a Payee Data Record, STD. Form 204 listing their Taxpayer Identification Number.http://www.documents.dgs.ca.gov/osp/pdf/std204.pdf

1.11.7. Seller’s Permit

Please note that award will be conditional on providing the following document prior to award:Bidder must provide its company’s California retailer’s seller’s permit or certification of registration and, if applicable, the permit or certification of all participating affiliates,



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issued by California’s State Board of Equalization (BOE), pursuant to all requirements as set forth in Sections 6487, 7101 and sections 6452.1, 6487.3, 18510 of the Revenue and Taxation Code, and Section 10295.1 of the Public Contract code. In order to expedite the process of verifying the validity of the permit, provide the BOE permit number in the space provided below (or attach a copy of the permit with your bid.)Retailer’s Seller’s Permit Number: _______________________If letter a in this paragraph 7 does not apply to Bidder, Bidder must provide verification from the BOE that certifies the bidder’s company is exempt from the Code requirements described in letter a in this paragraph 7.

1.11.8. Secretary of State Status

All corporations, Limited Liability Companies (LLCs), and Limited Partnerships (LPs) must be registered and in “Active” status with the California Secretary of State (SOS) to be awarded the contract. The SOS Certificate of Status must be included with the bid response. The SOS may be contacted as follows:California Secretary of StateDivision of Corporate Filing and Services1500 Eleventh Street, Third FloorSacramento, CA 95814-5251Certification Unit: (916) 657-5251Or the required document may also be obtained through the following website: http://kepler.ss.ca.gov

1.11.9. DVBE Participation

The DVBE Participation Requirement: The State has waived the Disabled Veteran Business Enterprise (DVBE) participation goal for this solicitation.DVBE Incentive: In accordance with Section 999.5(a) of the Military and Veterans Code, an incentive will be given to bidders who provide one percent (1%) or more DVBE participation. The incentive amount is based on the amount of DVBE participation obtained. The incentive is only given to those bidders who are responsive to the DVBE Program Requirement and propose DVBE participation in the resulting agreement. The following table will be used for this solicitation:

Confirmed DVBE Participation of: Incentive Amount:

5% and above 5%4%-4.99% 4%3%-3.99% 3%2%-2.99% 2%1%-1.99% 1%

1.11.10.Performance Bond (Reference: Public Contract Code 12112)



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The successful bidder will be required to provide Caltrans a faithful Performance Bond issued by a company authorized by the California Insurance Commissioner to transact surety business in California (an admitted surety insurer). The Performance Bond must be written for a sum not less than one-half of the total amount payable under the contract securing the faithful performance of the contract by the contractor.

1.11.11.Bidder Declaration Form GSPD-05-105

All bidders must complete the Bidder Declaration GSPD-05-105 and include it with the bid response. When completing the declaration, bidders must identify all subcontractors proposed for participation in the contract. Bidders awarded a contract are contractually obligated to use the subcontractors for the corresponding work identified unless the State agrees to a substitution and it is incorporated by amendment to the contract.

Bidders who have been certified by California as a DVBE (or who are bidding rental equipment and have obtained the participation of subcontractors certified by California as a DVBE) must also submit a completed form(s) STD. 843 (Disabled Veteran Business Enterprise Declaration). All disabled veteran owners and disabled veteran managers of the DVBE(s) must sign the form(s). Should the form not be included with the solicitation, contact the State contracting official or obtain a copy online from the Department of General Services Procurement Division, Office of Small Business and DVBE Services (OSDS) website at www.pd.dgs.ca.gov/smbus. The completed form should be included with the bid response.

1.11.12.Small Business Regulations

The Small Business regulations, located in the California Code of Regulations (Title 2, Division 2, Chapter 3, Subchapter 8, Section 1896 et. seq.), concerning the application and calculation of the small business preference, small business certification, responsibilities of small business, department certification, and appeals are revised, effective 09/09/04. The new regulations can be viewed at www.pd.dgs.ca.gov/smbus. Access the regulations by Clicking on “Small Business Regulations” in the right sidebar. For those without Internet access, a copy of the regulations can be obtained by calling the Office of Small Business and DVBE Services at (916) 375-4940.

1.11.13.Small Business Certification

Bidders claiming the small business 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 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 bid due date, and the OSDS must be able to approve the application as submitted. Small business nonprofit veteran service agencies (SB/NVSA) claiming the small business



April 22, 2013

preference must possess certification by California prior to the day and time bids are due. Questions regarding certification should be directed to the OSDS at (916) 375-4940.

1.11.14.Non-Small Business Subcontractor Preference

A 5% bid preference is now available to a non-small business claiming 25% California certified small business subcontractor participation. If applicable, claim the preference in the box on the right hand side of the first page of this solicitation.

1.11.15.Small Business Nonprofit Veteran Service Agencies (SB/NVSA)

SB/NVSA prime bidders meeting requirements specified in the Military and Veterans Code Section 999.50 et seq. and obtaining a California certification as a small business are eligible for the 5% small business preference. If applicable, claim the preference in the box on the right hand side of the first page of this solicitation.

1.11.16.Attachment with Quote Required if Claiming the Small Business Preference

All bidders must complete and include the Bidder Declaration form GSPD-05-105. If claiming the non-small business subcontractor preference, the form must list all of the California certified small businesses with which you commit to subcontract in an amount of at least twenty-give percent (25%) of the net bid price. All certified small businesses must perform a “commercially useful function” in the performance of the contract as defined in Government Code Section 14837(d)(4).http://www.documents.dgs.ca.gov/pd/delegations/GSPD105.pdf

1.11.17.TACPA /EZA/LAMBRA

If you qualify for more than one bidding preference (TACPA, EZA, LAMBRA, Small Business), the maximum preference allowed by law is 15% or $100,000. If any ofthese “acts” apply complete the appropriate form and attach it to your response.

• TARGET AREA CONTRACT PREFERENCES ACT (TACPA)(STD. 830S for Services)Preference will be granted to California-based Contractors in accordance with Government Code Section 4530 whenever contract for goods and services are in excess of $85,000 and the Contractor meets certain requirements as defined in the California Code (Title 2, Section 1896.30) regarding labor needed to produce the goods or provide the services being procured. Bidders desiring to claim Target Area Contract Preferences Act shall complete Std. Form 830 and submit it with the Final Proposal. Refer to the following website link to obtain the appropriate form: http://www.documents.dgs.ca.gov/osp/pdf/std830.pdf

• ENTERPRISE ZONE ACT PREFERENCE (EZA)Government Code Section 7080, et. seq., provides that California based companies may be granted preferences when bidding on state contracts in



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excess of $100,000 for goods and services (excluding construction contracts) if the business site is located within designated "Enterprise Zones" (see Std. Form 831). Bidders desiring to claim this preference must submit a fully executed copy of Std. Form 831 with their Final Proposal. Bidders proposing to perform the contract in a designated enterprise zone are required to identify such site(s) on the Std. Form 831. Failure to identify a site(s), which qualifies as an enterprise zone, will result in denial of the claimed preferences. Refer to the following website link to obtain the appropriate form: http://www.documents.dgs.ca.gov/osp/pdf/std831.pdfA bidder has claimed an EZA preference and is awarded the contract based on such preference(s) will be obligated to perform the contract in accordance with the Act.

• LOCAL AGENCY MILITARY BASE RECOVERY AREA PREFERENCE (LAMBRA)The LAMBRA bidding preference that you qualify for is used for bid solicitation purposes only, to a maximum of $50,000. The preference does not alter the amount of the resulting contract (Government Code, Section 7118 et seq., and California Code of Regulations, Title 2, Section 1896, 100 et seq.). Bidders desiring to claim this preference must submit a fully executed copy of STD. Form 832 with their Final Proposal. Refer to the following website link to obtain the appropriate form: http://www.documents.dgs.ca.gov/osp/pdf/std832.pdf


SECTION 2 EVALUATION INFORMATIONPage 1 of 5

April 22, 2013

2. Evaluation Information

2.1.Evaluation Process

Each RFQ response will be checked for the presence of requirement information in conformance with the submission requirements of this RFQ. Caltrans will evaluate each RFQ response to determine its responsiveness to the requirements. Caltrans will only open the cost envelopes of those bids deemed responsive to the RFQ requirements.

2.2.Evaluation Criteria

Responses to this RFQ will be evaluated based on the total bid and award, if made, will be to a single bidder. All Bidders are strongly encouraged to follow the scheduled steps of this procurement identified in the Key Action Dates. This is a best value procurement that features evaluation of the Bidders in the following categories: Administrative, Bidder Qualifications, System Requirements, and Cost. The maximum number of points available is 3600. The Bidder Qualifications and System Requirements represent 50% of the total points and the cost score represents 50% of the total points.

The overall responsiveness of each RFQ response is based on the complete responsefrom the bidder to the RFQ requirements, including the statement of work for the project. The following sub-sections and criteria are required:

2.3.Administrative Requirements:

This is a mandatory requirement and is not scored. A “No” response for any requirement may result in the quote being non-responsive and the quote may be rejected.

Requirement Yes Noa. Cover Letter (Attachment 1)b. Signed Confidentiality Statements (Attachment 5)c. Bidder qualificationsd. Technical, Functional and Service Requirementse. Cost Worksheet Sealed in Separate Envelope (See –

Attachment 2)

2.4.Bidder Qualifications (Maximum Score = 225 Points):

Refer to this RFQ’s Section 4, Bidder Qualifications. When bidders exceed the minimum qualifications as indicated for each category, the bidder will receive the number of points indicated. For example, a Project Manager requires 3 years experience in implementing, designing, and managing similar projects in scope as this one. If the bidder proposes a Project Manager with four (4) years they will receive 10 points, if the bidder proposes a Project Manager that meets the minimum requirements they will receive zero (0) points.



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2.5.Functional, Technical, and Service Requirements (Maximum Score = 1575 Points):

Refer to Section 6 Functional, Technical, and Service Requirement in this RFQ. Your response to this RFQ must specifically address each of the requirements/features that are listed for each functional capability provided in Section 6. The quality and detail of your responses will figure significantly in the overall evaluation of your proposal. Vendors are encouraged to give examples and provide additional information, graphics or URL’s to support your compliance to each requirement. To standardize the format of all proposals, vendors are required to provide a response to each requirement.Requirements identified with “must” are required and requirements identified with “should” are optional. Requirements identified with “must” must be available either when the system goes live or upon a mutually agreed upon time frame for full implementation. A “N” code for any requirement identified with a “must” may result in the quote being found nonresponsive and the quote may be rejected.Vendors shall place an "X" to the right of each requirement in the column that indicates the code (defined below) that most appropriately describes how the vendor plans to meet that requirement.

Code Description

F The requirement is fully met by pre-existing software. The functional component can be met “out of the box”. 5 points.

M The requirement will be met by modifying an existing product or integrating multiple products. The product’s code must be modified to meet the requirement. 4 points.

C The requirement will be met through development of custom (new) code. 3 points.

S The requirement will be met by using a supporting product that will address all aspects of this requirement. No modification of the supporting product’s code is necessary to meet the requirement. 1 point.

N None of the other columns listed above apply to Respondent’s solution. 0 Points.

2.6.Demonstration: Refer to Section 3 Bidder Demonstrations in this RFQ.

All bidders deemed responsive must conduct a demonstration of the proposed solution. The bidder must conduct the demonstration at their site using remote demonstration software. The bidder must provide the details (log-on procedures, other requirements) for Caltrans to access the demonstration via the Internet at the time to be scheduled by the State. The demonstration is mandatory and is not scored. Bidders will have 3 hours to complete the demonstration.



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2.7.Cost (Maximum Score = 1800 Points):

The cost for this RFQ is weighted at 50% of the total points available. The contractor will be evaluated on the total cost for both the contracted term and any optional extension year. A public cost opening will be conducted for all responsive bids. If, during evaluation of a bidder’s response, a bid has been deemed non-responsive or not compliant, the bidder’s cost will not be opened. Sealed cost information will not be opened until Caltrans’ evaluation team has completed all the evaluation steps not requiring information in the cost bid. For procurement and scoring purposes, Caltrans may (at its sole discretion) select and utilize the pricing cost related to a Caltrans enterprise license or a per user license (for up to 300 users).

Each bidders cost score will be calculated based on the ratio of the lowest cost proposal to the bidders cost, multiplied by the maximum number of cost points available (1800), as shown in the calculation below:

Lowest Total Cost Bid X Total Cost Points AvailableBidder Total Cost

Example: To help illustrate this process, refer to table below, for an example of the cost score calculation process. Cost figures in the example below explain the calculations and have no other significance.

Cost Evaluation and Scoring Methodology Example

Bidder Grand Total Cost

Calculation Cost Points Awarded

A $975,000 $875,000 X 1800$975,000

1620

B $925,000 $875,000 X 1800$925,000

1710

C $875,000 $875,000 X 1800$875,000

1800

Final Scoring Methodology: The final score will be obtained by adding the final totals of each of the categories in which bidders receive points.

Final Scoring Methodology Example

Bidder Bidder Qualifications

System Requirements

Cost Score Total Points Awarded

A 225 1575 1620 3420B 200 1550 1710 3460C 175 1525 1800 3500



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2.8.Award of Contract

Award of contract, if made, will be in accordance with the RFQ information on Evaluation to a responsible bidder whose bid complies with all the requirements of the RFQ documents and any addenda thereto, except for such immaterial defects as may be waived by Caltrans. Award, if made, will be made within forty-five (45) days after the scheduled date for Contract Award as specified in the RFQ; however, a bidder may extend the offer beyond 45 days in the event of a delay of contract award.

Caltrans reserves the right to determine the successful bidder(s) either on the basis of individual items or on the basis of all items included in its RFQ, unless otherwise expressly provided in Caltrans’ RFQ. Unless the bidder specifies otherwise in its bid, the State may accept any item or group of items of any bid. The State reserves the right to modify or cancel in whole or in part it’s RFQ.

Written notification of Caltrans’ intent to award will be made to all bidders. If a bidder, having submitted a bid, can show that its bid, instead of the bid selected by Caltrans, should be selected for contract award, the bidder will be allowed five (5) working days to submit a Notice of Intent to Protest, according to the instructions contained in the paragraph titled “Protests” of this RFQ.

2.9.Protests

Any bidder’s issues regarding solicitation requirements must be resolved, or attempts to resolve them must have been made, before a protest may be submitted according to the procedure below. These issues will first be resolved by the contact for the solicitation or if they result in a protest, the protest will be submitted to DGS Procurement Division Deputy Director to hear and resolve issues and whose decision will be final.

If a bidder has submitted a bid which it believes to be responsive to the requirements of the RFQ and to be the bid that should have been selected according to the evaluation procedures in the solicitation and the bidder believes the State has incorrectly selected another bidder for award, the bidder may submit a protest of the selection as described below. Protests regarding selection of the “successful vendor” will be heard and resolved by the Victim Compensation and Government Claims Board whose decision will be final.

All protests of award must be made in writing, signed by an individual authorized to bind the bidder contractually and financially, and contain a statement of the reason(s) for protest; citing the law, rule, regulation or procedure on which the protest is based. The protester must provide facts and evidence to support the claim. Protests must be mailed or delivered to:



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Deputy DirectorDepartment of General ServicesProcurement Division707 Third Street, Second Floor West Sacramento, CA 95605 Facsimile No.: (916) 375-4611

A copy of the protest must also be sent to the Procurement Official for this RFQ.

All protests to the RFQ or protests concerning the evaluation, recommendation, or other aspects of the selection process must be received by the DGS Procurement Division Deputy Director as promptly as possible, but not later than the date indicated in the Notification of Intent to Award. Certified or registered mail must be used unless delivered in person, in which case the protester should obtain a receipt of delivery.


SECTION 3 BIDDER DEMONSTRATIONSPage 1 of 4

April 22, 2013

3. Bidder Demonstrations

Bidders will be required to demonstrate the capabilities of their COTS product and how well it will meet the business needs of Caltrans. The bidder must demonstrate those solution capabilities either already built-into the COTS product or easily configurable, and how each of the functional areas below is accomplished. If the functional area cannot be demonstrated, the Bidder will explain how that functionality will be delivered.

A. User Friendliness and Ease of Use

B. System Interface Capabilities1. Demonstrate current program interface capabilities

C. System Administrative and Supervisory Actions1. Capture and display information related to supervisor case actions requests2. Assign and track tasks3. Capture and report contact information4. Edit/transfer financial information5. Access employee schedules

D. System Calendaring Capabilities1. How the system can generate and manage rule based calendars2. How calendar business rules can be defined/edited3. How system generated calendar entries can be edited4. How reminders/email notifications can be accomplished when calendar entries are

made/edited5. The calendar views the system provides6. How the system can synchronize calendar entries with Microsoft e-mail systems

E. Systems Capabilities to Assembles Documents1. Generate and edit documents based on events/business rules2. Allow the business rules to be edited3. Populate defined fields using system generated information4. Create all legal/court-ready documents5. Store and provide a link to documents6. Search documents based on user-defined criteria7. Convert documents to PDF, Microsoft Word, Excel CSV and other industry standard

formats8. Create mailing lists and labels9. Use bar-code technology

F. Systems Capabilities to Capture Data1. All Legal Matter Case Types2. Legal matter participants



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3. Accounting and financial information related to a case including invoicing4. Court filings, trial, court decisions, and appeal information5. Exposure information and amount sought, initial demand/prayer, current demand,

settlement authorized, and statutory final offers6. Resolution information such as amount paid, amount recovered, fees, and sanctions7. Outside counsel and service providers8. Contract Information9. Claims information

10. Ensure all required information is entered into the system when a case or other matter is created

11. Validate the information entered is appropriate, (date in date fields, numbers in number fields, etc.)

12. Return data to its previous state if a process fails prior to completion13. Ensure all required information is entered into the system when a case or other matter

is closed

G. Systems General Configuration1. Edit department roles2. Customize views3. Generate Pleading/Testimony Docket Sheets4. Cross reference information in the system5. Maintain history files6. Track document creation and approvals7. Add or modify fields8. Track cases assigned to staff9. Identify participants in a legal matter

10. Assign user defined unique and sequential identifiers to case information11. Use bar code technology

H. System Reporting and Querying Capabilities1. Creating and modifying “canned” or system reports2. Creating ad-hoc reports at the individual user level3. Report Management Functionality, for example, Report Management features that

allow reports to be generated and saved by individual users. Describe how the tool manages reports that have not been used for some time

4. Exporting report results to popular formats such as PDF, Microsoft Word, Excel, etc

I. System Communication Capabilities1. Dialup2. Wireless3. Direct4. DSL5. Fiber optics6. Network IP7. Max/min baud rates



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J. Coordination Capabilities1. Time-of-day (TOD)2. Traffic responsive3. Adaptive

K. Timing Chart Capabilities1. Integrated into the system2. Up-loadable/down-loadable3. Printable

L. Alarms and notifications1. User settable

M. Report Generating Capabilities1. Traffic signal report2. System report3. Printing 4. Format type

N. Data Collection Capabilities1. Volume, occupancy2. Historical data

O. Graphical User Interface (GUI)

P. Diagnostic Capabilities

Q. System Degradation and Recovery1. Data recovery and system reboot2. Data throughput degradation per devices (communication server)

R. System Security1. Levels of access2. Types of built-in security3. Firewall type

S. Scalability1. Number of intersections that can be handled simultaneously2. Number of communication connections simultaneously3. New field device adaptability (without system reboot)

T. Environment 1. Server requirements including operating system/s2. Client workstation requirements



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U. Supported Protocols1. NTCIP2. AB 3418/AB3418e3. Others

V. Other Features 1. Time Space Diagram2. GUI: Degree of difficulty3. Login

W. System Set Up1. Add/remove devices2. Data Collection3. Tools

X. Jurisdictional Capabilities

Y. Additional FunctionalityOnce the Bidder has demonstrated the above functionality, and if allotted time remains, the Bidder may demonstrate any additional functionality relevant to Caltrans’ business needs.


SECTION 4 BIDDER QUALIFICATIONSPage 1 of 8

April 22, 2013

4. Bidder Qualifications Requirements

4.1.Purpose

The purpose of the Bidder Qualifications Requirements section is to provide Caltrans the ability to verify the experience and knowledge claims made in the bid by the Bidder and to assess the Bidder's prior record in providing services to other organizations. Bidders are advised that the information and responses to this section is a critical portion of the evaluation and selection process.

At Caltrans’ sole option it may contact customer references during the week following submission of Quotes to validate the information provided by the bidder and to determine the customer’s overall satisfaction with the services provided. Bidders are advised to contact referenced customers in advance of bid submission to ensure their contact information provided is up-to-date and that the reference will be available during the period of time that Caltrans will be validating references. Caltrans will make two (2) attempts to contact each Bidders listed references. If the Bidder's response cannot be validated by the references provided, the bid may be deemed non-responsive and rejected.

4.2.Bidder History and Background

The Bidder must provide information on the Bidder's internal organization. If the Bidder's solution involves subcontractors, the response must indicate the following information for the prime Contractor and all subcontractors. This information must include: name of the Bidder(s) submitting the bid; mailing address; contact person and title; contact telephone number(s) and fax number(s); brief history and background about the Bidder's company; services and products offered by the Bidder’s company; number of employees; office locations; general information about the Bidder's organization.

4.3.Customer References

The Bidder must provide three (3) Customer References. The Bidder must select 3 customers as references based upon the similarity of those contracts to the type of work required to satisfy the specifications of this RFQ. The references provided must be recent, whereby the Bidder must have implemented the respective system within the last ten (10) years. The references provided must be organizations whose business processes are similar to those performed by Caltrans in terms of functionality, complexity, and transaction volume. Specifically, the referenced customer/project will be considered comparable if they contain the following minimum attributes:

a. Implements projects of similar technical scope and size as LCMS;b. A system that has been implemented in a distributed environment (e.g., multiple

office locations);



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c. A system that has been implemented in a virtual environment;d. A system that supports multiple modes of communications and protocols; e. A system that utilizes a database; f. A system environment with a minimum of three hundred (300) concurrent on-

line users; andg. A system that is user friendly, dependable and reliable;

h. The vendor provides responsive technical support;

i. A system that is easy for the client to support and maintain.

4.4.Bidder Project Experience

The Bidder must provide the Bidder’s project experience information for each of the following Bidder Project Experience requirement areas:

a. Project Management Experience;

b. Systems Development Experience;

c. Technical Architecture Experience; and

d. Distributed Implementation Experience.

The Bidder must have a minimum of three (3) years of experience in each Bidder Project Experience requirement area. Bidders that do not meet the minimum number of years of experience in any one of the project experience requirements may be considered non-responsive. Each project experience requirement will be evaluated and scored separately.

The Bidder must provide sufficient information about their project experience so Caltranscan determine if the Bidder performed in the capacity/role to meet the experience requirement. For each Bidder Project Experience requirement area (i.e., Project Management, Systems Development, Technical Architecture, or Distributed Implementation), the Bidder must provide the following detailed information:

a. Indicate whether work performed was at city, county or state level.b. Customer name and address;c. Customer contact name and telephone number;d. Project start and end dates;e. Brief description of the project. Must include:

o Project amount in dollars;o Functional area(s);o Number of users;o Number/location of site(s); o Size of system;o Hardware and software deployed;o Type of controllers used;o Any special features



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f. The Bidder must provide names of proposed LCMS project team members who participated on the project, their roles and responsibilities, and indicate whether contractor or subcontractor staff.

Evaluation Points: Bidder Project Experience

The following summarizes the points assigned to this requirement. Bidders that exceed the minimum requirements for each area of evaluation will be awarded the indicated points. For example, if a bidder has 4 years of Project Management Experience in the required area 15 points would be awarded.

Area of Evaluation Points Awarded

Project Management Experience

The Bidder must have a minimum of 3 years of experience managing software implementation projects. The Bidder must provide the detailed information identified above for previous projects that reflect the Bidder’s Project Management experience.

For Project Management Experience that exceeds the 3 year requirement the following points will be awarded:

4 years = 15 points

5 years = 20 points

6 years = 30 points

7 years = 40 points

8 or more years = 50 points

Total Points Possible for Project Management is 50points.

Systems Development Experience

The Bidder must have minimum of 3 years of project experience in designing, developing, and implementing distributed, multi-user software utilizing a structured system development methodology. The Bidder must provide the detailed information identified above for previous projects that reflect the Bidder’s Systems Development experience.

For System Development Experience that exceed the 3 year requirement the following points will be awarded:

4 years = 5 points

5 years = 10 points

6 years = 15 points

7 years = 20 points


Total Points Possible for System Development is 25points.

Technical Architecture Experience

The Bidder must have minimum of 3 years of project experience in designing and implementing on the Bidder’s proposed hardware, software, database, and network environment. The Bidder must provide the detailed information identified above for previous projects that reflect the Bidder’s Technical Architecture experience.

For Technical Architecture Experience that exceed the 3 year requirement the following points will be awarded:

4 years = 5 points

5 years = 10 points

6 years = 15 points

7 years = 20 points


Total Points Possible for Technical Architecture is 25 points.



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Distributed Implementation Experience

The Bidder must have minimum of 3 years of project experience in training and implementing software for multiple users at multiple sites. The Bidder must provide the detailed information identified above for previous projects that reflect the Bidder’s proposed Distributed Implementation experience.

For Distributed Implementation Experience that exceed the 3 year requirement the following points will be

awarded:

4 years = 5 points

5 years = 10 points

6 years = 15 points

7 years = 20 points


Total Points Possible for Distributed Implementation is 25 points.

Total Bidder Project Experience 125

4.5. Bidder Project Team Experience

4.5.1. Key Personnel Roles

The bidder will be responsible for providing all staff persons required to design, develop, and implement the LCMS. The bidder must provide information that can be used by Caltrans to evaluate the bidder’s intended project team and organization. This information must include the following:

a. Project organizational chart; and proposed staff person(s), their respective roles and responsibilities, and their estimated start and end date on the project for each of the following key roles:

1) Project Manager2) Application Configuration Lead3) Training Lead

4.5.2. The Project Team Resume Summary

The Project Team Resume Summary forms, included in this RFQ as Attachment 4, must be completed by the bidder for each proposed staff person who is performing one of the key roles identified above. If a proposed staff person will perform in multiple key roles on this project, a Project Team Resume Summary form must be completed for each role the proposed staff person will perform. By completing the Project Team Resume Summary for each proposed staff person playing a role listed below, the bidder must provide the following information:

a. Proposed staff person’s name;

b. All customers and respective projects the candidate served in the same role;



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c. Indicate whether customer was city, county or state governmental agency, if

applicable;

d. Project participation start and end dates for each respective customer/project;

e. Technical skills used (e.g., programming languages, database management

system, hardware environment, etc.) and size of system (including

hardware/software deployed, type of controllers used, special features) on each

respective customer/project;

f. Number of years of experience gained at each respective customer/project;

g. Total number of career years experience the proposed staff person has in the

role; and

h. Proposed staff person’s resume.

It is the bidder's responsibility to ensure the resumes and Project Team Resume Summary (see this RFQ’s Attachment 4) supports the responses in the bid. Bid responses that cannot be substantiated by the resumes will not be awarded points.



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Evaluation Points: Bidder Project Team Experience

The following summarizes the points assigned to this requirement. Bidders that exceed the minimum requirements for each area of evaluation will be awarded the indicated points. For example, if a bidder’s Project Manager has 5 years of experience, 10 points will be awarded.


1. Project Organization Information

The Bidder must provide a project organizational chart and identify each proposed staff person, their respective roles and responsibilities, and their estimated start and end date on the project.

No points assigned

1a. Project Manager

The Project Manager must have a minimum of 3 years of experience managing software development and implementation LCMS projects of similar technical scope and size The Bidder must provide a completed Project Team Resume Summary and resume that reflects the staff person’s Project Management experience. The Project Manager must have working knowledge of Project Management Institute’s (PMBOK).

For Project Managers that exceed the 3 year requirement the following points will be awarded:

4 years = 10 points

5 years = 20 points

6 years = 30 points

7 years = 40 points


Total Points Possible for Project Manager is 50points.



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1b. Application Figuration Lead

The Application Configuration Lead must have a minimum of 3 years of experience designing and implementing technical infrastructures using the LCMS hardware, software, and network components identified in the Bidder’s proposed solution. This experience should include implementing legal case management applications in all of the following areas:

• Calendar Management as it relates court dates and critical case deadlines.

• Experience in Real Property, Tort, Environmental, Contract, and Employment/Transactional Law Case Management or have access to these resources.

• Reporting as it relates to case management.

The Bidder must provide a completed Project Team Resume Summary and resume that reflects the staff person’s Application Configuration experience.

For Application Configuration Leads that exceed the 3year requirement the following points will be awarded:

3 years = 5 point

5 years = 10 points

6 years = 15 points

7 years = 20 points


Total Points Possible for Application Configuration Lead is 25 points.

1c. Training Lead

The Trainer must have a minimum of 3 yearsof experience in developing software training materials and conducting software training to personnel in a classroom and virtual environment. The Bidder must provide acompleted Project Team Resume Summary and resume that reflects the staff person’s Trainer experience.

For Training Leads that exceed the 3 year requirement the following points will be awarded:

4 years = 5 point

5 years = 10 points

6 years = 15 points

7 years = 20 points


Total Points Possible for Training Lead is 25points.

Total Contractor Project Team Experience 100

4.6. Project Schedule and Work Breakdown Structure

The Bidder will be responsible for the development and maintenance of an overall project schedule and a detailed work breakdown structure that must include, but is not limited to, the identification and definition of all project phases, stages, and tasks and the respective duration of tasks, dependencies of tasks, milestones, and responsible party



April 22, 2013

(e.g., Application Developer, Caltrans). Reference the Statement of Work for the detailed project schedule required for the agreement. The Bidder is also responsible for identifying within the Project Schedule all deliverables to be produced. The Bidder must provide the project Schedule using Microsoft Project 2007. Throughout the project, the Project Schedule must be updated accordingly, identifying uncompleted and completedtasks. The updated Project Schedule must be provided to the Caltrans Project Manager (PM) with the monthly status report.

The bidder must provide a detailed project schedule that includes the following components: Identification and duration of each phase and respective tasks.Identification of task dependencies; Identification of milestones (including submission of deliverables to Caltrans, and installation dates); and Identification of tasks requiring Caltrans participation.

4.7. Training Plan and Approach

The Training Plan and Approach requirements are listed in Section 6, Functional, Technical and Service Requirements.

4.7.1. Training Plan

Bidders must provide a training plan. The training plan must describe the training to be provided for these three categories of LCMS users (with required minimum number of staff in each category):

Functional Staff Category Number of Staff

End Users 264

System Administrators 28

Technical Support 10

4.7.2. Training Approach

The bidder must provide information that can be used by Caltrans to evaluate the Bidder’s knowledge of and intended approach to training. This information must include at least the following:a. Detailed overview of the training curriculum for end users (e.g., proposed levels

of training, description of each level, objectives of each level, previous knowledge requirements, and estimated number of hours for each course, etc.);

b. Proposed approach for performing technical training to the system administrator, and technical support staff (e.g., timing, estimated number of hours, focus areas of training, etc.); and

c. Proposed approach for ongoing training post-implementation (e.g., timing, estimated number of hours, focus areas of training, etc.).

Caltrans Bid # RFQ- RFQ- DOT-2009-31LCMS

SECTION 5 STATEMENT OF WORKPage 1 of 28

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5. Statement of Work

This Statement of Work (SOW) reflects the services to be provided by the Vendor, hereinafter referred to as “Contractor” for the Department of Transportation, hereinafter referred to as “Caltrans”.

5.1. Purpose

The purpose of this RFQ is to procure from the winning bidder a COTS database software solution to replace the existing FileMaker Pro case management system. The COTS solution must also provide technology and implementation planning, software application installation and configuration, database implementation, interfaces to internal applications, data conversion, testing, development of training materials to include end user system administration and technical documentation, project management, post-implementation warranty and annual maintenance support.

This Legal Case Management System (LCMS) will address the business objectives and requirements described in the Statement of Work, both of which are described below.

5.2. Objectives

The business objectives identified for the LCMS project are as follows:a. Define and document the State’s requirements, as applied to the Contractor’s LCMSb. Standardize the workflow process. c. Integrate with Caltrans E-mail system, currently Microsoft Exchange/Outlook.d. Provide contact and calendar management functions.e. Interface with AMS Advantage, the Caltrans accounting system. f. Enforce business rules during data entry.g. Establish a single application to support legal case management statewide.h. Provide accurate and timely management reports.i. Provide document assembly and tracking capability.j. Contract with an industry leader.k. Allow for long term support and improvementsl. Deliver the project on schedule and on budget

5.3. Scope

The Department will replace the existing FileMaker Pro case management system with a COTS legal case management software solution, provided by the contractor, to collect, store, organize and analyze data and information to meet the business needs and objectives of the Department. The contractor must also provide the following services: technology and implementation planning, software application installation and configuration, data conversion, database implementation, interfaces to internal applications, testing, training, development of training materials to include end user system administration and technical documentation, project management, one year of post-implementation warranty, software licensing and technical support. The warranty will be effective the day following final system acceptance. The software licensing and



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technical support will begin upon final system acceptance. The cost of an optional third year of software licensing and technical support will be provided. This RFQ includes procurement of a legal case management system (LCMS) that will address the business objectives and requirements.

5.4. State Responsibilities

The State shall be responsible for:a. Procuring the hardware for LCMS and working with the Contractor to configure the

hardware to support the various system environments (i.e., the test, training and production environments) including implementing appropriate security measures in compliance with OTech and State security policies.

b. Providing subject matter experts to supply the Contractor with information and expertise on current processes and requirements, and to assist with answering questions and gathering information.

c. Working with the Contractor to facilitate knowledge transfer to Caltrans staff.

d. Participating in training provided by the Contractor.

e. Reviewing and approving all contractor deliverables.

f. Decommissioning the legacy systems upon successful deployment of the LCMS.

g. Participating in the Functional, Integration, Performance, User Acceptance, Americans with Disability Act (ADA), System Security, and Regression Testing of LCMS.

h. Managing the contracts resulting from the RFQ and overall LCMS project efforts.

i. Providing first-tier help desk support for LCMS. First-tier support provides the first point of contact for Caltrans LCMS customers, performs incident management, prioritization, escalation processes, procedures for critical response needs, and escalates problems that require in-depth technical analysis to the Contractor's second-tier support staff.

j. Providing data cleanup in preparation for data conversion.

k. Providing database administration services including database setup, configuration, implementation and maintenance.

5.5. Contractor Responsibilities

The State requires one contract to be issued to a single Contractor who shall be responsible for successful performance of this contract. The Contractor shall be responsible for the successful performance of all subcontractors and will be required to assume responsibility for technology and implementation planning, software application installation and configuration, data conversion, database implementation, interfaces to internal applications, testing, training, development of training materials to include end user system administration and technical documentation, project management, one year



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of post-implementation warranty, software licensing and technical support. Furthermore, the State will consider the Contractor to be the sole point of contact with regard to contractual matters, and payment of any and all charges resulting from the outsource or purchase of the software for the term of the contracts. The Contractor must serve as the prime contractor and system integrator for this contract 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 contract, even if requirements are delegated to subcontractors. All state policies, guidelines and requirements that apply to the Contractor also apply to subcontractors, as applicable to the products and services they provide and to their role as a subcontractor. The Contractor and subcontractors shall not in any way represent themselves in the name of Caltrans or the State of California without prior written approval from the State. There will be no assignment of responsibility to a third party without prior written approval from the State.

The Contractor is responsible for:a. Configuring, implementing and deploying the COTS software in all system

environments (i.e., the test, training and production environments) to fulfill the LCMS Functional and Technical Requirements.

b. Working with Caltrans and OTech to configure the hardware to support the various system environments (i.e., the development, test, training and production environments), including implementing appropriate security measures in compliance with OTech and Caltrans security policies.

c. Managing and maintaining the various system environments until the successful completion of the LCMS Production Acceptance Period.

d. Obtaining and delivering the required COTS software as specified in the Contractor’s Proposal.

e. Test planning, coordinating, and execution.

f. Performing the required system integrator and implementation services.

g. Converting and loading the Caltrans-supplied data to LCMS, performing analysis and resolution of loading exceptions and anomalies.

h. Producing and delivering the required deliverable documents and software.

i. Supplying and managing qualified staff and/or subcontractors to configure and implement LCMS in accordance with the Key Personnel Qualifications Certification.

j. Providing second-tier help desk support for LCMS.



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5.6. Assumptions and Constraints

a. All costs for a functional solution to meet the requirements must be included in the vendor’s quote.

b. Caltrans staff will actively participate in the project by providing business knowledge and expertise.

c. Fundamental knowledge transfer to Caltrans staff is assumed to be part of this project.

d. Caltrans staff is assumed to be the "first line of support" for service calls.

5.7. Deliverables

a. Deliverable Preparation and Submission

The Contractor must prepare and submit deliverables in accordance with the following requirements:

1. The Contractor must complete a Deliverable Expectation Document (DED) for each deliverable and obtain Caltrans approval prior to commencing work. The goal of this activity is to ensure a common understanding exists between Caltrans and the Contractor regarding the scope and content of the deliverable prior to the Contractor beginning work. The DED must be proportional to the complexity of the deliverable and summarize the key content of the deliverable.

2. Unless otherwise directed by the Caltrans PM, the Contractor must submit an electronic copy of each deliverable in a format that is compatible with Caltrans standards, as of submission (currently, Microsoft Office 2007 and Microsoft Project 2007).

3. Regardless of the deliverable type, the Contractor is responsible for ensuring that the deliverable provides all required information (including where appropriate, diagrams, key figures, and tables) and the completion, performance (i.e. speed of task completion) and acceptance criteria and/or tests that must be met before Caltrans will accept the deliverable.

4. Unless otherwise agreed to in writing by the Caltrans PM, the deliverable must be complete (i.e., no sections left blank or uncompleted) and submitted to the Caltrans PM by the date specified in the Caltrans-approved Project Schedule.

b. Deliverable Acceptable Process

1. The Caltrans PM will be responsible for reviewing and approving each deliverable. Caltrans will utilize the completion and acceptance criteria and/or tests established for each deliverable to determine whether to approve the submitted deliverable. Caltrans’ standard review period for each deliverable shall be no more than ten (10) State business days unless otherwise revised in writing by the Caltrans PM. The Caltrans PM must notify the Contractor, in



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writing, of any review period revision for a particular deliverable at least ten (10) calendar days prior to the due date of the deliverable.

2. Should revisions to the deliverable be required by Caltrans, the Contractor will receive written notification of said changes. The Contractor must incorporate the changes to the deliverable. The Caltrans PM and Contractor shall select a mutually agreeable due date for the revisions based on the scope of the changes.

3. The deliverable shall not be considered accepted until the Contractor receives written approval from the Caltrans PM.

c. Notice of Deficiency

The Caltrans PM will provide written acceptance for the deliverable if it meets the acceptance criteria. Failure to meet acceptance criteria is a deficiency. If a deficiency is found, the Caltrans PM will notify the Contractor of the basis for the determination.

Upon notice of deliverable deficiency, the Contractor shall within five (5) State business days do one of the following:

1. Correct the deficiencies and resubmit; or

2. Submit a written detailed explanation describing precisely how the deliverable adheres to and satisfies all applicable requirements; or,

3. Submit a proposed corrective action plan to address the specific inadequacies of the deliverable.

If the Contractor requires more than five (5) State business days, the Contractor shall submit a written request and obtain written approval from the Caltrans PM for the longer period. If the Contractor opts for actions 2 or 3 above, after receipt of the Contractor detailed explanation or proposed corrective action plan, the Caltrans PM will notify the Contractor in writing within 5 State business days whether it accepts or rejects the explanation or plan. If the Caltrans PM rejects the explanation or plan, the Contractor will submit a revised corrective action plan within three (3) State business days of notification of rejection. The Caltrans PM will within 5 State business days of receipt of the revised corrective action plan, notify the Contractor in writing whether they accept or reject the revised corrective action plan proposed by the Contractor.

d. The Contractor must provide the deliverables listed in the tables below:



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Table 1 - Contract Deliverable List and Due Dates

Deliverable Title Update Frequency Due Date

CD-1 Project Management Plan

Updated Quarterly 30 State Business Days after Contract Execution

CD-2 Project Schedule Every Month (every two (2) weeks if schedule slippage exceeds 10%)

30 State Business Days after Contract Execution

CD-3 Monthly Status Reports

Every Month The fifth State business day of each month

CD-4 System Fit/Gap Analysis

No updates In accordance with the State-approved Project Schedule

CD-5 System Configuration Plan

As Needed 60 State Business Days after Contract Execution

CD-6 System Requirements Specification

As Needed, based on approved change request

3 Months after Contract Execution

CD-7 Detailed Design Document with Database Schema

Every Release In accordance with the State-approved Project Schedule

CD-8 Interface Specification Document

As Needed, based on approved change request

In accordance with the State-approved Project Schedule

CD-9 Data Initialization and Conversion Plan

As Needed In accordance with the State-approved Project Schedule

CD-10 Detailed Data Extract Mappings


CD-11 Data Conversion Final Report




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CD-12 LCMS Test Plan that includes all phases of testing:

Functional Integration Performance UAT ADA System Security Regression

As needed No less than 30 calendar days prior to the start of testing

CD-13 Test Scenarios that includes all phases of testing:


As needed In accordance with the State-approved Project Schedule

CD-14 Test Results Report that includes all phases of testing:


As needed The Test Results Report must be delivered to the Caltrans within 15 State business days of the completion of testing

CD-15 Training Plan As needed In accordance with the State-approved Project Schedule

CD-16 End User Training Materials

No updates 30 State business days prior to the scheduled start of training sessions

CD-17 System Administrator Training Materials

No updates 30 State business days prior to the scheduled start of training sessions

CD-18 End User Manual No updates In accordance with the State-approved Project Schedule

CD-19 System Administrator Manual




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CD-20 Technical Support Plan

As needed No later than 30 calendar days before the start of user acceptance testing

CD-21 Software Maintenance Report

After each incident but no more than Monthly

During Technical Support Phase of LCMS

CD-22 System Maintenance and Operation Plan

As needed No later than 30 calendar days before the start of implementation

CD-23 Technical Support Training Materials




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Table 2 - Contract Deliverable Descriptions

Deliverable # Deliverable Description

CD-1 The Project Management Plan must meet the requirements of the California Technology Agency (CTA) California Project Management Methodology (CA-PMM) for a project of the size and complexity of LCMS as defined in the ITPL 09-01 and include:• The Contractor’s approach to applying project management

practices to LCMS• Project team organization and staff management• Communication management• Risk and Issue management• Change / Configuration management• Quality management

CD-2 Project Schedule must include:• Work Breakdown Structure• Key Milestones• Deliverables• Detailed Tasks• Task Dependencies• Durations for each Task• Planned and Actual Start and End Dates• Resources for each Task• Task Ownership, including Contract and Caltrans Tasks• Percent of Project Complete• Critical Path

CD-3 The Monthly Status Report must include:• Progress Made during the Prior Month • Summary of Planned and Completed Tasks• Summary of any Issues, Risks or Pending Changes• Updates to the Project Schedule reflecting Actual Progress

Made

CD-4 The System Fit / Gap Analysis must specify:• Gaps between the Contractor’s proposed solution and the

LCMS functional and technical requirements• Strategies to address the gaps between the solution and LCMS

requirements (e.g., configuration, customization, additional products)

• Impacts and risks of the proposed strategies• Identification of State’ responsibilities related to addressing the

gaps (e.g., policy changes)

CD-5 The System Configuration Plan must specify:

• Description of the Configuration Methodology and Processes, including:



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• Configuration standards and tools to be used for:

• Information modeling• Directory access• Configuration, test and support tools to be used• Approach to using and configuring third-party tools and

software• Approach to validating and refining the functional requirements• Approach to managing requirements and traceability• Approach to meeting testing standards• Approach to code and test walkthroughs / reviews• Approach to development and testing of LCMS interfaces• Approach to validating system security• Approach to integration and testing of interfaces and third-party

software• Approach to managing defects and anomalies

• Approach to Configuration and Deployment of the Phased Releases, including:

• Approach to configuration management of the system environments and software (Configuration Management Plan)

• Change Control Management Plan• Approach to version and release management• How the system will be audited and turned over to Caltrans

upon final system acceptance

CD-6 The System Requirements Specification must contain:

• Summary of the results of the requirements analysis and validation.

• Baseline requirements set for the system, including any additional derived requirements and expanded definitions of each base requirement in order to demonstrate Contractor understanding.

• Listing of new business processes required and / or impacts to State policies.

• An updated requirements traceability matrix, showing traceability from the RFQ requirements to the detailed requirements which refine and further elaborate the requirement and associated business rules.

• The functional requirements in Section 6 shall serve as the baseline requirements that the Contractor shall use as the basis for validating and refining the requirements after contract execution.

• Modifications to the baseline requirement set are to be expected and will be processed through the System Change Control Process and approved by the State.

CD-7 The Detailed Design Document and Database Schema must contain:

• Capabilities, functions and features of the system



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• Description of the overall design• Description of software modules, interfaces, forms,

correspondence, and, queries (standard and ad hoc) and reports

• Description of the system’s role-based user access / authority features and tools

• Report layout for standard reports• Data model and relationships• Database(s) design and schema• System interface design • Specific formulas and calculations used to establish the system

storage and processing needs (capacity and performance modeling)

• Description of the systems security features for protecting the system, data transmissions, and data from unauthorized access

CD-8 The Interface Specification Document must specify:• Discussion of each interfaces and its purpose• Transmission methods and tools• The approach to implementing each of the interfaces, including:

o Integrating with real-time systems o Interfacing with stand-alone DBs

•• For each interface, a description of:

o Interface method and protocolo Frequency of transmissiono Interface format, including any control and error

formatso Error handling and recovery methods, including

restart procedureso Dependencies or constraints for the interface (e.g.,

timing of the transmission)o Interface security considerationso Interface testing considerations and approacho Operational considerations, such as scheduling, log

file monitoring and operator notifications

CD-9 The Data Initialization and Conversion Plan must include:• Approach to data conversion• Description of the conversion process, including

o Environments required for data conversion (i.e., development, test, other)

o How the data will be extractedo How the data will be convertedo How the data will be loaded



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o How errors and anomalies in the conversion process will be addressed

o How data cleanup will be addressed and expectations for Caltrans participation

o Procedures to ensure appropriate legacy data has been correctly loaded

CD-10 The Detailed Data Extract Mappings (for loading Caltrans-converted data) must specify:• Database Schema for the new database• Data mapping (Interface systems’ data elements to new data

elements)• Input and output record layouts• Location of source and target data• File / table sizing information• Data Conversion Exception Report• Data Cleansing Report

CD-11 Data Conversion Final Report must include:• Scripts and tools that were used/developed as part of this effort.• The detailed data extract / mappings (for loading Caltrans-

converted data) must specify:

o Database Schema for the new databaseso Data mapping (Interface systems’ data elements to

new data elements)o Input and output record layoutso Location of source and target data o File / table sizing informationo Data Conversion Exception Reporto Data Cleansing Report

CD-12 The LCMS Test Plan must include:• Scope of each testing phase• Test objectives and test strategy• Approach to creating and maintaining the test data• High level test design and test cases• Documentation to be produced during testing activities• Approach to testing interfaces, as applicable• Approach to analyzing and resolving test anomalies and

errors• Criteria for exiting the test phase• Roles and responsibilities

CD-13Functional, Integration, Performance, UAT, ADA, System Security and Regression Test Scenarios must include:



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• Specific test objectives, including requirements to be verified

• Specific test preparation activities, including preparation of the test data and test environment

• Specific test steps and activities with expected results and actions to be taken, including any analysis of results

• Specific criteria used to determine if the test has Passed or Failed

CD-14 Functional, Integration, Performance, UAT, ADA, System Security and Regression Test Results Report must include:• Summary of all tests executed during the phase and the

results• Detailed list of all anomalies and errors found during

testing and the Resolution or Status of each Anomaly/Error

• List of the system configuration at the end of testing (e.g., version of software modules, system settings) as compared to the start of testing

• Review of the criteria for exiting the test phase and the actual status of each criterion

CD-15 At a minimum, the Training Plan must include the following:• Description of training staff organization• Approach to end user training• Approach to technical training• Training curriculum• Training materials and training support resources• A description of high level prerequisites for each type of training

proposed.• Approach to evaluating the effectiveness of training

CD-16 End User Training Materials must include the following: • Both paper and electronic formats, for all training sessions

through the term of the agreement, and for Caltrans-led training sessions during the course of the configuration and implementation Contract

• Training evaluation forms, to be completed by each training class participant

• All training materials must be customized to reflect Caltrans TO-BE business process and workflow



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CD-17 System Administrator Training Materials must include the following:• Both paper and electronic formats, for all training sessions

through the term of the agreement, and for Caltrans-led training sessions during the course of the configuration and implementation Contract

• Training evaluation forms, to be completed by each training class participant

• All training materials must be customized to reflect Caltrans TO-BE business process and workflow

CD-18 End User Training Manual must include:• Use of Screen snapshots • Step-by-Step Instructions• Key Word Index• Practical tips, hints, and shortcuts• Practical examples and explanations with applicability to legal

case management • All training materials must be customized to reflect Caltrans

TO-BE business process and workflow

CD-19 System Administration Manual must include:• Practical Tips and Hints on Debugging Problems or Anomalies• Practical Examples and Explanations for System Monitoring• System Performance Monitoring Tips and Hints• System Logs, Audit Logs, and Audit Report Features• Database Monitoring Features and Reports• Database Sizing and Performance Monitoring Tips• All training materials must be customized to reflect Caltrans

TO-BE business process and workflow

CD-20 At a minimum, the Technical Support Plan must include the following:• Approach to help desk services, including: responding to

incidents, service requests• Approach to software maintenance and enhancement• Approach to LCMS Support (e.g., web tools, knowledge bases,

customer forums)• Approach to release management and testing (i.e., testing,

tools, and distribution)• Approach to software release schedule for LCMS • Approach to system upgrades and patches (i.e., testing, tools,

and distribution)



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CD-21 At a minimum, the Software Maintenance Report must include the following:• Software updates provided• Malfunctions and issues reported• The Status of each, malfunction and issue reported including

the method of resolution

CD-22 System Maintenance and Operation Plan must include:• Approach to operating and maintaining the system

CD-23 Technical Support Training Materials must include:• Use of Screen snapshots • Step-by-Step Instructions• Key Word Index• Practical tips, hints, and shortcuts• Installation, configuration and maintenance of the application

software.

5.8. Warranty and Technical Support

One year of post-implementation warranty, software licensing and technical support. The warranty, software licensing and technical support will begin upon final system acceptance. The cost of two optional years of software licensing and technical support will be provided.

a. Contractor shall provide a 12 month Warranty with Maintenance and Technical Support at no additional cost to Caltrans. The warranty shall cover at least, defects in workmanship, design deficiencies, system bugs, updates, upgrades, and any declines in system performance, and shall also include such other services that are a part of the Contractor’s standard support and maintenance service contracts.

b. Contractor shall notify the Project Team of any system updates or upgrades and shall be available for installing the updates or upgrades. Updates and upgrades will be provided at no cost during the 12 month Warranty period.

1. “Update” means a release for the software containing error corrections and/or minor enhancements, in object code form, which is made commercially available by Contractor and generally indicated by a change in the revision number in the tenths or hundredths digit to the right of the decimal point (e.g., a change from version x.xx to x.xy or x.yx) and any corrections and updates to the associated documentation.

2. “Upgrade” indicates without limitation, enhancements, new releases, new versions of and other changes to the software. Upgrades may be indicated



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by a change in the revision number in the whole numbers to the left of the decimal point (e.g., a change from version 1.xx to 2.xx) or by a new, renamed or successor product if the Licensor includes most of the functionalities of the software into the new, renamed or successor product (regardless of whether other functionalities are added to or included in the new, renamed or successor product).

c. Contractor shall provide technical support to Caltrans during normal business hours Monday-Friday 6 am – 7 pm PST. Contractor will provide technical support in accordance with the terms and conditions of Table – Response Times below. Note: Standard support services are typically provided on a 24/7 basis, where response times are quicker during the business day.



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Table– Response Times

PrioritySeverity Level Description Characteristics of

SituationResponse Guarantee

1. Urgent / Critical – A severe incident or problem preventing Caltrans from performing critical business functions. A workaround is not possible. Examples include, but are not limited to, dataprocessing errors, production data corruption (data loss, data unavailable), production system crash and recovery efforts are failing, severe performance degradation, security flaw / breach, and production system and/or data is at high risk of potential loss or interruption.

• Productive Use Prohibited

• No Workaround Available

• Call will be returned within four (4) business hours of Caltrans leaving a message.

• Contractor onsite assistance is included, should remote efforts fail after 24 business hours.

2. Important– Caltrans is able to perform most functions, but certain functions or tasks cannot be performed. Workarounds are possible. Examples include, but are not limited to, production system has encountered a non-critical incident or problem, program errors have occurred but can be addressed by a temporary workaround, and program errors have occurred that do not crash the program.

• Primary Purpose Compromised

• Productive Use Impacted

• Workaround Generally Not Available

• Calls are returned within eight (8) business hours of Caltrans leaving a message.

• Contractor onsite assistance is included, should remote efforts fail after 24 business hours.

5.9. Work Location and Equipment

a. All onsite work performed by the Contractor must occur at Caltrans and Office of Technology Services (OTech) facilities in Sacramento, CA. Caltrans will provide the Contractor access to the work site during normal business hours, with a provision for increased access during critical project periods. Normal business hours are Monday through Friday, between 8:00 a.m. and 5:00 p.m., excluding State and Federal holidays.

b. The Contractor shall provide its own computers, equipment, software, and office supplies in support of this Contract. Caltrans will provide cubicle space for three (3) Contractor staff, network connections, and access to copy machines. All other items required in the performance of this Contract are the responsibility of the Contractor.



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c. Any State data that is stored on a Contractor’s moveable device must be encrypted using a State-approved encryption standard. The current State laptop encryption tool is Guardian Edge. Note: Moveable devices include laptops / notebook PCs, Blackberry’s, removable storage such as flash drives, etc.

d. For any machines that will be connected to the State’s network, the Contractor will be required to install the applicable software on the Contractors’ machines to ensure compliance and compatibility with the State’s standard operating environment.

e. Contractor staff that will be accessing the State network will be required to complete security forms acknowledging that they will comply with:

o Department of Transportation Information Security Policies

o Department of Transportation, IT Division, Software Management Plan

5.10.Project Management

The Contractor will provide the following project management services for the configuration and implementation of LCMS:

• Manage the efforts of the Contractor and subcontractor(s) staff and coordinate the Contractor activities with the Caltrans Project Manager (PM).

• Develop a final Project Management Plan. The Contractor’s project management methodology must meet the requirements of the California Technology Agency (CTA) California Project Management Methodology (CA-PMM) for a project of the size and complexity of LCMS.

• Participate in on-site weekly status meetings to discuss progress made and to coordinate activities with Caltrans staff and stakeholders during the next reporting period.

• The weekly status meetings must be attended by the Contractor Project Manager and any Contractor staff, as applicable, to be able to report project status to the Caltrans Project Manager.

• Prepare and submit written Monthly Status Reports that include a record of completion status of work plan activities, deliverables, and milestones as compared to the implementation schedule. Include a complete updated project schedule with each monthly status report. Prepare and submit biweekly updated project schedules if project delays are 10% or greater.

• The Contractor shall integrate its issue tracking process with State’s issue tracking process, to eliminate redundant tracking and reporting. The Contractor shall support and contribute to State’s issue tracking process to ensure all project issues are managed in a consolidated fashion by the State.

• The Contractor shall integrate its risk tracking process with the State’s risk tracking process, to eliminate redundant tracking and reporting. The Contractor shall support and contribute to the State’s risk tracking process to ensure all project risks are managed in a consolidated fashion by the State, in accordance with the CTA IT Project Oversight Framework and the California Project Management Methodology (CA-PMM).

• The Contractor shall report on the status, mitigation and retirement of risks in the monthly status reports.• The Contractor must define and follow a Project Change Control process for addressing non-system related

changes. Non-system changes might include changing the scope of a deliverable, changing the project’s baselined schedule, etc.

• The Contractor must integrate its Configuration Management Processes and System Change Control Processes with the State and OTech System Change Control Processes to be used to manage proposed changes and enhancements to the hardware, software and requirements in the production environment.

• The System Change Control Process must include steps for the State’s approval of the change, coordination of the implementation with State and OTech, testing of the change prior to installation in the production environment, and approval of the final change in the production environment by the State and OTech.



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• The Contractor shall report the status and resolution of proposed changes in the monthly status reports.• If requested by the State, the Contractor must develop status reports for the Steering Committee, and may

assist with presentation of the report to appropriate stakeholders, including the Steering Committee.

5.11.Business Process Redesign and Limited Fit/Gap Analysis

a. The contractor shall work with Caltrans Subject Matter Experts (SMEs) to review and update the current organization AS-IS business processes that will be impacted by the implementation of the LCMS.

b. The contractor shall create flowcharts and swim lane diagrams to document the AS-IS business processes, workflows, and relationships between activities and stakeholders.

c. The contractor shall work with Caltrans Subject Matter Experts (SMEs) to develop proposed and approved organization TO-BE business processes required for the implementation of the LCMS.

d. The contractor shall develop documentation for each process/activity, which at a minimum should include benefits/opportunities, pre and post implementation conditions, assumptions and target audience (stakeholders).

e. The contractor shall develop flowcharts (may include swim lane and workflow diagrams) which illustrate the High Level TO-BE relationships between business activities, inputs and outputs of each activity, the source or destination of each information flow, and the relationships between activities and stakeholders.

f. The Contractor shall perform a Fit/Gap Analysis between the proposed system, the AS-IS design and the High Level TO-BE Design to identify gaps and strategies for addressing the gaps.

g. The Contractor shall meet with the Caltrans PM to identify and discuss the proposed system configuration and the approach for addressing the gaps for LCMS. The Contractor will provide:

o A list of the configurable items that will be required to meet the LCMS requirements

o Proposed approach to resolving each of the gaps, including amount of Caltrans participation required to resolve the gaps and strategies for addressing the gaps.

o Suggested policies or procedures that must be created or changed.



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5.12.Configuration Services

The following requirements describe the services to be provided as part of requirements validation and configuration of LCMS. Caltrans staff must be included in the appropriate activities (as described below) to facilitate knowledge transfer:

a. The Contractor shall analyze the requirements.

b. The Contractor shall conduct requirements review sessions with Caltrans business and technical staff to elaborate and refine the requirements as defined in Section 6.

c. The results of the requirements analysis shall be documented in the System Requirements Specification. Upon approval by the State, the System Requirements Specification shall serve as the basis for system configuration, and all phases of testing for the release.

d. The System Requirements Specification shall be updated and delivered prior to beginning the configuration phase for each release.

e. The Contractor shall create and / or update the Interface Requirements Specifications for each interface based on the results of the analysis and validation.

f. The Contractor shall work with the Caltrans technical staff to refine and implement the LCMS architecture proposed by the Contractor in its bid, to ensure compliance with OTech and State standards and security policies.

g. The Contractor shall document the configuration management process for establishing and maintaining consistency of a product’s performance and functional and physical attributes with its requirements, and design.

h. The Contractor shall perform all necessary activities to configure LCMS to meet the requirements.

i. The Contractor shall conduct design walkthroughs of the system configuration and documentation (including interfaces and reports) with Caltrans business and technical staff.

5.13.Project Schedule and Work Breakdown Structure

The Contractor will be responsible for the development and maintenance of an overall project schedule and a detailed work breakdown structure that must include, but is not limited to, the identification and definition of all project tasks and the respective duration of tasks, dependencies of tasks, milestones, and responsible party (e.g., Application Developer, Caltrans). The Contractor is also responsible for identifying within the Project Schedule all deliverables to be produced. The Contractor must provide the project Schedule using Microsoft Project 2007. Throughout the project, the Project Schedule must be updated accordingly identifying uncompleted and completed tasks.



April 22, 2013

5.14.Staffing Changes

a. Caltrans recognizes that changes to proposed staff persons identified in the Contractor’s bid may occur. The Contractor may substitute staff personnel at the time of contract award who are different from those offered at the time of bid submission only if such substitute personnel have equivalent skills and experience. Such skills must be identified on a Project Team Resume Summary sheet (Attachment 4 in this RFQ) and the staff's resume must be submitted to Caltransfor approval prior to the start date for such personnel. If the Contractor must substitute any of the Project Team, the Contractor must submit to Caltrans Project Manager (PM) in writing, the reason for the change and provide a completed Project Team Resume Summary and resume for the substitute personnel. Caltrans will either approve or reject the substitution. If the Contractor is unable to provide a suitable substitution within five (5) State business days, Caltrans reserves the right to consider the Contractor in default.

b. Caltrans recognizes that a proposed team member may not be available to the Contractor after the start of a project. Caltrans reserves the right to approve or reject all replacement project team members assigned by the Contractor to this project. The Contractor will not be allowed extra time or money to replace personnel. Caltrans’ approval for Contractor staff replacement will be considered at Caltrans’ discretion. The replacement project team member must possess the same or a higher level of technical expertise and/or experience than the original staff person leaving the project. The Contractor must notify Caltrans’ PM of personnel vacancies and provide resumes of replacement staff as support for the Contractor’s compliance with this provision. Such notification and proposed staff replacement must be furnished to Caltrans’ PM within fifteen (15) State business days of the first known absence or loss of the original person. Caltrans reserves the right to require replacement of Contractor staff on an individual basis by giving the Contractor ten (10) business day’s written notice.

c. It is the intention of the LCMS project that two-way communication and knowledge transfer occurs throughout the project between Caltrans and the Contractor.

d. Absence of Caltrans’ PM – The Caltrans PM will designate a temporary replacement in the event the Caltrans PM is unavailable for an extended period. That person will have full authority to carry out the management of this project.

e. Access to Contractor and Subcontractor Personnel – The Caltrans PM shall have direct access to all Contractor personnel assigned to the awarded Agreement, including subcontractors, to discuss any issues related to Tasks and Deliverables.



April 22, 2013

5.15.Testing Strategy

The Contractor will coordinate with Caltrans to install, configure, and load the test environments with the appropriate test tools and test scenarios to support testing of the Contractor’s System. The test environment must be configured to simulate the production environment and must be accessible from the Caltrans Headquarters and each of the Caltrans Districts. The Contractor shall be responsible for operating, managing, and maintaining the configuration of the test environments, including any tools or third-party software in the environments. The test environments must be configured such that the system interfaces are operational in the test environments.

Testing will include the following:

• Test Planning and Execution• Functional Testing• Integration Testing• Performance Testing• ADA Testing• System Security Testing• Regression Testing• User Acceptance Testing

Refer to Table 1 – Contract Deliverable List and Due Dates, Table 2 - Contract Deliverable Descriptions, and Section 6 Functional, Technical and Service Requirements.

5.16.Implementation Approach

In order to ensure the smooth implementation of LCMS, the Contractor must define a structured implementation approach. The goals of the implementation approach must be to reduce project risk, minimize operational disruption, and provide for the successful implementation of the LCMS components.

5.17.Training

The Contractor will coordinate with Caltrans to install, configure, and load the training environments with the appropriate training materials, data, and scenarios to support all training classes. The Contractor shall be responsible for operating, managing and maintaining the configuration of the training environments, including any tools or third-party software. The training environments must be configured such that the system interfaces are operational in the training environments. The Contractor must ensure the training environment is configured for students to participate in “Hands On “trainingsession.

The Contractor shall develop and conduct three (3) training courses: End User, System Administration and IT Technical training. The Contractor may propose additional



April 22, 2013

courses on additional topics, as appropriate to their system. The classes shall be located at a Caltrans facility and shall be instructor taught. Caltrans shall provide training facilities at each of the four legal offices: Sacramento, San Francisco, Los Angeles and San Diego. The training facilities shall be equipped with desktop and/or laptop computers. The class size shall be limited to 15 to 20 students per session. The training classes will vary in size according to the District training room capacities. Caltrans district and headquarters training room location, capacities and total users to be trained are listed in Tables 3 and 4 below:

Table 3 – LCMS Training Logistics

District Location Training Room

Capacity with CPU

Training Room

Capacity without

CPU

Wi-Fi Access

Projectors

HQ 1616 29th StreetSacramento, CA

19 Yes Yes

HQ 1727 30th StreetSacramento, CA

17 Yes Yes

HQ 1500 5th StreetSacramento, CA Shasta Room

15 Yes Yes

HQ Sunset Room 25 Yes YesHQ Sunrise Room 30 Yes Yes

San Francisco(District 4)

111 W Grand Avenue

Oakland, CA

21 Yes Yes

Los Angeles(District 7)

100 S Main StreetLos Angeles, CA

13 Yes Yes

San Diego(District 11)

4050 Taylor StreetSan Diego, CA

13 Yes Yes


4050 Taylor StreetSan Diego, CAWallace Room

33 Yes Yes



April 22, 2013

Table 4 – Training Locations and Number of Users to be Trained

District End User Training System Administrator

Training

Technical Support Training

Sacramento(HQ)

91 7 3

San Francisco(District 4)

55 8 2

Los Angeles(District 7)

79 8 3


39 5 2

The Contractor will be responsible for designing a training program and providing training to Caltrans’ staff. Refer to Table 1 – Contract Deliverable List and Due Dates, Table 2 - Contract Deliverable Descriptions, and Section 6 Functional, Technical and Service Requirements.

5.18. System Documentation

All product and system documentation must be delivered in hard copy and on CD-ROM. The documentation must clearly and thoroughly describe the use and maintenance of the products.

The Contractor must develop Interface Design Documentation, Logical and Physical Network and System Diagrams, and System Administration and End User manuals and submit to the Caltrans PM for approval. The Contractor is responsible for maintaining and updating this documentation, as necessary through the term of the Agreement, to reflect any changes made to the system.

5.19.Ten Percent (10%) Withhold

In accordance with Public Contract Code Section 12112 (a), the State will withhold ten percent (10%) from each progress payment until final system acceptance. The Cost Workbook, lists the maximum percentages to be paid for each of the deliverable payment milestones. The Contractor may invoice for payments after completion of the specified deliverable and written acceptance of the deliverable by the Caltrans PM. The ten percent (10%) withhold will apply to all payments made to the Contractor up to and including final system acceptance. The Contractor may invoice for payment of the withheld 10% upon receipt of written final system acceptance from Caltrans.



April 22, 2013

5.20.Unanticipated Tasks

In the event of unanticipated tasks, (during the term of the contract or the extension option for one 1 year or portion thereof) the State will prepare a Work Authorization to direct the Contractor to perform the additional tasks. Any additional services within the scope of the Statement of Work will be authorized by a Work Authorization (WA) using the format set forth in the IT Personal Services Special Provisions, which may be accessed at:

http://www.pd.dgs.ca.gov/modellang/itpers.htm.

The unanticipated tasks shall be paid on a time and materials basis using the labor rate specified by the Cost Workbook. The Caltrans PM must review and approve the estimated hours and costs for any unanticipated tasks and the contract must be amended to incorporate the approved work authorization, additional costs and /or time extension as needed, prior to the Contractor beginning work on the item. No work shall start until the Contract amendment is approved by the Department of General Services (DGS).

The Contractor may invoice for work authorizations following completion and written acceptance of each work authorization by the Caltrans PM. Payment terms will be described in the specific work authorization. Payment for unanticipated tasks will be made only upon acceptance of the completed work.

5.21.Staff Availability and Replacement

The Contractor must commit to the continuing availability of the Key Personnel, to the extent of the Contractor’s control, for the duration of the project or for their proposed period of involvement (as defined in the Caltrans-approved Project Schedule). If personnel proposed by the Contractor become unable to participate in this project at any time, they must be replaced with comparably qualified personnel who meet the minimum qualifications as stated in Section 6. The Contractor may request changes to personnel (either replacement or additional personnel) by submitting a written request to the Caltrans PM. The request must include customer references and a current résumé for each replacement personnel. The State may, at its sole discretion, request additional information to substantiate whether the replacement personnel are in compliance with the RFQ requirements. Within ten (10) State business days after receipt of the request or additional information, the Caltrans PM will respond, in writing, indicating approval or rejection of the replacement personnel. Replacement personnel must be approved in writing by the Caltrans PM before beginning work on the project.If any of the proposed replacement personnel are rejected and a qualified replacement is not provided, the Contractor will be in default of the Agreement. The State shall not compensate the Contractor for any time or effort required to prepare a new staff member for work on the project.

The State, for cause, reserves the right to require the Contractor to replace any assigned staff at any time. The State will notify the Contractor in writing when exercising



April 22, 2013

that right, providing the Contractor with the cause. The Contractor, no later than 14 calendar days of such notification, shall provide a replacement candidate that meets or exceeds the requirements as defined in Section 6.

5.22.Amendments

Consistent with the terms and conditions of the original solicitation, and upon mutual consent, Caltrans and the Contractor may execute written amendments to this Agreement to incorporate modifications made to the scope of work, term of the contract, and/or Contract Cost, at the discretion of the State. A Contract amendment is not valid until it is approved by the Department of General Services.

5.23.Termination

Caltrans may terminate this Agreement at any time, by giving written notice to the Contractor at least 30 calendar days prior to the date when such termination shall become effective.

5.24.Budget Detail and Provisions

For services satisfactorily rendered, and upon receipt and approval of a valid invoice, Caltrans agrees to compensate the Contractor for work performed in accordance with the rates and amounts specified in the Contractor’s Cost Worksheet and made a part of this Agreement. Payment will be authorized upon satisfactory completion of all work, as determined by Caltrans.

Invoices shall reference the Agreement number, and provide a breakdown and explanation of all charges. Invoices shall be submitted, in triplicate, not more frequently than monthly to:

Department of Transportation1120 N Street, MS # 20

Attention: Katrina N. BarnesSacramento, CA 95814

The maximum amount of this Agreement shall not exceed the amount identified on the face of the STD. 213IT, and there is no obligation on the part of Caltrans to utilize the entire amount. The Contractor assumes all expenses for travel and per diem, and shall not bill Caltrans outside of the costs stated Cost Workbook.

5.25.Budget Contingency Clause

This Agreement is valid and enforceable only if:

1. Sufficient funds are made available by the State Budget Act of the appropriate State Fiscal Year(s) covered by this Agreement for the purposes of this program; and

2. If funding for any fiscal year(s) is reduced or deleted by the State Budget Act for purposes of this program, the State shall have the option to either cancel this



April 22, 2013

Agreement with no liability occurring to the State, or offer an amendment to the Contractor to reflect the reduced amount.

Payment will be made in accordance with the provisions of the California Prompt Payment Act, Government Code section 927 et seq.



April 22, 2013

5.26.Privacy, Security and Confidentiality

a. All data contained in the LCMS is the property of the State of California, and may not be used for any other purpose except as directed by Caltrans. The LCMS will enforce through policy and technical means the privacy, integrity and confidentiality of information in the LCMS. Consistent with State and Federal regulations concerning the confidentiality and privacy of data, the TSMSS will minimally becompliant with:

3. NIST SP 800-122, GUIDE TO PROTECTING THE CONFIDENTIALITY OF PERSONALLY IDENTIFIABLE INFORMATION (PII)

4. California Civil Code 1798.29 et al,5. Policies and practices prescribed by the California Office of Privacy Protection

(http://www.privacyprotection.ca.gov/privacy_laws.htm)

b. The LCMS will be designed to address specified information security requirements with a focus on minimization of risks associated with the potential misuse, loss or destruction of data. The LCMS must be configured to allow for role based security access to the application, limited system administrator account access, and restricted Contractor access to the application and data. Specific security levels will include database level, case level, user level, document level, email level and web access level security.

c. Security incidents will be reported to Caltrans’ Contract Manager immediately upon discovery. A security incident is an event which results in unauthorized access, loss, disclosure, modification or destruction of Caltrans information resources whether accidental or deliberate.

d. During the terms of this contract, the Contractor shall abide by all Department security regulations and requirements while working on the Department’s premises and shall utilize all procedural requirements set forth by the Department to prevent unauthorized use or disclosure of the Department’s data.

e. The Contractor’s workstation or laptop shall, at all times, be updated with the currently released security patches and run Anti-Virus software that utilizes the most up-to-date Engine and DAT files.

f. As needed, the Department will provide the Contractor with access to its facilities, which includes necessary on-site hardware, software, and remote access. The Contractor will be required to review and agree to and abide by all pertinent Department policies before network access can be granted.

g. Contractor shall not copyright, sell, promote or use any Department property including software or documentation without written permission by the Department.

h. The Contractor will sign all confidentiality/privacy/security/conflict of interest and other necessary agreements as required to successfully provide the products described by this Contract. This Contract, when signed by a Department Contract Officer, authorizes the Department to bind all Contractor employees and any Contractor-authorized subcontractor and their employees.

Bid # RFQ- RFQ- DOT-2009-31LCMS

SECTION 6 Functional, Technical and Service RequirementsPage 1 of 101

April 22, 2013

6. Bidder’s Instructions for the Functional, Technical, and Service Requirement Forms

The Bidder's response to the requirements to the Functional and Technical Requirement Forms must be in the order and format provided.

Requirement Identifier (Req. ID): Each requirement has a unique number. Bidders may not alter requirement numbers.

Requirement Description: This column is populated with the description of each requirement. Bidders may not alter requirement descriptions. Requirements identified with “must” are required and requirements identified with “should” are optional. Requirements identified with “must’ must be available either when the system goes live or upon a mutually agreed to time frame for full implementation.

Supporting Literature of Documentation Reference: Bidders must indicate in their response (volume number, page number(s), or section(s)) where documentation can be found to substantiate the bidders response. Documentation must be complete and in sufficient detail for the evaluation team to confirm that the requirement will be met.

Functional and Technical Requirement Evaluation Criteria Table: A “N” code for any requirement identified with a “must” may result in the quote being found nonresponsive and the quote may be rejected. The Bidder must place an “X” to the right to each requirement in the column that indicates the code (defined below) that most appropriately describes how the vendor plans to meet that functional or technical requirement.

Code Description

F The requirement is fully met by pre-existing software. The functional component can be met “out of the box”. 5 points.

M The requirement will be met by modifying an existing product or integrating multiple products. The product’s code must be modified to meet the requirement. 4 points.

C The requirement will be met through development of custom (new) code. 3 points.

S The requirement will be met by using a supporting product that will address all aspects of this requirement. No modification of the supporting product’s code is necessary to meet the requirement. 1 point.

N None of the other columns listed above apply to Respondent’s solution. 0 Points.

State Evaluator Use:

This field is for State use and must not be used or altered by Bidders.



April 22, 2013

6.1 Functional Requirements Response Form

The Functional Requirements are organized into seven (7) legal case management business functions.

They are:

a. Administrative/Supervisory Actions (AS);

b. Calendaring (C);

c. Document Assembly (DA);

d. Data Capture (DC);

e. Data Validation (DV);

f. General Configuration (GC); and

g. Reporting and Querying (RQ)



April 22, 2013

ReqID

Functional Requirement Description

Supporting Literature or Documentati

on Reference

F M C S N State Evaluator UseScore

Administrative/Supervisory Actions

AS-01

The system must capture all action requests needing Supervisory approval by “Supervisor”. This list must contain a field for the requestors’ name, office name, action required and a description of the action.

AS-03

The system must provide the ability to add and modify new and existing staff member information including name, contact information, work hours, emergency contacts, confidential information such as home address and vehicle license.

AS-04

The system shouldprovide an administrative feature that will allow staff to transfer financial information from one reporting code to another.



April 22, 2013

ReqID


Supporting Literature or Documentat

ion Reference


AS-05

The system should allow for supervisors to access their employees’ calendar.

Calendaring

C-01

The system should manage date events using a calendar capable of displaying an annual, month, week, or daily view.

C-02

The system must provide the ability to receive Calendaring Rule, Federal, State and Local updates.

C-03

The system should import calendar entries from personal calendars in Caltrans E-mail System, MicrosoftExchange/Outlook.

C-04

The system should provide system-generated reminders for deadlines, schedules and follow-ups.

C-05

The system should be able to send email notification of appointment changes to responsible parties.



April 22, 2013

ReqID



ion Reference


C-06

The system should be able to synchronize docket events withCaltrans current E-mail System calendars MicrosoftExchange/Outlook.

C-07

The system must be able to manually override calendar items/activities scheduled by the system.

C-08

The system should integrate with the Caltrans calendaring system, Microsoft Exchange/Outlook.

C-09

The system should provide access to legal employee calendars to determine availability.

C-10

The system must provide the ability to add new or updated rules.

C-11

The system must be able to display due dates for legal matter activities on the calendar.



April 22, 2013

ReqID



ion Reference


C-12

The system must be able to capture case specific calendaring to include but not limited to the settlement conference date, mandatory settlement conference, case management, and conference and trial date. These fields mustbe populated automatically by the new calendar program.

C-13

The system must be able to display various calendar views: The day by the hour, the work week by the day, and a month view.

C-14

The system should sync with Caltrans calendaring system, currently MicrosoftExchange/Outlook.



April 22, 2013

ReqID



on Reference


Document Assembly

DA-01

The system shouldidentify appropriate documents to be created in conjunction with specific events.

DA-02

The system shouldgenerate user-requested electronic letters, memos, etc. using existing case/matter data to populate standardized and custom designed templates.

DA-03

The system shouldprovide document templates with drag and drop fields.

DA-04

The system shouldgenerate a Pleading/Testimony Docket Sheet (Summary of all activities in a case).



April 22, 2013

ReqID



on Reference


DA-06

The system should create contracts and court-ready documents including judicial council and legal solution forms by pulling data from database to populate fields in standardized and custom designed templates.

DA-07

The system should be able to generate, update and track complex contracts for expert witnesses and other external litigation support services

DA-08

The system shouldprovide the ability to create and modify custom forms and templates.

DA-09

The system should be able to index legal pleading documents.



April 22, 2013

ReqID



on Reference


DA-10

The system should store and search relevant documents such as resumes, corporate records, news articles, awards, press releases, and credit reports.

DA-11

The system shouldprovide a link or button that will lead to all data and/or files related to a specific/selected case.

DA-12

The system should create file labels.

DA-13

The system should be able to assign and print bar code labels.

DA-14

The system should provide the ability to automatically convert documents to a PDF format.



April 22, 2013

ReqID



on Reference


DA-15

The system shouldprovide the ability to track documents, store, index, and query/search documents.

DA-16

The system must provide a configurable data export function to export any LCMS data to the following industry standard formats: CSV, PDF, XML, DOC, and XLS.

DA-17

The system should create mailing lists.

Data Capture

DC-01

The system must capture data for all “Legal Matter Types”. There must be “top level” designators that encompass litigation and non-litigation matter types. The top level designators are:



April 22, 2013

ReqID



on Reference


• Litigation• Potential Litigation• House Counsel• Document Review• Transactional• Administrative

The top level designators, with the exception of Administrative, include sub-matter types. For example, a new tort lawsuit would be opened at the top level as a “Litigation” matter, with a “Tort” sub-matter type.

The system must allow new sub-matter types to be added/deleted in the future by authorized users. The following is the initial list of top level designators and their sub-matter types:

Litigation• Tort• Motor Vehicle• Contract



April 22, 2013

ReqID



on Reference


• Eminent Domain• Inverse

Condemnation• Reverse Eminent

Domain• Quiet Title• Other Real Property• Environmental• Labor Compliance• Stop Notice• Personnel Actions• Personnel Litigation• Outdoor Advertising • Aeronautics• Unlawful Detainer• CPRA Writ• Miscellaneous

Litigation

Potential Litigation• Tort• Motor Vehicle• Contract• Eminent Domain• Inverse

Condemnation• Reverse Eminent

Domain• Quiet Title



April 22, 2013

ReqID



on Reference


• Other Real Property• Environmental• Labor Compliance• Stop Notice• Personnel Actions• Personnel Litigation• Outdoor Advertising • Aeronautics• Unlawful Detainer• CPRA Writ• Miscellaneous

Litigation

Document Review• A & E Contract• Construction

Contract• Consultant Contract• Cooperative

Agreement• Cost Share

Agreement• CRP• Director’s Deed• Emergency Contract• Federal Agreement• Income Agreement• Interagency

Agreement



April 22, 2013

ReqID



on Reference


• Intergovernmental Agreement

• Information Technology

• Maintenance Agreement

• MSA Agreement• Environmental –

NEPA Delegation• Environmental –

CEQA• Environmental –

Miscellaneous• Out of State UC

Agreement• Out of State

Agreement• Public Works• Revenue Agreement• RFQ Scope of Work

Review• Service Contract• Sheltered Workshop

Agreement• Solicitation for

Contract• SOW• Technical Agreement• Training • Training Agreement



April 22, 2013

ReqID



on Reference


• UC Agreement• Design Exception• Resolution of

Necessity Package• Proposed Legislation• Miscellaneous

Document Review

House Counsel• Real Property• Tort• Environmental• Maintenance• Personnel• Construction• CPRA• Request for Legal

Opinion• Miscellaneous House

Counsel• Request for Legal

Opinion

Transactional• A & E Contract• Construction

Contract• Consultant Contract• Cooperative



April 22, 2013

ReqID



on Reference


Agreement• Cost Share

Agreement• CRP• Director’s Deed• Emergency Contract• Federal Agreement• Income Agreement• Interagency

Agreement• Intergovernmental

Agreement• Information

Technology• Maintenance

Agreement• MSA Agreement• Environmental –

NEPA Delegation• Environmental –

CEQA• Environmental –

Miscellaneous• Out of State UC

Agreement• Out of State

Agreement• Public Works• Revenue Agreement• RFQ Scope of Work



April 22, 2013

ReqID



on Reference


Review• Service Contract• Sheltered Workshop

Agreement• Solicitation for

Contract• SOW• Technical Agreement• Training • Training Agreement• UC Agreement• Design Exception• Resolution of

Necessity Package• Proposed Legislation• Miscellaneous

Document Review

Administrative

DC-02

The system mustcapture, store and manage basic legal matter identification information such as case names, court case numbers, etc.



April 22, 2013

ReqID



on Reference


DC-03

The system shouldcapture legal matter incident or property identification information.

DC-04

The system shouldcapture legal matter resolution type and date including status dates and comments. The system must provide a link to the resolution document (i.e., settlement, dismissal, and judgment).



April 22, 2013

ReqID


Supporting Literature

or Documentat

ion Reference


DC-05

The system must capture contact information for all legal matter participants.

DC-06

The system shouldcapture all incident location information including property, roadway type, location description, and geometrics and Caltrans jurisdiction.

DC-07

The system shouldcapture legal matter reporting and accounting code information (e.g., unit, project, reporting code, activity)

DC-08

The system shouldcapture accident description data including number and types of vehicles, number of injured, types of injuries sustained and lighting conditions.

DC-09The system shouldcapture potential case



April 22, 2013

ReqID



or Documentat

ion Reference


data including employee negligence, safety appurtenances, sign/signal defects, weather, roadside surface, obstacle or delineation, and design.

DC-10

The system shouldcapture proceeding type: licensing, noise, state mandate and violation of mandatory duty for aeronautics legal matters.

DC-11

The system shouldcapture outdoor advertising complaintinformation.

DC-12

The system shouldcapture real property issues including complaints and defenses.

DC-13

The system shouldcapture action results from higher court mandamus.



April 22, 2013

ReqID



or Documentat

ion Reference


DC-14

The system must capture court filing data.

DC-15

The system shouldcapture eminent domain related data including description, zoning, improvements, and size of parcel.

DC-16

The system shouldcapture eminent domain appraisal information including the state and owner's appraisals data.

DC-17

The system shouldcapture eminent domain witness information including the state and owner's witness data.

DC-18

The system shouldcapture eminent domain jury verdict/stipulated judgment information.



April 22, 2013

ReqID



or Documentat

ion Reference


DC-19

The system shouldcapture eminent domain cost information including statutory interest, owner's attorney's fees, and sanctions.

DC-20

The system shouldcapture eminent domain property exchange information including date of exchange and possession.

DC-21

The system shouldcapture eminent domain trial information including jury trial indicator, trial begin and end dates, state and owner attorney names.

DC-22

The system shouldcapture the reason for the difference between the state's appraisal and the settlement agreement.

DC-23

The system shouldcapture the factual account (narrative) of the trial and major issues.



April 22, 2013

ReqID



or Documentat

ion Reference


DC-24

The system must capture and display economic information pertaining to all legal matters including, amount sought, exposure, sanctions, outside attorney fees.

DC-25

The system shouldcapture any grounds or reasons for a new trial.

DC-26

The system shouldcapture parcel possession information.

DC-27

The system shouldcapture inverse condemnation information including property complaint andtype of injury data.

DC-28

The system shouldcapture stop notice data including date filed, amount withheld, bond release amount, and case notes.



April 22, 2013

ReqID



or Documentat

ion Reference


DC-29

The system shouldcapture contract stop notice data including contract number,claimant, case status, and attorney.

DC-30

The system shouldcapture personnel action information including case type and causes for discipline.

DC-31

The system shouldcapture employment litigation information including cause of action, type of damage, and basis of discrimination.

DC-32

The system shouldcapture exposure information including amount sought, initial demand/prayer, current demand, settlement authorized, statutory/final offer.



April 22, 2013

ReqID



or Documentat

ion Reference


DC-33

The system shouldcapture resolution information including date of resolution, amount paid, sanctions, attorney's fees, amount recovered.

DC-34

The system shouldcapture performance data including comments, fiscal year, and quarter for all case types.

DC-35

The system shouldcapture exposure data for eminent domain legal matters including amount in controversy information such as state's independent and ownerappraiser data, state and owner valuation testimony, reserve/exposure amount, deposit, final offer and final demand.



April 22, 2013

ReqID



or Documentat

ion Reference


DC-36

The system shouldcapture exposure data for eminent domain legal matters including amount paid, sanctions, interest, cost, fees, and stipulated judgment/right of way contract.

DC-37

The system shouldcapture/import legal matter expense information for Caltrans staff and invoice expenses. (AMS Advantage interface validation requires more details once the vendor is on board.)

DC-38

The system shouldcapture appeal information including description, appellate court, number, appeal date, appellant, and respondent.



April 22, 2013

ReqID



or Documentat

ion Reference


DC-39

The system shouldcapture freeform log entries; cumulative with newest entries on top.

DC-40

The system shouldcapture document registry data including document date, date received, entered by, addressee and from information.

DC-41

The system shouldcapture deposition registry data including notice date, date received, entered by, depo date, time, and deponent information.

DC-42

The system shouldcapture invoice registry data including entered by, date received, invoice date, invoice number, invoice amount, and payee information.



April 22, 2013

ReqID



or Documentat

ion Reference


DC-43

The system shouldcapture, store and manage case/matter information including but not limited to Public Liability cases, Real Property cases, Contracts, Environmental matters, Transportation cases.

DC-44

The system shouldcapture outside counsel information including name, bar #, firm, andcontact information.

DC-45

The system shouldcapture litigation service information including basic information such as name, contact data, expertise, and comments.

DC-46

The system shouldcapture litigation service evaluation information.



April 22, 2013

ReqID



or Documentat

ion Reference


DC-47

The system shouldcapture litigation service employee information including name, title, hourly rate, level of education, and contact data.

DC-48

The system should be able to capture litigation service contract information including contract number, case name, lead attorney, case status, contract amount, total billed to date, start date, and end date.

DC-49

The system shouldcapture expert contract information including basic information such as name, contact data, expertise, and comments.

DC-50

The system should be able to capture expert contract evaluation information.



April 22, 2013

ReqID



or Documentat

ion Reference


DC-51

The system shouldcapture expert contract employee information including name, title, hourly rate, level of education, and contact data.

DC-52

The system should be able to capture expert contract information including contract number, case name, lead attorney, case status, contract amount, and total billed to date.

DC-53

The system shouldcapture expert contract employees used information including names, duties, titles, rates and contact data.

DC-54

The system should be able to capture claims data related to Government Code S.935.7 program claimant information, type of claim.



April 22, 2013

ReqID



or Documentat

ion Reference


DC-55

The system should be able to capture claims data related to Government Code S.935.7, a check box must be added to capture the claims choices.

DC-56

The system should be able to capture monthly totals for claims amounts paid by 12 different districts statewide.

DC-57

The system should allow limited access into the system for claims offices in each district.

DC-58

The system must capture government claim identifying information including claim number, type, amount, and date.

DC-59

The system shouldcapture government claim incident information including date of incident, location, district, county,



April 22, 2013

ReqID



or Documentat

ion Reference


route, post mile, recommendation, recommendation date, classification, and remarks.

DC-60

The system shouldcapture government claim routing information including release to claimant date, release returned date, date payment package sent to accounting, date check sent to claimant, and check number.

DC-61

The system shouldcapture government claim board decision information including case name, court number, close date, attorney, denial date,amount allowed, surcharge, and total.



April 22, 2013

ReqID



or Documentat

ion Reference


DC-62

The system must be able to capture costs by Project Code (reporting code and sub-reporting code).

DC-63

All data that is captured in the system should be searchable.

DC-64

The system shouldcalculate attorney review time on legal documents (including re-review time) with watch entry capture separately.

DC-65

The system shouldrecord the "closed date" when the status of the matter is closed: the default to be current date with the ability to manually override.

DC-66

The system shouldprovide the capability to add contract information to the stop notice claim including contract number, prime contractor,



April 22, 2013

ReqID



or Documentat

ion Reference


date of acceptance, amount withheld, total amount of all claims.

DC-67

The system shouldprovide the ability to identify potential duplicate legal matters and alert the user with a pop-up message by same case name, case type, location and date of case.

DC-68

The system shouldprovide the capability to add additional information to the stop claim notice including name of claimant, amount of claim, date of stop notice, and release bond amount.



April 22, 2013

ReqID



on Reference


Data Validation

DV-01

The system should verify specified fields contain valid values before the "legal matter" can be closed.

DV-02

The system shouldprovide data validation capability based upon defined business rules.For example: Ensure all required information is entered into the system when a case or other matter is created. The intent is the tool will not allow the user to save the entry unless the entry has all of the required information. This applies to opening, editing, managing, and closing a case.

DV-03

The system should provide data validation capability based upon type of data stored in field. For example, date filed must only contain



April 22, 2013

ReqID



on Reference


dates and number field must only contain numbers

DV-04

The system should return data to its previous state if an update process fails prior to completion.

General Configuration

GC-01

The system should allow authorized users to change the department role. The type of roles include: Plaintiff, Defendant, Cross Defendant, Cross Complainant, Interested Party, Respondent, Petitioner and Amicus.

GC-02

The system shouldprovide customized views by legal matter type.



April 22, 2013

ReqID



on Reference


GC-03

The system shouldgenerate a Pleading/Testimony Docket Sheet (Summary of all activities in a case).

GC-04

The system shouldprovide the ability to cross-reference from the claim to the lawsuit.

GC-05

The system shouldmaintain a complete history of attorney/judge "legal matter" assignments.

GC-06

The system should track the document review process.

GC-07

The system should track government claims based on selection criteria including claimant, claim type, board of control number, classification, district, county, route, post-mile, date of entry, legal office, incident date,



April 22, 2013

ReqID



on Reference


close date, amount allowed.

GC-08

The system should have the ability to add, customize or modify field labels.

GC-09

The system must be able to assign, re-assign, and track a legal matter that is assigned to a specific attorney or staff.

GC-10

The system must be able to assign a list of participants to a legal matter.

GC-11

The system shoulddisplay the project manual list. This list mustinclude an assigned number, worked performed, customer and project number.



April 22, 2013

ReqID



on Reference


GC-12

The system should allow edits to the project manual.

GC-13

The system mustautomatically assign unique sequential "legal matter identifiers".

GC-14

The system must provide the ability to cross-reference the main matter information by individuals, attorney, case, and related matters.

GC-15

The system shouldupdate the Legal's organizational and individual user names (division, branch, etc). (When reorganization occurs, the new name replaces the old name in the database for open matters).



April 22, 2013

ReqID



on Reference


GC-16

The system should create client-specific checklists and procedures.

GC-17

The system shouldupdate the referral indicator when referral activity is entered in a "legal matter" record.

GC-18

The system must be able to create, track and maintain a legal employees’ schedule.

GC-19

The system should be able to integrate with bar coding system software to “track” the status of contract reviews and the person(s) who is/are reviewing the contract.



April 22, 2013

ReqID



on Reference


Reporting and Querying

RQ-01

The system must provide the ability to search for pending government claims using search criteria.

RQ-02

The system must display a list of all active/inactive cases.

RQ-03

The system must display selected active/inactive cases found through search parameters.

RQ-04

The system shoulddisplay a list of all active/inactive cases assigned to or by a selected person.

RQ-05

The system should export query results to various printable formats, such as MS Excel, PDF., etc.



April 22, 2013

ReqID



on Reference


RQ-06

The system shouldprovide the ability for users to select specific data to be displayed and specify the sort order on multiple data items within a report.

RQ-07

The system shouldprovide the ability to display a list or view of"legal matter" activity by a range of defined criteria (due date, date range, activity, etc).

RQ-08

The system should be able to display views of a case, sorted by each of the following:AttorneyCase typeCase StatusComplexity LevelPriorityLegal Office

RQ-09

The system should be able to display a list or view of all cases that have upcoming relevant dates calendared, sortable by case name,



April 22, 2013

ReqID



on Reference


case number, or by attorney (with upcoming being defined as "within a month of current date"). List or view will display case number, case name, case type, case status, attorney name, calendared date, and calendared date description.

RQ-10

The system should be able to display a list or view of case staff charges, by individual staff and by division. List or view will display staff name, office location, reporting code, case name, case number, hourly rate, journal labor hours, and journal posting amount.

RQ-11

The system should be able to display a list or view of all Attorneys for a give case, unsorted.



April 22, 2013

ReqID



on Reference


RQ-12

The system should be able to display a list or view of all Attorneys for a given case, sorted by party counsel.

RQ-13

The system should be able to display a list or view of all Insurers for a given case.

RQ-14

The system must be able to display a list or view of all active cases assigned to a particular attorney. List or view will also display total number of cases found.

RQ-15

The system must be able to display a list or view of all inactive cases assigned to a particular attorney. List or view will also display total number of cases found.

RQ-16

The system should be able to display a list or view of all cases currently



April 22, 2013

ReqID



on Reference


in active arbitration. List or view will display the case name, case number, date filed, office location, arbitrator judge, lead attorney. The total number of cases found will also be displayed.

RQ-17

The system should be able to display a list or view of all cases of case type Eminent Domain. List or view will display case name, case number, date filed, case description, lead attorney, office location, and case status. The total number of cases found will also be displayed.

RQ-18

The system should be able to display a list or view of all cases of case type Inverse Condemnation. List or view will display case name, case number, date filed, case description, lead attorney, office location, and case status.



April 22, 2013

ReqID



on Reference


The total number of cases found will also bedisplayed.

RQ-19

The system should be able to display a list or view of all cases that have been marked as a "Significant Matter". List or view will display case name, case number, date filed, case description, lead attorney, office location, and case status. The total number of cases found will also be displayed.

RQ-20

The system should be able to display a list or view of all cases of case type Tort, within a given date range, entered by the user. List or view will display case name, case status, reporting code, district, activity code, date opened, date closed, area type, and highway



April 22, 2013

ReqID



on Reference


type. The total number of cases found will also be displayed.

RQ-21

The contractor shoulddevelop and create a “Chief Counsel” Report. The report must include the total number of active cases, total number of cases with no data for both exposure and prayer, and total exposure form active cases. The report must also include the number of all cases per district, the total number of case types per district, running totals of Exposure per case type per district.

RQ-22

The system should be able to display a list or view of all cases within a certain district. Districts 1 through 12 will be selectable from a drop-down box. List or view



April 22, 2013

ReqID



on Reference


will display the district number, case name, case description, case type, and exposure.

RQ-23

The contractor shoulddevelop and create a “Deputy Chief” Report. The report must contain a pull down feature which lists the office locations: Sacramento, San Francisco, Los Angeles or San Diego. The report will display the total number of active cases,total exposure, and total number of cases with no data for exposure or prayer, per office location. The report will also list all the attorneys in the office location, their total number of cases,total exposure, and total number of cases with no data. Report will also display amount of cases, exposure, and number of



April 22, 2013

ReqID



on Reference


cases with no data per attorney by case type.

RQ-24

The system should be able to display a list or view of all attorneys and their current active cases, by supervisor, which is selectable from a drop-down box that contains all active supervisors. List or view will display lead attorney name, case name, case status, date served, date tendered, CMC data, SC date, Initial Demand, and Exposure.

RQ-25

The system should be able to display a list or view of all attorneys and their current active cases, by team leader, which is selectable from a drop-down box that contains all active team leaders. List or view will display



April 22, 2013

ReqID



on Reference


lead attorney name, case name, case type, case status, date served, date tendered, CMC date, SC date, Initial Demand, Exposure, and Latest Activity.

RQ-26

The system should be able to display a list or view of all active cases, by attorney name, which is selectable from a drop-down box that contains all active attorneys. Listor view will display, case name, case type, case status, date served, date tendered, CMC date, SC date, Initial Demand, Exposure, and LatestActivity.

RQ-27

The system should be able to display a list or view of all active cases, by investigating supervisor, which is selectable from a drop-down box that contains all active investigating supervisors. List or view will display, case name,



April 22, 2013

ReqID



on Reference


case type, case status, date served, date tendered, CMC date, SC date, Initial Demand, Exposure, and Latest Activity.

RQ-28

The system should be able to display a list or view of all active cases, by paralegal, which is selectable from a drop-down box that contains all active paralegal staff. List or view will display, case name, case type, case status, date served, date tendered, CMC date, SC date, Initial Demand, Exposure, and Latest Activity.

RQ-29

The system should be able to display a list or view of all active and inactive expert witness contracts. The view or list will display contractor name, contract number, contract status, contract begin date, contract end



April 22, 2013

ReqID



on Reference


date, contract amount, case number, case name, case type, case status, lead attorney name, and office location.

RQ-30

The system should be able to display a list or view of all active and inactive litigation service contracts. The view or list will display contractor name, contract number, contract status, contract begin date, contract end date, contract amount, case number, case name, case type, case status, lead attorney name, and office location.

RQ-31

The system shouldprovide the ability to find, determine, or ascertain related cases, or those with the same reporting code and provide a cross reference.



April 22, 2013

ReqID



on Reference


RQ-32

The system must provide the ability to search for pending government claims using search criteria.

RQ-33

The system shouldprovide a listing of all stop notice claims.

RQ-34

The system shouldprovide the ability to view document tracking information after selecting specific document for review. Information to be displayed will include document type, document number, office, parties involved, district, reviewing attorneys, submission number, turnaround time, comments.



April 22, 2013

ReqID



on Reference


RQ-35

The system shouldprovide the capability to search for existing expert witness contracts using user defined search criteria.

RQ-36

The system shouldprovide the capability to list all existing expert witness contracts.

RQ-37

The system must display all cases entered into the database and be able to sort them by active and inactive.

RQ-38

The system shouldprovide the capability to list all legal staff.

RQ-39

The system should be able to display a list or view of all outside counsel. List or view will display outside counsel name, bar number, and name of law firm of outside counsel.



April 22, 2013

ReqID



on Reference


RQ-40

The system should have the capability to interface with report services on the SQL Server.



April 22, 2013



April 22, 2013

6.2 Technical Requirements Response Form

The Technical Requirements are organized into seven (7) technical areas.

They are:

• Operational Environment (OE);

• User Interface (UI);

• User Access/Security (US);

• Performance/Capacity (PC);

• Integration/Migration (IM);

• Administration/Backup/Archive (AB); and

• Reporting Function (RF).



April 22, 2013

ReqID

TechnicalRequirement Description

Supporting Literature or

Documentation Reference


Operational Environment

OE-01

The system must be logically and physically segmented into an n-tier model separating the Presentation, Business Logic, and Database layers.

OE-02

The system should be accessible through the Caltrans intranet with no direct public access.

OE-03

The system should have the capability to interface with a Service-Oriented Architecture (SOA) to facilitate interfacing with existing and future Caltrans and State Department Systems.



April 22, 2013

ReqID





OE-04

All system environments must be implemented on relational databases in compliance with Caltrans and OTech standards. (See LCMS Bidder’s library for Caltrans and OTech standards).

OE-05

The database(s) must adhere to open database connectivity (ODBC) standards.

OE-06

Data communication protocols must make use of industry standards such as TCP/IP.

OE-07

The system must run in a virtualized windows environment.

OE-08

The system must be compatible with the most recent Windows operating system for business/enterprise

User Interface



April 22, 2013

ReqID





UI-01

The system must provide defined error messages that appear in a pop-up box on the screen containing the error. Error messages must be in a font size suitable for easy reading.

UI-02

The system must provide multi-level sort reporting capability.

UI-03

The system must provide a visual indication of required data elements on screens.

UI-04

The system must provide drop down boxes and radio buttons to facilitate the entry of information.

UI-05

The system must provide progress status indication throughout the process when the computer is busy and unavailable until the process is completed.



April 22, 2013

ReqID





UI-06

The system must provide context-sensitive help.

User Access/Security

US-01

The system must allow secure system access leveraging existing Identity Stores managed by Caltrans, such as Lightweight Directory Access Protocol (LDAP) or Active Directory.



April 22, 2013

ReqID

Technical Requirement Description




US-02

The system must provide role-based levels of security for data access at the application level to ensurethat information cannot be created, read, modified, or deleted by an unauthorized party. (in regards to changing how fields are laid out on the screen)

US-03

The system must provide configurable field-level data access permission controls by user role to include no access, read-only, create, and full edit (and delete) permissions. (in regards to changing data stored in the tables)

US-04

The system must meet Office of Technology Services (OTech) security recommended "Best Practices": http://www.servicecatalog.dts.ca.gov/docs/Service_Catalog_SMD_Best_Practices.ppt



April 22, 2013

ReqID





US-05

The system must provide the ability to transmit and receive data in a secure and encrypted format.

US-06

The system must provide the ability to automatically lock user accounts after a specified number of unsuccessful login attempts.

US-07

The system must provide the ability for all authorized users to create new and update existing “legal matter” records.

US-08

The system should provide “read only” access to data residing within a specific legal matter view.

US-09

The system must allow only authorized users to delete a legal matter record.

US-10

The system should restrict access to audit data to authorized personnel.



April 22, 2013

ReqID





US-11

The system must capture all changes, additions, and deletions to “legal matter” information and in an audit log including date, time, id, and type of change.

US-12

The system must operate in compliance with Caltrans’ information security policies, guidelines, procedures and standards.

US-13

The system must provide for document Security at the individual document level or document type level.

Performance/Capacity

PC-01

The system must be capable of supporting a minimum of 300 users.

PC-02

The system should support an initial load of storing 20,000 cases/fillings.



April 22, 2013

ReqID





PC-03

The system must support an initial load of storing 20,000 opposing counsel.

PC-04

The system must support an initial load of storing 61,000 parties.

PC-05

The system must support an initial load of storing 6,000 activity entries.

PC-06

The system must support an initial load of storing 9,000 expert contracts.

PC-07

The system must support an on-going load of 4,000 cases/matters received annually.



April 22, 2013

ReqID





PC-08

The system must initially support up to 300 Legal users.

PC-09

The system must initially support up to 100 concurrent users within all the Legal offices while meeting a response time requirements described below. (See PC-13)

PC-10

The system must be able to scale to support up to 200 concurrent users in addition to the 100 users currently logged in to the system. (See PC-09)

PC-11

The system must support Legal users accessing the system form non-Legal sites over a VPN connection.



April 22, 2013

ReqID





PC-12

The system should not increase WAN bandwidth utilization by more than 3% over current utilization with 100 concurrent users.

PC-13

The system must retrieve and display request “legal matter” information within 5 seconds at least 80% of the time from the primary Legal offices during planned up-time (Monday-Friday, 6 a.m. – 7 p.m. PST).

PC-14

The system must retrieve subsequent information with the same “legal matter” document within one (5) second response time.

PC-15

The system must provide 99% availability during planned up-time (Monday-Friday, 6 a.m. – 7 p.m. PST).



April 22, 2013

ReqID





PC-16

All case-related documents and files (scanned and system created documents, image, audio, and video files, etc) must e stored on servers within Caltrans firewall (i.e. – no cloud or off-site storage).

Integration/Migration

IM-01

The system must interface with Caltrans’ AMS Advantage system (Oracle database) to obtain staff names, classifications, salaries, and expended hours on a given case/matter, to be imported in the data fields of the LCMS for reporting.

IM-02

The system shouldintegrate with Caltrans’Email system, MicrosoftExchange/Outlook.

*See Calendaring Requirement section for details.



April 22, 2013

ReqID





IM-03

The system must integrate with Caltrans’ office toolset (MS Office 2007 Suite).

IM-04

The system should support xml.

IM-05

The system must be able to import data from a flat file (CSV, TXT, etc).

IM-06

The system must be able to integrate with Active Directory or Lightweight Directory Access Protocol (LDAP).

IM-07

The system should provide a standard Application Programming Interface (API).

IM-08

The system must be able to connect to external databases, such as MS SQL Server, Oracle, MS Access, etc) via ODBC (open database



April 22, 2013

ReqID





connectivity) connection or database link.

Administrative/Backup/Archive

AB-01

The system must provide configurable screens for dynamic screen building/generation. For example, add/delete fields, change field names, update/maintenance of application screen parameters, color choices, font size, screen layout, and user preferences by designated user system administrators.

AB-02

The system must provide multiple field search capability throughout LCMS.



April 22, 2013

ReqID





AB-03

The system must provide a configurable data loading function to import data/files from the following various sources: Oracle, MS Access, Foxpro, Filemaker Pro, and MS Excel.

AB-04

The application mustprovide the capability for designated users/administrators toupdate/maintain all code tables used for data validation and pick lists.

AB-05

The system must have the ability for designated users/administrators to set up and administer HQ and LCMS user accounts, their roles, and access levels.

AB-06

The system must allow for maintenance processes such as back-ups and general database clean-up.



April 22, 2013

ReqID





AB-07

The system must provide a configurable data export function to export anyLCMS data to the following industry standard formats: CSV, PDF, XML, DOC, and XLS.

AB-08

The system must provide data protection functions including back-up and restore functionality, and data integrity verification.

Reporting Function

RF-01

The system must provide querying capabilities suitable for end-users.

RF-02

The system must provide ad hoc and parameterized reporting.

RF-03

The system must provide multi-level sort reporting capability.



April 22, 2013

6.3 Service Requirements Form

The Required Services Requirements are organized into five (5) areas.

They are:

• Data Initialization and Conversion (DI)

• System Documentation (SD);

• General Testing (GT);

• System Testing (ST)

• Performance Testing (PT)

• User Acceptance Testing (UT)

• Training (TR); and

• Technical Support and Licensing (TS).

Supporting Literature of Documentation Reference is not applicable for this form as such no response is required.



April 22, 2013

ReqID

Required ServicesRequirement Description




Data Initialization and Conversion

DI-01

The vendor must provide a Data Initialization and Conversion Plan thatdescribes the strategyrequired to convert legacy data and initialize the database in the proposed COTs solution including working with the State to analyze the different types of data to develop the best approach, the data extract format and defining the new data structures. The processes are best described in four phases: (1) Extract, (2) Transform, (3) Load, and (4) Validate. Each of these processes will be fully described in this plan.

DI-02

Contractor must develop and document the Detailed Data Extract Mappings that describe the format for the data files which will be converted to the new system.



April 22, 2013

ReqID





DI-03

Contractor must extract the data from LInCS in its raw legacy form to a delimited flat file format.

DI-04

Contractor must be responsible for converting and loading the data from the LlnCS to the new system.

DI-05

The Contractor must perform as many conversions runs / tests as necessary until the data is successfully converted and loaded to the new database structures.

DI-06

The Contractor must test the data load processes in the test environment prior to loading the converted data to the production environment. Any and all changes to data during the conversion process mustfirst be approved by Caltrans prior to execution.

DI-07

The Contractor and mustwork with the State to analyze and resolve any conversion load failures.

DI-08

Contractor must provide a report of all data elements that require to be cleansed. The report must consist of



April 22, 2013

ReqID





table name, field name, field contents, data format field, and a description of why the field is being cleansed.

DI-09

Contractor must provide their own data integration tool, audit tool and ETL to aid in data migration.

DI-10

The Contractor must visually demonstrate that the converted data has been correctly loaded into the production environment.

DI-11 The Contractor and the State must work to develop and document data validation rules. The Contractor and the State will validate that the converted data has been correctly loaded to the production environment.

DI-12 Contractor must provide Caltrans a report of all errors encountered during the final converted data load run and a report of the data load results.

DI-13 The Contractor must provide Caltrans documented copies of conversion scripts and tools that were developed as



April 22, 2013

ReqID





part of this effort.

DI-14 Due to the sensitive natureof the information, the data conversion must be performed on Caltrans premises. Data conversion must take place within Caltrans firewall. No external access will be allowed.



April 22, 2013

ReqID





System Documentation

SD-01

The Contractor must provide electronic and written product and system documentation that clearly and thoroughly describeshow to use the overall system and each component or product.(User’s Manuals, Administrative Manuals, Installation Guides, etc).

SD-02

The Contractor must provide product and system documentation to accompany any and all updates to the software through the term of the Agreement.

SD-03

The Contractor must provide electronic and written product and system documentation that clearly and thoroughly describes the maintenance of the overall system and each component or product. (Maintenance/Troubleshooting Guide)

SD-04

The Contractor must provide electronic and written product and system documentation that clearly



April 22, 2013

ReqID





and thoroughly describes the training of users to use the overall system and each component or product. (Training Manual).

SD-05

The Contractor must provide electronic and written product and system documentation that clearly and thoroughly describes the administration of the overall system and each component or product. (Administration Manual).

SD-06

The Contractor must provide electronic and written product and system documentation that clearly and thoroughly describes the installation of the overall system and each component or product. (Installation Manual).

SD-07

The Contractor must provide knowledge transfer to Caltrans Legal and IT Support staff through product documentation and training. (System Administrator Training and IT Technical Training).The transition steps will be provided in the Maintenance and Operations Plan.



April 22, 2013

ReqID





General Testing

GT-01

The Contractor must be responsible for conducting system, performance, regression, and user acceptance testing and, if custom coding is required, unit and integration testing for each system release.

GT-02

The Contractor must develop all test plans, test scripts / procedures and data for each test phase for each system release.

GT-03

The Contractor mustdocument the results of each test as compared to the expected test results, for each test phase and system release.

GT-04

The Contractor must log, analyze, track and resolve all anomalies, including incidents due to defects or other problems identified during the testing phases.

GT-05

The Contractor must report the status and resolution of system defects in the biweekly status reports.



April 22, 2013

ReqID





GT-06

The Contractor must work with the Caltrans and, if applicable, Office of Technology Services (OTECH) to test the backup and recovery procedures for the system after the completion of system test and prior to the user acceptance test for each release.

GT-07

The Contractor must perform regression testing on any and all software updates or patches prior to release to Caltrans.

GT-08

The Contractor must perform system, performance and user-acceptance testing on-site at State facilities.

GT-09

The system must pass the State’s black box security testing and application scanning. Currently, the State uses the IBM AppScan tool for application scanning.

GT-10

The Contractor mustexecute tests for common security flaws (such as SQL injection) as part of the system test phase.



April 22, 2013

ReqID





GT-11

The tests for security flaws must include tests that address, at a minimum, the top ten most common vulnerabilities as defined by the Open Web Application Security Project (OWASP) and the CWE/SANS top 25 most dangerous programming errors. Refer to the Bidders’ Library for links to these items.

GT-12

The system must be tested for ADA compliance as part of the system test phase.

GT-13

The Contractor must correct any security flaws identified during the ADA, OWASP, CWE/SANS, and common security tests, unless the State provides an explicit exemption, in writing, for the error.



April 22, 2013

ReqID





System Testing

ST-01

The system test mustconsist of a series of tests performing actual daily activities and operations under typical operating conditions.

ST-02

The system test must also include a test of the daily report functions using computers in at least two (2) legal offices.

ST-03

In the event of a critical problem during any systemtest, the test must halt and restart from the beginning after the necessary corrections have been made and tested through the system test cycle (i.e., unit, integration, system).

ST-04

During the system tests, the Contractor must monitor system performance under typical office conditions. Refer to requirements CPT-01 through CPT-03



April 22, 2013

ReqID





Performance Testing

PT-01 LCMS will be subject to performance testing during a thirty (30) consecutive calendar day period. The system must meet the performance requirements.

ST-05

At the end of the system test period, the Contractor mustconduct a wrap-up session with the State to discuss feedback and the action plan for any anomalies (issues, incidents to the defect level and problems).

ST-06

After the completion of the system test, the Contractor must resolve any anomalies (including both defects and problems) and perform regression testing.



April 22, 2013

Req ID Required Services Requirement Description


Documentation

F M C S N State Evaluator Use Score

PT-02 The Contractor will be responsible for providing the necessary tools, scenarios (to be approved by Caltrans), and data for the tests, and for recording the results of the tests. Caltrans staff will execute the tests and the Contractor will assist with the analysis and perform the resolution of anomalies andfaults. Down time will be measured by Caltrans staff.

PT-03 To successfully pass the Performance Test, the system must continue to meet or exceed (i.e., perform better than the stated requirement) the individual application performance requirements.

PT-04 During the same time period, the transaction response times will be measured and verified to meet the requirements defined the During the performance tests, the Contractor will not be held responsible for network issues outside of the Contractor’s delivered solution, such as T1 line speeds.

PT-05 For a successful performance test, the transaction response times



April 22, 2013



Documentation


must meet or exceed (i.e., be faster than the stated response time) levels of performance at least 99% of the time during a thirty (30) consecutive day calendar period. Response times will be measured by Caltrans staff over a period of ten (10) minutes, four (4) times a day for each transaction type.

PT-06 The Contractor must test the performance requirements in a configuration that simulates the production environment.

PT-07 The Performance tests must be performed with the system containing all of the following:

1. An amount of data equivalent to 20,000 total matters.

2. At least 4,000 active matters.

3. The number of transactions at peak load.

At least 300 simulated internal users.

PT-08 The performance test for the



April 22, 2013



Documentation


LCMS System must include transaction load / stress testing of the hardware and software configuration (with both internal and external transaction load), and system up-time during peak hours.

Regression Testing

RT-01

The Contractor must design and develop a series of regression test scenarios to verify correct performance of previously tested functions and capabilities. The Contractor must maintain and update the scenarios, as appropriate, as changes are made to the system and interfaces.



April 22, 2013



Documentation


ReqID





RT-02

The Contractor must be responsible for preparing the testing scenarios, executing the tests, and analyzing and comparing the results of the latest test iterations with previous results to ensure the expected results have been achieved.

RT-03

Regression testing must be performed and the test results delivered to Caltrans prior to the start of the user acceptance test and whenever a new system build/release is performed.

User Acceptance Testing (UAT)

UT-01

After the completion of the system test, performance test, and appropriate regression test, the Contractor must request a Readiness Review with the State, to verify its readiness to proceed to UAT and to begin coordinating preparations for UAT.



April 22, 2013

UT-02

The Contractor mustdevelop the user acceptance test scripts and data, and must manage the UAT testing phase. The State will identify the specific tests and conditions that will be tested, and a subset of the end users will execute the test scripts.

UT-03

The Contractor must track and analyze any errors and anomalies found during user acceptance test.

UT-04

The following sample data must be loaded into the system for the UAT testing. (1) Data from the data conversion.

(2) Simulated live production data generated by the vendor.

UT-05

At the end of the UAT process, the Contractor mustprovide a report of all fixes made, all unsolved/unfixed defects and their associate action plan for resolution.



April 22, 2013

ReqID

Additional Technical Services

Requirement Description




Training

TR-01

The Contractor must deliver a comprehensive Training Plan that is approved by Caltrans prior to execution. The Training Plan, at a minimum, must do the:Approach to End-User Training.

Approach to System

Administrator Training.

Approach to Technical Support

Training.

Approach to evaluating the

effectiveness of the training.

TR-02

The training must be

consistent and standardized

for each student.

TR-03

The end user and system administrative training must be held at a training facility at each of the four legal offices: Sacramento, San Francisco, Los Angeles, and San Diego. Technical Training must be held in Sacramento.



April 22, 2013

ReqID





TR-04

The Contractor must ensure the training environment is configured for students to participate in “Hands On” training session.

TR-05

The Contractor must coordinate with Caltrans to establish, configure and load the training environment with appropriate training materials, data and scenarios to support training classes. The Contractor must be responsible for operating, managing and maintaining the configuration of the training environments, including any tools or third-party software. The training environments must be configured such that the system interfaces are operational in the training environments.

TR-06

The end user training must

emulate the live system, using

hypothetical legal matter

scenarios.

TR-07

The Contractor must deliver the end user and system administration training “Just in Time” before each location is scheduled for the LCMS implementation.



April 22, 2013

ReqID





TR-08

At a minimum, the Contractor must provide the following instructor led hands-on class room training courses:(1) End-User(2) System Administrator; (3) Technical Support.

The contractor may propose additional courses on additional topics, as appropriate to their system.

TR-09

End User Training

Logistics: Each end-user must be provided one six hour course. There are approximately 264 end-users. End User Training is approximately 108 hours total, based on the number of end-users, eighteen six hour courses are recommended. Location: Sacramento, San Francisco, Los Angeles, and San Diego Offices

Description: This training must provide the End Users with all the basic instruction on how to operate the system. .



April 22, 2013

Audience: Caltrans Legal Attorneys, Legal Secretaries, Investigators, Paralegal Staff, and Support Staff.

Instructor Objective: The End User training is instructor taught in-class training. The End User Training instruction mustinclude:• System navigation• Logging on and off the

system• Case initiation• Case data inserts and

updates• Retrieving case

assignments• Updating case

information• Calendaring• Document generation,

editing and archiving• Searches• Tracking data about a

legal matter• Run and print reports• Import/Export data• Saving files in and out of

the system• User workstation

preferences• Document scanning and

attaching• Searching and reporting



April 22, 2013

• Help notes• Case notes

The curriculum must be based on a Mock Tort Case provided by the Legal Staff, using a hypothetical legal matter scenario. The training curriculum will broadly track the three phases to a matter: (1) Opening the Case; (2) Managing the Case; and (3) Closing the Case. The first phase will include such components as working with the users interface, data entry and checklist production. The second phase will include such components as form entry, case note entry, expert retention, discovery management, and calendaring the third phase will focus on the data and form entry necessary to close and archive a matter.

Materials: Quickie Reference Guide and Student Manual



April 22, 2013

ReqID





TR-11

System Administrator Training

Logistics: Each System Administrator must be provided one four hour course. There are approximately 28 system administrators. System Administrator Training is approximately 16 hours total, based on the number of end-users, four (4) – four-hour courses are recommended. Location: Sacramento, San Francisco, Los Angeles, and San Diego Offices

Description: This training must provide the System Administrators with instruction on how to use advanced features of the system as described below in Instructor Objective.

Audience: Caltrans Legal Attorneys, Legal Secretaries, Paralegal Staff, and Support Staff.

Instructor Objective: System Administrator Training is an instructor



April 22, 2013

taught in-class training.The System Administrator Training instruction mustinclude:ReportsVerifying data capture resultsAdding new keywordsSetting up document groups and document typesSetting up or modifying user and user groups/securityCreating, modifying, copying, renaming, and deleting objectsSystem reportingChanging labelsConfiguring fields for data capture valuesCustom Settings

Materials: Quickie Reference Guide, and Student Manual, System Administrator Guide



April 22, 2013

TR-12

Technical Support Training

Logistics: Each Technical Support person must be provided one six hour course. There is approximately 10 technical support staff. Technical Support Training is approximately 6 hours total, based on the number of technical support staff, one (1) – six-hour course is recommended.

Location: Sacramento

Description: This training must provide the Technical Support Staff with instruction on installation, configuration and maintenance of the application software.

Instructor Objective: The Technical Support Training is an instructor taught in-class training.The Technical Support Training instruction mustinclude:

• System Administration• Interpreting System

Error Messages• Analyzing system logs

and identifying potential



April 22, 2013

issues with computer systems

• Reporting Bugs/Defects• Performing routine

audits of the system and software

• System Design• System Configuration• Report Development• Performing backups• Applying operating

system updates, patches, and configuration changes/releases.

• Installing and configuringnew hardware and software

• Adding, removing, or updating user accountinformation, resetting passwords, etc.

• Familiarity with configuration queries, scheduled jobs, and any customizations

• Troubleshooting any reported problems

• System performance tuning

• Ensuring that the network infrastructure is up and running

Materials: Quickie Reference Guide, Student Manual, System



April 22, 2013

Administration Guide, and Logical Design Specifications Document

TR-13

Two weeks after the End User Training class, the Contractor must consult with Caltrans to see if there are end users who require additional training. If additional training is required a follow-up end user class will be scheduled.

TR-14

The Contractor shouldprovide online, audio video training/webinars.

TR-15

The Contractor must provide the following training materials for each student:

• Quickie Reference Guide

• Student ManualAll training materials must be customized to reflect Caltrans TO-BE business process and workflow.

TR-16

The Contractor must provide to Caltrans (1 copy) hard and soft of all instructional materials, and visual aids.



April 22, 2013

ReqID





Technical Support and Licensing

MO-01

Contractor must provide assistance to Caltrans IT support with the maintenance and operations of the LCMS development, test, training, and production environments.

MO-02

The system must be operational 24 hours / 7 days per week. The Contractor must provide maintenance services, such as software upgrades,outside of Monday through Friday, 6:00 AM to 7:00 PM PST.

MO-03

The Contractor must provide Caltrans with a single point of contact with a toll free number.

MO-04

The Contractor should respond to urgent/critical service requests via phone within 4 business hours of receiving the call.



April 22, 2013

ReqID





MO-05

The Contractor shouldrespond to non-urgent service requests within 8 business hours of receipt.

MO-06

The Contractor should be able to provide on-site support.

MO-07

The Contractor must provide access to technical support by telephone, e-mail and online.

MO-08

The Contractor must provide access to technical support at minimum Monday-Friday 6:00 AM to 7:00 PM PST not including State of California holidays.

MO-09

The Contractor should have a standard policy to provide information regarding upcoming products functionality and/or support changes in a timely fashion.

MO-10

The system should provideupgrades, patches and fixes which may be downloaded from the internet.



April 22, 2013

ReqID





MO-11

The Contractor must notify Caltrans of any upgrades, patches and or fixes; and specify if the upgrades are mandatory or optional.

MO-12

The Contractor must provide a detailed list of the changes that will occur to the system due to upgrades, patches or fixes.

MO-13

The Contractor must notify Caltrans of significant changes to the data as a result of the upgrades, patches or fixes.

MO-14

The system must have step-by-step installation instructions.

MO-15

The system must have step-by-step upgrade instructions.

MO-16

The bidder should provide all code and documentation on tangible media such as CD or DVD.

CaltransBid # RFQ- RFQ- DOT-2009-31

LCMSAttachment 1, Cover Letter

April 22, 2013

The submission of this quote does not obligate the Department of Transportation (Caltrans) to fund the proposed contract. If the quote is approved for funding, a contract will be executed between the State of California and the bidder. When funding is authorized, the bidder will be expected to adhere to the terms of the executed contract.

The undersigned bidder hereby proposes to furnish all labor, materials, tools and equipment, to provide services in accordance with the specifications and provisions received with the RFQ.

1. Full Legal Name of Bidder’s Organization:

____________________________________________________________________________

2. Mailing Address:

____________________________________________________________________________Street City State Zip

____________________________________________________________________________Telephone FAX Email

3. Federal Taxpayer Identification Number:____________________________________________

4. Principal who is authorized to bind the bidder:

_____________________________________ ______________________________Typed Name Title

_____________________________________ _______________________________Original Signature Date

5. Bidder’s contact person shall be: _______________________________________________Name and Phone Number


LCMSAttachment 2, COST SHEETS INSTRUCTIONS

Page 1 of 2

April 22, 2013

1. Cost is a part of the evaluation criteria. Evaluation in this category will be based on the lowest total estimated net cost to the State as calculated according to the Scoring Methodology in Section 2.7, Cost.

2. All of the cost sheets listed below must be returned in a separate sealed envelope with the bid response:

• Total Cost Summary

• System Configuration, Testing and Implementation Costs

• Data Conversion Costs

• Software Purchase Costs: Contractor-Provided COTS and Third-Party Software

• Training Services Costs

• Technical Support Services and Licensing Costs

• Bidder Labor Costs for Unanticipated Tasks

3. Cost definitions

a. Deliverables: For all deliverables identified in Section 5, Statement of Work, the Contractor will provide a one-time firm fixed cost.

b. Monthly Service: The bidder must provide the monthly costs to maintain the LCMS. This cost shall include the maintenance, patching, version upgrades, and support.

c. System Analysis and Modifications: The bidder must provide an hourly rate for any system analysis or modifications cost for changes to the solution including, but not limited to, new reports, new user interface screens, new functionality, etc.

d. Unanticipated Tasks: For unanticipated tasks identified after Agreement award, the bidder shall provide a blended hourly rate for each position it identified. If unanticipated tasks arise, these contracted rates will be used in conjunction with the estimated level of effort for the tasks in the negotiation of a work authorization for the new tasks. The rate listed shall be in effect for the term of the Agreement including the one (1) year option. Caltrans will add 10% of the total contract value for unanticipated tasks for evaluation purposes and does not obligate Caltrans to utilize the amountsbid.

4. Bidders are instructed to provide a specific cost for each deliverable, system analysis and modifications, and an hourly rate for unanticipated tasks. Costs shall be rounded to the nearest whole dollar.


LCMSAttachment 2, COST WORKSHEETS

Page 2 of 2

April 22, 2013

Name of Bidding Company

Printed Name and Title of Authorized Official

Signature Date


LCMSAttachment 3, CUSTOMER REFERENCE FORM

Page 1 of 1

April 22, 2013

The Contractor must provide three (3) client references for services it has performed within the past ten (10) years that are similar in size, scope, and type of service as specified in this RFQ. Complete this form for each customer reference.

Contractor’s Name:

Customer Company/Organization:

Contact:

Address:

Telephone:

Fax:

E-mail:

Project Name and/or Description:

Vendor’s Involvement:

Start Date (mm/yyyy):

End Date (mm/yyyy):

Project Dollar Amount:

Describe the services provided for this customer as it relates to the RFQ SOW Requirements. The description of the services must be detailed and comprehensive enough to permit Caltrans to assess the similarity of these services to the work anticipated in the award of the Agreement resulting from this solicitation.


LCMSAttachment 4, PROJECT TEAM RESUME SUMMARY FORM

Page 1 of 1

April 22, 2013

Key Staff Name:

Job Classification:

Mandatory Qualification:

Associated with: Bidder Name Subcontractor Name

DVBE Name

Number of years of education achieved

Degrees Held:

Number of years experience with the product(s) proposed:

Product Name(s):

Years Experience:

a. List skills and experiences that qualify the team member for the duties and responsibilities on this project (can be specific projects):

For any experiences applicable to this procurement, list customer name, project title, start and end dates for your involvement in the project:

Customer Name Project Title Start Date End Date

CaltransBid # RFQ - DOT-2009-31

LCMSAttachment 5, CONFIDENTIALITY STATEMENT

Page 1 of 1

April 22, 2013

As an authorized representative and/or corporate officer of the company named below, I warrant my company and its employees will not disclose any documents, diagrams, information and information storage media made available to us by the State for the purpose of responding to RFQ - DOT-2009-31 or in conjunction with any contract arising there from. I warrant that only those employees who are authorized and required to use such materials will have access to them.

I further warrant that all materials provided by the State will be returned promptly after use and that all copies or derivations of the materials will be physically and/or electronically destroyed. I will include with the returned materials, a letter attesting to the complete return of materials, and documenting the destruction of copies and derivations. Failure to so comply will subject this company to liability, both criminal and civil, including all damages to the State and third parties. I authorize the State to inspect and verify the above.

I warrant that if my company is awarded the contract, it will not enter into any agreements or discussions with a third party concerning such materials prior to receiving written confirmation from the State that such third party has an agreement with the State similar in nature to this one.

_____________________________________ _______________________(Signature of representative) (Date)

____(Typed name of representative)

____(Typed name of company)

CaltransBid # RFQ- DOT-2009-31

LCMSAttachment 6, SAMPLE CONTRACT

April 22, 2013

The following pages represent a sample of the Agreement that may be

awarded from this RFQ. Please review it carefully and present any

questions in writing per the instructions in this RFQ’s Section 1.9 (Written

Questions).

CaltransBid # RFQ- DOT-2009-31

LCMSAttachment 6, SAMPLE CONTRACT

NIA Department of Transportation

STANDARD AGREEMENT RFQ Number DOT-2009-31, Attachment 6 – SAMPLE CONTRACTSTD 213 (Rev 06/03)

STANDARD AGREEMENTFor I.T. GOODS/SERVICES ONLY

AGREEMENT NUMBER

51A0434PURCHASING AUTHORITY NUMBER REGISTRATION NUMBER

9I-1013-DOT-HQ1

1. This STATE AGENCY'S NAME

Department of TransportationCONTRACTOR’S NAME

TBD

2. The term of this TBD or upon CALTRANS approval, whichever is later

through

TBDAgreement is:

3. The maximum amount TBDof this Agreement is:

4. The parties agree to comply with the terms and conditions of the following exhibits which are by this reference made a part of the Agreement.

Exhibit A – Statement of Work (SOW) 8 PagesExhibit B – Budget Detail and Payment Provisions 5 PagesExhibit C – Special Terms and Conditions 4 PagesExhibit D – Additional Provisions 5 PagesExhibit E – RFQ-DOT-2009-3 and the Contractor’s Bid Response to this RFQ PagesExhibit F* – General Provisions – Information Technology (GSPD-401IT, 6/8/10) onlineExhibit G* – Information Technology – Personal Services Special Provisions, 2/8/07 onlineExhibit H* – Information Technology – Software Special Provisions, 1/21/03 onlineExhibit I* – Information Technology – Maintenance Special Provisions, 1/21/03 onlineAttachment A1 – AVMS System Software Specification (AVMS-SSPEC-005, v 1.05, 12/01/2011) 105 PagesAttachment A2 – Bidder Declaration, GSPD-05-105 PagesAttachment B1 – Contractor’s Cost Worksheets Pages

Items shown with an Asterisk (*), are hereby incorporated by reference and made part of this agreement as if attached hereto. These documents can be

viewed at http://www.dgs.ca.gov/pd/Resources/ModelLanguage.aspxIN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.

CONTRACTOR California Department of General Services Use OnlyCONTRACTOR’S NAME (if other than an individual, state whether a corporation, partnership, etc.)

TBDBY (Authorized Signature)

?DATE SIGNED(Do not type)

PRINTED NAME AND TITLE OF PERSON SIGNING

ADDRESS

STATE OF CALIFORNIAAGENCY NAME

Department of TransportationBY (Authorized Signature)

?

DATE SIGNED(Do not type)

PRINTED NAME AND TITLE OF PERSON SIGNING Exempt per:

9I-1012-DOT-HQ1

ADDRESS

Contractor’s NameSAMPLE Agreement Number 20AXXXX

Page 1 of 4

Attachment 6Sample Consulting Services Agreement (State)

STATEMENT OF WORK

1. The work to be performed under this Agreement shall be in accordance with Exhibit A,

Exhibit E, Attachment A1, Attachment A2 and Attachment B1 in this Agreement. If

there is any conflict between the Contractor's Bid Response and this Agreement, Section

11 of Exhibit F shall apply.

2. The services shall be performed at 1120 N Street, Sacramento, CA 95814.

3. This Agreement will commence on May 1, 2013 or upon approval by the Department of

Transportation (Caltrans), whichever is later and no work shall begin before that time.

This Agreement is of no effect unless approved by Caltrans. The Contractor shall not

receive payment for work performed prior to approval of the Agreement and before

receipt of notice to proceed by the Contract Manager. This Agreement shall expire on

April 30, 2015. The services shall be provided during normal business working hours,

Monday through Friday, except holidays. The parties may amend this agreement as

permitted by law.

4. All inquiries during the term of this Agreement will be directed to the project

representatives listed in Table 1 below.

Table 1 – Points of Contact

Department of Transportation Contractor:Section/Unit: Section/Unit:

Contract Manager: Project Manager:

Address: Address:

Phone: Phone:

Fax: Fax:

Email: Email:

5. Detailed description of work to be performed and duties of all parties:

A. Purpose and Objectives

The purpose of this RFQ is to procure from the winning bidder a COTS database software solution to replace the existing FileMaker Pro case management system. The COTS solution must also provide technology and implementation planning, software application installation and configuration, database implementation, interfaces to internal applications, data conversion, testing, development of training materials to include end user system administration and technical documentation, project management, post-implementation warranty and annual maintenance support.


Page 2 of 4


This Legal Case Management System (LCMS) will address the business objectives and requirements described in the Statement of Work, both of which are described below.

The objectives for this Agreement are to:

1. Define and document the State’s requirements, as applied to the Contractor’s LCMS

2. Standardize the workflow process. 3. Integrate with Caltrans E-mail system, Microsoft Exchange/Outlook.4. Provide contact and calendar management functions.5. Interface with AMS Advantage, the Caltrans accounting system. 6. Enforce business rules during data entry.7. Establish a single application to support legal case management statewide.8. Provide accurate and timely management reports.9. Provide document assembly and tracking capability.10. Contract with an industry leader.

11. Allow for long term support and improvements.

12. Deliver the project on schedule and on budget

B. The SOW can be found in Section 5 of RFQ- DOT-2009-31 and Attachment A1 of

this Agreement.

C. Contractor access – When needed and upon Contract Manager’s approval, Caltrans

will provide the Contractor with access to its facilities, which includes necessary on-

site hardware, software and remote access. The Contractor agrees to abide with all

pertinent Caltrans’ policies before network access can be granted. This section

applies to Contractor’s subcontractors.

D. Security Regulations

1. The Contractor shall abide by Caltrans security regulations and requirements

while working on Caltrans’ premises and shall utilize all procedural requirements

set forth by Caltrans to prevent unauthorized use or disclosure of Caltrans’ data.

2. The Contractor’s workstation or laptop or iPad shall, at all times, be updated with

the currently released security patches and run Anti-Virus software that utilizes

the most up-to-date Engine and DAT files.

3. This section applies to Contractor’s subcontractors.

E. Intellectual Property Rights

1. Contractor shall not copyright, sell, promote or use any Caltrans’ property

including software or documentation without written permission by Caltrans.

2. The Contractor shall sign all confidentiality/privacy/security/conflict of interest and

other necessary agreements as required to successfully provide the products

described by this Contract.


Page 3 of 4


F. Software License:

1. Contractor shall provide:

a. All software and documentation delivered under this Agreement shall have no

restrictions imposed on Caltrans’ use, except that Caltrans may not sell or resell

said software and documentation.

b. Products and services described in the Statement of Work.

2. Contractor agrees:

a. Not to copyright, sell, promote or use any Caltrans’ property including software or

documentation without written permission by Caltrans.

b. Caltrans shall retain the right to reproduce and distribute any documentation

produced by this Agreement.

c. Caltrans retains full ownership of furnished hardware and computers.

G. Software Ownership upon Completion

With the exception of pre-existing works and derivatives thereof, Contractor shall not

copyright any software or documentation delivered under this Contract. With the

exception of pre-existing works and derivatives thereof, all software and documentation

delivered under this Contract shall become the property of the State and may be

copyrighted by the State. Contractor and State shall identify the With the exception of

pre-existing works, the derivatives thereof, and the new software and documentation (if

any).

H. Task Completion

1) It shall be Caltrans’ sole determination as to whether a deliverable has been successfully completed and is acceptable to Caltrans.

2) Upon completion of each task, the Caltrans Project Manager shall either accept or reject the completed work. Work must be accepted before proceeding to the next task, unless directed by the Caltrans Project Manager to do so otherwise. In the event completed work is rejected, the Contractor shall correct the deficiency to the satisfaction of Caltrans Project Manager.

I. Weekly Review of Contractor Work

Caltrans’ Project Manager shall review the Contractor’s project progress on a weekly basis.

J. Changes to Project Schedule or Tasks

Changes to the project schedule shall only occur with consent of both the Caltrans Project Manager and Contractor.

K. Right to Terminate Contract

Caltrans reserves the right to terminate this Contract for any reason and at any time without penalty to Caltrans. The Contractor will be paid in full for all work complete at the time that the Contract is terminated.


Page 4 of 4



Page 1 of 4


BUDGET DETAIL AND PAYMENT PROVISIONS

1. Invoicing and Payment

A. For services satisfactorily rendered, and upon Caltrans’ Project Manager’s acceptance of

deliverables, and upon receipt and approval of the invoices, Caltrans agrees to

compensate the Contractor for actual expenditures incurred in accordance with the rates

in Attachment B1.

B. Invoices shall be itemized in accordance with Attachment B1. Invoices must include:

1) Agreement Number

2) Task/Deliverable description in accordance with Attachment B1

3) Work Breakdown Structure (WBS) element per Section 1, paragraph F in this Exhibit.

4) Minus ten percent (10%) retention per Section 1, paragraph E in this Exhibit

5) Any deviations from schedule

6) Any supporting documentation for materials, supplies, and equipment.

C. Incomplete or disputed invoices shall be returned to the Contractor, unpaid, for correction.

D. Invoices shall be submitted in triplicate not more frequently than monthly in arrears to:

Department of TransportationInformation Technology DivisionProject Management OfficeAttn: Project Manager’s Name1120 N Street, MS-20Sacramento, CA 95814

E. Progress payments will be made based on services provided and actual costs incurred. Not less

than 10 percent (10%) of the Agreement amount shall be withheld pending final completion of

the Agreement. To satisfy the foregoing, 10% shall be withheld from each payment to the

Contractor. The retention amount will be paid to the Contractor after Caltrans has evaluated the

Contractor's performance and made a determination that all Agreement requirements have been

satisfactorily fulfilled.

F. Invoices shall be submitted showing the Caltrans’ WBS element for each billable

deliverable. When Task Orders are negotiated, the appropriate WBS level will be

identified by the Project Manager.

G. Any subcontract entered into as a result of this Agreement shall contain all of the

provisions of this article.

2. Budget Contingency Clause

A. It is mutually understood between the parties that this Agreement may have been written

before ascertaining the availability of congressional or legislative appropriation of funds, for


Page 2 of 4


the mutual benefit of both parties in order to avoid program and fiscal delays that would

occur if the Agreement were executed after that determination was made.

B. This Agreement is valid and enforceable only if sufficient funds are made available to the

State by the United States Government or the California State Legislature for the purpose of

this program. In addition, this Agreement is subject to any additional restrictions, limitations,

conditions, or any statute enacted by the Congress or the State Legislature that may affect

the provisions, terms or funding of this Agreement in any manner.

C. It is mutually agreed that if the Congress or the State Legislature does not appropriate

sufficient funds for the program, this Agreement shall be amended to reflect any reduction in

funds.

D. Pursuant to GC, Section 927.13, no late payment penalty shall accrue during any time

period for which there is no Budget Act in effect, nor on any payment or refund that is the

result of a federally mandated program or that is directly dependent upon the receipt of

federal funds by a state agency.

E. Caltrans has the option to terminate the Agreement under the 30-day termination clause or

to amend the Agreement to reflect any reduction of funds.

3. Prompt Payment Clause

Payment will be made in accordance with, and within the time specified in, Government Code (GC) Chapter 4.5, commencing with Section 927.

4. Rates

Rates for these services may be found on Attachment B1 of this Agreement.

5. Allowable Costs and Payments

A. The method of payment for this Agreement will be based on actual costs incurred by the

Contractor and the amount set forth in sub-paragraph B. Caltrans will reimburse the

Contractor for actual costs (including labor costs, employee benefits, travel, overhead and

other direct costs) incurred by the Contractor in performance of the work, which amount

will not exceed $TBD. Actual costs shall not exceed the estimated wage rates and other

estimated costs set forth in the Contractor's cost proposal without prior written Agreement

between Caltrans and the Contractor.

B. In addition to the actual costs, Caltrans will pay the Contractor a total fixed fee of $TBD as

follows. In each invoice, the Contractor shall charge a pro rata share of the fixed fee

based on the percentage of work completed to the satisfaction of the Project Manager and

Caltrans shall pay the pro rata share upon approval of the invoice in accordance with the

procedures set forth in Exhibit B, Section 1.


Page 3 of 4


C. Transportation and subsistence costs shall not exceed rates authorized to be paid non-

represented State employees under current State Department of Personnel Administration

rules.

D. The Contractor shall not commence performance of work or services until this Agreement

has been approved by Caltrans. No payment will be made prior to approval nor for any

work performed prior to approval of this Agreement.

E. The total amount payable by Caltrans, shall not exceed $TBD.

6. Cost Principles

A. The Contractor agrees that the Title 48 Code of Federal Regulations (CFR) Part 31,

Contract Cost Principles and Procedures (48 CFR 31), shall be used to determine the

allowable individual items of cost.

B. The Contractor also agrees to comply with Federal procedures in accordance with Title 49

CFR Part 18, Uniform Administrative Requirements for Grants and Cooperative

Agreements to State and Local Governments (49 CFR 18).

C. Any costs for which payment has been made to Contractor that are determined by

subsequent audit to be unallowable under 48 CFR 31 or 49 CFR 18 are subject to

repayment by Contractor to the State.

D. Any subcontract entered into as a result of this Agreement shall contain all of the

provisions of this Section.

7. Excise Tax

The State of California is exempt from federal excise taxes, and no payment will be made for any taxes levied on employees' wages. The State will pay for any applicable State or local sales or use taxes on the services rendered or equipment or parts supplied pursuant to this Agreement. California may pay any applicable sales and use tax imposed by another state.

8. Materials/Supplies

The Contractor will be reimbursed for the actual cost of materials/supplies purchased to be consumed or installed at the work site in performance of the Agreement (including applicable sales tax), without additional allowance for markup. Contractor costs associated with the purchase and installation of materials/supplies are considered as a component of the Contractor's hourly rate for services that include wages, overhead, general and administrative expenses and profit. Costs of materials/supplies are to be substantiated by a copy of the appropriately signed invoice verifying the actual cost and delivery of the replaced components to Caltrans.

9. Equipment Purchase (By Contractor)

A. Prior authorization in writing by the Contract Manager shall be required before the Contractor

enters into any non-budgeted purchase order or subcontract exceeding $500 for supplies,


Page 4 of 4


equipment, or consultant services. The Contractor shall provide an evaluation of the

necessity or desirability of incurring such costs.

B. For purchase of any item, service or consulting work not covered in the Contractor's Cost

Proposal and exceeding $500, with prior authorization by the Contract Manager, three

competitive quotations must be submitted with the request or the absence of bidding must be

adequately justified.

C. Any equipment purchased as a result of this Agreement is subject to the following: The

Contractor shall maintain an inventory record for each piece of non-expendable

equipment purchased or built with funds provided under the terms of this Agreement. The

inventory record of each piece of such equipment shall include the date acquired, total

cost, serial number, model identification (on purchased equipment), and any other

information or description necessary to identify said equipment. Non-expendable

equipment so inventoried is those items of equipment that have a normal life expectancy

of one year or more and an approximate unit price of $5,000 or more. In addition, theft-

sensitive items of equipment costing less than $5,000 shall be inventoried. A copy of the

inventory record must be submitted to the State on request by the State.

D. Any equipment purchased by the Contractor will be returned to Caltrans at the end of this

Agreement or as agreed upon by both parties. Both Caltrans and the Contractor agree to

comply with State Administrative Manual (SAM), Section 3520, Disposal of Surplus

Personal Property if it is determined that the equipment will no longer be retained.

E. 49 CFR, Part 18 requires a credit to Federal funds when participating equipment with a fair

market value greater than $5,000 is credited to the project.

F. Any subcontract entered into as a result of this Agreement shall contain all of the

provisions of this article.

10. Travel

Caltrans will not be responsible for the cost of travel to bring Contractor or his personnel to any of Caltrans’ sites to perform work. Caltrans will not reimburse for any expenses (travel, lodging, meals, etc.) incurred by the Contractor in the execution of activities required in Exhibit A. Travel expenses shall be included in the cost for performing all the tasks and shall not be considered a separate expense.


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EXHIBIT CConsulting Services Agreement (State)

SPECIAL TERMS AND CONDITIONS

1. Settlement of Disputes

A. Any dispute concerning a question of fact arising under this Agreement that is not disposed

of by agreement shall be decided by Caltrans’ Contract Officer, who may consider any

written or verbal evidence submitted by the Contractor. The decision of the Contract Officer,

issued in writing, shall be Caltrans’ final decision regarding the dispute.

B. Neither the pendency of a dispute nor its consideration by the Contract Officer will excuse

the Contractor from full and timely performance in accordance with the terms of the

Agreement.

2. Termination

A. If, after award and execution of the Agreement, the Contractor’s performance is

unsatisfactory, the Agreement may be terminated for default. Additionally, the Contractor

may be liable to Caltrans for damages including the difference between the Contractor’s

original bid price and the actual cost of performing the work by another Contractor. Default is

defined as the Contractor failing to perform services required by the Agreement in a

satisfactory manner.

B. Caltrans reserves the right to terminate this Agreement without cause upon thirty (30) days

written notice to the Contractor or immediately in the event of default or material breach by

the Contractor.

C. The State may terminate this Agreement immediately for good cause. The term "good

cause” may be defined as "impossibility of performance” or “frustration of purpose,” but does

not include material breach, default, or termination without cause. In this instance, the

Agreement termination shall be effective as of the date indicated on the State’s notification to

the Contractor.

D. In the event that the total Agreement amount is expended prior to the expiration date,

Caltrans may, at its discretion, terminate this Agreement with 30 days notice to Contractor.

3. Evaluation of Contractor

Performance of the Contractor under this Agreement will be evaluated. The evaluation shall be prepared on Contract/Contractor Evaluation Sheet (STD 4), and maintained in the Office file, and DGS, Office of Legal Services, if the evaluation is negative and the contract price is over $5,000.

4. Subcontractors

A. Nothing contained in this Agreement or otherwise, shall create any contractual relation

between the State and any subcontractors, and no subcontract shall relieve the Contractor of

its responsibilities and obligations hereunder. The Contractor agrees to be as fully

responsible to the State for the acts and omissions of its subcontractors and of persons


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either directly or indirectly employed by any of them as it is for the acts and omissions of

persons directly employed by the Contractor. The Contractor's obligation to pay its

subcontractors is an independent obligation from the State’ obligation to make payments to

the Contractor. As a result, the State shall have no obligation to pay or to enforce the

payment of any moneys to any subcontractor.

B. Any subcontract in excess of $25,000, entered into as a result of this Agreement, shall

contain all the provisions stipulated in this Agreement to be applicable to subcontractors.

C. Any substitution of subcontractors must be approved in writing by the State’s Contract

Manager in advance of assigning work to a substitute subcontractor.

5. Contractor's Reports and/or Meetings

A. The Contractor shall submit progress reports at least once a month to allow the Contract

Manager to determine if the Contractor is performing to expectations or is on schedule, to

provide communication of interim findings and to afford occasions for airing difficulties or special

problems encountered so that remedies can be developed.

B. The Contractor shall meet with the Contract Manager as needed to discuss progress on the

Agreement.

C. Prior to completion of the Agreement, the Contractor shall hold a final meeting with the Contract

Manager to present findings, conclusions and recommendations and shall submit a

comprehensive final report on the project.

D. Any document or written report prepared as a requirement of this Contract shall contain, in a

separate section preceding the main body of the document, a list of all Contracts and

subcontracts (including dollar amounts) relating to the preparation of those documents or

reports if the combined costs for work by non-employees of the Contractor exceed $5,000.

6. Publication

A. The Contractor shall not copyright the training course materials or written report developed and

funded from this Agreement.

B. The training course materials/written product/report funded from this agreement shall become

the property of the State, and all publication use rights are reserved to the State.

C. The written product or title pages of the report/course outline shall bear an appropriate

description acknowledging the source of funds used to produce the report/document/ training

course and materials.

D. The course outline/written product/report shall contain the following disclaimer in a separate

section preceding the main body of the document:

"The contents of this training course/documentation/report reflect the views of the author who is responsible for the facts and accuracy of the data presented herein. The contents do not


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necessarily reflect the official views or policies of the State of California or the Federal Highway Administration. This course outline/document/report does not constitute a standard, specification, or regulation."

7. Confidentiality Of Data

A. All financial, statistical, personal, technical, or other data and information relative to Caltrans’

operations, which is designated confidential by Caltrans and made available to the

Contractor in order to carry out this Agreement, shall be protected by the Contractor from

unauthorized use and disclosure.

B. Permission to disclose information on one occasion or public hearing held by Caltrans

relating to this Agreement shall not authorize the Contractor to further disclose such

information or disseminate the same on any other occasion.

C. The Contractor shall not comment publicly to the press or any other media regarding this

Agreement or Caltrans’ actions on the same, except to Caltrans’ staff, Contractor’s own

personnel involved in the performance of this Agreement, at public hearings, or in response

to questions from a Legislative committee.

D. The Contractor shall not issue any news release or public relations item of any nature

whatsoever regarding work performed or to be performed under this Agreement without prior

review of the contents thereof by Caltrans and receipt of Caltrans’ written permission.

E. All information related to the construction estimate is confidential and shall not be disclosed

by the Contractor to any entity, other than Caltrans.

F. Any subcontract, entered into as a result of this Agreement, shall contain all of the provisions

of this clause.

8. State-Owned Data - Integrity and Security

A. Contractor shall comply with the following requirements to ensure the preservation, security,

and integrity of State-owned data on portable computing devices and portable electronic

storage media:

1) Encrypt all State-owned data stored on portable computing devices and portable

electronic storage media using government-certified Advanced Encryption Standard

(AES) cipher algorithm with a 256-bit or 128-bit encryption key to protect Caltrans data

stored on every sector of a hard drive, including temp files, cached data, hibernation files,

and even unused disk space.

a. Data encryption shall use cryptographic technology that has been tested and approved against exacting standards, such as FIPS 140-2 Security Requirements for Cryptographic Modules.

2) Encrypt, as described above, all State-owned data transmitted from one computing

device or storage medium to another.


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3) Maintain confidentiality of all State-owned data by limiting data sharing to those

individuals contracted to provide services on behalf of the State, and limit use of State

information assets for State purposes only.

4) Install and maintain current anti-virus software, security patches, and upgrades on all

computing devices used during the course of the Agreement.

5) Notify the Contract Manager immediately of any actual or attempted violations of security

of State-owned data, including lost or stolen computing devices, files, or portable

electronic storage media containing State-owned data.

6) Advise the owner of the State-owned data, the agency Information Security Officer, and

the agency Chief Information Officer of vulnerabilities that may present a threat to the

security of State-owned data and of specific means of protecting that State-owned data.

B. Contractor shall use the State-owned data only for State purposes under this Agreement.

C. Contractor shall not transfer State-owned data to any computing system, mobile device, or

desktop computer without first establishing the specifications for information integrity and

security as established for the original data file(s). (State Administrative Manual (SAM)

section 5335.1)

9. Disabled Veterans Business Enterprise (DVBE) Participation (Without Goals)

Caltrans has established no goals for the participation of DVBE for this Agreement. However, the Contractor shall be fully informed respecting the California PCC Section 10115 et seq., which is incorporated by reference. Contractor is urged to obtain DVBE subcontractor participation should clearly defined portions of the work become available.

10. Retention of Records/Audits

A. For the purpose of determining compliance with GC Section 8546.7, the Contractor,

subcontractors and the State shall maintain all books, documents, papers, accounting records,

and other evidence pertaining to the performance of the Agreement, including but not limited to,

the costs of administering the Agreement. All parties shall make such materials available at

their respective offices at all reasonable times during the Agreement period and for three years

from the date of final payment under the Agreement. The State, the State Auditor, FHWA, or

any duly authorized representative of the Federal government having jurisdiction under Federal

laws or regulations (including the basis of Federal funding in whole or in part) shall have access

to any books, records, and documents of the Contractor that are pertinent to the Agreement for

audits, examinations, excerpts, and transactions, and copies thereof shall be furnished if

requested.

B. Any subcontract entered into as a result of this Agreement shall contain all the provisions of this

article.

11. Prohibition From Bidding


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This Agreement is subject to the provisions of Section 10365.5 of the PCC which states: "No contractor who has been awarded a consulting services Agreement may submit a bid for, nor be awarded a Agreement for, the provision of services, goods and supplies, or any other related action which is required, suggested or otherwise deemed appropriate in the end product of the original consulting services Agreement.”

12. Consultant Contractor’s Rights and Obligations

The Contractor is advised that the provisions of PCC Sections 10335 through 10381 pertaining to the duties, obligations and rights of a consultant service Contractor are applicable to this Agreement.

13. Audit Review Procedures

A. Any dispute concerning a question of fact arising under an interim or post audit of this

Agreement that is not disposed of by agreement shall be reviewed by the Chairperson of the

Audit Review Committee (ARC). The ARC will consist of the Deputy Director, Audits &

Investigations (Chairperson); Deputy Director of the functional Program area; the Chief

Counsel, Legal Division, or their designated alternates; and if Caltrans chooses, two

representatives of Caltrans’ choosing, from private industry. The two representatives from

private industry will be advisory in nature only and will not have voting rights. Additional

members or their alternates may serve on the ARC.

B. Not later than thirty (30) days after issuance of the final audit report, the Contractor may request

a review by the ARC of unresolved audit issues. The request for review will be submitted in

writing to the Chairperson of the ARC. The request must contain detailed information of the

factors involved in the dispute as well as justifications for reversal. A meeting by the ARC will

be scheduled if the Chairperson concurs that further review is warranted. After the meeting, the

ARC will make recommendations to the appropriate Chief Deputy Director. The Chief Deputy

Director will make the final decision for Caltrans. The final decision will be made within three (3)

months of receipt of the notification of dispute.

C. Neither the pendency of a dispute nor its consideration by Caltrans will excuse the Contractor

from full and timely performance, in accordance with the terms of this Agreement.


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EXHIBIT DConsulting Services Agreement (State)

ADDITIONAL PROVISIONS

1. Performance Bond

The Contractor shall maintain for the duration of the contract, including any amendments, a Performance Bond issued by a company authorized by the California Insurance Commissioner to transact surety business in California (an admitted surety insurer) in the sum not less than one-half of the total amount payable under the contract for securing the faithful performance of the contract by the contractor. (Reference: Public Contract Code 12112)

2. General Provisions Required in all Insurance Policies

A. Deductible: Contractor is responsible for any deductible or self-insured retention contained within the

insurance program.

B. Coverage Term: Coverage must be in force for the complete term of this Agreement. If insurance

expires during the term of this Agreement, a new certificate must be received by the Caltrans Contract

Manager at least ten (10) days prior to the expiration of the insurance. Any new insurance must

continue to comply with the original terms of this Agreement number 51A0435.

C. Policy Cancellation or Termination and Notice of Non-Renewal: Contractor shall provide, to the

Caltrans Contract Manager within five (5) business days, following receipt by Contactor, a copy of any

cancellation or non-renewal of insurance required by this Agreement. In the event Contractor fails to

keep, in effect at all times, the specified insurance coverage, the State may, in addition to any other

remedies it may have, terminate this Agreement upon the occurrence of such event, subject to the

provisions of this Agreement.

D. Primary Clause: Any required insurance contained in this Agreement shall be primary, and not excess or

contributory, to any other insurance carried by the State.

E. Inadequate Insurance: Inadequate or lack of insurance does not negate the Contractor's obligations

under this Agreement.

F. Endorsements: Any required endorsements requested by the State must be physically attached to all

requested certificates of insurance and not substituted by referring to such coverage on the certificate

of insurance.

G. Insurance Carrier Required Rating: All insurance companies must carry a rating acceptable to the

Department of General Services, Office of Risk and Insurance Management (ORIM). If the Contractor

is self insured for a portion or all of its insurance, review of financial information including a letter of

credit may be required. Department of General Services, ORIM Website:

http://www.dgs.ca.gov/orim/home.aspx

H. Contractor shall include all of its subcontractors as insured's under Contractor's insurance or supply

evidence of insurance to the State equal to the policies, coverage’s and limits required of Contractor.

I. The State will not be responsible for any premiums or assessments on the policy.

3. Insurance Requirements

A. Commercial General Liability


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1) Contractor shall maintain general liability on an occurrence form with limits not less than $1,000,000

per occurrence and $2,000,000 aggregate for bodily injury and property damage liability. The policy

shall include coverage for liabilities arising out of premises, operations, independent contractors,

products, completed operations, personal and advertising injury, and liability assumed under an

insured Agreement. This insurance shall apply separately to each insured against whom claim is

made or suit is brought subject to the Contractor's limit of liability. The policy must include:

Caltrans, State of California, its officers, agents, employees and servants are included as additional insured but only with respect to work performed under this Agreement.

2) This endorsement must be supplied under form acceptable to the Department of General Services

(DGS), Office of Risk and Insurance Management (ORIM).

B. Automobile Liability

Contractor shall maintain motor vehicle liability with limits not less than $1,000,000 combined single limit per accident. Such insurance shall cover liability arising out of a motor vehicle including owned, hired and non-owned motor vehicles. The same additional insured designation and endorsement required for general liability is to be provided for this coverage.

C. Workers’ Compensation and Employer’s Liability

Contractor shall maintain statutory worker's compensation and employer's liability coverage for all its employees who will be engaged in the performance of the Agreement. Employer's liability limits of $1,000,000 are required. When work is performed on State owned or controlled property the workers' compensation policy shall contain a waiver of subrogation in favor of the State. The waiver of subrogation endorsement shall be provided to the Caltrans’ Contract Manager.

D. Professional Liability

1) Contractor shall maintain Professional Liability at $1,000,000 per occurrence and $3,000,000

aggregate (annually) covering any damages caused by a negligent error, act or omission. The

policy’s retroactive date must be displayed on the certificate of insurance and must be before the

date this contract was executed or before the beginning of contract work. The Contractor is

responsible to maintain continuous coverage for up to three years after the notice of completion.

2) Contractor shall be responsible for the professional quality, technical accuracy, and coordination of

all services required under this Agreement. A firm may be liable for Caltrans’ costs resulting from

errors or deficiencies in designs furnished under this Agreement.

a. When a modification to this Agreement is required because of an error or deficiency in the

services provided under Agreement, the Caltrans Contract Manager (with the advice of

technical personnel and legal counsel) shall consider the extent to which the Contractor may be

reasonably liable.

b. The Caltrans Contract Manager shall enforce the liability and collect the amount due, if the

recoverable cost will exceed the administrative cost involved or is otherwise in Caltrans’ interest.

The Caltrans Contract Manager shall include in the Agreement file a written statement of the

reasons for the decision to recover or not to recover the costs from the firm.


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4. Ownership of Proprietary Property:

For the purposes of this section (Ownership of Proprietary Property) of Exhibit D of Contract 51A0435(herein after referred to as “this Agreement”) the following definitions shall apply:

Work: As delineated in Exhibit A, Exhibit E, Attachment A1 and Attachment A2 of this Agreement.

Work Product: As defined as Deliverable in Exhibit A, Exhibit E, Attachment A1 and Attachment A2 in this Agreement including but not limited to, all Work and Deliverables conceived or made, or made hereafter conceived or made, either solely or jointly with others during the term of this Agreement and during a period of six (6) months after the termination thereof, which relates to the Work commissioned or performed under this Agreement.

Inventions: Any idea, methodologies, design, concept, technique, invention, discovery, improvement or development regardless of patentability made solely by the Contractor or jointly with the Contractor’s subcontractor and/or the Contractor’s subcontractor’s employee’s with one or more employees of Caltrans, during the term of this Agreement and in performance of any Work under this Agreement, provided that either the conception or reduction to practice thereof occurs during the term of this Agreement and in performance of Work issued under this Agreement.

5. Ownership of Work Product and Rights:

A. Ownership of Work Product:

All Work Product derived by the Work performed by the Contractor, its employees or by any of the Contractor’s subcontractor’s employees under this Agreement, shall be owned by Caltrans and shall be considered works made for hire by the Contractor’s subcontractor for Caltrans. Caltrans shall own all United States and international copyrights in the Work Product.

As such, all Work Product shall contain, in a conspicuous place, a copyright designation consisting of a “c” in a circle followed by the four-digit year in which the Work Product was produced, followed by the words “California Department of Transportation.” For example, a Work Product created in the year 2003 would contain the copyright designation © 2003 California Department of Transportation.

B. Vesting of Copyright Rights:

Contractor, its employees or any of Contractor’s subcontractor’s employees agrees to perpetually assign, and upon creation of each Work Product automatically assigns, to Caltrans, its successors and assigns, ownership of all United States and international copyrights in each and every Work Product, insofar as any such Work Product, by operation of law, may not be considered work made for hire by the Contractor’s subcontractor from Caltrans. From time to time upon Caltrans request, the Contractor’s subcontractor and/or its employees shall confirm such assignments by execution and delivery of such assignments, confirmations or assignment, or other written instruments as Caltrans may request. Caltrans, its successors and assigns, shall have the right to obtain and hold in its or their own name(s) all copyright registrations and other evidence of rights that may be available for Work Product. Contractor hereby agrees to waive all moral rights relating to identification of authorship restriction or limitation on use, or subsequent modifications of the Work.

C. Avoidance of Infringement:

In performing services under this Agreement, Contractor and its employees agree to avoid designing or developing any items that infringe one or more patents or other intellectual property rights of any third party. If Contractor or its employees becomes aware of any such possible infringement in the course of


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performing any work under this Agreement, Contractor or its employees shall immediately notify Caltrans in writing.

D. Confidentiality and Information:

Caltrans may provide its own intellectual property, confidential business and technical information to the Contractor in connection with the work to be performed by the Contractor under this Agreement. Such intellectual property and information shall be designated as confidential upon or prior to disclosure by Caltrans. In addition, the preparation and specifications of the deliverables shall in all instances be treated as confidential, unless and until disclosed publically by Caltrans. All confidential written materials shall be marked with the legend “California Department of Transportation-Confidential.” The Contractor shall use its best efforts to prohibit any use or disclosure of Caltrans’ confidential information, except as necessary to perform work under this Agreement. In the event that Contractor is an entity or otherwise will be causing individuals in its employ or under its supervision to participate in the rendering of the work, Contractor warrants that it shall cause each of such individuals to execute a Confidentiality Agreement.

E. Additional Conditions

SUBCONTRACTORS: Contractor shall affirmatively bind by contract all subcontractors or service vendors providing services under this Agreement to conform to the provisions of this Exhibit E. Contractor shall then provide the signed contract to the Caltrans Contract Manager prior to the commencement of any work.